SRI LANKA ENVIRONMENTAL AND SOCIAL SCREENING AND ASSESSMENT FRAMEWORK

FOR EDUCATION SECTOR DEVELOPMENT PROGRAM

I. Objectives 1. The Environmental and Social Screening and Assessment Framework (ESSAF) provides general policies, guidelines, codes of practice and procedures to be integrated into the implementation of the World Bank-supported Education Sector Development Grant (ESDG) in Sri Lanka. The ESDG will follow a sector wide approach (SWAp) supporting the GOSL education development framework to strengthen the basic and secondary system throughout the country. 2. The proposed education sector operation will support the GOSL education development framework to strengthen the basic and secondary education system by assisting the country to: (i) promote equitable access to basic education by attracting the final 17% of children aged 6-14 who currently fail to complete basic education either into the formal school system or into non-formal education programs; (ii) improving the quality of education by increasing learning levels and orienting the education system to the world of work by upgrading the curriculum to focus on the development of higher-order transferable skills, reforming examinations to support curriculum upgrading, promoting the use of IT and technology in education, strengthening the teaching and learning of English, developing the leadership skills and professional capabilities and competencies of principals, head masters, head mistresses and teachers, providing stronger on-site academic and administrative support to schools, and promoting civic values through the education system; (iii) enhancing the efficiency and equity of resource allocation and distribution by introducing a medium-term budget framework within a multi-year planning horizon and a public expenditure tracking system and by refining the norm-based, unit cost resource allocation mechanism used in the school system to reflect the different economic conditions and education needs of provinces; and (iv) strengthening education governance and service delivery by implementing capacity building and institutional development measures for central and provincial education agencies and supporting various models of school based management to suit the conditions and needs of different types of schools. The credit would also strengthen the capacity of GOSL to undertake education research, monitoring and evaluation, and formulate policy and establish standards based on objective evidence. 3. Projects and programs financed with IDA resources need to comply with World Bank Operational Policies. Therefore, activities eligible for funding under this program will be required to satisfy the World Bank’s safeguard policies, in addition to conformity with environmental legislation of the Government of Sri Lanka (GOSL). The ESSAF has been developed to ensure compliance with the World Bank’s safeguard policies under the current conditions in Sri Lanka. The objective of the ESSAF is to ensure that activities under the proposed operations will address the following issues:

� Protect human health;

� Prevent or compensate any loss of livelihood;

� Minimize environmental degradation as a result of either individual subprojects or their cumulative effects;

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� Minimize impacts on cultural property; and

� Enhance positive environmental and social outcomes.

II. General Principles 4. The proposed SWAP will support Sri Lanka’s Education Sector Development Program (ESDFP) over a five year period beginning calendar and financial year 2006. The ESDP would cover activities both at the Central Ministry of Education (MoE) and the activities at the eight provinces. The program would cover approximately 10,000 schools across the country. Considering the scope of the program, it is unlikely that there will be any significant environmental impacts as a result of the program activities. Since it is possible that the program will finance the construction of new school buildings and renovation of existing school buildings, there may be the potential for environmental impacts. In addition the Tsunami has created the increased need for the construction of new schools to replace schools destroyed within the “no development” buffer zones along the coast line. 5. Since the exact locations of new school buildings is not known at this stage and may not be known at appraisal, the ESSAF provides guidance on the approach to be taken during program implementation for the site selection and design of relevant subprojects and the planning of mitigation measures. This Framework is consistent with the relevant World Bank Safeguard Policies as well as the National Environmental Act and associated regulations and the requirements of the National Involuntary Resettlement Policy (NIRP). Considering that construction activities will not be permitted in environmental sensitive areas such as wetlands and marshes, if it is to be financed under the SWAP, it is anticipated that building construction will result in minor environmental impacts. Therefore, the ESDG has been assigned an Environmental Category of "B". It has also been agreed that Environmental Codes of Practice, developed by the Institute for

Construction Training and Development (ICTAD), will be followed during construction activities that will be supported under the ESDG, which will be in lieu of a project Environmental Assessment. Environmental Management Plans which will include specific guidelines for debris disposal as well as resource extraction will be prepared for all specific construction activities financed under the project. Considering the scattered nature of construction anticipated under the project, it is not expected that there will be significant accumulated environmental damage due to project activities. The Tsunami related reconstruction is likely to create a demand for construction material such as sand, clay for bricks and timber. In order to avoid encouraging illegal extraction of such resources, all construction contracts under this project will include clauses in the contracts to ensure that sand, clay and timber are obtained from authorized locations and sources that are licensed by relevant GOSL authorities. Building construction and renovation will adhere to the existing building and other applicable codes of practice in Sri Lanka

� No land acquisition will be financed under the project and no land acquisition is anticipated that will require the resettlement of more than 200 people. In the event that any minor areas of land will be required for construction work such land should preferably be available government land or could be obtained through market mechanisms. In the event that land acquisition is unavoidable, compensation payments for assets acquired and involuntary resettlement should be in accordance with the National Involuntary Resettlement Policy of Sri Lanka (NIRP) and the Bank’s OP/BP

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4.12. If there is voluntary donation or compensated contribution of land for sub-project activities, such action will be guided by the “Guidelines for Land and Asset Acquisition, Entitlements and Compensation” included in the present framework. A one page Land Acquisition Assessment Data sheet which includes basic land acquisition screening information as well as quality of land required, location, use of land and number of people potentially affected by involuntary resettlement, will be prepared. For government land, documentation would be needed that the land is free of encroachments, squatters or other encumbrances, and has been transferred for the project by the authorities.

