Semi Annual Social Safeguard Monitoring Report Loan Number: 2528/2834 IND Reporting Period: (January – June 2013)

IND: North Eastern Region Capital Cities

Development Investment Program

Project City: Gangtok, Sikkim State

Implementing Agency: State Investment Program Management and Implementation Unit (SIPMIU)

NORTH EASTERN REGION CAPITAL CITY DEVELOPMENT PROGRAMME (NERCCDIP)

SEMI ANNUAL SOCIAL SAFEGUARD REPORT

January – June, 2013

Contributed by

State Investment Programme Management and Implementation Unit (SIPMIU)

(Gangtok)

Table of Contents 1. Introduction .................................................................................................................................... 4

2. institutional & Implementation Arrangements – an OVERVIEW ................................................ 5

3. Project information/ Sub Project Components in Gangtok Municipal Corporation................... 6

4. Social Safeguard Activities in Sub projects ................................................................................. 8

4.1 Implementation of Resettlement Activities in Tranche -2 sub projects .......................... 8

4.2 SCOPE AND STATUS OF IMPACT ............................................................................................... 8

4.3 SUMMARY OF RESETTLEMENT IMPACTS AND SOCIO-ECONOMIC DETAILS UNDER SUB-

PROJETS ........................................................................................................................................... 9

4.4 STATUS OF ATHE AFFECTED PEOPLE: LAND REQUIREMENT, COMPENSATION AND

REHABILITATION IN WATER SUPPLY AND SWM SUB PROJECTS ................................................... 11

4.5 LAND REQUIREMENT, COMPENSATION AND REHABILITATION IN SUB PROJECT .................. 11

4.6 PERMANENT LAND ACQUISITION AND OWNERSHIP DETAILS UNDER SUB-

PROJECT .................................................................................................................................... 16

Table 6: Land Parcel for Service Reservoirs and the Ownership Details ..................... 16

Table 7: Details of the land Owner .......................................................................................... 17

Table 8: Land Parcel for Landfill Site and the Ownership Details .................................. 17

4.7 COMPLIANCE STATUS WITH RESPECT TO LOAN COVENANT ............................ 18

5. Validation and Verifications of AP’s .......................................................................................... 19

5.1 Validation of APs ................................................................................................................. 19

6. Public Consultations and Disclosure ......................................................................................... 21

7. Compliance to national laws and Policy (policy and Legal Framework): .................................. 21

8. Grievance Redressal systems and mechanishms ...................................................................... 22

9. MONITORING AND REPORTING ................................................................................................ 23

10. Issues and Action Plan........................................................................................................... 23

11. Activities carried out with respect to Public participation and implementation of GAP. .... 23

12. ANNEXURES........................................................................................................................... 24

ANNEXURE 1: Details of Public Consultations, Disclosure, Awareness campaigns ...................... 25

Annexure 2: GENDER ACTION PLAN ............................................................................................. 26

Annexure 3: SOCIAL SAFEGUARD MONITORING CHECK LIST ....................................................... 30

Tranche-II: SOCIAL SAEGUARD MONITORING CHECKLIST ................................................................ 34

Annexure 4: Summary of IR and IP Check list ............................................................................... 39

Annexure 5: Summary of Policy and legal framework (Only relevant portions) .......................... 40

Annexure 6: LAND RECORD - TO BE ACQUIRED ............................................................................ 41

Annexure 7: LIST OF AFFECTED PERSONS ..................................................................................... 42

Annexure 8: RESETTLEMENT BUDGET AND FINANCIAL PLAN ...................................................... 48

ANNEXURE 9: DOCUMENTARY PROOFS ....................................................................................... 50

ANNEXURE 10: Land Acquried Document .................................................................................... 50

SEMI ANNUAL SOCIAL SAFEGUARD MONITORING REPORT

1. Introduction

North Eastern Region Capital Cities Development Investment Program (NERCCDIP) is

being undertaken for improvement of existing infrastructure, environmental quality and

access to basic urban services of Gangtok Municipal Corporation (GMC) area. The

NERCCDIP’s objective is to improve the urban environment and promote reforms for

sustainable, efficient, and responsive urban service delivery. The primary drivers for the

initiation of NERCCDIP have been bridging the gaps in urban infrastructure provision,

supplementing financial resources and technical capacity and meeting the unmet urban

public health and sanitation needs. The various Program components are Water supply,

Sewerage and Sanitation, Solid Waste Management infrastructure.

With an overall objective of sustainable urban development, the NERCCDIP is being

implemented in the five capital cities - Gangtok, Aizawl, Kohima, Gangtok and Shillong.

NERCCDIP implemented over a six year period beginning in 2010, and is funded by a loan

via the Multitranche Financing Facility (MFF) of the Asian Development Bank (ADB).

In Gangtok, capital city of Sikkim, the Executing Agency (EA) for the program is the Urban

Development Department (UDD) of the Government of Sikkim (GoS); and the Implementing

Agency (IA) is the State-level Investment Program Management and Implementation Unit

(SIPMIU), created within the UDD, specifically for the Investment Program implementation.

At central level Investment Program Coordination Cell (IPCC) is established in MOUD. IPCC

is responsible for overall management of the Investment Program and is support Program

Management & Monitoring Consultants (PMMC).

Under the program the physical investments include improvements to water supply,

sanitation and sewerage, and solid waste management infrastructure. The physical

improvements are being coupled with urban governance, finance, and service delivery

reforms and a capacity building program to support the implementation of the investment

program and the urban reform agenda. The Investment Program is being implemented in

three tranches of funding; began in 2009 the Program will be implemented through 2015.

At present, Project 1 (Tranche-1) is under implementation in Gangtok and focuses on

water supply improvements. This subproject covers

construction of Distribution Network for Burtuk Zone-1 of 17.75km, Burtuk Zone-2 of

10.57km &Chandmari Zone-3 of 15.87km length;

construction of Pump House and installation of pumps at Selep Water Treatment Plant of

capacity 1930 lpm at Head of 101m,

construction of New R.C.C Reservoir of 11.50 LL capacity near All India Radio (AIR) for

Burtuk Zone-1&Chandmari, and

supply& Installation of Electromagnetic Flow meters at outlet of Pump house at Selep, outlet

of storage reservoir for Burtuk Zone-1 and at outlet of storage reservoir for Chandmari Zone.

Works taken up under Tranche-2 are awarded in two lots and the construction work should

commence within a period of two weeks (probably by 3rd week of July’2013). Initially civil contractor has to carry out field survey and subsequently design construction and

construction activities will follow. Work as such should commence from September,

2013.

This is the consolidated report on implementation of Social Safeguard Activities between

January 2013 – June 2013, and is prepared in compliance with the ADB Policies.

2. INSTITUTIONAL &IMPLEMENTATION ARRANGEMENTS – AN OVERVIEW

The Ministry of Urban Development (MoUD) is the national-level executing agency (EA) of

the Program. An IPCC has been established in MOUD and will include a social officer. A

National Steering Committee (NSC) is monitoring fund use and overall implementation

performance of the Investment Program. A State-level Executing Agency (SEA) is executing

the part of the loan falling under respective State Governments. In each State there a State

Steering Committee (SSC) has been formed and an Investment Program Empowered

Committee (IPEC) is also operational. SIPMIU is responsible for overall program

implementation, monitoring, and supervision. The SIPMIU has a Safeguards and Social Unit

in operation at Gangtok since June third week, 2013. An Resettlement Officer (RO) is

supposed be part of the Unit. ROs and implementing NGOs will be responsible for RP

implementation. Roles and responsibilities are identified in Table 1. For taking up

implementation of RP, institutional arrangements including strengthening of existing

institutional systems are required. Towards this, it is proposed that the SIPMIU’s Social and Resettlement Unit will take care of redressing grievances and mitigating negative social

impacts caused due to the project especially on Affected people (APs). The Unit should have

staff fully aware of provisions of RP, adequate understanding on norms and customs of and

respect to the local people, especially the indigenous people (consistent with the IPDF).

Table 1: Institutional Roles and Responsibilities

Activities Agency Responsible

Sub-project Initiation Stage

Finalization of sites/alignments for sub-projects SIPMIU Disclosure of proposed land acquisition and sub-project details by issuing Public Notice Meetings at community/ household level with APs of land/property Formation of Valuation Committees

SIPMIU NGO* SIPMIU

RP Preparation Stage Conducting Census of all APs SIPMIU/NGO Conducting FGDs/ meetings / workshops during SIA surveys SIPMIU/NGO Computation of Replacement Values of land/properties proposed for acquisition and for associated assets

VC/SIPMIU

Categorization of APs for finalizing entitlements SIPMIU Formulating compensation and rehabilitation measures Conducting discussions/ meetings/ workshops with all APs and other stakeholders for this

SIPMIU SIPMIU/NGO

Fixing compensation for land/property with titleholders VC/SIPMIU Finalizing entitlements and rehabilitation packages SIPMIU Disclosure of final entitlements and rehabilitation packages SIPMIU/NGO

Activities Agency Responsible

Approval of RP IPCC/ADB Sale Deed Execution and Payment Taking possession of land

SIPMIU

RP Implementation Stage Implementation of proposed rehabilitation measures NGO/RO Consultations with APs during rehabilitation activities NGO/RO Grievances Redressal NGO/RO/GRC Internal Monitoring SIPMIU External Monitoring External

Agency

AP=affected person, VC=Valuation Committee, FGD=focus group discussions, GRC = Grievance Redressal Committee, NGO = nongovernment organization, SIPMIU = state-level investment program management and implementation unit, IPCC = investment program coordination cell, RO = resettlement officer, RP=resettlement plan, SIA=social impact assessment.

