islamic republic of afghanistan - world...

ISLAMIC REPUBLIC OF AFGHANISTAN

Ministry of Rural Rehabilitation and Development (MRRD) and

Ministry of Public Works (MOPW)

National Rural Access Program (NRAP)

THE Environmental and Social Management Framework

(ESMF)

NATIONAL EMERGENCY RURAL ACCESS PROJECT (NERAP)

April 2007

E1704V 2

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TABLE OF CONTENTS

Abbreviations Map

CHAPTER 1: Introduction

1.1 Background 1.2 Overview of the Proposed Project

1.3 Description of Activities of Project 1.4 Need for ESMF 1.5 Structure of ESMF Report

CHAPTER 2: Study Methodology Adopted for ESMF 2.1 Review of standards and statutory provisions 2.2 Assessment of past experience and current condition based

on site visits and community consultations 2.3 Identification of environment and social issues 2.4 Identification of measures to address environmental and

social issues 2.5 Preparation of ESMF

CHAPTER 3: Experience of NEEPRA & NSP Projects and Assessment of Current Condition

3.1 Selection of Sample projects 3.2 Experience of ESMF implementation from earlier projects: 3.3 Assessment of Current Conditions 3.3.1 Socio-economic profile of PAPs 3.3.2 Extent of land width accretion and resettlement impacts 3.3.3 Loss of Livelihood 3.3.4 Verification of landownership and legal provisions for land

transfer 3.4.5 Transparency in process of land acquisition: 3.4.6 Slope stability and erosion control 3.4.7 Drainage

CHAPTER 4: Policy, Legal and Administrative Framework

4.1 Environmental Impact Assessment Regulations promulgated by National Environmental Protection Agency ( NEPA)

4.2 Applicability to NERAP Project 4.3 Forest Clearances 4.4 World Bank Safeguard Policy applicable

CHAPTER 5: Environmental/Social Assessment and Management Framework

5.1 Screening of Sub-projects 5.1.1 Categorization of Inclusion List 5.1.2 Exclusion of Subprojects (E) 5.2 Process to be adopted for Environmental and Social

Screening of subprojects 5.2.1 Preparation of project information document (PID) for

category B projects

5.2.2 Scrutiny of PID

5.2.3 Assessment of Impacts and Categorization of Project

5.2.4 Implementation of Categorised Project.

5.2.5 Monitoring and Audit of Environment Performance 5.3 Anticipated Environmental Impacts from NERAP Sub-

projects and Mitigation Measures

5.3.1 Impact Due to Sitting and Design of the Subproject

5.3.2 Environmental Mitigation Measures (EMMs) 5.4 Social Inclusion Framework (SIF) 5.4.1 Resettlement Framework 5.4.1.1 Impacts and Entitlements 5.4.1.2 Process of Land Transfer 5.4.2 Participation Framework 5.4.3 Monitoring and Audit of Social Inclusion 5.4.4 Grievance Redressal Mechanism

CHAPTER 6: Implementation Arrangement and Schedule 6.1 Implementation Arrangements 6.1.1 Institutional Structure 6.1.1.1 Recommended Institutional Structure 6.1.1.2 Need for National Focal Point Officer in MRRD/MOPW 6.1.2 Roles and Responsibilities

6.1.2.1 Social Inclusion Officer at Kabul PIU (Environmental and Social responsibility)

6.1.2.2 National Social Inclusion Officer 6.1.2.3 Project Engineer /Regional SIO 6.1.2.4 Shura/CDC 6.1.2.5 Coordinator PIU 6.1.2.6 NEPA 6.1.2.7 The Ministries (MRRD&MOPW) 6.2 Training Plan

CHAPTER 7: Guide to Application of ESMF 7.1 Project Cycle: Sub-Project Details 7.2 Guidance for institutionalizing provisions of ESMF 7.2.1 Finalisation of Alignment 7.2.2 Design Specifications 7.2.3 Environmental considerations 7.2.4 Compliance to legal requirements 7.2.5 R&R Considerations 7.2.6 Chance Find of Cultural Property 7.2.7 Integrating Environmental Provisions in bid documents

TABLES: Table 3.2: Common Environmental an Social issues identified Table 4.1: World Bank Safeguard Policies applicable Table 5.1: Environmental Mitigation Measures(EMM) and their coverage Table 5-2: Impact and Proposed Measures Table 5.3: Consultations and Information Dissemination proposed in NERAP Table 6-1: Training Plan Table 7.1: Environmental Mitigation Measures (EMM) and their coverage Table 7.2 Environment Mitigation Measures(EMM) ANNEXURE: Annexure-1:Methodology for Transect Walk Annexure –2: Environmental/Social Checklist for Screening of

Subprojects (Category) Annexure-3: Screening of Sub-projects Annexure-4: Protection of Cultural Property

FORMATS Format 1:Environmental Audit Format Format 2: Public AnnouncementsFormat 3:Alignment Details for Disclosure Format 4: Outputs of Transect Walk Format 5: Sub Project Details Format 6: Verification of Ownership of Land Format 7: Memorandum of Understanding (MoU) for Individuals

Environment and Social Management Framework

Format 8:Memorandum of Understanding(MoU) for Group of Community Members

ABBREVIATIONS

BPL – Below Poverty Line

CDC – Community Development Council

COC – Certificate of Compliance

EP – Entitled person

ESMF – Environment and Social Management Framework

EIA – Environmental Impact Assessment

EMM – Environmental Mitigation Measures

EMP – Environmental Management Plan

GoA – Government of Afghanistan

MoU – Memorandum of Understanding

MRRD – Ministry of Rural Rehabilitation and Development

MOPW – Ministry of Public Works


NEPA – National Environment Protection Agency

NEEP – National Emergency Employment Program

NERAP – National Emergency Rural Access Program

PIU – Project Implementation Unit

EMU - Environmental Management Unit

PID - Project Information Document

PE – Project Engineer

PAP – Project Affected Person

RoW – Right of way

R&R – Resettlement and Rehabilitation

SIF – Social Inclusion Framework

SIO – Social Inclusion officer

WB - World Bank


CHAPTER 1

INTRODUCTION

This chapter describes a background to the proposed NERAP and the need for the Environmental and Social Management Framework (ESMF). It describes the scope, objectives of assignment and outlines the methodology adopted for assessing the impacts.