� The proposed operations will finance feasibility and detailed design studies for these

subsequent investments, which will include environmental assessments (if necessary), environmental management plans and social studies as required by World Bank safeguard policies;

� Project design and subproject selection will aim at maintaining regional balance and local

equity among ethnic and religious groups. Employment opportunities within the projects will be available on an equal basis to all, on the basis of professional competence, irrespective of gender or ethnic or religious group. In all projects which require consultations with local communities or beneficiaries, consultations will be conducted to elicit the views of the male and female population; and

� This ESSAF has been disclosed in the Ministry of Education, Divisional Secretariat

Offices in the Divisions where construction activities occur, relevant Provincial Councils and Local Authorities, the Central Environmental Authority and other public places in Sri Lanka in English, Tamil and Sinhala and in the World Bank InfoShop.

III. Environmental and Social Screening and Assessment Framework (ESSAF)

6. This ESSAF has been developed specifically for the proposed operation to ensure due diligence, to avoid causing harm or exacerbating social tensions, and to ensure consistent treatment of social and environmental issues by the Ministry of Education and the Government of Sri Lanka. The purpose of this Framework is also to assist the sub-project Implementing Agencies in screening all the subprojects for their likely social and environmental impacts, identifying suitable mitigation measures and implementation of these measures through an environmental management plan.

7. OP 4.01 Environmental Assessment. The proposed ESDG may finance, among other things, the construction of new school buildings and renovation of existing schools. Construction activities are not anticipated to cause any major environmental impacts considering that these will not be permitted in environmentally sensitive areas such as wetlands and marshes. The Tsunami has created the increased need for the construction of new schools to replace schools destroyed within the “no development” buffer zones along the coast line. This is likely to create a huge demand for construction materials such as sand, clay for bricks and timber which will place a burden on these resources.

8. Considering the nature and magnitude of potential environmental impacts from relatively limited scale and magnitude of the construction and/or renovation works, the proposed operation is to be classified as category ‘B’. Since the exact locations of new school buildings is not known at this stage and may not be known at appraisal, the requirement to carry out an Environmental Analysis as part of project preparation can be waived but, for subprojects with

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potential adverse impacts, a limited Environmental Analysis will be done during project implementation prior to disbursement of funds for that particular activity. Since the potential environmental impacts are expected to be minimal, an Environmental Management Plan will be prepared for each relevant activity. In order to avoid encouraging illegal extraction of such resources, all construction contracts under this project will include clauses in the contracts to ensure that sand, clay and timber are obtained from authorized locations and sources that are licensed by relevant GOSL authorities. All building construction (including the Tsunami related construction) and renovation will adhere to the existing building and other applicable codes of practice in Sri Lanka. To ensure that the building contractor is responsible for adherence to the following Codes of Practice (ICTAD specifications) which will be included in the contract documents:

SCA/3/1 - Irrigation and land Drainage SCA/3/2 - Water Supply, Sewerage & Storm Water Drainage SCA/3/3 - Reclamation Works SCA/3/4 - Ground Water Exploration & Exploitation SCA/4 - Building Works (Vol I) SCA/4 - Building Works (Vol II) SCA/6 - Coastal Harbour Engineering Works SCA/8 - Electrical & Mechanical Works Any other Standard Specifications approved by the Government of Sri Lanka. In addition, the contractor is required to pay attention to and address the following in the Environmental Management Plan:

1. Electromagnetic radiation– issues such as the location of telecommunication towers and consequences of permitting such towers to be built on top of school buildings, buildings near H/T cables etc.

2. Addressing noise pollution during construction activities. 3. Cultural Features preservation of culturally significant buildings. 4. Ecological issues of the sites 5. Transport and access to site. 6. Overshadowing and access to daylight and sunlight, with possible options for passive

solar design and its effect on site layouts. 7. External appearance (aesthetics) 8. Floodwater protection provisions. 9. Designing appropriate landscaping. 10. Energy conservation and efficiency. 11. Waste disposal, salvage, re-use and recycling of materials. 12. Avoidance of hazardous materials. 13. Safety, security and fire. 14. Energy efficient lighting options. 15. Potential for sick building syndrome

If any landfilling is required for site preparation such as filling of low lying lands and full Environmental Impact Assessment (not only an Environmental Management Plan) will be a condition for IDA financing. 9. OP 4.12 Involuntary Resettlement. No land acquisition will be financed under the credit. The need for involuntary resettlement or land acquisition in specific subproject areas will

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only be known during project implementation, when site-specific plans are available. Therefore subprojects will be screened for applicability of the resettlement policy. IDA will, in applicable instances, require a draft resettlement plan prior to financing the sub-project and require the implementation of the RAP in advance of sub-project implementation. The implementation of the resettlement plan is subject to prior approval by IDA. The safeguards framework will therefore include procedures for identifying eligible project-affected people, calculating and delivering compensation, mechanisms for land dispute grievance redress, and for protection of inheritance right of vulnerable groups. Even for those not covered by the policy, and to ensure effective poverty reduction, it is good practice for the borrower to undertake a social assessment and implement measures to minimize and mitigate adverse social impacts, particularly on poor and vulnerable groups. Well documented consultation mechanisms will be required to establish eligibility for compensation. Absent affectees who later claim compensation will require clear legal remedies to resolve or adjudicate disputes. 10. OP 11.03 Cultural Property. The Education Sector Development Grant is not expected to pose any risk of damaging cultural property, assuming that it will not include large-scale excavations, movement of earth or demolition. Sub-projects will be ineligible for support under the proposed operation if it damages cultural property, religious monuments, structures and cemeteries including any activities that affect the properties inscribed in the World Heritage List:

• Ancient City of Polonnaruwa • Ancient city of Sigiriya • Golden Temple of Dambulla • Old Town of Galle and its Fortifications • Sacred City of Anuradhapura • Sacred City of Kandy • Other archaeological and historical sites

Furthermore, projects and subprojects will be reviewed for their potential impact on cultural property and clear procedures will be required for identification, protection of cultural property from theft, and treatment of discovered artifacts, and will be included in standard bidding documents.