3. PROJECT INFORMATION/ SUB PROJECT COMPONENTS IN GANGTOK MUNICIPAL CORPORATION

The sub project components taken up under various tranches in Gangtok Municipal

Corporation is summarized in table.2

Table 2: Sub project components

Component Tranche Works Progress

Water Supply

1 It is proposed to provide water supply to 2 wards Burtuk and Chandmari New Pump House at Selep with 3 New Pump sets New 11.50 Lakh litters Reservoir alongside AIR station road Pumping main from Selep to Reservoir 40.28 Km of Distribution lines in Burtuk and Chandmari (32MM to 250 MM Dia Pipes of HDPE,PE and GI make) Installation of 4 Bulk flow meters to measure flows in pipe lines.

Civil work & tank completed. Retaining wall work near completion. Pump house completed, Pump sets ordered. Supply expected by 30-07-2013. DI pipe: 18.41 km

completed, Hydraulic

testing started. PE pipe:

2km laid

Component Tranche Works Progress

Water Supply

2 It is proposed to provide water supply to remaining 13 wards except Burtuk and Chandmari De-Bunching the secondary water distribution with equivalent distribution line for a length of 104 Km with proper zoning arrangements Providing Primary water distribution pipeline for a length of 3.9 Km to connect the proposed tanks to the nearest existing feeder for catering to hitherto uncovered peripheral areas. Contribution of additional 5 nos. of service reservoirs of total capacity of 33.95 lakh liters Providing 39 Bulk flow water meters Providing 12000 Household water meters and making reconnection to replace the existing bunched connections.

Approval received from MoUD and ADB for debunching of secondary water distribution network LoA and contract for contractor under preparation

Solid Waste Management

2 Door to door waste collection will be introduced and waste will be collected on a daily basis, every household will be provided with two bins for the storage of biodegradable and non-biodegradable waste. The primary waste collectors will be provided with small mechanical vehicles and further it will transferred to secondary vehicles and finally to Solid Waste Management Plant. Biodegradable waste will be converted to manure by composting at the plant and non- biodegradable will be segregated again to inert and scientifically disposed in sanitary land fill. Construction of sanitary landfill with leachate treatment plant.

No objection for contract award received from ADB. (Bid for negotiation with L1 for LOT 1 and for contract awarded to L1 for Lot 2

Bid for SLF under financial

evaluation and report sent to ADB

Water Supply Subproject

The existing primary distribution networks (feeder mains) presently conveying treated water

from Selep WTP to the existing service reservoirs was retained. The new feeder mains are

designed for ultimate demand exclusively for the proposed service reservoirs in peripheral

areas. The new feeder mains will either pass through the existing feeder main alignments or

will follow the existing RoW. The proposed secondary and tertiary distribution system will

also follow the existing RoW. It has been found on an inspection of the sites with water

supply design engineers that pipes can be laid along the 5 to 10 m wide roads of Gangtok

City without acquiring any further lands. The improvement work can be carried out within the

RoW in road shoulders without causing problems to the existing lines. The maximum

required trench width in busy commercial area will be only 30 cm and trenching can be done

without causing any temporary impact lasting more than a day. In order to estimate the

temporary impact resettlement expert of DSMC carried out a joint site visit along with design

engineers. A strip plan showing no IR impact (commercial area) is given as Annexure – 2 of

this report. However, corrective action plan shall be prepared to mitigate any unforeseen

temporary impacts during the time of project implementation.

Solid Waste Management Sub project

Livelihood of 38 rag pickers working in the landfill will be affected due to this project. A

census and socio-economic survey was undertaken in the proposed land fill site situated in

the Martham village. Based on the census conducted during the period of November, 2010,

it is estimated that 38 households will be affected by the subproject. Of the total 38 AHs, 12

are in the muster roll of UDHD working as trash sorter in Martham compost plant as daily

wage laborers. In addition, there are 26 APs who are also working as a trash sorters. These

26 rag pickers segregate the waste on site and sell the non-biodegradable waste like plastic

bottles, glass bottles and other solid waste etc to a middle man and in turn he sells the same

to the recyclers. The proposed project will therefore impact the temporary livelihood of all

these 38 APs. Other than the 38 APs no squatters or encroachers are found to be residing

or carrying out any productive occupation in the portion of the land proposed for land fill site.

4. SOCIAL SAFEGUARD ACTIVITIES IN SUB PROJECTS

4.1 Implementation of Resettlement Activities in Tranche -2 sub projects

This section deals with the implementation of social safeguard activities of Water Supply and Solid Waste Management sub projects taken up under tranche -2 in Gangtok Municipality under the programme of North Eastern Regional Capital Cities Development Investment Programme (NERCCDIP). Resettlement Plan (RPs) has been prepared for both the sub projects and both the RPs are approved and uploaded in the ADB web site (http://www.adb.org/projects/documents/nerccdip-gangtok-water-supply-subproject- rp).However, in case of any change in locations and scope of work, RPs shall be revised/corrective action plan shall be prepared and disclosed in ADB as well as respective EA web site (http://sikkimudhd.org/Gangtok_RP_WS__Revised_.pdf) At present, no physical activity has started. Application of Resettlement Plan will be started prior to commencement of work. A Proposal for appointing an NGO for implementation of Resettlement Plan, Gender Action plan including awareness & capacity building program is in process.

4.2 SCOPE AND STATUS OF IMPACT

The specific scope of activities related to these sub project component includes the following:

Conduct awareness, participatory, and sensitization activities to increase understanding of the project and its benefits amongst the local service area populations

Conduct participatory planning and implementation exercises to identify issues and develop community-driven social and environmental action plans.

Build capacities and help organize local women and community groups to take a leadership role in local social and environmental initiatives, particularly in the areas of hygiene and sanitation.

Conduct behavior change programs targeting women and poor households to engender positive behaviors in water conservation, sanitation and hygiene including segregation of waste at source.

Develop and disseminate Information Education Communication (IEC) and Behavior Change Communication (BCC) materialsat regular intervals using various media including electronic, print, audio-visual media.

Provide skill training in livelihood opportunities from available recyclable materials (Solid Waste Management) targeting female headed and other marginalized households.

Provide training to all PIU and contractor’s staff (including laborers) on gender and social issues including HIV and women and child trafficking issues;

Implement the Gender Action Plan.

The specific scope of activities for the NGO related to resettlement includes the following:

Carry out revalidation of census survey based on the RP; Prepare the list of the potential affected persons and issue identification cards; Facilitate the process of disbursement of compensation to the affected persons Assist SIPMIU to acquire land required for construction reservoir through negotiation. Assist affected persons in opening bank accounts explaining the implications, the rules

and the obligations of a joint account and how s/he can access the resources s/he is entitled to;

Prepare micro plan for rehabilitating the project affected persons integrating with various developmental schemes of LSGD, state government and central government.

Organize training programs for income restoration; Conduct meaningful, ongoing consultation and ensure disclosure of Resettlement Plans

in an accessible manner to the affected persons; Assist SIPMIU in establishing grievance redress mechanism; Assist SIPMIU in keeping detailed records of progress and establish monitoring and

reporting system of resettlement; Act as the information source center for community interaction with the project and

maintain liaison between community, civil contractors and SIPMIU during the execution of the works; and

Introduce construction facilitation services.

Once NGO will be appointed the agency will carry out the activities. Meanwhile the following activity is being implemented by the social safeguard specialists of SIPMIU and DSMC.

Project Baseline, Performance Monitoring, and Evaluation Community Awareness, Behaviour Change, and Livelihood Training Program Resettlement Plan Implementation

4.3 SUMMARY OF RESETTLEMENT IMPACTS AND SOCIO-ECONOMIC DETAILS UNDER SUB-

PROJETS

The Investment Program is intended to optimize the socio economic development in Gangtok Municipality area with an objective to improve the urban environment cum living conditions of citizens. The sub projects implementations will not create any major negative impact on community. The anticipated impact on rag pickers at existing waste disposing site and impact on one title holder has appropriately been taken care of in the respective RPs. Also the implementation of RPs integrating with various developmental schemes of governmental and non-governmental agencies will enhance the living standard of PAPs. Summary of negative social impacts in tranche -2 sub projects is summarised in below tables (table 3 and 4)

Table 3: Summary of Resettlement Impacts and Socio-Economic Details under Water Supply Subproject

Type of Impact Number of APs

1.Permanent Loss

Title Holder/Land Owner 1

Total Loss of land(sq.mts) 400

Loss of trees 8

Total land Holding in that Particular Plot (sq.mts) 1400

Occupation Teacher/Government employee

Vulnerability Non Vulnerable

Annual Income (INR) 2,42000/

2.Temporary Loss

A)Temporary Loss/ Disruption of Business(Nos) Nil B)Temporary Loss/ Disruption of BusinessEmployees of the business enterprises(Nos)

Nil

3. Encroacher in ROW

A) Encroacher in ROW(Nos) Nil Affected CPRs NIL

Source: census and Socio-Economic Survey, December 2010 and Joint site verification carried out by Resettlement Specialist on 20-06-2013

Solid Waste Management Sub project

Table 4: Summary of Resettlement Impacts and Socio-Economic Details of SWM

Particulars Quantity Permanent land aacquisition (private) Nil Temporary land aacquisition Nil Total Affected Households (Loss of Livelihood) 38 Total Affected Persons 198 Average Family Size of Affected Households 5.2 persons Total No. of Scheduled Caste HH 3 Total No. of Woman Headed Households 3 Total No. of Schedule Tribe Households 9 Total No. of Title Holders NIL Total Number of Non-Title holders 38 Total No. of Tenants NIL Main Occupation of the Affected Persons Casual labour (63.15% of total

worker) Average Annual Household Income Rs.72,982 (Rs.6098 per month)

Source: census and Socio-Economic Survey, November 2010

Details of “Affected Persons” for the sub projects including census data will be verified by concerned Govt. Dept. and Safeguard Specialist of SIPMIU before disbursement of

compensation to APs as per approved entitlement matrix. List of APs with photographs is

given in Annexure 3.