1.1 Background The Government of Afghanistan (GoA) attaches a high priority to improving rural accessibility and has been promoting the reconstruction of rural access infrastructure since 2002. Originally known as the National Emergency Employment Program (NEEP) this effort was part of the government’s social protection agenda and aimed to create employment while also rehabilitating rural roads. In 2005 an external review recommended to shift the emphasis to the provision of quality rural roads while creating jobs when feasible. GoA accepted this recommendation and the program is now known as the National Emergency Rural Access Program (NERAP) which is being supported by IDA and several donors under the leadership of the World Bank. Since its inception in 2002 under the Emergency Community Empowerment Project, NERAP has rehabilitated about 8,000 km of rural roads throughout the country to an all-weather standard and has connected 3,000 villages. The rural road network is estimated at 30,000 km and the works, to-date, have returned more than 25% of the network to maintainable condition. The program also provided around 13 million labor-days of employment. The program is working in all provinces and is adapting its operations to adjust to the difficult security situation. To reach the target of the Compact, an additional 4,000 km of rural roads need to be rehabilitated over the next three years and included in the maintainable network, resulting in an annual rehabilitation target of 1,350 km. Based on the request from the GoA, WB/IDA together with the government is preparing a new project of $100 million. The objective of the proposed National Emergency Rural Access Project (NERAP) is to provide year-round access to basic services and facilities in rural areas of Afghanistan covered by the project. This will be achieved through a private-sector led development and maintenance


of rural access infrastructure. The achievement of PDO will contribute to enhance well-being and promote equitable economic growth in the country. The PDO is derived from the overarching program objective of NERAP.

1.2 Overview of the Proposed Project The National Emergency Rural access Programme(NRAP) aims to enhance human security and promote equitable economic growth by ensuring year round access to basic services and facilities in rural Afghanistan by promoting local productive capacity, through a private sector led development of physical rural access infrastructure and employment creation for the poor. In doing so NERAP seeks to rehabilitate, reconstruct and maintain essential rural access infrastructure using appropriate labour based approaches thereby creating short term employment opportunities for the rural poor, nation-wide.

The NERAP is executed jointly by the Ministry of Rural Rehabilitation and Development(MRRD) and the Ministry of Public Works (MOPW) with implementation support provided by united nations office of project services(UNOPS) and has been ongoing since mid 2002.From inception and until the end of 2004 the programme was known as the national emergency employment programme(NEEP). In 2005 the focus broadened from that of a primarily employment generation programme to support local sustainable development thorugh improvements in rural access infrastructure. Hence in 2005 the programme name was changed to the national rural access programme(NRAP).

The preliminary project components are:

(a) Rural Road Improvements ($68 million), including rehabilitation and reconstruction of some 2,500 kilometers of secondary and tertiary rural roads. The delivery mechanism will be tailored to the security situation of the area, i.e in the less secure areas community-based contracting will be promoted while in the secure areas, works will be carried out by contractors. The project will aim to promote the development of a professional labor-based contracting industry;

(b) Rural Road Maintenance ($17 million), including setting up of a maintenance system, maintenance programming, and routine and periodic maintenance of already rehabilitated rural roads; and (c) Institutional strengthening, capacity building and project implementation assistance ($15 million), including technical assistance for the realignment of MPW and MRRD, capacity building of staff and contractors, technical audits, M&E, and project management.

1.3 Description of Activities of Project Subproject Activities ¾ The proposed subprojects will rehabilitate and improve the existing road

network (district roads, village roads and very few provincial roads connecting district to province) in the country. These roads are the primary


means of the movement of people and goods in the mountainous hilly as well as plain areas. The improvement work mostly includes strengthening existing roads on existing formation width with minor widening and improvement of shoulders and some new construction. The brief scope of subprojects’ detail activities for each type of roads is as follows.

a) District Roads ¾ The existing condition of district roads is poor. The average carriageway

width varies from 3.75 m to 4.0 m. The existing traffic is low in these roads. In some sections, the road is completely deteriorated, and undulations and poor surface quality were observed on most of the roads. The existing shoulders are very weak and roadside drainage is poor.

¾ The following provisions are adopted in the design: (i) Design Speed (the most important) (ii) Topography (iii) Design Vehicle (iv) Design Traffic in peak hour (v) Environmental and other factor.

¾ Roads more or less follow the existing alignment and profile. Change in alignment is usually protested by the local community on environmental and loss of land ground. Local depressions are corrected by BM/WBM/GSB.

b. Village Roads ¾ The existing condition of village roads is very poor. Most of the roads have

poor riding quality with surface undulations. In some sections, the road quality is non-motor able. The existing traffic is very low on these roads. Roadside drainage is also very poor.

¾ The following arrangements are adopted for village roads : (i) All construction works will be carried out by labour means so as to generate employment for local people. (ii) Pavement composition in reconstruction stretches will follow the existing adjoining pavement crust, subject to the minimum requirements stated above. (iii) V-shaped drains are generally provided in specific terrain. (iv) Usage of locally available suitable materials will be maximized.

¾ There is no standard carriageway width defined for village roads Program Schedule The proposed NERAP will be implemented through 34 projects over a period of 4 years.

1.4 Need for ESMF The subprojects proposed in the NERAP project are generally expected to have “low environmental impacts” except in the case of district road projects and


district to province road projects belonging to MOPW/MRRD, since most of the investment program roads are small in terms of physical intervention scale. However, they could generate short-term and immediate impacts, environmental as well as social, associated with construction works. Environmentally responsible designs should be adopted to avoid unnecessary disturbance to human settlements and important ecological communities. The country’s legal and institutional framework is not mature enough to ensure that the investment program is implemented in an environmentally sound manner. Enforcement and resources need to be strengthened. Since the program is being supported by the World Bank, its safeguard policies requirements are to be met with. In the absence of any specific guidance on management of environmental impacts due to these subprojects, and to satisfy the World Bank’s safeguard policies, the NERAP PDCU has initiated the preparation of the Environmental and Social Management Framework to streamline environmental considerations in project planning, design and implementation and towards enhancing the assessment and management of social issues in NERAP planning and implementation. The specific objectives of the ESMF study are to:

�� To augment the capacity of the program implementing agencies in managing environmental and social aspects of Rural Access Programs. Previous projects and the current project have on many occasions faced several environmental and social problems which could have been avoided with a sound environment and social management framework.

�� To instutionalise various operational guidelines of the World Bank Safeguard Policies in the NERAP Project.

�� To provide a platform to NEPA for implementing its newly framed Environmental Impact Assessment (EIA) regulations on case to case basis and set out for internal capacity enhancement on managing environmental and social issues related to road projects.

�� To assess the environmental and social impacts of the NERAP subprojects within a systematic framework.