11. OD 4.20 Indigenous Peoples. While OD 4.20 applies to a number of reasonably well defined groups in the interior, it is not expected that stand-alone Indigenous Peoples Development Plans (IPDP) will be required, as the Education Sector Development Grant is not expected to negatively impact on any Indigenous groups. Subproject preparation will assess the presence of Indigenous People in the project area and will conduct separate consultations to elicit their views and identify the need for specific culturally compatible mechanisms for their participation and ensure incorporation of adequate measures in project design.

IV. Safeguard Screening and Mitigation 12. The site selection, design, contracting, monitoring and evaluation of subprojects will be undertaken by the respective education agencies at the national and provincial levels. The safeguard screening and mitigation process will include:

� A proposed checklist of likely environment and social impacts to be filled out for each subproject(Attachment 1);

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� Guidelines for land and asset acquisition, entitlements and compensation (Attachment 2);

� Procedures for the protection of cultural property, including the chance discovery of archaeological artifacts, unrecorded graveyards and burial sites (Attachment 3);

� A sample Environmental Safeguards procedures for Inclusion in the Technical Specifications of Contracts (Attachment 4).

V. Environmental Assessment Clearance Process

13. The composite GOSL environmental clearance process, in principle, is consistent with World Bank environmental and public disclosure requirements. Environmental Impact Assessments (EIAs) for development projects were made mandatory under the National Environmental Act (NEA) in 1993. A list of prescribed projects, based on the magnitude and potential for adverse environmental impacts, that require EIAs are listed in Gazette Extraordinary No. 772/22 (1993). The CEA has been reviewing and approving EIAs for prescribed projects since 1993 has developed solid technical expertise and capacity for this task with technical assistance projects from USAID, the Netherlands and the World Bank over the last decade. However, in view of the low potential for significant adverse environmental impacts, all potential construction or renovation activities proposed under the project fall below the thresholds identified in the “prescribed list”. While there are no direct environmental assessment regulations applicable to this project, GOSL has agreed to conform to the ESSAF developed specifically for this project. Site selection, design, contracting, monitoring, evaluation of subprojects and the preparation of the safeguard analysis in accordance with the ESSAF will be undertaken by the respective education agencies at the national and provincial levels. The Ministry of Education and Provincial Education Authorities do not have environmental and social expertise at present, so will have access to Environmental and Social Specialists, financed under the project, who will be responsible for ensuring that the ESSAF is adhered to prior to financing building construction or renovation. Social and Environmental safeguards will be monitored by the Divisional Environmental Officers of the Central Environmental Authority (CEA), located in every Divisional Secretariat Office in the country. The World Bank will review the first three Environmental Management Plans to ensure compliance with the ESSAF and then undertake reviews during routine project monitoring to ensure EMPs meet the conditions of the ESSAF.

VI. Capacity-Building and Monitoring of Safeguard Framework Implementation 14. As part of the capacity-building to be provided for implementation of the proposed operations, the Safeguards Focal Points, Divisional Environmental Officers in the respective Divisions will receive training in ESSAF’s application. 15. To assist in this capacity-building, and to provide subsequent guidance and review of the ESSAF’s application, the Government of Sri Lanka (GOSL) will contract specialist services for environmental and social safeguards, as required. During supervision of these operations, the World Bank will assess the implementation of the ESSAF, and recommend additional strengthening, if required.

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VII. Consultation and Disclosure 16. The ESSAF will be shared by the Ministry of Education with concerned nongovernmental organizations, civil society and potential affectees. It will be disclosed in Tamil, Sinhala and English by the Ministry of Education on behalf of the GOSL in Sri Lanka and it will also be made available at the World Bank’s InfoShop. Relevant subproject specific safeguard documents/mitigation plans (EMPs) prepared subsequently will also be disclosed to the public. VIII. Guidelines for preparation of Environmental Management Plans 17. Having identified the potential impacts of the relevant sub project, in the case of the Education SWAP, the next step is the identification and development of measures aimed at eliminating, offsetting and/or reducing impacts to levels that are environmentally acceptable during implementation and operation of the project through the preparation and implementation of an Environmental Management Plan (EMP). EMPs provide an essential link between the impacts predicted and mitigation measures specified. World Bank guidelines state that detailed EMP’s are essential elements for Category A projects, but for many Category B projects such as in the Education SWAP, a simple EMP alone will suffice. While there are no standard formats for EMPs, it is recognized that the format needs to fit the circumstances in which the EMP is being developed and the requirements, which it is designed to meet. EMPs should be prepared after taking into account comments from the affectees, and relevant government institutions. The final version should include any clearance conditions from IDA as well. Given below are the important elements that constitute an EMP.

a. Description of mitigation measures 18. Feasible and cost effective measures to minimse adverse impacts to acceptable levels should be specified with reference to each impact identified. Further, it should provide details on the conditions under which the mitigatory measure should be implemented (ex; routine or in the event of contingencies). The EMP also should distinguish between type of solution proposed (structural & non structural) and the phase in which it should become operable (design, construction and/or operational). Efforts should also be made to mainstream environmental and social opportunities as reasonable. b. Monitoring programme 19. In order to ensure that the proposed mitigatory measures have the intended results and complies with national standards and donor requirements, an environmental performance monitoring programme should be included in the EMP. The monitoring programme should give details of the following;

• Monitoring indicators to be measured for evaluating the performance of each mitigatory measure (for example national standards, engineering structures, extent of area replanted, etc).

