ind: pune nirvana hills slum rehabilitation project€¦ · · 2014-09-29environment and social...

Environment and Social Compliance Audit Report

Project Number: 44940 December 2011

IND: Pune Nirvana Hills Slum Rehabilitation Project Prepared by: Kumar Urban Development Limited This report is made publicly available in accordance with ADB’s Public Communications Policy (2005). It does not necessarily reflect the views of ADB.

Delivering sustainable solutions in a more competitive world

Environmental and Social Audit for Nirvana Hills Phase II, Erandwane: Pune, India Draft Final Report December 2011 www.erm.com

Kumar Urban Development Limited

CONTENTS

1 INTRODUCTION 1

1.1 BACKGROUND TO THE AUDIT 1 1.2 METHODOLOGY OF THE ENVIRONMENTAL AND SOCIAL SAFEGUARDS AUDIT 3 1.3 LIMITATIONS 4 1.4 LAYOUT OF THE REPORT 5

2 OVERVIEW OF NIRVANA HILLS PHASE 2 6

2.1 PROJECT DESCRIPTION 6 2.2 LAND OWNERSHIP 7 2.3 PROJECT STATUS AND ONGOING ACTIVITIES 9 2.4 AUDIT FINDINGS 14

3 CORRECTIVE ACTION PLAN 24

ERM KUMAR URBAN DEVELOPMENT LIMITED PROJECT # I8390/0138632 DECEMBER 2011

1

1 INTRODUCTION

ERM has been commissioned by Kumar Urban Development Limited (KUL) to undertake an Environment and Social Safeguards Audit for the Nirvana Hills Phase 2 Project, located in the city of Pune, Maharashtra India. This report reviews the environmental and social performance of the proposed slum rehabilitation and residential cum commercial project in accordance to the Asian Development Bank’s safeguard principles and requirements.

1.1 BACKGROUND TO THE AUDIT

Kumar Urban Developers Limited (KUL) is a leading real estate company in the state of Maharashtra. KUL is also an approved developer by the Slum Rehabilitation Authority (SRA) and has been involved in the implementation of the slum rehabilitation scheme (SRS) (1) of the Government of Maharashtra in Pune and Mumbai under the provisions of the Development Control Rules 33(10), also known as the in-situ resettlement scheme. M/s Kumar Sinew Developers Pvt. Ltd (a subsidiary of KUL) is currently developing the Nirvana Hills Phase 2 Project as a residential, commercial and slum rehabilitation scheme located at Survey Number 44/1, Erandwane (Municipal Ward 57) in the city of Pune, Maharashtra. ERM was commissioned by KUL to undertake an independent environmental and social review of the project in May 2010 which indicated key observations and assessment of the project with reference to the IFC Performance Standards. An Environmental and Social Action Plan (finalized on the 31st of July 2010 with FMO) was formulated for the project suggesting corrective measures required to improve environment and social performance. ERM was further appointed to independently monitor the status and track the progress of the ESAP and brought out its first bi-annual monitoring report in May 2011. This environmental and social safeguards audit has been commissioned at the behest of the Asian Development Bank (ADB) to indicate the present status of the Nirvana Hills Phase 2 project against the ADB Safeguards Policy Statement (2009) in accordance with the requirements of ADB's SPS SR 4 covering Special Requirements for Different Finance Modalities. The audit incorporates the following safeguards requirements that were assessed to be relevant for this project:

• SR 1: Environmental Assessment; • SR 2: Involuntary Resettlement; and • Progress made on the Environmental and Social Action Plan (ESAP)

agreed with FMO and other Lenders.

(1) The initiative involves redeveloping a portion of the identified slums to provide improved residential quarters for the eligible residents of the slum while opening up an opportunity for the developers to undertake commercial development of the remaining space.


2

1.1.1 Site Setting

The site under development, i.e. Survey Number 44/1, Erandwane (Municipal Ward 57) has been declared as a slum by the Revenue Department of Pune District under Section 3C of the Development Control Rules. The total area of the site is 79 acres of which approximately one third has slums. A significant proportion of the site has been classified as “non-buildable area” due to the development restriction imposed on “hill top hill slope” lands. Figure 1.1 indicates the Development Plan and neighbourhood properties around the site.

Figure 1.1 Location and Development Plan for 45 Nirvana Hills, Pune

*Source: Environmental Impact Assessment Report, 2009 The proposed development is likely to involve construction of around 39 slum rehabilitation towers to accommodate approximately 5000 tenements of residential and commercial slum dwellers. KUL has already relocated a portion of the slum dwellers under Phase I in which about 463 families now live in fully developed eight multi-storied buildings in the Wadar Vasti zone. The same holds potential to deliver for many more slum dwellers under next phases which will include development in Kilewadi-Rajiv Gandhi Park-Indira Park-Hanuman Nagar and Rautwadi areas. As per the current status, the


3

project would be completed over the next 5 years with the complete relocation and rehabilitation of the residing slum dwellers.

1.1.2 Policy Development

KUL is in the process of formulating environmental and social policies to the requirements of the ADB. These plans include (a) Rehabilitation Plan; (b) Stakeholder Engagement Plan; (c) Demolition Policy etc. It is understood that KUL has formulated a draft eligibility policy for the Nirvana Hills Phase 2 Project that is currently under review by the management. In addition, as discussed subsequently in this report, preliminary checklists on grievance redressal, demolition activities and public consultation are being put into use.

1.2 METHODOLOGY OF THE ENVIRONMENTAL AND SOCIAL SAFEGUARDS AUDIT

The methodology adopted for the environmental and social safeguards audit includes the following activities: Review Meeting at KUL’s corporate office in Pune

A three member ERM team conducted a brief kick-off meeting at the KUL office in Pune with the project technical head, the environmental specialist and their lead social and community representative on the 18th of July 2011, to get an overview of the current status of the Nirvana Hills Phase 2 Project and review available documents relevant for the project. Site Assessment

ERM conducted a site inspection of the following activities:

• Ongoing construction activities at the sales component near Wadar Vasti and the rehabilitation buildings near Kilewadi;

• Assessment of the labour camps at each construction site; • Observations of the completed rehabilitation building at Wadar Vasti

including the commercial complex for sale; and • Transit accommodation and demolition sites near Kilewadi and Indira

Nagar. The site assessment also included consultations with the following:

• Owners of commercial tenements who have been rehabilitated at Wadar Vasti;

• Slum dwellers and society members of the completed rehabilitation building at Wadar Vasti;

• Affected people that have been temporarily housed inside the transit camp;

• Slum dwellers in the Indira Nagar area wherein the SRA survey to determine eligibility is currently under progress; and


4

• Consultations with a woman’s group in Rajeev Gandhi Park. Other Stakeholder Consultations

ERM has also consulted the following stakeholders as a part of the larger Environmental and Social Impact Assessment study:

• Discussions with the team of the non-governmental organization (NGO) “Vatsalya” which is currently conducting the socio-economic survey of the affected households;

• Meetings with the contractors M/s Man Infrastructure and M/s Karan Builders at the two construction sites;

• Meetings with KUL’s Community Relations Team; • Discussions with senior SRA officials in Pune; and • Discussions with the local municipal corporator of Erandwane.

Reporting

This task comprised of compiling the documents reviewed, site observations and findings against the ADB requirements. On the basis of this review, a Corrective Action Plan (CAP) has been developed in consultation with the project developers, i.e. KUL to provide a framework to manage environmental and social risks for the proposed Project.

1.3 LIMITATIONS

Professional judgements expressed herein are based on facts and information provided. Wherever ERM has not been able to made a judgement or assess any process, it has highlighted that as an information gap and suggested a way forward.

1.3.1 Information Gaps

• KUL is in the process of finalizing the detailed plot layout and building layout plans for the rehabilitation components and hence commentary on specific provisions vis-à-vis open spaces, amenities etc are preliminary and indicative;

• Post in-situ resettlement concerns of affected parties at the completed rehabilitation building could not be assessed due to existing social sensitivities regarding the status of society registration;

• Limited discussions with ineligible households were conducted as the eligibility procedure of the Slum Rehabilitation Authority (SRA) was ongoing.

1.3.2 Use of this Report

ERM is not engaged in consulting or reporting for the purpose of advertising, sales promotion, or endorsement of any client interests, including raising investment capital, recommending investment decisions, or other publicity


5

purposes. Client acknowledges this report has been prepared for their and their clients’ exclusive use and agrees that ERM reports or correspondence will not be used or reproduced in full or in part for such purposes, and may not be used or relied upon in any prospectus or offering circular. Client also agrees that none of its advertising, sales promotion, or other publicity matter containing information obtained from this assessment and report will mention or imply the name of ERM. Nothing contained in this report shall be construed as a warranty or affirmation by ERM that the site and property described in the report are suitable collateral for any loan or that acquisition of such property by any lender through foreclosure proceedings or otherwise will not expose the lender to potential environmental or social liability.

1.4 LAYOUT OF THE REPORT

The layout of this report is as follows: Section 1 (this section) provides an introduction, project background,

objectives, methodology adopted and limitations of the audit; Section 2 provides a description of Nirvana Hills Phase 2 and highlights the

key findings of the environmental and social safeguards audit; and Section 3 concludes with a Corrective Action Plan for KUL. Annexure Annex A Status Update on FMO’s Environmental and Social Action Plan as

on 22nd July 2011.


6

2 OVERVIEW OF NIRVANA HILLS PHASE 2

2.1 PROJECT DESCRIPTION

The project, 45 Nirvana hills is a joint development between M/s Kumar Urban Development Limited (KUL) and its subsidiary M/s Kumar Sinew Developers Private Limited which incorporates rehabilitation of the existing slums as per the SRA scheme as well as redevelopment of the land assigned as buildable land (on the basis of TDR from slum rehabilitation) for commercial and residential sale. The entire project is to be developed over an area of approximately 79.75 acres or 3, 22,736.799 m2 out of which 1/3 of the area will be for slum rehabilitation whilst out of the remaining 2/3rd, a majority would comprise of no-development/non-buildable area as illustrated subsequently.