�� To recommend how the preparation (planning and design), implementation and supervision arrangement might be enhanced, and how any identified environmental and social risk might be mitigated including recommending capacity augmentation within the PIUs and the implementing ministries to manage the environmental and social issues adequately.

The ESMF comprises of the following safeguard instruments: �� Social Inclusion Framework (SIF), and �� Environmental Mitigation Measures (EMM)/Environmental Management

Plan (EMP) 1.5 Structure of ESMF Report


This ESMF report has been structured as follows:

¾ Study Methods: Discussing the process adopted in preparation of ESMF

¾ Experience of earlier projects and Assessment of current conditions: Experience of implementing ESMF in earlier projects such as NEEP, NSP and assessment of current condition.

¾ Legislations & Policies: GoA regulations applicable to the sub-projects

¾ Environmental/Social Assessment and Management Framework: Environment Management and Resettlement and Participatory tools

¾ Implementation Arrangements: Suggested for addressing environmental / social issues, and

¾ Guidelines to application of ESMF


CHAPTER 2

Study Methodology Adopted for ESMF

2.1 Review of standards and statutory provisions The existing procedures and guidelines adopted for the NERAP planning and implementation including the provisions for addressing environmental and social issues in the program was reviewed. Past experiences of implementing environmental and social safeguard measures in programmes like NEEP and NSP were also reviewed on limited basis since not much information was available for these projects. The capacity of executing agencies and the MRRD, MoPW towards implementation of the environmental and social measures was also assessed. There is no standards existing in Afghanistan for Rural Roads Design and hence they could not be appraised to assess the addressal of environmental and social issues and identify any scope for modifications to minimize impacts on communities and on environment. The existing legislations with National Environment Protection Agency (NEPA) pertaining to environmental clearances were reviewed. 2.2 Assessment of past experience and current condition based on site visits

and community consultations To assess past experience of implementing NEEPRA and NSP and also to identify the environmental and social issues arising out of the current practices adopted for planning and design of the sub-projects, the environmental and social conditions along a few project roads were assessed. This selection of subprojects has been carried out to represent the environmental and social characteristics of the different areas. Within these areas, sub-projects in different stages of implementation were selected in consultations with the regional PIU officials. These included sub-projects already implemented, sub-projects under implementation and proposed sub-projects. During these visits, consultations through group discussions with communities, contractors, community mobiliser and CDC/Shura members were conducted to understand their perceptions and needs.


2.3 Identification of environment and social issues Based on the assessment of current conditions and the review of the existing regulations/standards, the issues pertaining to addressal of environmental and social aspects in the project and consequent impacts were identified. Critical issues on the various environmental components and issues pertaining to land acquisition, asset loss and resettlement were identified in general for the NERAP project 2.4 Identification of measures to address environmental and social issues:

¾ Tools for addressing environmental / social issues

Tools for addressing environmental and social issues were identified based on experiences and review of good practices in management of environmental and social issues in rural roads projects in similar condition as that of Afghanistan. The options were selected based on their applicability to the project, traditional sensitivity of the local community and availability of know how for implementing the measures.

¾ Consultation with stakeholders to finalize options

Towards finalisation of the tools for addressing the environmental and social impacts, a daylong workshop was conducted in secretariat of PDCU at Kabul. The participants included officials of MRRD, MOPW, PIU,WB and regional PIUs. These workshops provided key inputs for finalising the ESMF . 2.5 Preparation of ESMF The environmental and social management measures finalized through the stakeholder consultation meeting were integrated into formulation of the Environmental and Social Management Framework. The ESMF addresses all environmental and social issues taking into consideration the WB Operational Policies and Safeguard Requirements, apart from the legal requirements of the Afghanistan Government through NEPA. The ESMF will facilitate the executing agencies to follow a process of project planning to tailor a project as per the local conditions. The safeguard instruments that have been developed as part of this ESMF are (i) Exclusion list of projects which will not be supported under NERAP program owing to their high environmental and social sensitivity,(ii)Environmental Mitigation Measures(EMM)/ Environment Management Plan(EMP) and (ii) Social Inclusion Framework (SIF). In addition, criteria for screening of roads for environmental and social impacts have been worked out.


The social issues will be addressed through a participatory mechanism (Community Planning) involving the village level community and Shura or CDC at each stage of project implementation. Through Community Planning, the village level social issues such as finalisation of alignment giving due consideration to aspects of road safety and scope for future development along these Road Alignment, etc shall be addressed.

CHAPTER 3

Experience of NEEPRA & NSP Projects and Assessment of CurrentCondition

The experience of earlier projects namely NEEP and NSP; assessment of current conditions and identification of the environmental and social issues in the sub-projects have been based on site visits and consultations with community, project implementation unit, project engineer, social inclusion officers and contractor. A detailed discussion on each of the environmental and social components is presented in this report on Current Conditions.


3.1 Selection of Sample projects: For the study, a representative sample of 8 projects has been chosen based on the nature of project as past, ongoing and planned. Selection process ensured that environmental and social characteristics of different regions and modus operandi of level 1 and level 2 contracts are represented through these projects. The projects identified for study were finalized by MRRD amd MOPW after discussion with UNOPS. The project selected are presented in table 3.1 below:

Table 3.1:Sample Project Survey S.N. Project name Implementing

agency Type

1. Panjshir main road to Darkhil bridge,rehabilitation of 1.1 km

MRRD Level 1

2. Farza RCC Girder three span bridge MoPW Level 2 3. Mirmasjidi to Pule Moghlan road MRRD Level 2 4. Khame Zargar to sarband Road str MRRD Level 2 5. Rehabilitation of sayad to Gul dan and Shah Baz

Khel to deh Bab Ali Bazar with 3 km extension from Gul dan to Hospital

MoPW Level 2

6. Kadula Village road MRRD Level 1 7. Kabul Parwan highway to Shakardara Bazar MRRD Level 2

8. Rehabilitation of Bagram Asphalt road from bagram airbase asphalt road to sayad RCC bridge (12 km)

MoPW Level 1

Selection of roads for the visit: Following type of roads were visited for assessing current condition.