• Monitoring mechanisms and methodologies • Monitoring frequency • Monitoring locations

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c. Institutional arrangements 20. Institutions/parties responsible for implementing mitigatory measures and for monitoring their performance should be clearly identified. Where necessary, mechanisms for institutional co-ordination should be identified as often monitoring tends to involve more than one institution. d. Implementing schedules 21. Timing, frequency and duration of mitigation measures with links to overall implementation schedule of the project should be specified. e. Reporting procedures 22. Feedback mechanisms to inform the relevant parties on the progress and effectiveness of the mitigatory measures and monitoring itself should be specified. Guidelines on the type of information wanted and the presentation of feedback information should also be highlighted. f. Cost estimates and sources of funds 23. Implementation of mitigatory measures mentioned in the EMP will involve an initial investment cost as well as recurrent costs. The EMP should include costs estimates for each measure and also identify sources of funding.

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Attachment 1

Environmental Checklist for Assessing Suitability of Sites for Construction Financed under the Education Sector Development Grant SWAp

To be filled by an authorized official (Where choices are given please circle the most appropriate entry or entries)

No Item Details INTRODUCTION

1 Name of the Site 2 Province 3 District 4 Divisional Secretary Division (s) 5 Local Authority 6 Grama Niladari Division (s) 7 Brief description of the project

(Be as brief as possible, confining to main elements only, provide a 1:10,000 scaled site map inclusive of area within 500m radius from the project site)

8 Does the site /project require any; Yes No If yes give the extent (in ha) Reclamation of land, wetlands Clearing of forest

Felling of trees 9 Minimum land area required for the

proposed development (based on UDA guidelines) (ha)

10 Available total land area within the identified location (ha)

11 Expected construction period 12 Responsible contact person with

contact Information

13 Present Land Ownership State Private Other (specify) 14 Source of Funding 15 Total Cost of the Project 16 Anticipated Date of Completion

DESCRIPTION OF THE ENVIRONMENT PHYSICAL

17 Topography & Landforms (map)

Attach an extract from relevant 1: 50,000 topographic sheet/ if detailed maps are available provide them

18 Relief (difference in elevation) Low <20m Medium 20-40m High 40-60 >60m

19 Slope Low <30% Medium 30-40 % High 40-60 %

Very High > 60%

20 Position on Slope Bottom Mid-slope Upper-slope

21 Soil (Great Soil Group) – Pls see the list below

22 Soil Depth

Shallow < 20cm

Moderate 20 – 100 cm

Deep >100cm

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23 Soil Erosion Low Medium High 24 Climate Wet Zone Intermediate Zone

Dry Zone/ Semi Arid Zone

25 Annual dry period 26 Source of fresh Surface Water Spring/canal Tank/Reservoir Perennial

Stream Seasonal Stream

None

27 Distance from the coast line (m) 28 Surface Water Use Domestic Washing/Bathing Irrigation Animal

use 29 Surface Water Quality Poor Moderate Good 30 Ground Water Availability Dug Well Tube Well Other (specify) 31 Ground Water Use Domestic Washing/Bathing Irrigation Animal

use 32 Ground Water Quality Poor Moderate Good

33 Incidence of Natural Disasters Floods Prolonged droughts Cyclones/tidal waves Other 34 Geological Hazards Landslides Rock falls Subsidence Other

ECOLOGICAL 35 Habitat Types in the Project Site

(indicate the % of each habitat type) Natural forest ( %), degraded forest( %), natural scrubland( %), degraded scrubland( %), riverine forest, grassland( %), abandoned agricultural land( %), marsh( %), lagoon( %), estuary( %), coastal scrub( %), mangrove( %), salt marsh( %), home-gardens( %), Other ( %) (List)

36 Habitat types within 250m radius from the site periphery (indicate the % of each habitat type)

Natural forest ( %), degraded forest( %), natural scrubland( %), degraded scrubland( %), riverine forest, grassland( %), abandoned agricultural land( %), marsh( %), lagoon( %), estuary( %), coastal scrub( %), mangrove( %), salt marsh( %), home-gardens( %), Other ( %) (List)

37 Habitat types within 500m radius from the site periphery (indicate the % of each habitat type)

Natural forest ( %), degraded forest( %), natural scrubland( %), degraded scrubland( %), riverine forest, grassland( %), abandoned agricultural land( %), marsh( %), lagoon( %), estuary( %), coastal scrub( %), mangrove( %), salt marsh( %), home-gardens( %), Other ( %) (List)

38 Are there any environmentally and culturally sensitive areas within 250m?

Protected Areas

Migratory pathways of animals

Archeological sites

Wetlands Mangroves strands

39 Are there any plants of conservation importance within 250m (endemic and threatened species)? If yes, encouraged to provide a list

40 Are there any animals of conservation importance within 250m (endemic and threatened species)? If yes, encouraged to provide a list

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ENVIRONMENTAL SENSITIVITY

41 Does the project wholly or partly fall within any of the following areas? Area Yes No Unaware 100m from the boundaries of or within any area declared under the National Heritage Wilderness Act No 4 of 1988

100m from the boundaries of or within any area declared under the Forest Ordinance (Chapter 451)

Coastal zone as defined in the Coast Conservation Act No 57 of 1981 Any erodable area declared under the Soil Conservation Act (Chapter 450)

Any Flood Area declared under the Flood Protection Ordinance (Chapter 449)

Any flood protection area declared under the Sri Lanka Land Reclamation and Development Corporation Act 15 of 1968 as amended by Act No 52 of 1982

60 meters from the bank of a public stream as defined in the Crown Lands Ordinance (Chapter 454) and having width of more than 25 meters at any point of its course

Any reservations beyond the full supply level of a reservoir Any archaeological reserve, ancient or protected monument as defined or declared under the Antiquities Ordinance (Chapter 188).