4.4 STATUS OF ATHE AFFECTED PEOPLE: LAND REQUIREMENT, COMPENSATION AND

REHABILITATION IN WATER SUPPLY AND SWM SUB PROJECTS

4.5 LAND REQUIREMENT, COMPENSATION AND REHABILITATION IN SUB PROJECT

Out of two sub projects (Water supply and Solid Waste Management) taken up under

tranche -2, private land acquisition is envisaged only for construction of one service reservoir

at lower Sichey in water supply sub project. Details of additional land required for the sub

projects is given in table 5.

The land acquisition and resettlement impacts are minimal. Efforts have been made by the

engineering team to minimize the resettlement impact by careful design as most of the

implementation activities under the subproject will be confined to the available government

land and existing Right of Way. The subproject components and a summary impact on land

acquisition and resettlement is described in Table 5.

Table 5: Subproject Components and its Impact on Land Acquisition & Resettlement

Component Location Description Permanent Impact on LA and IR

Temporary Impact

Remarks

Providing new secondary water distribution network for a length of 104.10km with proper zoning arrangements to replace the present bunched distribution system and for uncovered peripheral area

De bunching will be done for existing secondary network system throughout Gangtok Municipal Area and extension of secondary distribution network to uncovered peripheral areas

PE/GI/DI pipes of diameter 32 to 350 mm to be laid in trenches along the right-of-way (RoW) of existing roads

Nil Nil Excavation will be carried out manually. The width of the trench will be within one feet and around one feet depth, hence this will not cause any loss of access to the commercial areas. Also appropriate design option would be explored to avoid trenching in busy commercial areas like MG Marg and Lal Bazaar.

Providing primary water distribution pipeline (feeder mains) of 150mm diameter DI to 100mm diameter for a length of

1. Tapping from nearest topographical feasible point of existing feeder main to the proposed Press Tank - Zone-3 2. Tapping

Nil Nil

Component Location Description Permanent Impact on LA and IR

Temporary Impact

Remarks

3.91km tapping from existing feeder mains to the newly proposed service reservoirs for catering to hitherto uncovered peripheral areas

from nearest topographical feasible point of existing feeder main to the proposed Bazar Tank – Zone-4 3. Tapping from nearest topographical feasible point of existing feeder main to the proposed lower Sichey Tank – Zone-5 4. Tapping from nearest topographical feasible point of existing feeder main to the proposed Enchey Tank – Zone-6 5. Tapping from nearest topographical feasible point of existing feeder main to the proposed Tank at TNSS area – Zone-7

Construction of additional 5 nos.. of service reservoirs of total capacity of 33.95 ML.

SR-1 at existing press tank area SR-2 at existing Bazar tank area SR-3 at lower

15.60 LL capacity rectangular reinforce concrete(RCC) tank of 5m depth 5.35 LL capacity rectangular

Yes Nil Out of the total 5 SRs 4 will be constructed on the existing government land. Only one SR (SR-3 (at lower Sichey) having 25m x 16m area will

Component Location Description Permanent Impact on LA and IR

Temporary Impact

Remarks

Sichey area SR-4 at existing Enchey tank area SR-5 at TNSS area

RCC tank of 4-m depth 4.40 LL capacity rectangular RCC tank of 4-m depth 5.30LL capacity rectangular RCC tank of 4-m depth 3.30 LL capacity rectangular RCC tank of 4-m depth

require acquisition of private land

Providing 39 nos. Bulk water meters.

Bulk meters will be fixed on pipeline at various locations in the Gangtok town

39 numbers to measure the quantity of water produced at WTP and supplied into the distribution network

Nil Nil Minor work with negligible physical construction.

Providing 12000 household water meters and making re-connections to replace the existing bunched connections.

Consumer meters will be fixed to each connection at the house

12000 numbers to to measure quantity of water supplied to consumer

Nil Nil Minor work with negligible physical construction.

Improvement of the waste collection and transportation system

All 15 Wards of Gangtok Municipal Corporation

introduction of door-to-door collection and segregation of waste 47,200 bins for segregation primary collection – mini tripper-11 nos (1.5 cum cap) & 3

Nil Nil

Component Location Description Permanent Impact on LA and IR

Temporary Impact

Remarks

tippers (4.5 cum cap) waste collection from street sweeping – pushcarts-100 nos. (100 ltrs cap) waste collection from street sweeping – litter bins-235 nos. secondary collection – metallic containers-8 nos. (1110 ltrs cap) Secondary collection – compactors- 5 nos.

Rehabilitation of existing compost plant

At Martham 20 Kms away from Gangtok

Replacement of broken shaft of second trammel and repair of other machineries.

Nil Nil

Construction of a new landfill and associated facilities

Martham adjacent to the land fill site

reengineering of the existing waste dump construction of new landfill construction of retaining wall construction of leachate collection and removal system construction of leachate treatment plant construction of entrance gate

Nil Yes Construction of new Landfill facility (4.2660 Heactre) with Leachate Treatment Plant (40 cum /day capacity). The land is already available with the UDHD,therefore, no private land acquisition is required. However, there will be impacts on 38 households on their livelihood.

Component Location Description Permanent Impact on LA and IR

Temporary Impact

Remarks

construction of chain link fencing construction of security cabin with room and toilet construction of office cum workers room construction of toilet block construction of access roads rehabilitation of existing road construction of storm water drainage network construction of water supply facilities provision of green belt (as buffer zone) construction of monitoring well earmarking of areas for waste segregation and recycling, top soil storage, vehicle washing area and vehicle parking area provision of electrical works for street lighting and internal lighting

All these 38 families are rag pickers

4.6 PERMANENT LAND ACQUISITION AND OWNERSHIP DETAILS UNDER SUB-

PROJECT

Permanent land acquisition will be there for the water supply sub project for the construction

of one service reservoirs amongst proposed five number of service reservoirs. All the

components of the water supply sub projects are located on vacant government land (except

one service reservoir) or along existing right-of-way (RoW) of city roads. The construction of

other 4 new service reservoirs is proposed within available public lands, identified in

consultations and as per the suggestions of Water Security and Public Health Engineering

Department (WSPHED), Government of Sikkim. One service reservoir which has been

proposed in the lower Sichey area will be located in private land. The total land requirement

for this service reservoir is 400 sq meters. The identified location of this proposed service

reservoir has also been done in-consultation with (WSPHED) as no Government land is

available in that area. Location and the required area for each service reservoir along with

the ownership are described in Table 6.

Table 6: Land Parcel for Service Reservoirs and the Ownership Details

Sl. No. Location of proposed SR Ward No. Required land Ownership of land

1 Proposed Reservoir-1 (at existing Press tank site )

7 25m x 16m Government Land

2 Proposed Reservoir-2 (adjacent to Existing Bazar Tank site )

7 20m x 13m Government Land

3 Proposed Reservoir-3 (at lower Sichey )

2 25m x 16m Private Land

4 Proposed Reservoir-4 (adjacent to existing Enchey Tank area )

4 26m x 16m Government Land

5 Proposed Reservoir-5 (at TNSS area )

3 24m x 12m Government Land

Source: census and Socio-economic Survey, November-2010

It can be seen from table 6 that the total required private land is 400 square meters. The

required land is under single ownership. The required land is nearly 1/4 of the total available

land in the same plot.

The total available land in that particular parcel of land is 1400 m2 as per land records. The

land owner is having total land including the parcel of land where tank has been proposed is

2723 m2. Only 28% of the particular plot and 14 % of the total Land holding is getting

affected due to the proposed sub project.

8 nos. of trees of non-timber value and non-fruit bearing will be affected due to tank

construction. The scanned copy of the certified land record (ParchaKhatian) of that particular

plot and the layout of the plot have been placed in Annexure-1.

Detailed consultations have been undertaken with the land owner. The land owner has

agreed to provide the land in the best interest of the project. A detailed site analysis has

been done jointly by the water supply and resettlement specialists and a tentative drawing

(not to scale) has been prepared for the positioning of the service reservoir. It can be seen

from the Annexure-1 , that the proposed location of the service reservoir will be in one corner

of the plot without alienating the total land enabling the owner to use rest of the land for his

own productive purpose.