�� Construction of all weather roads to provide for the new connectivity to unconnected settlements

�� Up gradation and widening of existing earthen tracks �� Widening of existing roads �� Surface treatment to existing roads

3.2 Experience of ESMF implementation from earlier projects: The NEEPRA and NSP programmes had provisions for implementing environmental and social management framework for handling distributional environmental and social impacts of the subprojects. The NEEPRA projects being among the first developmental projects in Afghanistan, had least chances of experimentation with good practices owing to emergency nature of the project and lack of commitment from the implementing agencies. Additionally, various sub-projects of NEEP did not have much adverse environmental and social issues , rather they were for improvement of the existing environmental and social aspects related to roads. Most of the road projects were kept limited to treatment and widening of the existing paths with overall emphasis on generating employment for the local community. ESMF prepared earlier was not


integrated with the process of road project preparation and no one including the project coordinator of NEEPRA really had idea of the existence of this document. NSP, on the other hand is supposedly a popular programme from social development point of view. Implementation of ESMF in this programme has seen some success but only to the extent that formats and checklists are being filled in the by the project executing authorities. Large number of sub-projects under this project require detailed study for assessing the effectiveness of existing ESMF and checklist in terms of making real impact practically. However, general perception observed during several consultations with stakeholders suggest that generally there has been no serious effort put in by PIUs of both programmes, for mainstreaming environmental and social management with operational manual and project specification documents. Although there exists a social inclusion manual but that deals more in employment generation issues at level 1 contract and less in managing environmental and social issues spilled over by the projects that have serious potential of becoming a problem in future if not handled well now. Absence of effective implementation arrangements vis-a-vis institutional framework, reporting arrangement, monitoring and documentation and training has pushed back most of the associated issues except building roads at any cost since that is the priority of the government in war ravaged Afghanistan. 3.3 Assessment of Current Conditions: The assessment of current conditions and identification of the environmental and social issues in the sub-projects have been based on site visits and consultations along 8 subprojects in the Kabul region. Issues are presented in the following sections: 3.3.1 Socio-economic profile of PAPs The community consultations and interaction with project engineers indicated that majority of the landowners along the Road Alignment visited have agricultural lands and orchards as their main source of livelihood. It is difficult to estimate PAPs condition vis-à-vis marginal land holding and poverty since socio economic profile has not been assessed to identify the extent and severity of impacts owing to land width accretion. There has been willing transfer of assets, even by the vulnerable groups. As revealed during community consultation, there has been no effort undertaken on documentation of displaced person or loss of livelihood/asset due to the project. The PAPs are predominantly involved in agricultural activity, animal husbandry works and petty business activities. General perception suggests that along majority of the road Alignment, the average land width required for donation has been small without marginalizing any of the landowner’s. However, lack of documentation lead to unavailability of


even tentative information on average land width acquisition on voluntary donation.

3.3.2 Extent of land width accretion and resettlement impacts have not been considered to be a significant issue as the subprojects have been proposed only along the existing tracks. Improvements are generally accommodated within the available land. Average Land width accretion size is not known. No formal process of land transfer has been adopted, consultation with communities indicated an acceptance of the process of donation verbally. In some cases, voluntary donation is largely driven by the tradition of obeying the instruction of mosque Mullah and/or head of the community. During community consultation, it was revealed that some PAPs even did not remember when was their land donated to the projects and how was that done, suggesting that voice of community head is binding on everyone even if one is unwilling to part with the land. Further, in fertile areas of lower hill and valley, farmers are not willing to part with their land unless they are made to do so under community tradition. Resistance of local community donating land for the project roads is a issue of concern. In region of hills, majority of land is under orchards plantation and hence uptake of land is likely to cause some loss of income due to the cutting of trees. Clearing road encroachment at many places has resulted into loss of livelihood of those who were removed from the encroached areas. Initially such people are hired by the contractors but owing to small scale of project activities, these people become jobless after sometime and it becomes difficult for them to earn income thereafter.

3.3.3 Loss of Livelihood: In most of the subprojects, since the land requirement is marginal, none of the PAPs are displaced. There is insignificant loss of livelihood to the agricultural farmers. However, on some Road Alignment, loss of livelihood issue has been faced by people especially on the alignments passing through towns and districts.

3.3.4 Verification of landownership and legal provisions for land transfer:

There has been no verification of ownership of land impacted or likely to be impacted. Formal documented provisions for land transfer have not been accounted for during alignment finalization and donation of land.

3.4.5 Transparency in process of land acquisition:

The dissemination of project information among the community is usually not undertaken prior to approval of the project. Community consultations for land donation is started after the project is approved and this sometimes forces changes in the alignment, reduction in width, etc owing to non availability of required land width. Land has been acquired on voluntary donation basis without following and standard national norms, although resistance to voluntary


donations from the community is quite common. There are no compensation measures for people who are affected by the loss of their land.

3.4.6 Slope stability and erosion control:

Since most of the subproject areas are characterized by loosely bound soil on vast track of open lands/hilly terrain and clay brick buildings, landslide and soil slips are key concerns of slope stability and erosion control. Lack of slope protection measure and slope stability/erosion is a common phenomenon, especially at high embankment.

3.4.7 Drainage:

Absence of drainage structure or inadequate drainage structure is causing water logging along the Road Alignment and in surrounding damaging road as well as clay structure alongside roads. Borrowing along roadside seems to cause water logging in the borrow pits presenting problems of soil erosion, soil slips and health hazards.

Table 3.2: Common Environmental an Social issues identified

S.N. Issues

Social issue 1 Local community is not involved in planning the road size, width etc. 2 Delay in completion of projects resulting in discomfort to local

community and sometimes law and order problem owing to disputes between community and contractor (where contractor is involved)

3 Extent of compliance to existing legal process/constitutional provisions-land transfer, land tenurial rights, etc

4 Non involvement of affected communities prior to project finalization 5 Process of land transfer, documentation and disclosure process not

streamlined 6 Assessment of extent and magnitude of impacts (loss of livelihood,

vulnerability) 7 Notice before initiation of civil works 8 Lack of disclosure of information to local community 9 Poor quality of work owing to lack of trained community contractors

and project supervisors 10 Lack of financial provisions for land uptake and loss of assets 11 Damage to common property alongside road due to wrong


alignment/construction methods Environmental

1 Scheduling of construction without consideration of climatic factors. Sometimes half done work before rainy season causes problem to community till the season is over and work is completed

2 Inadequacy of Road side and Cross drainage leading to water logging 3 Tree cutting and absence of plantation measures. Soil erosion is

common everywhere in any region 4 No concern for Occupational health and safeguard of workers, traffic

safety and public safety during construction 5 Borrow pit local and rehabilitation 6 Road Debris disposal 7 Slope failure, landslips, etc 8 Poor Road quality owing to design fault and bad construction quality 9 Environment/asset damage during road construction due to poor

alignment without involving local community and proper transect walk


CHAPTER 4

Policy, Legal and Administrative FrameworkLegislations of Government of Afghanistan (GoA), applicable to NERAP projects regarding environmental and social aspects are as described below. 4.1 Environmental Impact Assessment Regulations promulgated by