Any area declared under the Botanic Gardens Ordinance (Chapter 446). Within 100 meters from the boundaries of, or within, any area declared as a Sanctuary under the Fauna and Flora Protection Ordinance (Chapter 469)

100 meters from the high flood level contour of or within, a public lake as defined in the Crown Lands Ordinance (Chapter 454) including those declared under section 71 of the said Ordinance Within a distance of one mile of the boundary of a National Reservedeclared under the Fauna and Flora Protection Ordinance

ENVIRONMENTAL IMPACT AND MITIGATION / ENHANCEMENT DURING CONSTRUCTION PERIOD

IMPACT MITIGATION/ ENHANCEMENT H M L N/A

42 Soil erosion 43 Water pollution 44 Noise pollution 45 Solid waste generation

Cess Pool Sewage Pond

46 Sewage generation

Septic Tank

Other

47 Loss of vegetation cover 48 Habitat loss or fragmentation 49 General disturbance to animal

behaviour

50 Interference with normal movement of animals

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51 Irreversible/irreparable environmental change

ENVIRONMENTAL IMPACT AND MITIGATION / ENHANCEMENT DURING OPERATION PERIOD

Cess Pool Sewage Pond 52 Sewerage Disposal Septic Tank Other

53 Solid Waste Disposal Common Dug Well Yes / No Individual dug well Yes /

No Common Tube Well

Yes / No Town supply – pipe Yes / No

54 Drinking Water Supply

Spring Yes / No Town supply – Stand post Yes / No

55 Alteration to storm water drainage pattern

No changes No major Changes

Major changes

CONTACT DETAILS OF OFFICIALS AND RECOMMENDATIONS 56 Name of the officer completed

the form (From the Developer)

57 Designation and contact Information

58 List of team members

59 Overall observation and recommendation

60 Signature and date

61 Name and Contact Information of the officer who checked this form (CEA officer from Regional Office/Divisional Environmental Officer)

62 Remarks

63 Signature and Date

**Great Soil Groups of Sri Lanka Dry Zone

1. RBE Reddish Brown Earths 2. LHG Low Humic Gley 3. NBS Noncalcic Brown Soils 4. RYL Red-Yellow Latosols 5. A Alluvial Soils 6. SS Solodized Solonetz 7. R Regosols 8. G Grumusols 9. IBL Immature Brown Soil

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Attachment 2

Guidelines for Land and Asset Acquisition, Entitlements and Compensation

I. Objectives 1. Resettlement and land acquisition will be kept to a minimum, and will be carried out in accordance with these guidelines. Subproject proposals that would require demolishing houses or acquiring productive land should be carefully reviewed to minimize or avoid their impacts through alternative alignments. Proposals that require more than minor expansion along rights of way should be carefully reviewed. No land or asset acquisition may take place outside of these guidelines. A format for a Land Acquisition Assessment Data Sheet is attached as Attachment 2(i). 2. These guidelines provide principles and instructions to compensate negatively affected persons to ensure that they will be assisted to improve, or at least to restore, their living standards, income earning or production capacity to pre-project levels regardless of their land tenure status. II. Categorization 3. Based on the number of persons that may be affected by the project, Project Affected People (PAPs) and the magnitude of impacts, projects will be categorized as follows, following Sri Lanka National Involuntary Resettlement Policy (NIRP):

(a) Projects that will affect more than 200 people due to land acquisition and/or physical relocation and where a full Resettlement Action Plan (RAP) must be produced. Disbursements for the sub-project should be allowed only after the RAP for the sub-project is approved by the Bank.

(b) Projects that will affect less than 200 people still require a RAP with suggested

mitigation measures, but lesser detail is required. The following documentation should be included: (i) a land acquisition assessment, (ii) the minutes or record of consultations which assess the compensation claimed and agreement reached, and (iii) a record of the receipt of the compensation, or voluntary donation, by those affected (see below).

(c) Projects that are not expected to have any land acquisition or any other significant

adverse social impacts; on the contrary, significant positive social impact and improved livelihoods are expected from such interventions.

III. Eligibility 4. PAPs are identified as persons whose livelihood is directly affected by the project due to acquisition of the land owned or used by them. PAPs deemed eligible for compensation are:

(a) those who have formal legal rights to land, water resources or structures/buildings, including recognized customary and traditional rights;

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(b) those who do not have such formal legal rights but have a claim to usufruct rights rooted in customary law; and

(c) those whose claim to land and water resources or building/structures do not fall

within (a) and (b) above, are eligible to resettlement assistance to restore their livelihood.

IV. Acquisition of Productive Assets and Compensation 5. PAPs are eligible for replacement costs for lost assets as described below:

(a) Voluntary contributions. Individuals may elect to voluntarily contribute land or assets provided the persons making such contributions do so willingly and are informed that they have the right to refuse such contributions; and

(b) Contributions against compensation. A contributor/asset loser considered "affected"

will be eligible for compensation and other necessary assistance as per the NIRP.