Figure 2.1 Proposed Layout Plan for 45 Nirvana Hills

Source: Adapted from Kumar Urban Developers Limited As mentioned earlier, the land addressed as survey no. 44/1 Erandwane, municipal ward 57 was declared as slum area by the SRA back in the year 1982. The demolition and clearing of structures from the slum area started around late 1994 by the erstwhile developers of the slum M/s A.V.Bhat and Megapolis Developers (Now incorporated into the client). During the initial phase of development, 8 multi-storeyed structures where created as per the then Phase I of the project in the Wadar Vasti area for which the commencement certificate was obtained in 2000. Around 463 eligible households and 25 shops were rehabilitated into Phase I of this redevelopment.

Wadar Vasti Tenements in 8 rehabilitation buildings

Sale Component of Commercial/ Residential Towers

Buildable Area Proposed for Slum Rehabilitation

Non-buildable Area/No Development Zone


7

Under the second and subsequent phases, the area demarcated in the above layout has been undertaken for development by the client. This demarcated zone incorporates five blocks as demarcated by the Pune Municipal Corporation’s (PMC) slum demarcation plan namely:

Table 2.1 Slum Blocks and Number of Tenements

Name of the Block Number of Tenements Kilewadi and Indira Park 1145 Hanuman Nagar 1145 Rautwadi 498 Rajeev Gandhi Park 985 Vasant Nagar 571 Total 4344 *Source: KUL Socio-economic Survey 2011 In all the above zones, 21 rehabilitation buildings are proposed to be developed by the builder, each having 11 floors with 13 flats on each floor. The net carpet area provided for each of these apartments is equivalent to 269 sq feet as per SRA guidelines. In addition to the rehabilitation, KUL will obtain a Floor Space Index (FSI) of 2.5 which will be used for the construction of 18 sale buildings with residential and commercial units (this includes the ongoing construction of the sale components C1, C2, C4, C4 from the FSI made available through the Wadar Vasti redevelopment). In addition, KUL will also provide amenities as per the SRA guidelines in terms of community halls, recreation centres etc. In accordance to the EIA report (2009), a total of 66,460 m2 of the total plot will need to be landscaped and is a part of the non-buildable area. The State Level Expert Appraisal Committee (Maharashtra) provided an Environmental Clearance (EC) to M/s Kumar Sinew Developers Private Limited on the 28th of February 2011 for construction of total built-up area of 1,43,734 m2 and which includes a free sale building of 54,493 m2 and rehabilitation buildings of 54,997 m2. The Consent to Establish (CTE) by the Maharashtra Pollution Control Board has also been obtained for the same. This EC reportedly includes the present construction of 1600 tenements at Kilewadi. As the project progresses, the client will apply for additional EC as well as CTE from the appropriate regulatory agencies.

2.2 LAND OWNERSHIP

ERM understands that the land addressed as Survey no. 44/1 Erandwane, Municipal ward 57 has been leased out to M/s Sinew Developers Limited on a long-term lease basis. The land or property amounting to an area of approximately 79.75 acres is under the legal ownership of a public charitable trust by the name of Khwaja Peer Sayed Hisamuddin Kattal-E-Zanjani Chisti (trustees) as per the provisions of the Bombay Public Charitable Trust Act of 1950. The land was unanimously put up for development by the trust itself and was leased out in the year 1982.


8

Box 2.1 Brief History of Land lease and transfer

*Source: Legal Search Report, “Opinion on Title, SV Erande (Advocate), 4th January 2003” Vide Part IX of the Companies Act, 1956; M/s A.V. Bhatt & Co. was incorporated as company ‘Kumar Sinew Developers Limited’ with the majority shareholder of the company being Kumar Urban Development Limited. Thereafter, Kumar Urban Development Limited transferred its shareholding in Kumar Sinew Developers Limited to KUL Urban Development Private Limited, which becomes a step down holding company of Kumar Sinew Developers Limited. The lease hold rights along with the development right automatically vested in Kumar Sinew Developers Limited or the client. The name of Kumar Sinew Developers Limited has been changed to Kumar Sinew developers Private Limited vide Certificate from Registrar of companies dated on 12, July, 2011. It was reported by the client that Sinew Developers Limited which had earlier done the rehabilitation of portion of Wadar Vasti, agreed to merge itself with Kumar Sinew Developers Private Limited for the ease of corporate operations. The process of merger is scheduled to be completed by financial year ending 31st March, 2012. The client, as per the original deed dated 13/05/1982 is currently the lessee up till the year 2032 after which it has an option of an extension of 49 more years. Consultations with the municipal corporator indicate that there were concerns regarding the security of land lease and tenure and accordingly the Slum Rehabilitation Authority (SRA) Pune had asked KUL to get a legal opinion on the same. It is known to ERM that they are in the process of filling for an extension for an additional 999 years or an indefinite lease. The copy of the application for the 999 years was not made available to ERM.

Initially in 1982, the land was leased as per deed dated 13/5/1982 to M/s A.V. Bhat & Co., a registered partnership firm in the city of Pune for a period of 50 years (with an option of extending the lease by another 49 years at the end of the term). This lease was under the agreement that a certain rent payment had to be paid to the trustee by the lessees and the lessees were authorized to carry out development of the said property and were also further authorized to transfer or assign their leasehold rights and interests acquired by them to any sub-lessees of their choice. On the 21st June1984, this land was declared as a “Slum Area” under section 13 of the Maharashtra Slum Areas (Improvement, Clearance and Redevelopment) Act, 1971 and was put for development under the SRA. Thus M/s A.V.Bhat & Co. became entitled for the work of clearance of the slum area by demolishing old structures standing thereon and rehabilitation of the slum dwellers. After 10 years of declaration of the land as a slum, M/s A.V.Bhat & Co. under a Memorandum of Understanding (MoU) dated 30/07/1994 and after consent of the trustees, agreed to assign and entrust the rights and work of development along with the right to get assigned lease hold rights of the property in favour of Megapolis Developers Pvt. Ltd after obtaining the necessary permission from the Charity Commissioner, Pune. Furthermore, as per certificate dated 24th of June, 2002 issued by the Registrar of Companies, Pune, Maharashtra, Megapolis Developers Private Limited were granted permission to change their name to “Sinew Developers Limited”.


9

2.3 PROJECT STATUS AND ONGOING ACTIVITIES

2.3.1 Progress of Slum Rehabilitation at Kilewadi and Indira Park

The client is implementing the second phase of the slum rehabilitation in the Kilewadi and Indira Park area. In addition, the Annexure II for Rajeev Gandhi Park was published on the 30th of May 2011 and thus efforts to facilitate eligibility of tenements and the appeal procedure are currently ongoing. In addition, KUL has obtained sanction or commencement certificate for 725 tenements for Rajeev Gandhi Park. At present KUL has commissioned the construction of two transit buildings of approximately 800 units which will be subsequently converted into rehabilitation buildings. KUL have hired a sub-contractor, M/s Karan Builders for the excavation and construction of the building up till the parking level. Currently the work is underway at full strength (about 40 labourers) at this site. KUL has received a sanction/commencement certificate for the 711 slum dwellers eligible for rehabilitation at Kilewadi and Indira Park but the same document is yet to be made available to ERM for review. Demolition is currently underway in the Indira Park area and is being overlooked by the KUL personnel. For precaution as well as procedures with respect to voluntary consent from the slum dweller, the KUL team is following a demolition policy which includes signing a consent agreement as well as a demolition checklist before carrying out any work. As reported by the client, the demolition of the hutments was being carried out only and after individual agreement is reached between the slum dweller and KUL and the necessary documents have been signed and initial payment, rent cheques have been dispatched to the slum resident. In case of no agreement, the developer was trying to negotiate with the individual parties, but as reported, abstained from any forceful or involuntary eviction of the same. KUL has established an office in this area and setup a Community Relations Team (CRT) (along with SRA personnel) consisting of around 12 personnel. These personnel are involved in facilitating slum demolition, land transfer or agreements between the client and the slum dwellers along with maintaining records on rent distribution, facilitating cheque transfers, biometric identification etc. They also address community issues record grievances and oversee the entire public relation mechanism. Records were being maintained by them at the site office and were reportedly updated on a day to day basis. They were also periodically archived at KUL’s office in Pune. The records maintained included:

• Local Grievances including day to day grievances from the community, residents of the transit camp and the once from the Wadar Vasti rehabilitation buildings;

• Database of residents who have provided consent for rehabilitation and are being issued monthly rent cheques;

• Individual records between the slum resident and KUL; • Demolition checklist and consent document.


10

Box 2.2 Summary of Key Responsibilities of the Community Relations Team

2.3.2 Ongoing construction under the free sale land near Wadar Vasti

Currently, construction of C1 tower is underway in the commercial area allocated to KUL in the Wadar Vasti area for which the CTE from the MPCB has been received. KUL has contracted a sub-contractor, M/s Man-Infra for construction (up till the first floor), Fusion as a Project Management Consultant for management of all the ongoing activities and some of their own staff to oversee the entire process. Labour camps have been set on site and about 100 labourers are currently being accommodated here. An inflow of about four hundred labourers is expected and to be involved in the construction in this area. For the same, KUL is additionally preparing a neighbouring site for building additional labour camps so as to accommodate the inflow. The following observations are relevant pertaining to the conditions of the labour camps that had been provided by M/s Man Infrastructure:

• Tin sheets (approximately 10 in number, each housing 7 labourers) had been provided with basic protection, i.e. roofing and plastic against the rainfall;

• Lack of adequate sanitation facilities (i.e. 2 portable toilets outside the labour camp without water tanks) which encouraged open defecation on the hill slope above the camp;

• No form of identification has been provided to the workers, most of whom are migrants from states like West Bengal and Bihar;

• Reportedly, registration of migrant workers is under progress and no evidence of the Inter-State Migrant Worker Permit was obtained from M/s Karan Infrastructure. The same has been made available by M/s Man Infrastructure;

• Emergency exit provided at the labour camp opens out onto the main road;

• Act as a direct representative of KUL to the slum residents or the community • Facilitator of land transfer and Agreement between the slum dweller and the

builder • Act as a guiding agency of the SRA and works in accordance to its requirements • Mediation in solving disputes between slum residents and KUL or SRA • Recording and addressal of Grievances of the slum dwellers • Records upkeep and data maintenance at the site office including data on

biometric information, deal agreements, disbursement of monthly rent payments, maintaining database of slum dwellers etc

• Resolving simpler day to day issues with respect to demolition of slums and transfer of people to transit camps

• Overseeing of demolition process as well as transfer of people into transit camps and rehabilitation building


11

• Security at the labour camp has not been provided with any training on administration of first aid and emergency response other then training on handling and operation of fire extinguishers and fire fighting systems.