There are no encroachers in the plot to be acquired either residing or carrying out productive

occupation. The summarized land details with name of the land owner are described is

provided in Table 7. Land acquisition process is in progress through negotiated purchase.

Table 7: Details of the land Owner

Name of the Owner

Parcha No.

Khatian No.

LA in (Sq.mts)

Total Area of the Plot (Sq.mts)

Total land holding of the owner (Sq.mts)

% of Loss compared to the total area of the affected plot

% of Loss compared to the total area of land holding

Number of Trees

Dhan Kumar Rai

139/354

287/1096

400 1400 2723 28% 14 % 8 trees –Non fruit bearing and non-timber value

Source: census and Socio-economic Survey, November-2010

The proposed subproject will require available government land for development of sanitary

land fill site and processing plant, access road to the processing plant and for developing a

green belt area all around the SWM site. The existing site of dump yard located at Martham

will be used to accommodate the entire proposal. Hence, no permanent land acquisition

from private sources is required for the sub project. The land belongs to the UDHD of

Government of Sikkim. It is evident from the table 4 that, 4.2660 hectare (ha) of land is

owned by UDHD department. The revenue department has already initiated the process for

mutation of the 4.2660 hectare of the land to be transferred to UDHD, Government of

Sikkim. The ownership status of the land is given in Table 8.

Table 8: Land Parcel for Landfill Site and the Ownership Details

Sl No Survey Number/Plot Number

Area in Hectare

Status of Ownership

1 1958 1.3720 Government/UDHD

2 1957 0.2240 Government/UDHD

3 1956 0.3060 Government/UDHD

4 1959 1.0280 Government/UDHD

5 1962 0.1140 Government/UDHD

6 1961 0.5580 Government/UDHD

7 1960 0.5060 Government/UDHD

8 1964 0.1580 Government/UDHD

Total Area 4.2660

4.7 COMPLIANCE STATUS WITH RESPECT TO LOAN COVENANT

The compliance status with respect to loan covenant is presented in below table.

Table 9: Compliance status

Sl

No

Loan Covenant Agency Status of

Compliance

1 GOI and the State will ensure that all land

and right of way required for investment

program are made available in timely

manner.

Government of

India and

Government of

Sikkim

No private land

acquisition and

resettlement issues

are involved under this

project. Hence RPs

has not been

prepared.

2 Adequate compensation are provided prior

to the signing of relevant civil works

contracts, and involuntary resettlement is

carried out in accordance with the

resettlement framework (RF) and

resettlement plans (RPs) agreed upon

between the Government and ADB. An RP

will be prepared for each sub project

involving land acquisition and resettlement

and shall be submitted to ADB for review

and approval prior to award of any related

civil works contracts.

Government of

India and

Government of

Sikkim

3 GOI and the State will ensure that sub

projects will not negatively impact on

vulnerable groups, such as indigenous

people. In the event of their involvement in

any of sub projects, the GOI and the states

will ensure the that the sub projects are

carried out in accordance with the

Indigenous People Development

frameworks (IPDF) agreed up on between

GOI and the states and the ADB and

comply with ADBs policy on Indigenous

People (1998)

Government of

India and

Government of

Sikkim

No negative Impact on

vulnerable groups

4 In the event any issues related to

indigenous people arise in course of project

implementation, the borrower and the state

shall ensure to address those issues in

accordance with the applicable laws and

policies of the borrower, ADB’s policy on indigenous Peoples (1998) and the

Indigenous Development Framework for

Government of

India and

Government of

Sikkim

Agreed. However, no

issues related to

indigenous people are

anticipated in course

of execution.

Sl

No

Loan Covenant Agency Status of

Compliance

the facility as agreed between the

borrower, the state and ADB. In the case of

any discrepancy between the borrower’s legislation and ADB’s policy, ADB’s policy shall prevail.

5 GOI and State will ensure that all civil

works contractors comply with all

applicable labour laws, including those on

occupational health and safety, and do not

employ child labour as defined in national

legislation for construction and

maintenance activities. Priority work will be

given to people from the area where the

works are implemented and men and

women will receive equal pay for work of

equal value.

Government of

India and

Government of

Sikkim

Adequate provision

has been made.

5 Within six months of the Effective Date, the

State shall have established a grievance

reporting and redressal mechanism

Government of

Sikkim

Soon to be

established.

4.8 STATUS OF CONTRACTOR SOCIAL SAFEGUARDS COMPLIANCE

Contractors are complying with all Social safeguard procedures advised by SIPMIU and

DSMC

5. VALIDATION AND VERIFICATIONS OF AP’S

5.1 Validation of APs

All the APs as per RPs will be validated and verified by the implementing NGO along with

SIPMIU’s Social safeguards Officer and DSMC’s Social Safeguard Specialist. This will be done with field verification (signature, photos & proof of identification like voter ID etc to be

taken) before Subproject ID Cards disbursement.

5.2 Compensation and Assistance

In accordance with the involuntary resettlement principles set forth above, the identified

affected persons will be entitled to a combination of compensation packages and

resettlement assistance depending on the nature of ownership rights on lost assets, and

scope of the impacts including socio-economic vulnerability of the affected persons and

measures to support livelihood restoration if livelihood impacts are envisaged.

Affected Persons, meeting the cut-off date requirements (for title holders, the date of Section

4.1 of the LAA will be treated as the cut-off date, and for non-titleholders the date of project

census survey will be considered as cut-off date), will be entitled to a combination of

compensation measures and resettlement assistance, depending on the nature of ownership

rights of lost assets and scope of the impact, including social and economic vulnerability of

the affected persons. Unforeseen impacts will also be compensated in accordance with the

principles of this Plan.

i. Compensation procedures. Paying compensation to the temporarily affected persons will take the following steps:

Step1. Conduct public awareness and information dissemination prior to construction works. This is to be done by the NGO and social safeguard experts of SIPMIU and DSMC.

Step2. The Design Supervision and Management Consultant (DSMC) to identify the roads in collaboration with contractor, which will experience full closure and estimated period of closure. Two types of disturbance anticipated from full closure of roads: (i) partial disturbance, where there is no vehicular access but pedestrian access is maintained, or (ii) full disturbance, where there is no vehicular and no pedestrian access.

Step 3: The DSMC’s social safeguard specialist (along with NGO/SE of SIPMIU) is to then (a) conduct an income survey of shops along sections of road closure identified for full closure, (b) update the Resettlement Plan (identifying income and potential loss based on actual income losses), and (c) send the updated Resettlement Plan to ADB for review and approval after detailed designs are complete.

Step 4: After ADB approval of the revised Resettlement Plan, the SIPMIU Social Safeguard Specialist with the help of NGO will distribute identity cards with compensation amount to the affected persons.

Step 5. Affected person can then collect payment at SIPMIU office or on site, based on SIPMIU’s discretion.

Step 6. SIPMIU to issue a cheque to affected persons based on survey record and identity card prior to construction works (if feasible). All payments to be recorded for accounting purposes with signature of affected person to verify payment made.

ii. Vendor Assistance: Vendors requiring temporary shifting during construction period will be notified in advance and allowed to salvage all materials for temporary shifting to alternative location. They will be allowed to return to the original location after construction is declared complete. Vendor assistance will take the following steps:

Step 1. Identification of impacted vendors based on detailed design by DSMC social specialist and Social Officer of SIPMIU in coordination with contractor.

Step 2. Notify vendors at least 2-3 weeks in advance. Consult with local Vendor Associations if exist.

Step 3. Identify alternative location nearby for affected vendors to continue their business.

Step 4. Assistance by contractor to shift to new location.

Step 5. Assistance by contractor to return to original location after construction works complete.

Cash compensation and other entitlements prescribed in the Entitlement Matrix will be provided to each AP before taking possession of the land/properties. APs will be provided with an advance notice of 60 days prior to possession being taken of the land/properties. After payment of compensation at replacement cost, APs would be allowed to take away the materials salvaged from their dismantled houses and shops and no charges will be levied upon them for the same. A notice to that effect will be issued clarifying that APs can salvage the materials. The SIPMIU will provide satisfactory evidences of payment of compensation

and assistances for each section prior to commencement of civil works in the respective sections of a subproject. All compensation and assistance will be paid to APs prior to commencement of construction activities. The budgetary provision for compensation and implementation of RP is shown in Annexure 4. Budget will be revised in case of change in number of affected persons after re-verification through NGO and social safeguard specialist of SIPMIU/DSMC.

6. PUBLIC CONSULTATIONS AND DISCLOSURE

The RP was prepared in consultation with stakeholders. Public consultations were

conducted to gather feedback from local people on the proposed development and

perceived socio-economic impacts. Meetings and consultations with relevant Government

Departments were carried out to assess the Project approach. Public consultations through

Focus Group Discussions (FGDs) with project beneficiaries and project-affected people have

been carried out. Consultations were also carried out during the course of environment

impact assessment.

Details of FGD conducted during verification of land ownership and for understanding the

views of the encroachers & squatters is given as Annexure -5. Annexure 5 shows the date,

location, participant list and summary of outcome of public consultation. All discussions and

recommendation were recorded for preparation of action plan and follow up in future.