6. Voluntary contribution should be clearly documented to confirm the voluntary nature of the transition. The documentation should specify that the land is free of any squatters, encroachers or other claims. A format is shown in Attachment 2(ii), which includes a Schedule for assessing any compensation claimed and the agreement reached.

V. Compensation Principles 7. The project implementation agencies will ensure timely provision of the following means of compensation to affected peoples:

(a) Project affected peoples losing access to a portion of their land or other productive assets with the remaining assets being economically viable are entitled to compensation at a replacement cost for that portion of land or assets lost to them. Compensation for the lost assets will be made according to the following principles, in accordance with the NIRP:

(i) any resettlement should be carried out as a sustainable development project;

(ii) replacement land with an equally productive plot, cash or other equivalent productive assets;

(iii) materials and assistance to fully replace solid structures that will be demolished;

(iv) replacement of damaged or lost crops and trees, at market value;

(v) other acceptable in-kind compensation;

(vi) in case of cash compensation, the delivery of compensation should be made in public, i.e., at the Community Meeting; and

(vii) in case of physical relocation, provision of civic infrastructure at the resettlement sites.

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(b) Project affected peoples losing access to a portion of their land or other economic assets rendering the remainder economically non-viable will have the options of compensation for the entire asset by provision of alternative land, cash or equivalent productive asset, according to the principles in (a) i-iv above.

VI. Consultation Process 8. The implementing agencies will ensure that all occupants of land and owners of assets located in a proposed subproject area are consulted. Community meetings will be held in each affected district and village to inform the local population of their rights to compensation and options available in accordance with these Guidelines. The Minutes of the community meetings shall reflect the discussions held, agreements reached, and include details of the agreement, based on the format provided in Attachment 2(ii). 9. The implementing agency shall provide a copy of the Minutes to affected people and confirm in discussions with each of them, their requests and preferences for compensation, agreements reached, and any eventual complaint. Copies will be recorded in the posted project documentation and be available for inspection during supervision. Subproject Approval 10. In the event that a subproject involves acquisition against compensation, the implementing agency shall:

(a) not approve the subproject unless satisfactory compensation has been agreed between the affected person and the local community; and

(b) not allow works to start until the compensation has been delivered in a satisfactory manner to the affected persons.

Complaints and Grievances

11. Initially, all complaints should be negotiated to reach an agreement at the local level, by a Grievance Committee comprising PAPs and community leaders and relevant officials, who would be recognized by all parties as impartial to assist with resolving complaints and grievances. If this fails, complaints and grievances on these Guidelines, implementation of the agreements recorded in the Community Meeting Minutes or any alleged irregularity in carrying out the project can also be addressed by the affected peoples or their representative at the municipal or district level. If this also fails, the complaint may be submitted to the relevant implementing agency for consideration.

Verification 12. The Community Meeting Minutes, including agreements of compensation and evidence of compensation made shall be provided to the Municipality/district, to the supervising engineers, who will maintain a record hereof, and to auditors and socio-economic monitors when they undertake reviews and post-project assessment. This process shall be specified in all relevant project documents, including details of the relevant authority for complaints at the municipal/district or implementing agency level.

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Attachment 2(i)

Land Acquisition Assessment Data Sheet (To be used to record information on all land to be acquired)

1. Quantities of land/structures/other assets required: 2. Date to be acquired: 3. Locations: 4. Owners: 5. Current uses: 6. Users:

• Number of Customary Claimants:

• Number of Squatters:

• Number of Encroachers:

• Number of Owners:

• Number of Tenants:

• Others (specify): ______________________ Number: ___________________ 7. How land/structures/other assets will be acquired (identify one):

• Donation

• Purchase 8. Transfer of Title:

• Ensure these lands/structures/other assets are free of claims or encumbrances.

• Written proof must be obtained (notarized or witnessed statements) for the voluntary donation, or acceptance of the prices paid from those affected, together with proof of title being vested in the community, or guarantee of public access, by the title-holder.

9. Describe grievance mechanisms available:

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Attachment 2(ii)

Format to Document Contribution of Assets

The following agreement has been made on............................ day of...................………. between...............................................resident of ............................................(the Owner) and ……………………………………………….(the Recipient). 1. That the Owner holds the transferable right of ........................………………………hectares/sq.m of land/structure/asset in.........……………………………………………………………………………. 2. That the Owner testifies that the land/structure is free of squatters or encroachers and not subject to other claims. 3. That the Owner hereby grants to the Recipient this asset for the construction and development of ................................for the benefit of the villagers and the public at large. (Either, in case of donation:) 4. That the Owner will not claim any compensation against the grant of this asset. (Or, in case of compensation:) 4. That the Owner will receive compensation against the grant of this asset as per the attached Schedule. 5. That the Recipient agrees to accept this grant of asset for the purposes mentioned. 6. That the Recipient shall construct and develop the……………………and take all possible precautions to avoid damage to adjacent land/structure/other assets. 7. That both the parties agree that the………………………so constructed/developed shall be public premises. 8. That the provisions of this agreement will come into force from the date of signing of this deed. ___________________________________ ___________________________________

Signature of the Owner Signature of the Recipient Witnesses: 1. _____________________________ 2. ______________________________

(Signature, name and address)

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Schedule of Compensation of Asset Requisition

Summary of Units to be Compensated Agreed Compensation Affected Unit/Item a. Urban/agricultural land (m2): _____________________ ___________________ b. Houses/structures to be demolished (units/m2): _____________________ ___________________ c. Type of structure to be demolished (e.g. mud, brick, cement block, etc.,) _____________________ Not Applicable. d. Trees or crops affected: _____________________ ___________________ e. Water sources affected: _____________________ ___________________