The client and Man Infrastructure reported to ERM that a new labour complex is under construction at the Wadar Vasti quarry site which would take into the account the concerns raised by ERM during the assessment. From the occupational health and safety point of view it was reported by the site management that adequate PPE had been issued and provided by the sub-contractor to the working labourers at site and also the usage of the same was observed by ERM during the site assessment.

Box 2.3 Workers Wages and Compensation

2.3.3 Key Issues pending resolution

Ineligibility Issues

“Eligibility” of a slum dweller is determined by the ownership of the existing structure and his/her domicile in the census slum before or as on January 1st 1995. Those slum dwellers who do not meet this criterion as per the SRS are declared non-eligible and hence not eligible of the benefits under the SRS scheme. At present, the Annexure II survey by the Slum Rehabilitation Authority and the Pune Municipal Corporation is under progress and Table 2.1 provides the indications of eligibility as per available information.

Table 2.2 Project Affected Families for 45 Nirvana Hills

Location Number of Eligible Tenements for Rehabilitation

Status

• Based on the discussions with some of the workers present at the site, it was reported that the payment of wages was being done by the Sub-Contractor as per schedule and the amount was over the minimum wages applicable in the state of Maharashtra.

• As per regulation, a wage register was being maintained by the sub-contractor to

record the wages distribution to the labourers • As reported by the site management, the wages offered to the labourers, workers

and artisans were strictly based on work description, skill and on mutual negotiations,

• Also reportedly the subcontractor (M/s Man infrastructure) had procured medical

insurance for all its labourers working at their site


12

Location Number of Eligible Tenements for Rehabilitation

Status

Wadar Vasti (rehabilitation building was completed in 2003 as part of Phase I)

463 out of 550 The number of tenements that were declared eligible was as per a previous provision of 1st January 1985 which has been revised to 1/1/1995. SRA verification procedure for the same is not yet completed.

Kilewadi and Indira Park

711 tenements out of 1092 total tenements

Annexure II procedure has been completed and the appeal procedure for eligibility is currently ongoing

Rajeev Gandhi Park

446 eligible tenements out of 973 total tenements

Annexure II was published on the 30th of May 2011 by SRA Pune

*Source: KUL Discussions with the SRA officials indicate that KUL is planning the Nirvana Hills Phase 2 project on the basis of a target of 5000 families that will be rehabilitated. Senior officials indicated that even if the Government of Maharashtra increases the eligibility cut-off to 1st January 2000, up to 500 slum dwellers are likely to be declared eligibles. There are plans in place to incorporate these ineligible households for rehabilitation through the Central Government low cost housing scheme of the “Rajeev Awaas Yojana (RAY)” which is in its inception stage. As of now there are no definitive plans to accommodate the ineligibles in the proposed rehabilitation buildings at KUL’s own expense/initiative and individual negotiations with such households are already in progress. It was reported by the client that a presentation cum Proposal by KUL to the Urban Development Department under the State Government of Maharashtra was under process for adaptation of ineligibles under the RAY within the SRA itself. Alternatively, a specific policy for ineligibles will be made under the Rehabilitation Plan in consultation with the ERM. Hence, reportedly the client had made plans for maximum rehabilitation numbers based on whatever be the criteria of cut off date to be declared by the Government from time to time.

Box 2.4 Residual Issues at Wadar Vasti

Negotiated Settlements

KUL is already in the process of undertaking negotiated settlements with slum dwellers that have been declared ineligible for Kilewadi and Indira Park. Reportedly, these settlements are based on private negotiations and most have been completed within the range of INR 3,00,000 to 5,00,000 (i.e. USD 6600 to 12000) as one time payment to move out of the slum and which cannot be

Under the first phase of the project which was carried out in the Wadar Vasti area, back in 2000, the erstwhile Megapolis Developers had already shifted 463 slum dwellers and 25 shops into eight rehabilitation towers. However as per the SRA scheme, there were about 8-10 non-eligible families who were still residing in slums inside the complex. KUL have over the past month or two managed to reach an agreement with all but three families. Around five (5) families from this area who have given conditional consent for their rehabilitation have been relocated temporarily to the transit building in Rajiv Gandhi park and two (2) families have been successfully rehabilitated into the Wadar Vasti rehabilitation buildings itself.


13

disclosed publicly due to sensitivities involved and the precedence it sets. Discussions with the corporator also indicated that there are approximately 25 individuals who own over 15-20 tenements in the slums onsite and who earn income from the same through rent. These “slum lords” are likely to create a pressure group unless KUL manages to meet/exceed their expectations on the settlement. As reported by the client, KUL is under continuous negotiations with these parties on a daily basis to reach a negotiated settlement. As such, the client refrained from divulging details with regards to the terms of these negotiations but deemed optimistic in reaching some sort of amicable solution with regards to the same. The client also reported that these negotiations where devoid of any external pressures or any intimidations and it made sure that the price offered to the negotiating arty was either equal or substantially more then the actual replacement cost of the asset of interest. Operational Issues at Wadar Vasti

Although the completed rehabilitation building of Wadar Vasti does not fall within the scope of present assessment, site observations were conducted to assess KUL’s capacities and systems to manage operational issues for completed slum rehabilitation projects. The following assume significance:

• At the time of the site visit, the housing society at the completed rehabilitation building had been dissolved and hence KUL had been entrusted with the responsibility of maintenance of the building. It is since reported that the elections for the Housing society was held early this year and there are attempts through the Societies’ Registrar as well as the SRA to make it functional;

• Provisions that have been made for fire safety, i.e. fire hydrant/hoses etc had been vandalised. In addition, no training had been provided to the residents on operation of the same and reportedly, the security that had been deployed on site has not been trained on fire safety;

• Reportedly, slum dwellers have been shifted into the completed building since 2003 without adequate documentation on allotment letters, property registration papers and occupancy certificates. Reportedly, verification by the SRA is pending and there may be instances where families that are already residing in the building would be made to vacate if found ineligible;

• Approximately 10 commercial shops have been rehabilitated into the sale component of Wadar Vasti. However, discussions with the shop owners suggest that the commercial building has not been provided adequate sanitation and drinking water facilities and is being maintained poorly.


14

2.4 AUDIT FINDINGS

This section (Table 2.2) provides the compliance status of the environmental and social performance of the Nirvana Hills Phase 2 vis-à-vis the following:

• Safeguards Requirement 1: Environment; • Safeguards Requirement 2: Involuntary Resettlement; and • Safeguards Requirement 4: Special Requirements for Difference

Financing Modalities – General Corporate Finance. The update on implementation of Environmental and Social Action Plan as agreed with lenders (such as FMO) post the first monitoring visit undertaken by ERM India in May 2011 reflects the status as on 22nd July 2011 and has been appended as Annex B.


Table 2.3 Environmental and Social Safeguards Audit Findings

S. No ADB Requirements Issue and Description of Observation Recommendations 1 Environmental Safeguards

The applicability of the ADB SPS SR 1 should be seen in the following context:

• M/s Kumar Sinew Developers Private Limited has obtained an Environmental Clearance (EC) for a total construction plot area of 39,650 Sq. m and a built-up area of approximately 1, 43,734 .Sq.m. Although, the client were not required to prepare and submit an EIA report for the application of the EC, nevertheless, an EIA considering the plot area and the surrounding 10 Sq. Km radius was carried out and was completed by February 2009 This EIA report is due to be revised and updated as per the ADB requirements on the basis of the Environmental and Social Impact Assessment (ESIA) to be conducted and carried out by ERM.;

• KUL is currently developing its capacities on EHS and Social at the Corporate level and at present they are putting together elements of Environmental, Social and Health & Safety Management Systems;

• Onsite construction/evacuation/demolition activities will happen in a phased manner and different contractors may be deployed, which would necessitate specific emphasis on training and capacity building on social, HS and environmental issues.

1.1 Use a screening process for each proposed project, as early as possible, to determine the appropriate extent and type of environmental assessment so that appropriate studies are undertaken commensurate with the significance of potential impacts and risks.

In compliance to Government of India regulation (the EIA Notification, 2006) the Project has been screened by the State Environmental Impact Assessment Authority (SEIAA) and has been categorised under Category B2 warranting prior environmental clearance (EC) from SEIAA without EIA study, public consultation and disclosure requirements. However, KUL commissioned an EIA Study in mid-2008 which was completed in February 2009. KUL applied for EC only for a part of the project (KUL will further apply for EC for construction at the rest of the area as and when they progress to that stage) from SEIAA which has been granted to the project on 28th February 2011 (The present EC has been sanctioned for approximately 9 acres). Additionally, KUL in consultation with ADB’s Environmental and Social Safeguards team has also used the screening process recommended by ADB SPS 2009 to determine the category of project in May 2011. Being a slum redevelopment project, the Project has been planned in phases and currently (in July 2011) some phases are under construction while many others are under planning phase.

-

1.2 Conduct an environmental assessment for each proposed project to identify potential direct, indirect, cumulative, and induced impacts and risks to physical, biological, socioeconomic (including impacts on livelihood through environmental media, health and safety, vulnerable groups, and gender issues), and physical cultural resources in the context of the project’s area of influence. Assess potential trans-boundary and global impacts, including climate

As highlighted above, KUL had commissioned an EIA study as early as 2008 when the project was in planning stage. The project has received EC from SEIAA based on the EIA Study completed in February 2009. As a result of the screening process undertaken in May 2011, KUL and the ADB Safeguards team have assigned a Category A with regards to the Social impact classification and Category B with respect to Environmental impact classification to this Project which mandates an environmental and social impact assessment study to be commissioned covering the aspects of SPS 2009. Accordingly, M/s ERM India has been mobilised in June 2011 for comprehensively revising and updating the

The Scope of ESIA study that is currently underway should cover the SPS 2009 requirements as highlighted under column 2 herein.