National Environmental Protection Agency ( NEPA)

As per the EIA regulation of NEPA, the transport projects are categorized as A and B activities depending on following features of the transport project: (i) Activity A: National or provincial highways or major roads with a total cost of 800,000 US dollars, or more with the exception of maintenance, rebuilding or reconstruction of existing roads. (ii) Activity B: The construction or upgrading of national or provincial highways and roads (except maintenance, rebuilding or reconstruction of existing metalled roads) with a total cost of less than 800,000 US dollars. However, there are another two categories of activities to which provisions of EIA regulations of NEPA are applicable, NERAP subprojects may fall in these categories: (iii) Activity creating adverse Impact on Environmentally Sensitive Areas:Activities likely to have significant adverse impact on the environment of the area that has been determined by NEPA to be an environmentally sensitive area (iv) Prohibited Activity: Any other activity that is likely to have a significant adverse effect on the environment and which is determined by NEPA to be a prohibited activity.

For above mentioned category of projects, project proponent will have to take “certificate of compliance” from NEPA after making application and fulfilling the statutory requirements of NEPA.

4.1.1 Applicability to NERAP Project It is important to note that the most of projects belonging to NERAP programme are rebuilding or reconstruction of village, district and province roads type and do not belong to construction/upgrading of national, provincial or major road category and hence NEPA’s requirement of “certificate of compliance” is not required. Therefore, all sub-projects are exempted from the requirement of “certificate of Compliance “ from NEPA. However, where there is possibility for new construction of district roads and provincial roads, and roads in environmentally sensitive areas as may be defined by the authority in future, NEPA provisions related to EIA regulation will be applicable.


4.2 Forest Clearances At present there is no statutory requirement in the country vis-à-vis forest clearance. 4.3 Legal framework for Land Acquisition in Afghanistan Land acquisition, wherever required for subproject activities of NERAP programme will be under taken as per the provisions of Afghanistan’s current Expropriation Land Law, enacted in 2000 and Legal Framework for Land Acquisition in Afghanistan June 2007. The process will be further amended to meet the requirement of the Land Policy 2007 in Afghanistan which has been placed before cabinet and National Assembly for approval.

4.4 World Bank Safeguard Policy applicable:

The WB safeguard policies applicable and their safeguard in the ESMF are detailed below in Table 4.1.

Table 4.1: World Bank Safeguard Policies applicable S. N.

World Bank Policy

Applicable due to Addressal by ESMF

1. Environmental Assessment OP 4.01

� Village road projects are likely to have impacts on environmental and social components as on water bodies, existing slopes in case of mountainous and hilly areas and on trees along the road

� Implementation of Environmental Mitigation Measures/Environmental management Plan(EMP)

� Social Inclusion Framework(SIF) for addressal of the environmental and social issues

2.

Involuntary Resettlement OP 4.12

� Project involves affect on assets and livelihood, impact on people belonging to ethnic and religious community.

� Preparation of SIF to address social impacts through enhanced community participation and providing options to mitigate losses


3.

Religious/ethnic groups and groups constituting minorities at local level

� Project involves impact on people belonging to ethnic, religious and minority community.

� Provisions to ensure that all projects have equity across religious/ethnic groups and inclusion of groups constituting minorities at local level

4.

Natural Habitats OP4.04

Project entails a few alignment through natural water bodies.

Preparation and Implementation of EMP.

5. Forests OP 4.36

The project doesn’t envisage any intervention inside the reserve forest or protected forest as they are in the list of excluded areas. This issue will not be triggered by subprojects

Not triggered

6. Cultural Properties OP4.11

The project entails risk / damage to cultural properties and has likelihood of finding archeological properties

Provisions made for relocation of cultural properties and protection of the same under the “Law on Preservation of Afghanistan's Historical and Cultural Heritage (Official Gazette, 2004)”.

Disclosure: The project will comply with the Bank procedure, BP17.50 on disclosure. Disclosure will be carried out at all stages of the project i.e. at planning stage, project preparation stage and implementation stages. At the planning stage, extensive disclosure of provisions of ESMF will be made to stakeholders through information dissemination stakeholder workshops at Kabul and province level. These workshops will pave the way for sensitization of communities about their environmental and social safeguard measures thus involving them in making NERAP project an environmentally and socially sustainable project. Consultations will be conducted by the PIU team with the community through the Shura/CDC at project preparation and implementation stages.


CHAPTER 5

Environmental/Social Assessment and Management Framework

Environmental and social safeguard measures Options to address the various environmental and social issues identified have been worked out based on review of good practices and requirement of compliance with the legal provisions. The analysis of options enabled the identification of measures to address the environmental and social issues. The measures have been finalized through stakeholder consultations, wherein inputs from the stakeholders including the executing agencies, line agencies and National Environment Protection Agency(NEPA) enabled the finalisation of the suitable measures. The measures stipulated in this document are implemented by the both ministries of MRRD and MoPW.

5.1 Screening of Sub-projects A screening and review process for identification of sensitive sub-projects with respect to environmental/social issues has been worked out. The screening exercise will be carried out by the PIUs in consultation with communities (to ensure that minority groups are not excluded) prior to initiation of the project preparation activities. The screening exercise will be used as a tool to identify the severity of impacts of environmental and social issues, and thereby integrate their mitigation measures into the project preparation accordingly. The screening criteria include: Environmental factors such as;

• Sensitive areas, natural habitats, other state declared sensitive areas • Felling of trees • Clearance of vegetative cover • Loss of productive agricultural land • Cuts across perennial streams or surface water bodies • Vulnerability to natural hazards, land slides/slips, soil erosion and, • Environmental features as wet lands, protected ground water zone, etc

Social factors such as; • Land availability • Loss of structures • Loss of livelihood • Impacts on common property resources

Severity of environmental and social impacts differs with location. Though most of the environmental impacts will be addressed through predetermined mitigation measures by means of environment mitigation measures (EMMs), at some ecologically and socially sensitive locations it may not be possible to


address all impacts through predetermined EMMs. Subprojects in such location shall require additional analysis and mitigation measures. Screening criteria have been developed for classification of the sub projects into three categories, based on the likely extent and nature of environmental and social impacts. The screening exercise shall be carried out by the PIU prior to selection of the subproject. The screening shall provide information on

•Categories of sub-projects and inclusion in the project •Categories of sub-projects to be excluded in sensitive areas through exclusion criteria

5.1.1 Categorization of Inclusion List: ¾ For inclusion screening purposes, the sub-projects shall be classified in

accordance with NEPA’s (GoA) and WB’s environmental assessment guidelines, as category A and category B project.