7. COMPLIANCE TO NATIONAL LAWS AND POLICY (POLICY AND LEGAL FRAMEWORK):

The policy framework and entitlements for the program as well as for this subproject are based on following national laws: The Land Acquisition Act, 1894 (LAA, amended in 1984), and the National

Resettlement and Rehabilitation Policy, 2007 (NRRP); state laws and regulations: The Sikkim State Land Acquisition (LA) Act 1894, the Sikkim Urban and Regional Planning Development Act (1998) and the Sikkim Land (Requisition and Acquisition) Act of(1977), 1960; ADB’s Safeguard Policy Statement, 2009 (SPS); and the agreed Resettlement Framework (RF).

Based on these, the core involuntary resettlement principles applicable are:

i. land acquisition, and other involuntary resettlement impacts will be avoided or minimized exploring all viable alternative subproject designs

ii. where unavoidable, time-bound Resettlement Plans will be prepared and APs will be assisted in improving or at least regaining their pre-program standard of living

iii. consultation with APs on compensation, disclosure of resettlement information to APs, and participation of affected persons in planning and implementing subprojects will be ensured

iv. vulnerable groups will be provided special assistance v. payment of compensation to APs including non-titled persons (e.g., informal

dwellers/squatters, and encroachers) for acquired assets at replacement rates vi. payment of compensation and resettlement assistance prior to the contractor taking

physical acquisition of the land and prior to the commencement of any construction activities

vii. provision of income restoration and rehabilitation and viii. establishment of appropriate grievance redress mechanisms

The RP outlines the objectives, policy principles and procedures for land acquisition, compensation and other assistance measures for Affected Persons (APs). The Executing Agency (EA) and the Implementing Agency (IA) will have to endorse the Resettlement Plan prior to Project Appraisal. The RPs shall be disclosed to the affected persons (APs) and submitted to ADB for review and approval prior to commencement of any civil works. Compensation and other assistances will have to be paid to APs prior to any physical or economic displacement of affected households.

8. GRIEVANCE REDRESSAL SYSTEMS AND MECHANISHMS

Grievances of APs will first be brought to the attention of the implementing NGO or RO. Grievances not redressed within 30 days by the NGO or RO will be brought to the grievance redress committee (GRC), established in each State. GRCs will comprise the Investment Program Director, RO, LAO, implementing NGO representative, female and male AP representatives (including vulnerable households), and an eminent member of the community. The GRC will meet every month, determine the merit of each grievance, and resolve grievances within a month of receiving the complaint; failing which the grievance will be addressed by the IPEC. Further grievances will be referred by APs to appropriate courts of law. Records will be kept of all grievances received including: contact details of complainant, date that the complaint was received, nature of grievance, agreed corrective actions and the date these were affected, and final outcome. All costs involved in resolving grievances will be borne by the SIPMIU. The SIPMIU through the DSMC will keep records of all grievances received including: contact details of complainant, date that the complaint was received, nature of grievance, agreed corrective actions and the date these were effected, and final outcome. The grievance redress process is shown in Figure 1.The GRCs will continue to function throughout the project duration.

Figure 1: Grievance Redress Mechanism

NGO: Non- Government Organization, DSMC: Design Supervision Management Consultant,

SIPMIU: State Investment Program Management and Implementation Unit

Till date no GR committee is set up in Gangtok. As per project Executing Agency process has been initiated for setting up GR committee and which will be completed before commencement of physical activity.

9. MONITORING AND REPORTING

RP implementation will be closely monitored to provide the SIPMIU with an effective basis for assessing resettlement progress and identifying potential difficulties and problems Monitoring will be undertaken by the SIPMIU .The extent of monitoring activities, including their scope and periodicity, will be commensurate with the project’s risks and impacts. Monitoring will involve: (i) administrative monitoring to ensure that implementation is on schedule and problems are dealt with on a timely basis; (ii) socio-economic monitoring during and after any resettlement impact utilizing baseline information established through the socio-economic survey of APs undertaken during project sub-preparation; and (iii) overall monitoring to assess AP’s status. The EA is required to implement safeguard measures and relevant safeguard plans, as provided in the legal agreements, and to submit periodic monitoring reports on their implementation performance. ADB will require the EA to:

establish and maintain procedures to monitor the progress of implementation of safeguard plans, verify the compliance with safeguard measures and their progress toward intended outcomes, document and disclose monitoring results and identify necessary corrective and preventive actions in the periodic monitoring reports, follow up on these actions to ensure progress toward the desired outcomes,(v) retain qualified and experienced external expert to verify monitoring information for projects with significant impacts and risks, Submit periodic monitoring reports on safeguard measures as agreed with ADB.

The SIPMIU monitoring will include daily planning, implementation, feedback and trouble

shooting, individual AP file maintenance, community relationships, dates for consultations,

number of appeals placed and progress reports. The SIPMIU will provide monthly monitoring

report to ADB on a quarterly basis. Monitoring reports documenting progress on resettlement

implementation and RP completion reports will be provided by the SIPMIU to ADB for

review. Additionally, ADB will monitor projects on an on-going basis until a project

completion report is issued.

10. ISSUES AND ACTION PLAN

Since RP has been prepared in the year of November 2010, it is anticipated that certain

changes can occur in the number and status of PAPs. This shall be confirmed only after

carrying out a revalidation of census survey. The revalidation of census survey and

preparation of micro plan for rehabilitating the project affected persons are in progress. As

implementation NGO has not yet mobilised at site the activities of RP implementations are

now attended by social experts of SIPMIU and DSMC. The resettlement activities shall be

completed before commencement of civil works at site.

11. ACTIVITIES CARRIED OUT WITH RESPECT TO PUBLIC PARTICIPATION AND IMPLEMENTATION OF GAP.

A Social Safeguard Officer has been appointed and is in SIPMIU since 3rd week of June,

2013. Formation of Grievance Redressal Committee and appointing an NGO for RP

implementation is in the process (as per approved RP).

A workshop on Community participation and gender sensitization for ULB councilors and

selected NGOs was conducted at GMC conference hall on 18th June, 2013. It was decided

to form ward wise women groups during the project consultative meetings which is part of

GAP and also to ensure community participation during the project implementation as well

as Operation and Maintenance (O&M). A report of the work shop is attached as annexure 9.

The action is operationally feasible. Accordingly, it has been planned to arrange 15

consultative meetings in 15 wards of Gangtok. Subsequently the women groups will be

formed in the 2nd half of 2013 (In the month of July, 2013).

Household survey to identify the women headed households and urban poor are in progress.

(IDC is conducting a 100% H/H survey for preparing an area profile. We have asked them to

incorporate some parameters to assess the no. of women headed household and urban

poor).

12. ANNEXURES

ANNEXURE 1: Details of Public Consultations, Disclosure, Awareness campaigns

Please attach list of meetings etc held only during the last 6 months (January to June,

2013 only) in the table provided below:

Sl. No.

Place & Date Participants Issues

discussed Opinion & consensus about

the Project

1 18

th June, 2013

at GMC Hall ULB councilors and

selected NGOs

Importance of Public

participation, Gender

Sensitization and IEC activities

It was decided to form ward wise women groups during the project

consultative meetings which is part of GAP and also to ensure

community participation during the project implementation as well as

Operation and Maintenance (O&M).

Annexure 2: GENDER ACTION PLAN

Activities as per

Approved GAP in

Gangtok

Activities conducted

in Gangtok Municipal

Corporation up to

January, 2013

Activities Conducted

During the period from

January, 2013 to June

2013

Issues and

Challenges

Conduct of 1 gender

sensitization

seminar for each

program city that

highlights gender

issues in water

supply, sanitation,

solid waste and

drainage, and the

need for women’s involvement in the

implementation,

O&M of these

services

1. City level gender

sensitization

seminar was held on

5th November, 2012.

Municipal council

officials,

Representatives of

women’s NGOs, community members,

SIPMIU staff &

contractors were

sensitized.

1. Sensitization

A work shop for Gender

Action Plan

implementation and

public participation

during the project

implementation a

workshop is conducted

on 18th June, 2013, 1.30

PM at GMC conference

hall

The primary objectives

of the workshop was to

sensitize the Councilors

and selected NGO

representatives about

the importance of public

participation, gender

sensitization and IEC

activities under this

project, Report is

attached as annexure 1

of this report.

2.Mobilization of Social

Development Officer in

SIPMIU: SDO is

mobilized at SIPMIU on

17.06.2013. The

candidate had also

undergone the ADB

training conducted

between 1st and 6th of

July 2013 at Hyderabad.

3. Appointment of

NGO: NGO for

Nil

Activities as per

Approved GAP in

Gangtok

Activities conducted

in Gangtok Municipal

Corporation up to

January, 2013

Activities Conducted

During the period from

January, 2013 to June

2013

Issues and

Challenges

assisting the GAP

implementation is in

progress by SIPMIU

Select an

appropriate NGO or

social workers for

implementation of

gender related

needs and actions

for water supply.

Divide the project

zone into three parts

viz. upper class

areas, middle class

areas and slum

areas since their

concerns and needs

may be different.

NGO engaging for RP

implementation will

assist SIPMIU to

implement the GAP, the

appointment of RP

implementation NGO is

in progress.

No Budget

available with

SIPMIU/DSMC

for the GAP

implementation.

Provision of

connections and

meters to poor

female-headed

households (FHHs)

in each program

city.