S. No ADB Requirements Issue and Description of Observation Recommendations change. Use strategic environmental assessment where appropriate.

February 2009 EIA report to address the safeguard requirements of ADB specifically SPS 2009 as also to meet the IFC Performance Standards. The Environmental and Social Impact Assessment (ESIA) study is currently underway and is expected to be completed by September 2011.

1.3 Examine alternatives to the project’s location, design, technology, and components and their potential environmental and social impacts and document the rationale for selecting the particular alternative proposed. Also consider the no project alternative.

This is a slum redevelopment project under the guidance and approval of Slum Rehabilitation Authority (SRA) in the State Government of Maharashtra (GoM). The policies, regulations and directives issued by SRA are binding on KUL with regards to project location, design, technology and components. The proposed project is being developed as an “in-situ resettlement” wherein the rehabilitation will be on the existing project location within the constraints of the relevant regulatory authorities. The EC letter issued by SEIAA in February 2011 highlights the alternative sustainable initiatives proposed under the project (such as water conservation, rainwater harvesting, use of solar energy, onsite solid waste composting etc). The ESIA study will analyse these safeguard requirements of ADB.

The Scope of ESIA study that is currently underway should cover the SPS 2009 requirements as highlighted under column 2 here.

1.4 Avoid, and where avoidance is not possible, minimize, mitigate, and/or offset adverse impacts and enhance positive impacts by means of environmental planning and management. Prepare an environmental management plan (EMP) that includes the proposed mitigation measures, environmental monitoring and reporting requirements, related institutional or organizational arrangements, capacity development and training measures, implementation schedule, cost estimates, and performance indicators. Key considerations for EMP preparation include mitigation of potential adverse impacts to the level of no significant harm to third parties, and the polluter pays principle.

An Environmental Management Plan (EMP) based on February 2009 EIA Study report has been formulated and is available with KUL. However, the EMP needs to be strengthened on following aspects vis-à-vis SPS 2009 requirements: • Mitigation and management measures/ strategies through project life cycle; • Environmental monitoring and reporting requirements; • Institutional or organizational arrangements; • Capacity development and training measures; • Implementation schedule and cost estimates; and • Performance indicators. The scope of current ESIA study is precisely to close the gaps as pointed above and formulate a management plan that meets the requirements of ADB’s SPS 2009.

The Scope of ESIA study that is currently underway should cover the SPS 2009 requirements as highlighted under column 2 here. The Environmental and Social Management Plan (ESMP) to be formulated as a part of this study to cover the gaps identified.

1.5 Carry out meaningful consultation with affected people and facilitate their informed participation. Ensure women’s participation in consultation. Involve stakeholders, including affected people and concerned nongovernment organizations, early in the project preparation process and ensure that their views and concerns are made known to and understood by decision makers and taken into

The EIA report, 2009 did not involve any public consultation or stakeholder engagement and incorporation into the findings. At present, KUL has deployed a team of around 12 Community Relation Officers (CRO) along with a Public Relation Officer (PRO). This CRO team has been working closely in collaboration with elected representative of the local government (Ward Councillor of Pune Municipal Corporation - PMC) who has deployed 6 community members to assist in KUL’s community consultation and interaction process through the project period.

The Scope of ESIA study that is currently underway should cover the SPS 2009 requirements as highlighted under column 2 here. Specifically, include environmental issues and project’s environmental performance into the current stakeholder consultation systems.


S. No ADB Requirements Issue and Description of Observation Recommendations account. Continue consultations with stakeholders throughout project implementation as necessary to address issues related to environmental assessment. Establish a grievance redress mechanism to receive and facilitate resolution of the affected people’s concerns and grievances regarding the project’s environmental performance.

KUL has also developed a Grievance Redressal and Consultation Plan which is being implemented through the CR team at Wadar Vasti and Kilewadi. ESIA study currently underway will also analyse in detail the current systems and procedures and formulate appropriate models to strengthen and scale up current systems to meet ADBs SPS 2009 requirements. No specific evidence of forceful eviction and demolition of hutment without signing of consent/agreement was gathered. In addition, consultations at Kilewadi and Indira Park on the demolition activities indicated that KUL generally complied with norms pertaining to minimizing nuisance from demolition activities. The two key aspects of consultation that would be considered during the Environmental Assessment are: • Socio-economic survey that is ongoing through an NGO, Vatsalya, to capture

demographic, occupational and health status of slum dwellers. This survey will be analysed and assessed to ascertain livelihood impacts in the ESIA;

• KUL has constructed a model, 2 bedroom slum redevelopment flat of 269 sqft (KUL has gone beyond SRA norms in proposing 2 bedroom flat for slum dwellers) to demonstrate the prototype of the flats proposed under the project slum community stakeholders. Slum community is reportedly satisfied with the proposed flat and has suggested some design changes which have been incorporated in the planning phase.

Specifically a stakeholder engagement plan will need to be developed to plan, conduct and monitor consultations in a free, prior and informed manner. Ongoing construction and demolition activity will need to be within the purview of the SEP in order to close out the gaps suggested in this section.

1.6 Disclose a draft environmental assessment (including the EMP) in a timely manner, before project appraisal, in an accessible place and in a form and language(s) understandable to affected people and other stakeholders. Disclose the final environmental assessment, and its updates if any, to affected people and other stakeholders.

EIA Notification specifies that projects screened under Category B2 do not require an EIA study, public consultation and disclosure requirements. Being a building and construction project, this Project has been classified as Category B2. KUL commits to meet the SPS 2009 requirements of ADB with regards to disclosure of ESIA and ESMP documents. The current studies that are under progress will be disclosed to affected stakeholders in an appropriate manner.

Project should discuss with ADB on the extent of disclosure relevant and desirable for the project, its implications for the project, and what part of the disclosure could be for the internal KUL management, and which parts could be for the external audience, including the eligible and ineligible households.. The ESIA being prepared will include the entitlement framework for the project.

1.7 Implement the EMP and monitor its effectiveness. Document monitoring results, including the development and implementation of corrective

The current systems for implementing EMP including Health and safety issues, monitoring, reporting, training and capacity building, auditing and reviewing (including 3rd party audits) is in a very nascent stage and needs strengthening and

The Scope of ESIA study that is currently underway should cover the SPS 2009 requirements as highlighted under column 2


S. No ADB Requirements Issue and Description of Observation Recommendations actions, and disclose monitoring reports. streamlining both at project site level and KUL Corporate office level.

KUL commits to meet the SPS 2009 requirements of ADB in this regard. The current ESIA study will address this gap as highlighted under Sl.No 1.4 earlier. The ESMP that will be recommended will need to be implemented by KUL in the specified time period.

here. The ESMP will then need to be implemented. Proper documentation with regards to monitoring mechanisms as would be suggested in the ESMP would have to be maintained by KUL and disclosed of results with respect to the same have to be disclosed to the concerned parties at regular intervals

1.8 Do not implement project activities in areas of critical habitats, unless (i) there are no measurable adverse impacts on the critical habitat that could impair its ability to function, (ii) there is no reduction in the population of any recognized endangered or critically endangered species, and (iii) any lesser impacts are mitigated. If a project is located within a legally protected area, implement additional programs to promote and enhance the conservation aims of the protected area. In an area of natural habitats, there must be no significant conversion or degradation, unless (i) alternatives are not available, (ii) the overall benefits from the project substantially outweigh the environmental costs, and (iii) any conversion or degradation is appropriately mitigated. Use a precautionary approach to the use, development, and management of renewable natural resources.

Not applicable to the current project as it is located in the middle of Pune City with no ecological sensitivities attached to the site except for hill top and hill slope issues as pointed out by local municipal regulations (Development Control Rules- DCRs). Project commits to comply with the DCRs in developing the site. The slum colony being redeveloped in-situ has been there since 5-6 decades or above. Hence, issue of critical/ natural habitats and legally protected areas does not arise.

-

1.9 Apply pollution prevention and control technologies and practices consistent with international good practices as reflected in internationally recognized standards such as the World Bank Group’s Environmental, Health and Safety Guidelines. Adopt cleaner production processes and good energy efficiency practices. Avoid pollution, or, when avoidance is not possible, minimize or control the intensity or load of pollutant emissions and discharges, including direct and indirect greenhouse

Project has incorporated sustainable pollution prevention and control practices such as the following to name a few: • 50% recycle and reuse of treated wastewater through the use of Membrane

Biological Reactor (MBR) technology aided STPs; • 50% treated wastewater to be recycled for flushing and gardening leading to

water conservation in the long run; • 820 cum capacity Rainwater harvesting systems; • 1.7 tons of wet garbage to be composted onsite using vermin-compost

technology; • Composted waste and STP sludge to be reused as manure in the gardening

The ESMP should address the requirements of SPS 2009 as highlighted under Column 2 here.


S. No ADB Requirements Issue and Description of Observation Recommendations gases emissions, waste generation, and release of hazardous materials from their production, transportation, handling, and storage. Avoid the use of hazardous materials subject to international bans or phaseouts. Purchase, use, and manage pesticides based on integrated pest management approaches and reduce reliance on synthetic chemical pesticides.

and landscaping areas; • Solar lighting for buildings, street lighting and hot water systems proposed in

the project; and • 7300 sqm landscaping and planting of about 400 odd trees around the project

site. The ESIA study will analyse World Bank’s EHS guidelines and other framework documents in this regard and integrate them into project planning and design.

1.10 Provide workers with safe and healthy working conditions and prevent accidents, injuries, and disease. Establish preventive and emergency preparedness and response measures to avoid, and where avoidance is not possible, to minimize, adverse impacts and risks to the health and safety of local communities.