¾ For each category “A” subproject, an EIA including an environmental management and monitoring plan is required. For each category “B” subproject, EMMs or EMP is required.

¾ Category “A” subproject will not be funded under NERAP program under normal circumstances and hence they have been put in exclusion list for NERAP program. Exclusion list is explained in following section. If, owing to unavoidable circumstances, category “A” sub-project is decided to be included in the program then a detailed environmental Impact Assessment (EIA) study along with R&R plan preparation will be undertaken by PIU through a qualified agency. Such sub-project will have to comply with NEPA’s EIA regulation and WB’s safeguard policies. Following triggers will be used for category A subprojects:

o Subproject falling in exclusion list o Subprojects with project cost more than 800,000 US Dollars o Subproject passing through ecologically sensitive areas as declared by

NEPA ¾ Road upgrading and rehabilitation subprojects that do not fall under the

above classification are classified as “B” subprojects. Since majority of NERAP projects are of rural and district roads type, category B projects are further classified into following low and medium impact projects, for better and fast application of environmental and social safeguards as mentioned in this ESMF

(i) Environment:

Low Impact Sub-Projects (L):The environmental impacts will be of the type normally associated with standard rural road rehabilitation/ reconstruction. Where the expected impacts are small in scale, and can be mitigated through standard measures suggested in the Environmental Mitigation Measures(EMMs).


Medium Impact Sub-Projects (M): Where impacts are larger and complex than Category ‘L’ projects requiring specific intervention, such as new construction projects, project in/adjacent to areas that are declared environmentally sensitive areas by NEPA or that have sensitive environmental features like passing through natural water bodies, flood prone areas, etc. there by requiring additional analysis and site specific environmental management plans. In such cases EMP will be prepared as part of Project Document(PD). The following aspects will be considered as triggers for the Medium impact sub-projects thereby requiring preparation of EMP,

(a) Impacts on natural habitats, (b) Vulnerability to natural hazards, land slides/slips (c) Projects adjacent to(within 500 m) the environmentally

sensitive area as declared by NEPA or areas as detailed out in exclusion list for this ESMF, and

(d) Projects in flood prone areas. In addition to the preparation of the EMP for such projects, the PIU

will undertake the particular road improvement in compliance with the statutory provisions for Environmental compliance by NEPA.

(ii) Social:

Low Impact Sub-Projects (L): �� Trigger: The extent of the requirement for land width accretion is

not significant and there is no or negligible impact on structures or loss of livelihood.

�� Any extra land taken in such sub-projects for the proposed improvements will be through a community planning enabling a transparent process of land transfer and alignment finalisation aslaid down in the Social Inclusion Framework (SIF). This will involve community and village level government body (Shura/CDC) participation in finalising the land requirement and alignment finalisation giving due consideration to aspect of land, safety and scope for future development along the project Road Alignment. Despite of community consolations as mentioned above if required impact assessment will be carried out to make sure that the Project Affection Persons (PAPs) somehow compensated.

¾ Medium Impact Sub-Projects (M):

o Triggers: Sub-projects, wherein there is a potential for reasonable loss of land/assets and common properties.

o Prior to initiation of the project preparation activities of such subproject, PIU through community involvement will prepare


R&R plan and land transfer process, which should be acceptable to the affected people.

o However if it found that there is a resentment of the communities towards the process of land transfer and R&R plan for the project. In such cases, the PIU through community planning will work out alternative alignments, design modifications to address social issues also taking into account aspects such as road safety and scope for future development.

o Sub-projects where no scope exists for addressing the resettlement impacts through any of the mechanisms suggested in the SIF will be called as High impact project not to be taken up during that particular year and put in exclusion list.

o For such roads, the PIU will decide not to go forward with the proposed road improvement through a written communication to the Shura/CDC stating the reasons, and no further analysis or investigation will be undertaken. Such roads will be taken up in subsequent phases of the project, only after these issues are resolved by the communities /Shura/ CDC and there is a formal demand for the project to the PIU from the Shura/CDC as per the NERAP guidelines.

5.1.2 Exclusion of Subprojects (E): The exclusion criteria have been worked out to identify activities that would result in serious environmental/social impacts and hence will not be considered for the NERAP project. Such subprojects shall include: ¾ Projects involving significant conversion or degradation of critical natural

habitats. Including, but not limited to, any activity within: • Ab-i-Estada Waterfowl Sanctuary; • Ajar Valley (Proposed) Wildlife Reserve; • Dashte-Nawar Waterfowl Sanctuary; • Pamir-Buzurg (Proposed) Wildlife Sanctuary; • Bande Amir National Park; • Kole Hashmat Khan (Proposed) Waterfowl Sanctuary

¾ Road passing through designated protected areas, as Reserved forests, Protected forest

¾ Project will significantly damage non-replicable cultural property, including but not limited to any activities that affect the following sites:

• monuments of Herat (including the Friday Mosque, ceramic tile workshop, Musallah complex, Fifth Minaret, Gawhar Shah mausoleum, mausoleum of Ali Sher Navaii, and the Shah Zadehah mausoleum complex);

• monuments of Bamiyan Valley (including Fuladi, Kakrak, Shar-I Ghulghular and Shahr-i Zuhak);


• archaeological site of Ai Khanum; • site and monuments of Ghazni; • minaret of Jam; • mosque of Haji Piyada/Nu Gunbad, Balkh province; • stupa and monastry of Guldarra; • site and monuments of Lashkar-i Bazar, Bost; • archaeological site of Surkh Kotal.

¾ Project requires involuntary acquisition of land, or the resettlement or compensation of more than 200 people.