Identification FHHs by

IDC is in progress

Employment of

women in the

construction of

pipelines, plants,

etc., with

implementation of

‘same pay forwork of equal value’

Contractors were

sensitized

Prioritize

connections to

sewerage system of

poor female-headed

households

No action has been

taken

Prioritize FHHs in

the provision of

household bins

(6,000 FHHs in

Identification FHHs by

IDC is in progress

Activities as per

Approved GAP in

Gangtok

Activities conducted

in Gangtok Municipal

Corporation up to

January, 2013

Activities Conducted

During the period from

January, 2013 to June

2013

Issues and

Challenges

Gangtok)

Conduct of 1

consultation per

program city, among

community

members (target:

50% women)

including SCs and

STs, and NGOs on

the manner and

schedule of trash

collection

1. City level gender

sensitization

seminar was held on

5th November, 2012.

Municipal council

officials,

Representatives of

women’s NGOs, community members,

SIPMIU staff &

contractors were

sensitized.

Conduct an

exploratory study on

possible livelihood

opportunities from

available recyclable

materials and the

market for possible

products from these

recycled materials

Nil Nil Scheduled

during the Month

of September-

October, 2013

Conduct of 2

trainings on

alternative

livelihoods for

women using

recyclable materials

(e.g., papiermache,

etc.) per program

city

Nil Nil Scheduled

during the Month

of September-

October, 2013

Conduct of

demographic survey

of program city,

showing gender

differential access to

urban services,

income / poverty

levels, among other

such indicators,

specifically, between

male-headed and

female-headed

households and

Study by IDC is in

progress

Activities as per

Approved GAP in

Gangtok

Activities conducted

in Gangtok Municipal

Corporation up to

January, 2013

Activities Conducted

During the period from

January, 2013 to June

2013

Issues and

Challenges

among SCs and STs

Instituting

geographic and sex-

disaggregated

project management

information system

Study by IDC is in

progress

Conduct of on-the-

job capacity-building

activities for SIPMIU

on gender-sensitive

recruitment,

management,

procurement and

contract

management,

project and

performance

monitoring,

safeguard

compliance, land

acquisition, and

preparation of

feasibilities studies

and detailed designs

Being complied

Annexure 3: SOCIAL SAFEGUARD MONITORING CHECK LIST

Project Data Name of Project & Subproject :

NERCCDIP Water Supply Taken up under Tranche -1

Project Disbursement Status (%) :

Type of contract :

Regular Design-Build Combined

Safeguards Categorization

A B C

IR Yes IP Yes

A. Design and Engineering Status

Item Status (Y/N)

Follow up required

(Y/N)

Type of Required Action

Final detailed engineering design of the sub project completed

Y N Updated draft IR/IP New RP/IPP preparation

Changes in project design/ scope (occurred or envisaged)

N N Project re-categorization (IR/IP) IR/IP Impact assessment New RP/IPP preparation

B. Institutional Status Readiness

No Item Status (Ready/Not ready/NA)

Follow up required

(Y/N)

Completion Deadline

1 Mobilization of civil works contractor

Ready N 19/03/2013

2 Mobilization of Project Supervision Consultant

Ready N 2015

3 EA’s Safeguards Unit with designated staff

Ready N

4 Recruitment of External Monitoring Agency

NA NA

C. Safeguards Requirements

No Item Status (Ready/Not ready/NA)

Follow up required

(Y/N)

Completion Deadline

1 Safeguards monitoring included in the project progress report

Ready No 01/07/2013

2 Final/ updated RP/IPP1 prepared and submitted

NA No 01/07/2013

3 Project’s Grievance Redress Mechanism established

Ready

4 Recruitment of third independent party for negotiated land acquisition

NA NA

5 Project’s ESMS (for FI) established

Ready

D. RP/ IPP Monitoring Checklist2 Item No.

Safeguards Related Requirements Status (Ready/Not ready/ NA)

Completion Deadline

Progress to Date/ Remarks

1.0 MANAGEMENT

Institutional and Financing Arrangements 1.1 Financing and budget : (i) safeguard office

and staff; (ii) RP/IPP cost

Ready

1.2 Establish Safeguard Unit: (i) resettlement offices (ii) resettlement staff as in RP (iii) safeguards’ database (iv) facilities (v) safeguards training

Ready

Updating of DD/RP/IPP based on Detailed 1.3 Update DD/RP/IPP: (i) revise based on DMS

(ii) revise implementation schedule (iii) revise budget

NA

1.4 Compensation rates: (i) approved by Government ; (ii) Adequate as per RP/RF; (iii) APs informed.

NA

Disclosure and Grievance Redress 1.5 Disclose final/updated RP/IPP: (i) to the APs

in local language; (ii) in ADB website; (iii) in EA’s website

Ready

1.6 Disclose project activities to affected communities: (i) put up a project sign boards; (ii) distribution of project leaflets and GRM to

NA

1.7 Grievance redress committees: (i) clear terms of reference; (ii) appointment decree;

NA

1.8 Grievance redress records: (i) list and numbers of grievances received; (ii) numbers of resolved issues; (iii) numbers of cases under GRC review; (iv) outstanding cases (filed to court)

NA

Monitoring and Reporting Arrangements 1.9 Set up internal monitoring system : (i)

assessment on capacity and staff requirements; (ii) criteria

Ready

1 Detail checklist for RP/IPP supervision provided in section D.

2 For project with multiple RPs/IPPs provide the status of each RP/IPP progress separately.

1.10 Appoint external monitoring agency (as relevant): (i) recruitment schedule; (ii) TOR; (iv) baseline survey (v) reporting mechanism (vi) Action taken by management on reports.

NA

1.11 Reporting: (i) frequency; (ii) timeliness; (iii) identified issues; (iv) action taken and/recommendation.

Ready

2.0 PR/IPP IMPLEMENTATION

Consultation 2.1 Consultation: (i) responsibility;

(ii)stakeholders NA

Mapping and Assets Inventory 2.2 AP Identity cards & affected assets records:

(i) issuance and distribution of AP ID cards, (ii) detail measurements survey of affected assets and documentation

NA

2.3 Land acquisition activities: (i) maps of affected and relocation sites; (ii) acquisition & relocation schedule; (iii) coordination with the asset’s acquiring, transfer and

NA

2.4 Common property/ public assets: (i) final inventory; (ii) restoration plan and schedule; (iii) funding sources

NA

Compensation, Relocation and Rehabilitation 2.5 Payment of compensation and entitlements

(as stated in the RP): (i) schedule of payment; (ii) records/ receipts of payment

NA

2.6 Relocation of process ( relocation site readiness): (i) housing & associated facilities established; (ii) transfer of new land/plot/ house ownerships

NA

2.7 Provision of (a) income restoration, (b) additional assistance for vulnerable APs, (c) training, etc. (as stated in the RP): (i) per type of activities; (ii) schedule of implementation

NA

Monitoring and Reporting 2.8 Submission of the reports: (i) semiannual

monitoring reports; (ii) external monitoring and evaluation reports (as required); (iii) completion report

NA

2.9 Transfer of acquired assets to the acquiring agency

NA

E. Safeguards Loan Covenants Item No.

Covenant Status of Compliance

1 GOI and the State will ensure that all land and right of way required for investment program are made available in timely manner. Adequate compensation are provided prior to the signing of

No private land acquisition and resettlement issues are involved under this project. Hence RPs has not been prepared.

relevant civil works contracts, and involuntary resettlement is carried out in accordance with the resettlement framework (RF) and resettlement plans (RPs) agreed upon between the Government and ADB. An RP will be prepared for each sub project involving land acquisition and resettlement and shall be submitted to ADB for review and approval prior to award of any related civil works contracts.

2 GOI and the State will ensure that sub projects will not negatively impact on vulnerable groups, such as indigenous people. In the event of their involvement in any of sub projects, the GOI and the states will ensure the that the sub projects are carried out in accordance with the Indigenous People Development frameworks (IPDF) agreed up on between GOI and the states and the ADB and comply with ADBs policy on Indigenous People (1998)

No negative Impact on vulnerable groups

3 In the event any issues related to indigenous people arise in course of project implementation, the borrower and the state shall ensure to address those issues in accordance with the applicable laws and policies of the borrower, ADB’s policy on indigenous Peoples (1998) and the Indigenous Development Framework for the facility as agreed between the borrower, the state and ADB. In the case of any discrepancy between the borrower’s legislation and ADB’s policy, ADB’s policy shall prevail.

Agreed. However, no issues related to indigenous people are anticipated in course of execution.

4 GOI and State will ensure that all civil works contractors comply with all applicable labour laws, including those on occupational health and safety, and do not employ child labour as defined in national legislation for construction and maintenance activities. Priority work will be given to people from the area where the works are implemented and men and women will receive equal pay for work of equal value.

Adequate provision has been made.