As highlighted under Sl.No 1.7 above, the current systems for implementing Health and safety management systems and measures, monitoring, reporting, training and capacity building, auditing and reviewing (including 3rd party audits) is in a very nascent stage and needs strengthening and streamlining both at project site level and KUL Corporate office level. The H&S performance has been observed to be relatively better at Sale Building construction site than the slum rehab building construction site. There is potential for improvement in the provision and upkeep/ maintenance of labour camps provided at both Sale Building construction site and slum rehab building construction site specifically with regards to camp site location, layout, storm water drainage, washing and bathing facilities, resting rooms with cot, drinking water, sanitary facilities, lighting and cooking facilities etc KUL commits to meet the SPS 2009 requirements of ADB in this regard. The current ESIA study will address this gap as highlighted under Sl.No 1.4 earlier.

The Scope of ESIA study that is currently underway should cover the SPS 2009 requirements as highlighted under column 2 here. As an immediate next step, KUL has proposed to shift the labour camp to a larger location (quarry site) within project site. The labour camps created under the project should be improved upon for the aspects mentioned here. Improve H&S performance at the rehab building construction site at least on par with Sale building construction site in the interim.

1.11 Conserve physical cultural resources and avoid destroying or damaging them by using field-based surveys that employ qualified and experienced experts during environmental assessment. Provide for the use of “chance find” procedures that include a pre-approved management and conservation approach for materials that may be discovered during project implementation.

There are several religious/cultural structures of local significance (such as temples, statues, memorials etc) located in each of the slum blocks around Kilewadi. None of them have any historical or archaeological significance as they have been built by the inhabitants of the slum colony when they moved in here few decades ago. These structures will be rehabilitated under the project layout in accordance to the SRA guidelines on relocation of cultural sites and in consultation with the slum dwellers.

ESMP should provide for effective stakeholder consultation, chance finds procedure etc.

2 Involuntary Resettlement Safeguards The applicability of the ADB SPS SR 2 should be seen in the following context:

• The site on which the proposed Nirvana Hills Phase 2 project will be developed is privately owned and has been leased to KUL which is proposed to develop it as a residential, commercial and slum rehabilitation project under the regulatory framework of the Slum Rehabilitation Scheme;

• The proposed redevelopment is an “in-situ resettlement” that is based on obtaining consent of 70% of eligible families as provided by Government declared criterion of


S. No ADB Requirements Issue and Description of Observation Recommendations 01/01/1995. In addition, all those families that would be declared ineligible to avail of the benefits of the scheme would be shifted on the basis of negotiated agreements between the family and KUL;

• In spite of the safeguards that are provided by the regulatory framework, there are likely to be adverse social impacts on ineligible families and commercial structures in terms of economic displacement, security of tenure, incorporation of expectations of vulnerable sections of the affected people etc. which will need to be mitigated.

2.1 Screen the project early on to identify past, present, and future involuntary resettlement impacts and risks. Determine the scope of resettlement planning through a survey and/or census of displaced persons, including a gender analysis, specifically related to resettlement impacts and risks.

In accordance to the requirements of ADB’s SPS SR 2 on Involuntary Resettlement, the project has been categorized as Category A as over 200 families are likely to be ineligible for accruing the benefits of the slum rehabilitation scheme. KUL has commissioned a Social Impact Assessment study which will include the development of a Rehabilitation Plan to provide a framework for resettlement planning. As a part of this study, a socio-economic survey has been carried out for approximately 4500 families. The socio-economic survey has incorporated indicators such as occupational patterns, health and income profiles in order to understand specific impacts.

2.2 Carry out meaningful consultations with affected persons, host communities, and concerned nongovernment organizations. Inform all displaced persons of their entitlements and resettlement options.

The SRA scheme has an in-built mechanism to carry out consultations and redressal of grievances with project affected families. This includes the provision of individual agreements/consents with families that are agreeable with the development. KUL has involved a local municipal corporator and his welfare officers along with an NGO that is leading the socio-economic survey to facilitate discussions with the slum dwellers. It is also to be noted that these consultations are not documented nor structured as a long term engagement process. KUL is currently supporting this process through a “Community Relations” team which has been deployed at the construction site near Kilewadi. KUL is in the process of developing an entitlement policy for eligibles and ineligibles alike. As clarified with KUL, while eligibility for rehabilitation flats will be determined with SRA, the cut-off for entitlements as per various categories will be on the basis of the date of survey. In the interim, a corporate strategy has been drafted which states that ineligibles will be assured of a home vide “BSUC Scheme”/ RAY (Rajiv Gandhi Housing Scheme) of Government of India. As per the current strategy, reportedly, KUL has shown principal agreement to accommodating non-eligible families. However this strategy is being reviewed/reconsidered internally.

KUL should formulate a clearly stated policy/Company Strategy on the basis of the SIA and Rehabilitation Plan that is being undertaken. This policy should provide clear entitlements under the slum rehabilitation scheme as well as any additional provisions that are being proposed by KUL. The policy should also detail arrangements for transit and issue a statement on their views of dealing with ineligible people. Other non-negotiables of the policy include principles such as replacement value for legally owned affected assets, meaningful consultation, meeting at least the minimum standards for the vulnerable, livelihood restoration among other principles embodied in the ADB safeguard policy.

2.3 Establish a grievance redress mechanism to receive and facilitate resolution of the affected persons’ concerns.

KUL has developed a Grievance Redressal Mechanism which is currently being put in place through the Community Relations team at the construction site and also through other channels such as the municipal corporator and the local NGO. However, it is not clear who among these responds to community concerns and grievances, or if the process is documented and actions are taken. At the transit accommodation and the completed rehabilitation site, a community register is

KUL should strengthen the implementation of the grievance process to become the single centre for the community, onsite labourers and any other stakeholders to come forward with their issues. Although, KUL is tracking grievances at certain level in


S. No ADB Requirements Issue and Description of Observation Recommendations used to log any concerns on maintenance and these are attended to by the KUL representatives.

terms of reporting and maintaining in their CRT office, the addressal and closure of these grievances should be given more priority by KUL and the steps, actions and measures taken are also required to be detailed and documented. Periodically, these documents should be internally audited and validificated. As an additional recommendation, KUL can charter and define clear roles and responsibilities for their community relations representatives and also periodically train them in understanding and handling community issues and grievances

2.4 Improve, or at least restore, the livelihoods of all displaced persons

The proposed Nirvana Hills Phase 2 Project is an in-situ resettlement scheme and hence it is not likely to lead to any significant disruption or impacts on livelihoods. This will be further verified through the socio-economic survey that is being carried out by the NGO. There is likely to be a temporary impact on livelihoods during the transition phase when slum dwellers and commercial shops will be evacuated to transit arrangements. There are a few specific cases where the livelihoods impacts may be significant, and tailored responses to such cases will be developed in the Rehabilitation Plan

Based on that survey, determine the livelihood impacts and develop measures (including compensation if necessary) to mitigate or avoid those impacts, if any through the Social Impact Assessment and Rehabilitation Plan

2.5 Provide physically and economically displaced persons with needed assistance, including the following: (i) transitional support and development assistance, such as land development, credit facilities, training, or employment opportunities; and (ii) civic infrastructure and community services, as required.

KUL has developed assistance in the form of transit arrangements, i.e. (a) accommodation in transit camp; (b) provision of facilities for rent; and (c) transitional/shifting allowance. KUL is likely to put in place other forms of assistance such as programs for women etc however there are no concrete plans in place for the same. As a part of the SRS, KUL will also have to provide adequate civic infrastructure and community services as provided by the SRA guidelines. These include open spaces, community gardens, access to civic infrastructure networks, common rooms etc.

-

2.6 Improve the standards of living of the displaced poor and other vulnerable groups, including women, to at least national minimum standards.

The slum rehabilitation scheme has been developed with the objective of improving the living standards and providing security of tenure to slum dwellers that fall within the eligibility criterion that is defined by the government. The SRS does not provide specific provisions for vulnerable groups such as women and the scheme is designed to be beneficial for the large majority.

The Rehabilitation Plan will examine and provide measures to improve standards of living for vulnerable groups. It is suggested in the Rehabilitation Plan to include mechanisms that will link the


S. No ADB Requirements Issue and Description of Observation Recommendations The Rehabilitation Plan however will examine gender and vulnerability segregated impacts and provides recommendation and potentially develops measures to address the impacts as well as provide longer term support for their welfare and development as necessary.

government basic services with the existing community institutions (self help groups, housing societies, CRT, etc) in ensuring the standard of living of the affected slum dwellers is improved.

2.7 Develop procedures in a transparent, consistent, and equitable manner if land acquisition is through negotiated Settlement to ensure that those people who enter into negotiated settlements will maintain the same or better income and livelihood status.

KUL’s Senior Social and Community Representative leads the process of negotiated settlements with slum dwellers who are not eligible or who opt out of the scheme. These settlements are undertaken through mutual negotiations and there are no specific standards or benchmarks for the same. The settlements involved sensitivities associated with “buy-outs” of structures, negotiations with any slum lords who are among the affected parties and other such considerations.

KUL’s Company Strategy/Eligibility Policy will put in place certain principles to ensure that negotiated settlements will at best provide replacement value and will address specific needs of vulnerable or marginalized groups. This policy will be developed and included in the RP.

2.8 Ensure that displaced persons without titles to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of non land assets.

The project involves people with rights (eligible for the SRA scheme) as well as those without rights (those deemed not eligible to benefit form the scheme). It is envisaged that there are likely to be approximately 500 families (as per estimates by SRA) who would be ineligible. KUL has established a process of buy-out of structures and negotiated settlements. Within the legal framework, KUL will not be allowed to rehabilitate ineligible families for advantage of floor-space-index and hence any rehabilitation will need to be at cost to the Company. KUL is currently in talks with the SRA on accommodating ineligible families through the central government funded “Rajeev Awaas Yojana” which will be put in place through the Jawaharlal Nehru National Urban Renewal Mission (JNNURM) scheme. It will provide interim measures such as rent allowance and one time grant equivalent to what they propose to give to the eligible families.