¾ Roads types other than “province to district/district/village roads”

5.2 Process to be adopted for Environmental and Social Screening of subprojects

Subprojects in category “A” under unavoidable circumstances will be dealt with at PIU Kabul level for getting EIA study done and for meeting NEPA’s regulatory provisions. Such projects will be identified at PIU Kabul while screening subprojects through Exclusion list or by the cost of project being more that 800,000 US Dollars. Sub –projects of category B are to be screened for impacts and categorized as low and medium impacts as suggested in the previous sections. Mitigation measures shall be prepared as per the process detailed in the following sections. 5.2.1 Preparation of project information document (PID) for category B

projects: Since road alignment selection is done by PIU, it will screen subprojects through exclusion list first. Once cleared from exclusion list , PIU will give go ahead to regional project engineer for starting enrolment process. Before finally enrolling a subproject Project Engineer (PE) shall prepare a Project Information Document (PID) based on reconnaissance survey of the area and transect walk, providing in brief, details of the sub-project essentially containing information about type, nature, location and scale of operation and also in reference to guidance note for transect walk(as per annexure-1) ,environmental and social checklist(as per annexure-2). In addition, a layout of the area and location plan showing the information relevant to the nature, scale and area of operation shall be appended with it. Approval of the Project Information Document by PIU Kabul shall be a prerequisite for the enrolment of a sub-project. 5.2.2 Scrutiny of PID


The PID shall be scrutinised by the Regional Social Inclusion Officer concerned with the site. After verification and authentication the regional SIO shall forward the PID to the National Social Inclusion officer at Kabul. 5.2.3 Assessment of Impacts and Categorization of Project The National SIO shall utilize the information available in the PID to categories sub-projects into, “Medium Impact “ and “Low impact” projects. Sub-projects after categorization shall be forwarded to the PIU coordinator for review and approval of PID. However, revision and modification of the categorization is possible by PIU coordinator in consultation with National SIO. National SIO shall also verify project document (PD) to ratify incorporation of provisions of EMM/EMP/NEPA regulatory provisions into the main project preparation document. 5.2.4 Implementation of Categorised Project. Environmental Issues: Low Impact: Sub-Projects categories as “Low Impact” shall be issued a list of environmental considerations as mentioned in section 5.3 and environment mitigation measures (EMMs) as explained in table 7.2 to be incorporated in PD and bid document. This shall be done by national SIO. Projects adjudged as having “Medium” impacts, regional SIO of the applicable region shall be informed and asked to prepare an Environment Management Plan(EMP) and R&R plan as per the existing feature of the site and reconnaissance survey output

Medium Impact: Sub-projects categorized, as “Medium Impact” projects shall require an Environment Management Plan. The EMP shall be incorporated in PD and along with regulatory requirement from NEPA, if any. (a)Preparation of EMP EMPs shall be prepared by the regional SIO and submitted a copy each to national SIO, project engineer. If approval of NEPA is required for any sub project as per EIA regulation then National SIO at Kabul will coordinate with NEPA on the basis of EMP submitted by regional SIO and obtain “certificate of Compliance” after fulfilling regulations provisions. (b) Ratification and approval of EMP by National SIO at PIU Kabul National SIO will ratify the EMPs and send to project technical team at Kabul. If “certification of compliance” from NEPA is required, national SIO will coordinate the job. The technical team on receipt of the recommendations of the national SIO or “certificate if compliance (COC)” from NEPA as the case may be, shall review the EMP and issue them to be incorporated in PD detailing the terms and conditions based on EMPs and Terms and conditions of “certificate of compliance” from NEPA that have to be complied with during implementation. The measures suggested in the Environmental Management Plan and conditions of COC shall be an integral part of the contract bid document.


Social Issues: National SIO will also be responsible for ensuring that documentation of the addressal of the social issues (access to project information, loss of land and assets, its extent and type, relocation of common properties, community grievances and suggestions etc) will be included in the project document (PD) of the sub-projects, as specified in the formats attached as annexure to the SIF. National SIO shall verify PD for all subprojects, and Contract Management Unit must ensure obtaining the approval of National SIO on all relevant social issues before releasing bid document for the contract of the subprojects. National SIO shall ensure securing MoU paper for all the land parcels to be acquired-individual or group MoU as the case may be, before “contract award” process of any subproject takes place. Rest of the R&R issues can continue even after awarding contract but for project execution, the land should be given free of encroachment and with proper RoW. National SIO shall coordinate entire exercise with regional SIO. 5.2.5 Monitoring and Audit of Environment Performance

Regional SIO and regional monitoring officer of the respective region shall monitor(as per the Environmental Audit format 1) the provisions specified in the EMM/EMP in addition to Annual Audit by third part or safeguard specialist of the World Bank. Non-compliance of the EMM/EMP shall be intimated to the contractor along with a specified time frame for compliance. Further, non-compliance of timeframe shall be referred to the PIU at Kabul. The PIU in consultation with the National SIO shall review the case and if satisfied shall consider it as a case deemed fit for disqualification as contractor from the project.

5.3 Anticipated Environmental Impacts from NERAP Sub-projects and Mitigation Measures

5.3.1 Impact Due to Siting and Design of the Subproject ¾ The Program will largely rehabilitate existing roads. Very few new

alignments will be constructed. Most of the project roads pass through rural areas, which are a combination of mountainous, hilly as well as plain topography. Since most of the roads have a formation width as required by the standard road, there will be no land clearing or tree cutting, except for a few roads where widening will be required. Land clearing may involve cutting trees.

¾ Roads are also located in mountainous and hilly areas, so long-term impacts related to erosion or landslide might occur. Therefore, it is very important to handle potential impacts carefully during construction. The engineering


design shall identify erosion as key issue in mountainous and hilly areas and include land stabilization as part of the construction works.

¾ In the current low traffic scenario and modest traffic growth forecast, the subproject is unlikely to significantly contribute directly, or indirectly, to deforestation or forest degradation.

¾ There is no likelihood of presence of major cultural/historical sites along the project roads, which would be affected by the proposed improvement. However, a few small shrines/structures, etc may be there in the corridor of impact. These structures shall not be disturbed for improvement purposes but precautions must be taken to ensure that they are not damaged during construction activities.

¾ Chance finds of cultural property (archaeological artifacts) during implementation of subprojects involving civil works will be reported to the provincial or district governors, who then will inform the Archaeological Committee Procedure for the same is explained in annexure 4.

Construction Phase ¾ Most of the environmental impacts associated with the proposed road

improvement will occur during the construction phase, and they will be temporary and reversible:

o Loss of vegetation cover because of land clearing and tree cutting along the roads. However, most of the subproject roads will be improved within the existing formation width and there will be no land clearing except for those subproject roads where widening is proposed and requires cutting of trees. Loss of trees will be compensated by planting two trees for every single tree cut.

o Construction work will involve dismantling existing base. It is proposed that spoiled material will be reused as much as possible. However, remaining spoiled material will need to be disposed of. No disposal areas will be located nearby water bodies.

o Earthwork to replace the base and resurfacing works will create dust, and contaminated air. These impacts will be significant, particularly in locations of settlements, sprinkling of water will be required during this period.

o Other environmental impacts include (a) temporary reduction in water quality of nearby streams during construction; (b) possible erosion and landslides; (c) land degradation caused by borrow pits; (d) other environmental impacts related to disposal of excess soil, placement of construction worker camps, and placement or storage of construction materials.