5 Within six months of the Effective Date, the State shall have

Established

established a grievance reporting and redressal mechanism

Overall Status of Compliance

Not complied – Redressed

action & monitoring required

Complied with further

monitoring

Fully complied – no further

action

TRANCHE-II: SOCIAL SAEGUARD MONITORING CHECKLIST

Project Data

Name of Project & Subproject :

NERCCDIP WS- Tranche -2

Project Disbursement Status (%) :

Type of contract : Regular Design-Build

Combined

Safeguards Categorization

A B C

IR Yes IP No

F. Design and Engineering Status

Item Status (Y/N)

Follow up required

(Y/N)

Type of Required Action

Final detailed engineering design of the sub project completed

Y N Updated draft IR/IP New RP/IPP preparation

Changes in project design/ scope (occurred or envisaged)

N N Project re-categorization (IR/IP) IR/IP Impact assessment New RP/IPP preparation

G. Institutional Status Readiness

No Item Status (Ready/Not ready/NA)

Follow up required

(Y/N)

Completion Deadline

1 Mobilization of civil works contractor

Not ready Y September 2013

2 Mobilization of Project Supervision Consultant

Ready N 2015

3 EA’s Safeguards Unit with designated staff

Ready N

4 Recruitment of External Monitoring Agency

Ready (PMMC)

H. Safeguards Requirements

No Item Status (Ready/Not ready/NA)

Follow up required

(Y/N)

Completion Deadline

1 Safeguards monitoring included in the project progress report

Ready N

2 Final/ updated RP/IPP3 prepared and submitted

Ready N

3 Project’s Grievance Redress Mechanism established

Ready

4 Recruitment of third independent party for negotiated land acquisition

NA NA

5 Project’s ESMS (for FI) established

Ready

I. RP/ IPP Monitoring Checklist4

Item No.

Safeguards Related Requirements Status (Ready/Not ready/ NA)

Completion Deadline

Progress to Date/ Remarks

1.0 MANAGEMENT

Institutional and Financing Arrangements 1.1 Financing and budget : (i) safeguard office

and staff; (ii) RP/IPP cost Ready

1.2 Establish Safeguard Unit: (i) resettlement offices (ii) resettlement staff as in RP (iii) safeguards’ database (iv) facilities (v) safeguards training

Ready

Updating of DD/RP/IPP based on Detailed 1.3 Update DD/RP/IPP: (i) revise based on

DMS (ii) revise implementation schedule (iii) revise budget

Ready

1.4 Compensation rates: (i) approved by Government ; (ii) Adequate as per RP/RF; (iii) APs informed.

Ready

Disclosure and Grievance Redress 1.5 Disclose final/updated RP/IPP: (i) to the

APs in local language; (ii) in ADB website; (iii) in EA’s website

Ready

1.6 Disclose project activities to affected communities: (i) put up a project sign boards; (ii) distribution of project leaflets and

Ready

1.7 Grievance redress committees: (i) clear terms of reference; (ii) appointment decree; (iii) publicly disclosed among APs.

Ready.

3 Detail checklist for RP/IPP supervision provided in section D.

4 For project with multiple RPs/IPPs provide the status of each RP/IPP progress separately.

1.8 Grievance redress records: (i) list and numbers of grievances received; (ii) numbers of resolved issues; (iii) numbers of cases under GRC review; (iv) outstanding cases (filed to court)

Ready

Monitoring and Reporting Arrangements 1.9 Set up internal monitoring system : (i)

assessment oncapacity and staff requirements; (ii) criteria of safeguards assessment ; (iii) reporting mechanism

Ready

1.10 Appoint external monitoring agency (as relevant): (i) recruitment schedule; (ii) TOR; (iv) baseline survey (v) reporting mechanism (vi) action taken by management on reports.

NA

1.11 Reporting: (i) frequency; (ii) timeliness; (iii) identified issues; (iv) action taken and/recommendation.

Ready

2.0 RP/IPP IMPLEMENTATION

Consultation 2.1 Consultation: (i) responsibility;

(ii)stakeholders Identified; (iii) consultation and process; (iv) documentation

Ready 30-09-13

Mapping and Assets Inventory 2.2 AP Identity cards & affected assets

records: (i) issuance and distribution of AP ID cards, (ii) detail measurements survey of affected assets and documentation

Ready 30-09-2013

2.3 Land acquisition activities: (i) maps of affected and relocation sites; (ii) acquisition & relocation schedule; (iii) coordination with the asset’s acquiring, transfer and registration bodies

Ready 30th September 13

2.4 Common property/ public assets: (i) final inventory; (ii) restoration plan and schedule; (iii) funding sources

NA

Compensation, Relocation and Rehabilitation 2.5 Payment of compensation and entitlements

(as stated in the RP): (i) schedule of payment; (ii) records/ receipts of payment

Not Ready 15-10-13

2.6 Relocation of process ( relocation site readiness): (i) housing & associated facilities established; (ii) transfer of new land/plot/ house ownerships completed

NA

2.7 Provision of (a) income restoration, (b) additional assistance for vulnerable APs, (c) training, etc. (as stated in the RP): (i) per type of activities; (ii) schedule of implementation

NA

Monitoring and Reporting 2.8 Submission of the reports: (i) semiannual

monitoring reports; (ii) external monitoring and evaluation reports (as required); (iii) completion report

Ready

2.9 Transfer of acquired assets to the acquiring agency

Not Ready

J. Safeguards Loan Covenants Item No.

Covenant Status of Compliance

1 GOI and the State will ensure that all land and right of way required for investment program are made available in timely manner. Adequate compensation are provided prior to the signing of relevant civil works contracts, and involuntary resettlement is carried out in accordance with the resettlement framework (RF) and resettlement plans (RPs) agreed upon between the Government and ADB. An RP will be prepared for each sub project involving land acquisition and resettlement and shall be submitted to ADB for review and approval prior to award of any related civil works contracts.

RP has been prepared and uploaded in the ADB’s as well as EA’s web site. RP implementation is in progress, Compensation for loss of land and assets shall be paid before commencement of civil construction work at site.

2 GOI and the State will ensure that sub projects will not negatively impact on vulnerable groups, such as indigenous people. In the event of their involvement in any of sub projects, the GOI and the states will ensure the that the sub projects are carried out in accordance with the Indigenous People Development frameworks (IPDF) agreed up on between GOI and the states and the ADB and comply with ADBs policy on Indigenous People (1998)

No negative Impact on vulnerable groups

3 In the event any issues related to indigenous people arise in course of project implementation, the borrower and the state shall ensure to address those issues in

Agreed. However, no issues related to indigenous people are anticipated in course of execution.

accordance with the applicable laws and policies of the borrower, ADB’s policy on indigenous Peoples (1998) and the Indigenous Development Framework for the facility as agreed between the borrower, the state and ADB. In the case of any discrepancy between the borrower’s legislation and ADB’s policy, ADB’s policy shall prevail.

4 GOI and State will ensure that all civil works contractors comply with all applicable labour laws, including those on occupational health and safety, and do not employ child labour as defined in national legislation for construction and maintenance activities. Priority work will be given to people from the area where the works are implemented and men and women will receive equal pay for work of equal value.

Adequate provision has been made.

5 Within six months of the Effective Date, the State shall have established a grievance reporting and redressal mechanism

Established.

Overall Status of Compliance

Not complied – Redressed action & monitoring required

Complied with further

monitoring

Fully complied – no further

action

Annexure 4: Summary of IR and IP Check list

Name of the Work

Has involuntary

resettlement (IR) impact, a resettlement

plan (or corrective

action plan) is required

Has No IR impact, no

resettlement plan is

required

issues if any

Has Indigenous People (IP) impact, an indigenous people plan

(IPP) (or specific IP

action plan) is required

Has No IP impact, no

IPP/specific action plan is required.

issues if any

Construction

of Solid

Waste Land

fill, Leachate

Treatment

Plant and

Associated

Infrastructure

Works.

Yes NA Nil No NA Nil

Construction

of Service

Reservoirs for

Water supply

sub project at

lower Sichey

Yes NA Nil No NA Nil

Annexure 5: Summary of Policy and legal framework (Only relevant portions)

The policy framework and entitlements for the program as well as for this subproject are based on following national laws: The Land Acquisition Act, 1894 (LAA, amended in 1984), and the National

Resettlement and Rehabilitation Policy, 2007 (NRRP); state laws and regulations: The Sikkim State Land Acquisition (LA) Act 1894, the Sikkim Urban and Regional Planning Development Act (1998) and the Sikkim Land (Requisition and Acquisition) Act of(1977), 1960; ADB’s Safeguard Policy Statement, 2009 (SPS); and the agreed Resettlement Framework (RF).

Based on these, the core involuntary resettlement principles applicable are:

ix. land acquisition, and other involuntary resettlement impacts will be avoided or minimized exploring all viable alternative subproject designs

x. where unavoidable, time-bound Resettlement Plans will be prepared and APs will be assisted in improving or at least regaining their pre-program standard of living

xi. consultation with APs on compensation, disclosure of resettlement information to APs, and participation of affected persons in planning and implementing subprojects will be ensured

xii. vulnerable groups will be provided special assistance xiii. payment of compensation to APs including non-titled persons (e.g., informal

dwellers/squatters, and encroachers) for acquired assets at replacement rates xiv. payment of compensation and resettlement assistance prior to the contractor taking

physical acquisition of the land and prior to the commencement of any construction activities

xv. provision of income restoration and rehabilitation and xvi. establishment of appropriate grievance redress mechanisms The RP outlines the objectives, policy principles and procedures for land acquisition, compensation and other assistance measures for Affected Persons (APs). The Executing Agency (EA) and the Implementing Agency (IA) will have to endorse the Resettlement Plan prior to Project Appraisal. The RPs shall be disclosed to the affected persons (APs) and submitted to ADB for review and approval prior to commencement of any civil works. Compensation and other assistances will have to be paid to APs prior to any physical or economic displacement of affected households.