KUL to define the company strategy on ineligible families and commit to meeting those obligations. The rehabilitation plan which will be developed as a part of the ESIA study will also consider a compensation package for ineligibles and also for temporary disruption of livelihoods as well as any other support that the socio-economic study will assess and recommend.

2.9 Prepare a resettlement plan elaborating on displaced persons’ entitlements, the income and livelihood restoration strategy, institutional arrangements, monitoring and reporting framework, budget, and time-bound implementation schedule.

KUL has commissioned a Rehabilitation Plan for the affected families of the Nirvana Hills Phase 2 Project in line with ADB’s SPS SR2 on Involuntary Resettlement. It is envisaged that the requirements for a livelihood restoration strategy are limited as no significantly adverse impacts on the same are expected due to the nature of the slum rehabilitation scheme.

-

2.10 Disclose a draft resettlement plan, including documentation of the consultation process in a timely manner, before project appraisal, in an accessible place and a form and language(s) understandable to affected persons and other stakeholders.

KUL plans to disclose the entitlement framework under the draft rehabilitation plan to the representatives of the slum dwellers before finalizing the same. In addition, the Rehabilitation Plan will also be disclosed as per the disclosure requirements of the ADB.

-.

2.11 Pay compensation and provide other resettlement entitlements before physical or economic displacement. Implement the resettlement plan under close supervision throughout project implementation.

KUL’s Community Relations team coordinates with slum dwellers with which any negotiated settlements have been undertaken to ensure that their entitlements are provided through legal documents. In addition, KUL also makes sure that slum dwellers provide individual agreements/consents and also agreements for

KUL should ensure that the slum dwellers will be getting property with legal rights within an agreed and specified period of time, safety of tenure and of higher value


S. No ADB Requirements Issue and Description of Observation Recommendations demolition before evacuation/shifting into transit arrangement. Under the provisions of SRA, each family is required to be provided with documents on their property and other registration deeds prior to rehabilitation.

through the scheme in the event of any procedural delay through the SRA.

2.12 Monitor and assess resettlement outcomes, their impacts on the standards of living of displaced persons, and whether the objectives of the resettlement plan have been achieved by taking into account the baseline conditions and the results of resettlement monitoring. Disclose monitoring reports.

As a part of the rehabilitation plan commissioned by KUL, an internal monitoring mechanism will be developed which will determine monitoring indicators to measure and track quality of life as well as specify resettlement outcomes. KUL has hired an external third party monitoring agency that will monitor the implementation of the recommendations of this review and the ESAP that will be agreed with the Lenders. Reportedly, the roll of SRA as the planning authority in the resettlement monitoring process is limited to ensuring that the society formed by the slum dwellers is functioning.

The rehabilitation plan should put in place a regular monitoring process that oversees day to day implementation and which focuses on each phase of the SRS, i.e. demolition & evacuation; construction; shifting into and out of transit as well as post rehabilitation issues pertaining to society formation and operation & maintenance.

3 Special Requirements for Difference Financing Modalities – General Corporate Finance 3.1 Commission qualified and experienced external

experts to conduct a corporate audit of its current ESMS and the company’s past and current performance

KUL has commissioned ERM India Private Limited to undertake an environmental and social safeguards audit in accordance to ADB Requirements in accordance to the scope provided.

-

3.2 If a project involves an upgrade or expansion of existing facilities that has potential impacts on the environment, involuntary resettlement, and/or Indigenous Peoples, the requirements for Environmental and social impact assessments and planning specified in Safeguard Requirements 1-3 will apply in addition to compliance audit.

KUL has commissioned ERM India Private Limited to undertake an Environmental and Social Impact Assessment (ESIA) and Rehabilitation Plan in accordance to the ADB Requirements. The study will develop an Environmental and Social Management Plan which will include specific plans for Demotion, Labour Management, Public Consultation etc.

Establish the ESMP into the corporate Environmental and Social Management Systems to enable monitoring of the same


24

3 CORRECTIVE ACTION PLAN

Table 3.1 provides a corrective action plan to assist KUL in defining necessary remedial actions, budget for such actions and the time frame for resolution of non-compliance to ADB’s Safeguards Statement (2009).

Table 3.1 Corrective Action Plan for Nirvana Hills Phase 2

Measures and/or Corrective Actions Responsibility and Resources Deliverables and Timelines SR 1: Environmental Safeguards Review and integrate ADB’s SPS 2009 requirements in the scope of ongoing Environmental and Social Impact Assessment study such that the ESIA and resultant ESMP document meets the requirements of ADB’s SPS 2009

KUL through ERM India – the Environmental and Social Consultants preparing the ESIA/ ESMP Report for the project.

ESIA and ESMP document meeting ADB’s SPS 2009 requirements. 31st October 2011

Improve upon the quality of labour camps and campsite facilities created under the project for aspects highlighted in the audit

KUL and its Civil Contractors based on various recommendation made in the ESAP before and the current audit report.

Labour camp and campsite facilities meeting ADB/ World Bank requirements. 31st August 2011

Improve H&S performance at the rehabilitation building construction site at least on par with Sale building construction site in the interim

KUL and its Civil Contractor based on various recommendation made in the ESAP before and the current audit report.

Improved housekeeping and streamlined H&S system at Slum rehab building construction site. 31st August 2011

SR 2: Involuntary Resettlement Monitoring of livelihood and demographic indicators on the basis of the socio-economic survey and those to be suggested by the Rehabilitation Plan

KUL Community Relations Team List of monitoring indicators and monitoring plan for the same 31st October 2011

Formulate a policy on entitlements for eligible and ineligible households on the basis of the “Entitlement Framework” of the Rehabilitation Plan

KUL The policy should be vetted after disclosure to the community and finalization by the senior management and will be included in the RP. 31st October 2011

Tracking and monitoring of grievances through a system at the KUL site office in Kilewadi

KUL Community Relations Team An excel sheet document which will be updated on an ongoing basis, and put in a software platform that can be tracked.

Rehabilitation Plan to be developed in accordance to ADB Requirements

KUL through ERM India – the Environmental and Social Consultants preparing the Rehabilitation Plan

Rehabilitation Plan document meeting ADB’s SPS 2009 requirements. 31st October 2011

SR 4: Special Requirements for Difference Financing Modalities – General Corporate Finance Establish the ESMP into the corporate Environmental and Social Management Systems to enable monitoring of the same

KUL and the EHS Team Updated ESMP with specific indicators and targets 30th September 2011

Annex A

Status Update on FMO’s Environmental and Social Action Plan as on 22nd July 2011.

1

Item

Measure and/or Corrective Actions

Deliverable (Report/Measurement)

Status as per KUL as on 27th April

2011

Remarks from ERM based on the Site visit in May

Interim Status Update sent by KUL Remarks from ERM Based on the current site visit

1. Environmental and Social Management System

1.1. Environmental and Social Assessment

1.1.1. Ensure that there is formal approval from the relevant agency at the state/centre level for a phased project development. Ensure all permits like the Consent to Establish are in place before the start of construction. The company should provide regular assurance to the Lenders that it is maintaining the commitment of phased construction and taking all necessary approvals before commencement. Ensure compliance to all permit conditions and the EMP.

Approval letter from the MoEF, Consent to Establish from the state government Compliance reports to the regulatory agencies Internal monitoring and audits.

Environmental Clearance has been received Consent to establish received (dated 8-4-2011)

The necessary local regulatory compliances (Environmental Clearance and Consent to Operate) and permits are now place in case of KUL. Some non compliances vis-à-vis contractor compliance (like labour license and approvals under Interstate Migration Workmen Act) were observed and reported. Compliance to EMP and Consent conditions (CTE and EC) was also found to be lacking especially with respect to waste

Environmental Clearance has been Received. Consent to establish received (dated 8-4- 2011) Labour Licence & Approvals have been taken. For migration of labour adequate certificate is awaited from contractors. Initially the Labour Camp erected was to commence the work on time. Now the permanent Labour camp site has been handed over to the contractor to build permanent labour

ERM validated the same even during the previous site visit back in May. The primary compliances of KUL are in place. There was certain non-compliance with respect to one of KUL’s subcontractor in the Wader Vasti zone where the labour licence was due. The labour licence has been received and approved for a total of 100 labourers in the Wadar Vasti site However, because, most of the labourers are arriving from outside of Maharashtra especially from states like Uttar Pradesh, Bihar, Orissa and West

2

Item Measure and/or Corrective Actions



2011



management, labour camp management, green belt development, monitoring emissions etc)

camp as per standards which will take appx. 3 weeks time as per the contractor near the Wadar Vasti site. However, after visit of ERM in the month of May, Labour Camp management has been established as per the Project Execution plan. A Botanical Development Plan has also been developed for green zoning, and eco housing

Bengal, an interstate migration certificate is required as per The Interstate Migration Workers Act, 1979 which is still pending. Presently there are around 50 labourers being put up in the labour camp which is located neighbouring to the construction site. Certain compliances like those with respect to EMP and CTE has been strengthened but still some issues with respect to waste management especially in the Wadar Vasti (slum rehabilitation buildings and the labour camps) sanitation and hygiene remain.

An inflow of around 400 labourers is expected for which a larger labour camp is being constructed in the quarry site around 200m from the existing labour camp. As per the client a more refined and motivated approach would be initiated while setting up these camps in terms of better accommodation, sanitation facilities, catering etc.

1.1.2. Conduct a socio-economic survey of all the slum dwellers along the lines recommended in the row 5.5 in the gap assessment table. Use the information to determine the quantum of ineligible households, as well as potential livelihood and other

The social baseline and impact assessment, along with management plans to deal with specific issues.

KUL has engaged Vatsalya a local NGO to undertake the socio-economic survey at the HH level. A census survey of all households in the

The proposed schedule for data collection and analysis is delayed. KUL has suggested that the survey will be complete and data complied by 7th of June. ERM is regularly following up on this. The data collection process

The Social Economic Survey along with data entry has been completed

ERM has received the final master database incorporating the data collected during the socio-economic survey carried out by Vatsalya. ERM is in the process of analysing the data and comprehending necessary details and statistics from the same with respect to issues such as (but not limiting to) eligibility/ineligibility, socio economic

3




2011



impacts that would need to be mitigated. The survey will generate data on: • Household demographic

details • Occupations of family

members and key sources of income.