Signatures of local community representatives:

Include record of any complaints raised by affected persons:

Map attached (showing affected areas and replacement areas):

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Attachment 3

Protection of Cultural Property

1. Cultural property include monuments, structures, works of art, or sites of significance points of view, and are defined as sites and structures having archaeological, historical, architectural, or religious significance, and natural sites with cultural values. This includes cemeteries, graveyards and graves. 2. The initial phase of the proposed emergency reconstruction operations pose limited risks of damaging cultural property since subprojects will largely consist of small investments in community infrastructure and income generating activities, reconstruction of existing structures, and minor public works. Further, the negative subproject attributes, which would make a subproject ineligible for support includes any activity that would adversely impact cultural property. Nevertheless, the following procedures for identification, protection from theft, and treatment of discovered artifacts should be followed and included in standard bidding documents as provided in Attachment 4. Chance Find Procedures 3. Chance find procedures will be used as follows:

(a) Stop the construction activities in the area of the chance find; (b) Delineate the discovered site or area; (c) Secure the site to prevent any damage or loss of removable objects. In cases of

removable antiquities or sensitive remains, a night guard shall be present until the responsible local authorities and the Ministry of Cultural Affairs & National Heritage take over;

(d) Notify the supervisory Engineer who in turn will notify the responsible local authorities and the Ministry of Cultural Affairs & National Heritage immediately (within 24 hours or less);

(e) Responsible local authorities and the Ministry of Cultural Affairs & National Heritage would be in charge of protecting and preserving the site before deciding on subsequent appropriate procedures. This would require a preliminary evaluation of the findings to be performed by the archeologists of the Ministry of Cultural Affairs & National Heritage (within 72 hours). The significance and importance of the findings should be assessed according to the various criteria relevant to cultural heritage; those include the aesthetic, historic, scientific or research, social and economic values;

(f) Decisions on how to handle the finding shall be taken by the responsible authorities and the Ministry of Cultural Affairs & National Heritage. This could include changes in the layout (such as when finding an irremovable remain of cultural or archeological importance) conservation, preservation, restoration and salvage;

(g) Implementation for the authority decision concerning the management of the finding shall be communicated in writing by the Ministry of Cultural Affairs & National Heritage; and

(h) Construction work could resume only after permission is given from the responsible local authorities and the Ministry of Cultural Affairs & National Heritage concerning safeguard of the heritage.

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4. These procedures must be referred to as standard provisions in construction contracts, when applicable, and as proposed in section VI of Attachment 4. During project supervision, the Site Engineer shall monitor the above regulations relating to the treatment of any chance find encountered are observed.

5. Relevant findings will be recorded in World Bank Project Supervision Reports (PSRs), and Implementation Completion Reports (ICRs) will assess the overall effectiveness of the project’s cultural property mitigation, management, and activities, as appropriate.

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Attachment 4

Safeguards Procedures for Inclusion in the Technical Specifications of Contracts

I. General

1. The Contractor and his employees shall adhere to the mitigation measures set down and take all other measures required by the Engineer to prevent harm, and to minimize the impact of his operations on the environment.

2. The Contractor shall not be permitted to unnecessarily strip clear the right of way. The Contractor shall only clear the minimum width for construction and diversion roads should not be constructed alongside the existing road.

3. Remedial actions which cannot be effectively carried out during construction should be carried out on completion of each Section of the road (earthworks, pavement and drainage) and before issuance of the Taking Over Certificate:

(a) these sections should be landscaped and any necessary remedial works should be undertaken without delay, including grassing and reforestation;

(b) water courses should be cleared of debris and drains and culverts checked for clear

flow paths; and

(c) borrow pits should be dressed as fish ponds, or drained and made safe, as agreed with the land owner.

4. The Contractor shall limit construction works to between 6 am and 7 pm if it is to be carried out in or near residential areas.

5. The Contractor shall avoid the use of heavy or noisy equipment in specified areas at night, or in sensitive areas such as near a hospital.

6. To prevent dust pollution during dry periods, the Contractor shall carry out regular watering of earth and gravel haul roads and shall cover material haulage trucks with tarpaulins to prevent spillage.

II. Transport

7. The Contractor shall use selected routes to the project site, as agreed with the Engineer, and appropriately sized vehicles suitable to the class of road, and shall restrict loads to prevent damage to roads and bridges used for transportation purposes. The Contractor shall be held responsible for any damage caused to the roads and bridges due to the transportation of excessive loads, and shall be required to repair such damage to the approval of the Engineer.

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8. The Contractor shall not use any vehicles, either on or off road with grossly excessive, exhaust or noise emissions. In any built up areas, noise mufflers shall be installed and maintained in good condition on all motorized equipment under the control of the Contractor. 9. Adequate traffic control measures shall be maintained by the Contractor throughout the duration of the Contract and such measures shall be subject to prior approval of the Engineer.

III. Workforce 10. The Contractor should whenever possible locally recruit the majority of the workforce and shall provide appropriate training as necessary. 11. The Contractor shall install and maintain a temporary septic tank system for any residential labor camp and without causing pollution of nearby watercourses. 12. The Contractor shall establish a method and system for storing and disposing of all solid wastes generated by the labor camp and/or base camp. 13. The Contractor shall not allow the use of fuelwood for cooking or heating in any labor camp or base camp and provide alternate facilities using other fuels.