Annexure 6: LAND RECORD - TO BE ACQUIRED

Scope of Work Proposed in Tranche-II and Resettlement Impacts

SNo Location WS SWM Involuntary Resettlement Impact

1 Proposed Reservoir-1 (at existing Press tank site )

Yes NA No

2 Proposed Reservoir-2 (adjacent to Existing Bazar Tank site )

Yes NA No

3 Proposed Reservoir-3 (at lower Sichey )

Yes NA Yes

4 Proposed Reservoir-4 (adjacent to existing Enchey Tank area )

Yes NA No

5 Proposed Reservoir-5 (at TNSS area )

Yes NA No

6 providing water supply to 13 wards of GMC (out of 15 wards except Burtuk and Chandmari)

Yes NA No

7 Sanitary land fill site and SW processing plant at Martham

NA Yes Yes

Annexure 7: LIST OF AFFECTED PERSONS

LIST OF AFFECTED PERSONS

Sl No Name of the APs APs with Photo Identity

1 PemalamuTamang

2 Bhagi Sherpa

3 PavitraChettri

4 AjitTamang

5 Suk BahadurRai

6 Ashok Tamang

7 NandlalPradhan

Sl No Name of the APs APs with Photo Identity

8 Mani Kumar Rai

9 Kumar Rappal

10 Sanjay Rai

11 Md.ZakirHussain

12 BiplobHalder

13 SushmaChettri

14 LalBahadurDorji

Sl No Name of the APs APs with Photo Identity

15 Uttar Kumar Dorji

16. Guman Singh Subba

17. Kumar Chettri

18. BhimBahadurSubba

19. Laden Lepcha

20. ParimalGhosh

Sl No Name of the APs APs with Photo Identity

21. Dil Kumar Subba

22. NagendraRai

23 Tilak Raj Subba

24 ShivalallSubba

25. Karma BahadurSubba

26. SitaChettri

27. SukhbirLimboo

Sl No Name of the APs APs with Photo Identity

28 Thakur Kumar bassnet

29 Raj Kumar pradhan

30 LallbahadurLimbu

31 Pempa Sherpa

32 Adhirpaul

33 ShavitraLepcha

34 NirBahadurChettri

Sl No Name of the APs APs with Photo Identity

35 Khetteynabihbi

36 ShyamSundarPanwa

37. JitanThalabda

38. Md. Bagamia

Annexure 8: RESETTLEMENT BUDGET AND FINANCIAL PLAN

(Solid Waste Management sub project)

The resettlement cost estimate for the Gangtok SWM subproject includes resettlement

assistance, as outlined in the entitlement matrix, support cost for RP implementation and

contingency provision amounting to be 5% of the total cost. The state government will be

responsible for releasing the funds for resettlement in a timely manner. The total

resettlement cost for the subproject is INR 2.34 million. The resettlement cost items and

estimates are outlined in Table

Resettlement Costs

Srl. No Item Unit Quantity

Unit Cost

Amount

1 Assistance for Relocation & Transfer

Loss of Income Livelihood5 @ Rs.170 per day for 3 months

38 15300 5,81, 400

Additional Assistance for Vulnerable HH

Lump Sum 15 30,000 4,50,000

Sub Total Item 1 10,31,400 2 Administrative &

Implementation costs

Implementing NGO Lump Sum 500,000 SIPMIU Social team Lump sum 500,000 Monitoring Lump Sum 200,000 Sub Total Item 2 12,00,000

3 Total 22,31,400 4 Contingency 5% 1,11,570 5 Grand Total 23,42,970

Million Rupees 2.34

RESETTLEMENT BUDGET AND FINANCIAL PLAN (WATER SUPPLY)

The resettlement cost estimate for the Gangtok water supply subproject includes

compensation for land, stair case, resettlement assistance, and RP implementation support

cost as outlined in the entitlement matrix, support cost for RP implementation and

contingency provision amounting to be 10% of the total cost. The state government will be

responsible for releasing the funds for resettlement in a timely manner. The total

5 The amount is based on the average per day income as derived from the census and socio economic survey

resettlement cost for the subproject is INR 6.98 million. The resettlement cost items and

estimates are outlined in Table.

Resettlement Costs

Sl. No.

Item Unit Qty Unit Cost Total Cost

A. Compensation 1 Private Land Value Sqmts 400 11,900 47,60,000 2 Stamp Duty

&Registration cost 5% of Basic land cost

238,000

3 Tree Numbers 8 2,000 16,000 4 Solatium 30% of

Basic land cost

14,28,000

5 Interest 12% of Basic land cost

1 year 5,71,200

6 Compensation for structure/Stair case

Numbers 2 1,00,000 2,00,000

Sub-Total of A 72,13,200

B. R&R Assistance – Additional Assistance to Vulnerable Group

1 Loss of livelihood Allowance Allowances for temporary disruption of livelihood for 15 households and 10 workers temporary disruption for 30 working days a month

Days 15+10*30=750 Rs.170/perday 1,27,500

2 Vulnerable Allowance

Nil Nil

Sub-Total of B 1,27,500-

C. Support for RP Implementation

1 Engaging NGO for RP Updating & Implementation

L/s 1,50,000

2 Social and Resettlement Team of SIPMIU including Logistics

L/s 1,00,000

3 Training L/s 50,000 4 Monitoring L/s 1,50,000

Sub-Total of C 4,50,000 Total 77,90,700

Contingencies @ 10%

7,790,70

TOTAL 85,69,770 Say Rs 8.56 million

ANNEXURE 9: DOCUMENTARY PROOFS

Provide proof of any training, Workshop, public consultations, land acquired documents etc

conducted during the period January to June, 2013 only

North East Region Capital Cities

Development Investment

Program (NERCCDIP)

REPORT OF

WORKSHOP ON

PUBLIC PARTICIPATION,

COMMUNITY AWARENESS AND

GENDER SENSITIZATION FOR

COUNCILLORS AND SELECTED

STAKEHOLDERS

IN GANGTOK MUNICIPAL CORPORATION

18th June, 2013 - Gangtok Municipal

Corporation Conference Hall

1. Project Introduction

The Govt. of India is pursuing the implementation of the Infrastructures development for the

city capitals of North Eastern States under NERCCDIP with the financial assistance from the

ADB since 2009. The Gangtok Municipal Corporation (CMG) is one among the cities taken up

for the program implementation in terms of improving the water supply, sewerage and solid

waste management.

A sum of Rs. 220 Crores is earmarked for the implementation of the project within a period of

three years. The tranche 1 works includes, providing water supply distribution to Chandmari

and Burtuk wards. Under this, construction of water tank for a capacity of 11.55Lakh litter

near AIR road, pump room near Selep, nine numbers BP (Break Pressure) tanks and laying of

distribution pipes lines for a length of 41 KM. The implementation of the tranche -1 started in

the month September, 2011 and would be completed by September, 2013.

The works programmed under tranche -2 is Solid Waste Management System which includes

door to door collection, segregation; composting of bio degradable wastes, sanitary land

filling of inert materials, and recycling of recyclable wastes for which a compost plant,

sanitary landfill and leachate treatment plant are required. This work includes the

construction of all the required components and it is programmed to be completed within a

period of 24 months.

Providing underground sewerage system for Chandmari and Thathenchen area is envisaged

under tranche -3 works. Preparation of DPR is under progress for this work.

As part of information dissemination of project activities and ensuring public involvement a

sensitisation programme for GMC councillors and selected NGO representatives are

conducted on 18th June, 2013, 1.30 PM at GMC conference hall.

Out of 15 councillors 13 have attended the workshop. Apart from this 5 participants

represented various NGOs and 3, the related department. Attendance sheet is attached as

annexure -1.

2. Objectives of the Workshop

The primary objectives of the workshop was to sensitize the Councillors and selected NGO

representatives about the project, Importance of public participation, gender sensitisation

and IEC activities under this project

3. Proceedings of the Workshop

This workshop was inaugurated by the Hon’ble Mayor. At the outset of the workshop the Project Director, SIPMIU and the Additional Secretary to Govt, UD & HD, Sikkim welcomed the

gatherings. In his welcome address he explained the project objectives and importance of

the workshop. Further he requested the Hon’ble mayor to inaugurate the workshop and give his inaugural address.

While inaugurating the workshop, Hon’ble Mayor extended his whole hearted support to the project implementation. He also suggested involving the respective councilors in every stage

of the project implementation.

The Specialists from the Design Supervision and Management Consultant (DSMC) and

Institutional Development Consultant (IDC) have explained the project activities taken up

under NERCCDIP in Gangtok through Power Point presentations and interactive discussions

with the participants. Copy of power point presentation on various activities is attached as

annexure -3 of this report. Participants were clarified of their doubts during the interactive

session. Snap shots of the workshop are attached as annexure -2 of this report.

As part of involving public at large in the implementation of the project activities, it was decided to

convene ward level meetings, mainly focusing on solid waste management system. Workshop was

concluded with a vote of thanks by

Contents

Title No Title Page

1 Project Introduction 1

2 Objective of the Workshop 1

3 Proceeding of the workshop 1

Annexures

Annexure

No. Annexure Name

1 Attendance

2 Snap shots of workshop.

3 Copy of power point presentation.

\

Annexure 10: land Acquired Document for Proposed Reservoir -3 at Lower Sichey