• Location of their workplace and distance form the slums

• Families that are vulnerable- very poor and BPL families, families with very elderly or physically and mentally challenged members, women headed households etc.

• Reason for being eligible/ineligible for the scheme

Based on this survey, a plan to manage the resettlement process can be developed, as well as the project policy and strategy on ineligible families

A full list of eligible and ineligible families.

slum is currently being undertaken. As on date of assessment, Approximately 3800 families have been surveyed. The data sheet (attached as annex) is being entered/collated at KUL office.

and the engagement of the field surveyors with the slum dwellers/households were found to be participative/consultative (involving community leaders, women etc). It remains to be confirmed (and a final opinion on this can be made once the data is analysed) but on first instance and based on sample review the data/information gathered was found to be of reasonable quality (accurate and comprehensive)

status of the society and role of Women and other vulnerable groups. The Socio-Economic Survey forms the foundation and the basis for assessing the requirements and pre-conditions based on which the rehabilitation plan will be formulated. It will provide a clear and more concise picture on the possible no. of families or livelihoods impacted from the development

1.1.3. Develop an integrated Environmental and Social Impact Assessment and management system that close the gaps identified during the review, and become the reference document for the project for environmental and social issues.

An integrated and updated ESIA and ESMP that includes the socio-economic survey findings and management plans.

KUL plans to get the ESIA updated (to close gaps) with the help of an external consultant. The terms of reference (ToR) for this is being drafted by the environment officer of KUL.

The proposed schedule for an updated ESIA and ESMP is delayed by more than 3 months. KUL attributes this to 1) delay in getting the EC and 2) delays in completion of SE survey ERM suggests: 1. The ToR be developed

The contractor has been finalized for ESIA & ESMP. Preparation of ESIA & ESMP is in process. The Final ESIA and ESMP is expected by August 20, 2011.

4




2011



The outcome of the Socio-economic survey will be used to update/integrate the EIA into an ESIA and the current EMP into an ESMP.

by KUL; 2. ToR be reviewed by

ERM; 3. Briefing of ERM to the

agency/consultant 4. Consultants/agencies

short listed and selected;

5. A defined timeline and outcome be defined;

6. The outcome and process be closely monitored

1.2. Management Program (incl. Monitoring and Reporting)

1.2.1. {Addressed under specific Performance Standards, with an understanding that these will fall under the broad category of environment and social management systems under PS1.}

1.3. Organizational Capacity and Training

1.3.1. Form a dedicated EHS team and a Community Relations team. The EHS team will ensure that all regulatory compliances are being met, and that additional, the requirements under PS 1, 2 and 3 are also adhered to. The Community Relations (CR) team will look at the following: • Engagement and working

with the Kelewadi slum

Qualified and experience teams in place for EHS and Community Relations, fully responsible for implementation of the CAP and other recommendations.

A dedicated EHS and Community Relations (CR) team is in place at KUL. The EHS team comprises of Environment officer and a H&S officer. The CR team has 8-9 personnel who are responsible for community interface/engage

Though there are dedicated resources to look after and manage EHS and community issues around there is an apparent gap in the skills/capacities of the team with respect to understanding of the E&S requirements vis-à-vis the international standards. For example aspects like grievance management,

The Grievance Redressal, Registration and Consultation documentation has been established as per suggestions given by ERM from May 2011. The community relation team is now strengthened & working promptly towards handling the slum dwellers with. Consultation /Discussions are on track directly with Respected Chairman/ HOD. "Wadar Samaj Cop. Housing Society" Wadarwasti, elected new executive

The client has implemented and followed on suggestive measures for strengthening the community engagement mechanism. During the monitoring visit, ERM suggested a more strengthened and robust mechanism in aspects of Grievance Redressal, maintaining rent and tenancy registers, field documentation as well as providing support with respect to the demolition procedures an policies. ERM suggests that the CRT needs to

5




2011



dwellers for survey and assessments.

• Engaging with and rolling out programmes for the residents of rehabilitation building, as and when they start settling in their new flats.

• Engaging with the contractors and suppliers to ensure that labour and working condition regulatory requirements as also that required by PS 2 and the IFC Handbook on Labour Management and are being strictly followed.

Approved management plans in place to implement ESMP, resettlement, community engagement and labour and working conditions.

ment, grievance redressal, field documentation etc Apart from KUL’s own team, the Project Management Consultants (Fusion) also has a dedicated H&S officer to look into H&S issues at the construction sites. It was reported that the main contractor (Man Infra) will also have a team of E and H&S officers to look after compliance and site specific issues.

documentation, management of labour camps, PS 2 requirements of labour/contractor management, need and applicability of an ESIA and ESMP need to be better understood and internalised by the team. Contractor capacities also need to be built so that uniform and consistent approach and practices are followed across different sites and projects. The CR team at Wadar Vasti needs to be strengthened to handle community relations and grievance handling issues

body and a General Body Meeting is proposed to be held on July 31, 2011 to approve the resolutions

sustain in using these mechanisms to their maximum effect. The community relations team should also strive in addressing the particular demands and requirements of the more vulnerable sections of the society. A case in point is, during such development initiatives where temporary displacement of people takes place before they are rehabilitated into the new structures, there are certain section of people like the old aged, disabled, widows etc who require additional assistance in being translocated from the one setting to another. The CRT should give priority to these sections and provide additional help when required for asked for. The EHS team and policies of the sub-contractor, Man Infra have been strengthened after the structuring of the Project Execution Plan.

1.3.2. p Training provided to the EHS and CR teams on the regulatory framework for the project, the IFC Performance Standards and the CAP.

Training report and feedback from Trainees.

An orientation session on PS has been delivered to the core EHS and community team. However, training to the management and the larger audience (contractors, utility staff, support personnel

KUL has requested ERM to deliver this training. A suitable date based on KUL’s team availability is being worked out. To be completed by end of June.

Discussed with ERM. ERM will inform KUL, appropriate date for imparting training

The training for the same has been scheduled to be provided by our team on the 9th of August, 2011.

6




2011



etc) has yet to be provided.

1.4. Community Engagement

1.4.1. A consultation plan covering: • the slum dwellers, • the flat residents, and • the employee, contractors

and labour/worker community.

Provision of regular information, seek feedback, and take prompt action on grievances. A mechanism of grievance redressal at the project office, and informing people about this process. KUL should become the repository and single point centre for the community to come forward with their issues. It should be KUL’s responsibility to ensure that the issue is registered, and the complainant directed to the right people to address the issues. It should also be KUL’s responsibility to follow up and ensure that the complaints are responded to as required.

A consultation and disclosure plan Grievance redressal procedure

A broad outline for grievance and consultation plan has been drafted by KUL. The grievance and consultation plan lays down: • an institutional

structure; • procedures/pro

cess; • tracking/monit

oring; • Closure The consultation plan is mainly oriented towards slum dwellers/flat residents and is weak on contractor/labour aspects

The implementation, of the grievance and consultation is reflected in grievance/community registers

The broad outline for grievance and consultation plan needs to be a) detailed and tailored to make it site specific, b) disclosed to the community and other stakeholders and 3) formalised and adopted by the KUL management (so that the process is uniform and consistent across the board) The structure (organisation and people managing it) should be clearly spelt out and a nodal point created/allotted at the site. Contact numbers/details for the responsible persons need to be displayed at different points in the slum. Also the system of logging in grievances and recording consultations need to be streamlined. Follow up on grievances and closure agreements were

The Grievance Redressal, Regsitration of flat residents of Wadarwasti as well as of Kellewadi has been established as per suggestions given by ERM from May 2011. The single point center for Grievance Registration and Consultation is functioning at Wadarwasti and Kelewadi slum. Also a format of such structure is under consideration before management specially involvements of local leaders & the Municipal ward Corpotator of the area.

Need to check on this again.

7




2011



being maintained at the site and complaints being logged in it.

found to lacking at the site. This issue is more relevant at the Wader Vast site where community grievances and issues are more pronounced. Although some of the defined systems for GR handling are there they are yet to be implemented at the Wader Vast site.

2. Labour and Working Conditions

2.1. KUL to ensure that all the requirements under PS 2 are adequately covered and addressed in the Corporate Human Resource Policy, including clearly stated minimum requirements from contractors on labour and working conditions, labour camps, worker safety and compliance to laws. KUL should commit to ensuring that all contractors are compliant to these basic norms defined in their contracts. KUL should commit to ensure that all labour camps in the project will comply with the norms specified in the PS 2, Guidance Notes to PS 2, the building and other

Modified HR Policy incorporating PS2 requirements. Expected standards on working condition, labour welfare and labour camps inserted in the Terms and Conditions section of the Contract documents.

KUL’s HR policy has been amended to include aspects of contractor management and employee grievance handling. The contracts being issued by KUL for different works have specific items on labour compliance, camp (labour) management, social safeguards (insurance, PFs etc). KUL has also highlighted these requirements to the PMC

Though there are written policies and guidelines (with KUL, PMC and the main contractor) for labour and contract management, there were non compliances observed and reported at the site and in the current systems of the contractor. Some of these included: 1. Labour camp

management where issues of living condition, safety, sanitation/hygiene, congestion were observed;

2. Local compliance like labour licenses, approvals under inter

The PROJECT EXECUTION PLAN is documented with the acceptance of PMC, MAN INFRA & KUL Detailed management plan has been incorporated in "PROJECT EXECUTION PLAN

Although the Project Execution Plan does strengthens to a large extent the procedural structure of implementing EHS measures along with providing better resources and working conditions for the contracted workers and labourers, there are still a lot of changes that are desired with respect to the quality of living camps, health and sanitation facilities, and catering. ERM discussed these issues with KUL as well as the on-site sub-contractor. The client and the sub-contractor were forthcoming on taking measures in mitigating these issues. KUL and Man Infra have agreed to implement corrective measures into the camps as well as provide better facilities once the larger, permanent labour camp is setup in the quarry site. ERM did assess a lack of proper documentation for recording identification details, compensation

8




2011



construction worker Act, and the IFC handbook on labour and working condition “Measure & Improve Your Labor Standards Performance”

contractor and the main civil contractors (Man Infra) at the site.

state migrant workers act, qualifies H&S officer (as site is expected to employ over 500 labourers),

3. Lack of on site documentation with regard to approvals/permits, employment, compensation to workers, safeguard/ benefits etc

benefits

3. Pollution Prevention and Abatement

3.1. The Project should review the regulatory requirements with regards to pollution abatement & control and incorporate appropriate control technologies & treatment units as part of design/planning phase ESMP; Solid waste management system should be strengthened at the residential sites. It will need training and awareness building of the Housing Societies as well as coordination between the Housing Society and KUL maintenance team, at least for an initial period. Specific performance indicators for waste management should be

Modified ESMP incorporating all the recommendations. A significant improvement in the waste management performance in the Phase 1 buildings.