14. The Contractor shall ensure that site offices, depots, asphalt plants and workshops are located in appropriate areas as approved by the Engineer and not within 500 meters of existing residential settlements and not within 1,000 meters for asphalt plants. 15. The Contractor shall ensure that site offices, depots and particularly storage areas for diesel fuel and bitumen and asphalt plants are not located within 500 meters of watercourses, and are operated so that no pollutants enter watercourses, either overland or through groundwater seepage, especially during periods of rain. This will require lubricants to be recycled and a ditch to be constructed around the area with an approved settling pond/oil trap at the outlet. 16. The contractor shall not use fuelwood as a means of heating during the processing or preparation of any materials forming part of the Works.

IV. Quarries and Borrow Pits 17. Operation of a new borrow area, on land, in a river, or in an existing area, shall be subject to prior approval of the Engineer, and the operation shall cease if so instructed by the Engineer. Borrow pits shall be prohibited where they might interfere with the natural or designed drainage patterns. River locations shall be prohibited if they might undermine or damage the river banks, or carry too much fine material downstream. 18. The Contractor shall ensure that all borrow pits used are left in a trim and tidy condition with stable side slopes, and are drained ensuring that no stagnant water bodies are created which could breed mosquitoes. 19. Rock or gravel taken from a river shall be far enough removed to limit the depth of material removed to one-tenth of the width of the river at any one location, and not to disrupt the river flow, or damage or undermine the river banks.

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20. The location of crushing plants shall be subject to the approval of the Engineer, and not be close to environmentally sensitive areas or to existing residential settlements, and shall be operated with approved fitted dust control devices.

V. Earthworks 21. Earthworks shall be properly controlled, especially during the rainy season.

22. The Contractor shall maintain stable cut and fill slopes at all times and cause the least possible disturbance to areas outside the prescribed limits of the work.

23. The Contractor shall complete cut and fill operations to final cross-sections at any one location as soon as possible and preferably in one continuous operation to avoid partially completed earthworks, especially during the rainy season.

24. In order to protect any cut or fill slopes from erosion, in accordance with the drawings, cut off drains and toe-drains shall be provided at the top and bottom of slopes and be planted with grass or other plant cover. Cut off drains should be provided above high cuts to minimize water runoff and slope erosion.

25. Any excavated cut or unsuitable material shall be disposed of in designated tipping areas as agreed to by the Engineer.

26. Tips should not be located where they can cause future slides, interfere with agricultural land or any other properties, or cause soil from the dump to be washed into any watercourse. Drains may need to be dug within and around the tips, as directed by the Engineer.

VI. Historical and Archeological Sites

27. If the Contractor discovers archeological sites, historical sites, remains and objects, including graveyards and/or individual graves during excavation or construction, the Contractor shall:

(a) Stop the construction activities in the area of the chance find.

(b) Delineate the discovered site or area.

(c) Secure the site to prevent any damage or loss of removable objects. In cases of removable antiquities or sensitive remains, a night guard shall be present until the responsible local authorities and the Ministry of Cultural Affairs & National Heritage take over.

(d) Notify the supervisory Engineer who in turn will notify the responsible local authorities and the Ministry of Cultural Affairs & National Heritage immediately (less than 24 hours).

(e) Contact the responsible local authorities and the Ministry of Cultural Affairs & national Heritage who would be in charge of protecting and preserving the site before deciding on the proper procedures to be carried out. This would require a preliminary evaluation of the findings to be performed by the archeologists of the Ministry of

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Cultural Affairs & National Heritage (within 72 hours). The significance and importance of the findings should be assessed according to the various criteria relevant to cultural heritage, including the aesthetic, historic, scientific or research, social and economic values.

(f) Ensure that decisions on how to handle the finding be taken by the responsible authorities and the Ministry of Cultural Affairs & National Heritage. This could include changes in the layout (such as when the finding is an irremovable remain of cultural or archeological importance) conservation, preservation, restoration and salvage.

(g) Implementation for the authority decision concerning the management of the finding shall be communicated in writing by the Ministry of Cultural Affairs & National Heritage; and

(h) Construction work will resume only after authorization is given by the responsible local authorities and the Ministry of Cultural Affairs & National Heritage concerning the safeguard of the heritage.

VII. Disposal of Construction and Vehicle Waste 28. Debris generated due to the dismantling of the existing structures shall be suitably reused, to the extent feasible, in the proposed construction (e.g. as fill materials for embankments). The disposal of remaining debris shall be carried out only at sites identified and approved by the project engineer. The contractor should ensure that these sites (a) are not located within designated forest areas; (b) do not impact natural drainage courses; and (c) do not impact endangered/rare flora. Under no circumstances shall the contractor dispose of any material in environmentally sensitive areas. 29. In the event any debris or silt from the sites is deposited on adjacent land, the Contractor shall immediately remove such, debris or silt and restore the affected area to its original state to the satisfaction of the Supervisor/Engineer. 30. Bentonite slurry or similar debris generated from pile driving or other construction activities shall be disposed of to avoid overflow into the surface water bodies or form mud puddles in the area. 31. All arrangements for transportation during construction including provision, maintenance, dismantling and clearing debris, where necessary, will be considered incidental to the work and should be planned and implemented by the contractor as approved and directed by the Engineer. 32. Vehicle/machinery and equipment operations, maintenance and refueling shall be carried out to avoid spillage of fuels and lubricants and ground contamination. An ’oil interceptor" will be provided for wash down and refueling areas. Fuel storage shall be located in proper bunded areas. 33. All spills and collected petroleum products shall be disposed of in accordance with standard environmental procedures/guidelines. Fuel storage and refilling areas shall be located at least 300m from all cross drainage structures and important water bodies or as directed by the Engineer.

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