The modified ESMP based on consent conditions has yet to be developed by KUL. On the day of the site assessment the contractors were not found to have in their possession of the environmental clearance conditions. Hence the contractors/PMC was unaware of these requirements.

The consent conditions have specific requirements with regard to pollution control and abatement (like emission level, no of DG sets, traffic norms, waste disposal requirements etc have been defined. These need to be incorporated in the EMP and communicated to the contractors. On site improvements on EHS management are required at the construction site. The contractor (Man Infra),

The PROJECT EXECUTION PLAN is documented with the acceptance of PMC, MAN INFRA & KUL SOP has been drafted & submitted before the management for approval Detailed management plan has been incorporated in "PROJECT EXECUTION PLAN The PROJECT EXECUTION PLAN is documented with the acceptance of PMC, MAN INFRA & KUL

9




2011



agreed upon. A detailed demolition management plan should be prepared that will clearly outline the procedure to be followed, safeguards against collapse of weak structures, provisions for movement of people through unsafe sites, access routes, and timelines within which each phase of demolition will be completed. The local residential community should be told about this plan and the precautions they will need to

On site EHS practices and systems were found to be lacking on several aspects. For example unsafe acts and conditions (like water logging in the proposed lift area, scattered iron bars, low overhead clearances, tripping hazards etc) were observed at the construction site. Similarly waste and rubble was found to be strewn across the construction site. A demolition plan (flow chart demonstrating process) and a checklist (pre demolition checklist) have been prepared by KUL and were available at the

the PMC and KUL need to look into specific requirements of 1) the legal consent/clearance conditions and 2) construction management requirements under the PS. On site performance on aspects like PPE usage, sanitation /drinking water arrangement, waste storage and disposal, electrical safety etc need immediate improvement. The demolition plan as its exits is a basic framework and needs to be detailed into a Standard Operating Procedure (SOP) to include clearly defined approach, processes, roles/responsibilities, safeguards, timelines etc. This plan needs to be shared with the community and feedback of the same needs to be incorporated prior to finalisation. The process of demolition is linked to community health and safety, access to

10




2011



take. KUL shall ensure that the new facilities to be constructed are provided with implementable waste management System

site. It was observed that the demolition checklist was filled for each of the structures that were demolished by SRA/KUL

community networks, roads, markets etc. The demolition process and plan should ensure that it does not lead to inconvenience, safety or other risks for the community.

4. Community Health, Safety and Security

4.1. The Risk Assessment and the proposed demolition plan should be disclosed and discussed with the community to appraise them of the risks involved and of the measures being take to minimize those risks

Minutes of meetings held to discuss risk assessment. Revised Emergency Response Plan based on community feedback

Refer to 3.1 on aspects linked to demolition Construction linked community health and safety issues are likely to be significant as construction activities progress and gain full swing. Typically these risks will include increased traffic and noise, waste generation, influx etc. Also aspects like community access and safety due to demolition, land possession by KUL and fencing by tin sheets

The detailed demolition plan should be based on assessment of community risks. The construction process has yet to gain speed and hence there is likelihood of these issues gaining significance in near future. KUL, the PMC and the contractor (Man Infra) should undertake a risk assessment and develop a management plan (to include aspects of demolition plan). The management plan to mitigate potential community risks should be implemented at the construction site.

Demolition process has been communicated to the Community Relation team to discuss the same with slum dwellers as well as Group leaders of Local residents. The draft of detailed demolition plan is under process. The regulatory documentation viz. demolition consent, structure release deed, alternative accommodation agreement are currently being followed

ERM would like to reiterate that demolition is a sensitive process during any slum rehabilitation project. The process should be undertaken in full knowledge, compliance and in agreement after consultation with the community. There was some dissatisfaction with the communication between the CRT and certain sections of the slum dwellers who claimed that the involvement of the client into their grievance redressal was low.

11




2011



(which results in visual and access issues) may result

5. Land Acquisition and Involuntary Resettlement

5.1. KUL to develop a company strategy on this slum redevelopment that will include: 1. Defining the vision for

slum redevelopment that states what is finally expected to be achieved in terms of quality of life of residents, access to amenities and services and arrangements for maintenance in the short and long term.

2. Defining the company’s policy for ineligible families and the options to be provided to them including a compensation package that will allow these families to move into another area and find alternative accommodation,

3. Defining the company’s policy on deal with people not wanting to move.

4. Strategy to safeguard

A formally adopted corporate strategy in place covering policy and actions identified in 5.1

KUL has developed a policy and vision statement which highlights: • KUL’s vision of

slum rehabilitation;

• Strategies regarding eligibilities and entitlements to slum dwellers;

• Strategy for allotment of houses; and

• Formation of societies;

The defined eligibilities under the SRA scheme are made available to the affected slum dwellers. KUL provides

KUL’s corporate strategy for slum redevelopment needs to also include (but not be limited to:

1. Clearly defined policies for non eligible’s (it is understood that this is currently being drafted);

2. Its strategy for dealing with people who are unwilling to move;

3. Strategy for safeguarding land area from encroachments;

4. Role of NGOs/CBOs in community housing and rehabilitation;

KUL’s has processes and systems for compensating ineligible families and these were to a large extent found to

A detailed Policy for ineligible slum dwellers is under consideration and in fact KUL are waiting for some decisions from State Government. The removal of non cooperative slum dwellers is well defined in the SRA Act. Apart from this, we are including it in our Settlement policy. Security measures are in place and the slum dwellers cannot afford any encroachments as it will delay their benefits under the project. The latest Census Survey has sealed the number. Role of NGO/CBO/Corporator included in the Rehabilitation plan which is in the process of Drafting.

Although an initial policy for the ineligibles was formulated by KUL, the same is yet to be documented and substantially incorporated into KUL’ s corporate strategy for dealing with ineligibles. ERM understands that the client is waiting and expecting to inculcate the ineligibles declared in the SRA annexure II into another centrally governed scheme which is the Rajiv Awaas Yojna or RAY. RAY is a centrally implemented housing scheme for the poor which will provide free housing options for the ineligible slum dwellers as well as homeless people who don’t have any form of land holding or ownership. Although RAY is a good strategic option for KUL to adopt, the guidelines and procedural steps governing this scheme are yet to be finalized by the central government. Also, what role the state leadership will play in the same is yet be understood.

12




2011



against encroachers or squatters in the site, as there is a large expanse of area that will be unoccupied.

5. Strategy of allocating houses and

6. Strategy of working with the SRA and NGOs with defined roles and responsibilities.

7. The supplementary socio-economic survey it will it will undertake to develop a socio-economic baseline and impact assessment and use the assessment to develop measures to address livelihood impacts if any and

8. Strategy to mobilize the slum community to form Housing societies and building their capacity to take ownership of the residential site, though co-operation and support from KUL.

support/assistance to the non eligible families (discussed in next section)

be consistent. However, this policy needs to be formalised, adopted and if possible disclosed to the community. Consultations with the KUL team and management indicate a certain degree of discomfort with the disclosure of the policy on non- eligible’s linked to apprehensions of increased financial implications, rise in no of ineligibles staking claims, SRA’s response etc

5.2. KUL should, through its proposed CR team and with external help (of NGOs or CBOs) immediately start on the process of formation of Housing Societies. KUL should explore innovative

Allocation of houses to families in the first building. Community consent to

The process of formation of housing society has been initiated. However, the validation of slum dwellers and their

This aspect is yet to be implemented and will be monitored on an as and when basis

Role of NGO/CBO/Corporator included in the Rehabilitation plan which is under Draft

13




2011



mechanisms and incentives to encourage people to do so. One such an incentive could be priority in shifting to the flats. The technical task of mobilisation and awareness building, training and capacity building (on legal, technical, political and financial management) and monitoring and hand holding support can either be taken on by the in-house Community relations team, or by the partner NGO. Clear performance indicators for the housing society should be set up and evaluated after six to eight months of formation

form Housing Societies Formation of Housing Society Shifting of the first lot of families into rehabilitation buildings Training programmes rolled out to the Housing Societies. Periodic evaluation of the Housing Societies

eligibility need to be done prior to the formation of the society. KUL plans to engage the services of an NGO/CBO to develop community housing and training/building capacities of slum dwellers on high rise living, livelihood restoration, accessing public amenities etc.

ERM consulting services worldwide www.erm.com

ERM has over 137 offices Across the following countries worldwide Argentina Netherlands Australia Peru Belgium Poland Brazil Portugal China Puerto Rico France Singapore Germany Spain Hong Kong Sweden Hungary Taiwan India Thailand Indonesia UK Ireland USA Italy Venezuela Japan Vietnam Korea Malaysia Mexico ERM India Private Limited Ground Floor, Block 3A, DLF Corporate Park, DLF City, Phase-III, Gurgaon NCR – 122 002 India Tel : 91-124-4170300 Fax: 91-124-4170301 Email: [email protected] www.erm.com

ind: pune nirvana hills slum rehabilitation project€¦ · · 2014-09-29environment and social...

Documents