¾ To minimize these impacts, construction works will be carried out in an environmentally sound manner by (i) balancing cut and fill; (ii) log and boulder barriers to control slipping of excavated materials; (iii) bioengineering techniques for slope stabilization aside from retaining walls


where feasible; (iv) stringent inspection to avoid illegal firewood collection from surrounding forests, and provision by contractors of kerosene for cooking; and (v) no temporary worker camp or storage material should be located along roads close to habitation and sensitive receptors.

¾ Excavated materials will not be disposed of near water bodies or streams, in forests, or on agriculture land. To reduce dust, the contractor will be required to sprinkle water continuously when earthwork is carried out in inhabited areas. Construction worker camps will be provided with water and sanitation. Detailed mitigation measures to be implemented by the contractor in the form of environmental mitigation measures (EMMs) shall be clearly described in the bidding document. Each contractor will be required to implement mitigation measures provide to him by the contract document along with tender document. The EMM/EMP shall describe (i) how the contractor will implement mitigation measures, (ii) where borrow areas will be needed, and (iii) how excess excavation materials will be disposed of. Construction camps and borrow areas should be located at least 500 m away from habitation and forests areas. The asphalt mix plant will be located at least 500 m from residential areas. The contractor must obtain all necessary permits prior to commencing civil works.

¾ During construction, labour/workers will be hired from local communities as far as possible to avoid social conflict. If workers are hired from other areas, the workers’ camp will be provided with an adequate supply of water, toilet facilities, and self-management of solid waste, thereby minimizing resource conflicts.

¾ For the village road, the construction work will involve minimal impacts because there will be no widening, and civil work will be limited to resurface the road with thin bitumen. In addition, construction materials, except for asphalt, will be provided from local resources so no environmental impact is expected. In this context, the standard management plan used for rural roads will be adopted.

Operational Phase The most serious impact during the operation stage of these subprojects will be negligence of mitigation measures. This leads to (i) improper disposal of spoiled materials, (ii)failure to provide slope stabilization in areas prone to erosion and landslides, and (iii) failure to maintain bioengineering and tree planting along the road alignment or to rehabilitate borrow and quarry areas. Monitoring will be needed to ensure effectiveness of all required mitigation measures and need for maintenance. No adverse impacts on air and water quality are expected during the operation of the NERAP sub-project as the number of vehicles are not expected to increase drastically.


5.3.2 Environmental Mitigation Measures (EMMs) The summary of the environmental mitigation measures (EMMs) as described above are presented in table 5.1,and will guide the environmental mitigation measures to be implemented by project engineers with support from the project implementation unit (PIU), contractors, and other parties concerned with mitigating possible environmental impacts of the subprojects.

PIU will ensure that (i) all mitigation measures that need to be incorporated into the project design are passed on to the engineering consultants, (ii) the bid document for the contractor contains all the required mitigation measures to be implemented during the construction period and the obligations for the contractor to implement the EMM/EMP during the construction period, (iii) implementation of the EMM/EMP is monitored regularly and the annual report on implementation of the EMP is well documented, (iv) remedial actions are undertaken in response to unpredicted environmental impact. To ensure that contractors comply with the EMM/EMP, the following specifications will be incorporated into all bid documents: (i) environmental mitigation measures and environmental monitoring that need to be implemented by the contractor, and (ii) environmental clauses for contract conditions and specifications. Summary EMM/EMP will be made available for potential bidders.

Table 5.1: Environmental Mitigation Measures(EMM) and their coverage Activities generating Impacts

Key Issues Addressed

Project Preparation (Planning & Design)

� Incorporation of environmental concerns in project preparation to avoid impacts in construction and operation stages

� Avoidance of roads through sensitive(exclusion list) areas as reserved forests/sanctuaries/wetlands etc

� Compliance with legal requirements.

Site Preparation � Relocation of utilities, common property resources

and cultural properties � Avoidance of affect on roadside vegetation

Construction Camps

� Avoidance of sensitive areas for location of construction camps

� Infrastructure arrangements for workers and construction equipment

Borrow Areas � Avoidance of agriculture lands as borrow areas � Redevelopment of borrow areas

Topsoil Salvage, Storage & Replacement

� Topsoil removal from areas temporarily/permanently used for construction

� Reuse of topsoil at areas to be revegetated and in


agriculture lands

Quarry Management Redevelopment of quarries in case new quarries are setup for the project

Water for Construction

� Extraction of water in water scarce areas with consent of community

� Scheduling construction activities as per water availability

Slope Stability and Erosion Control

� Slope stability along hill roads � Protection of land on hill side from stability loss due

to cutting � Protection of lands on valley side from debris due to

construction � Adequacy of drainage for erosion control

Waste Management � Reuse of cut material in hill roads � Safe disposal of wastes

Water Bodies

� Avoidance from cutting due to alignment � Protection of embankment slopes in case of alignment

on embankments � Rehabilitation of water body

Drainage

� Conduct of hydrological investigations during project preparation

� Provision of longitudinal and cross drainage as per requirements

� Proper location of drainage outfall Construction Plants & Equipment Management

Maintenance of machinery and equipment to avoid pollution

Public and Worker’s Health & Safety

� Provision of Personal � Protective Equipment to workers � Provision of basic necessities to workers � Public safety while travel along construction sites � Public safety during operation of the road

Cultural Properties

� Avoidance of impacts due to project � Protection of boundaries from impacts due to

construction � Relocation in case impacts are unavoidable

Tree Plantation

� Avoidance of impact on trees � For every single felled tree , two trees of local species

will be planted by the project authorities � Encourage growing of trees on roadside


Natural Habitats � Identification of natural habitats � Management measures for roads passing through

natural habitats (EMP) � Structure of management plan

Detailed Environmental Mitigation Measures (EMMs) are presented in table 7.2 in chapter 7.

5.4 Social Inclusion Framework (SIF) This SIF recommends resettlement and participation framework for NERAP Project.

5.4.1 Resettlement Framework The Resettlement Framework outlines the principles and approaches to be followed in addressing and mitigating the social impacts due to the project. The regional PIU, in co-ordination with the Shura/CDC at the village level and project engineer of respective subproject will be responsible for the planning and implementation of resettlement framework addressing social issues. The principles adopted for addressing the social issues including land requirement in the project will be guided by the existing traditional approach followed by the community. Traditionally, communities of Afghanistan have been living as closely knit unit and decisions of community heads are treated as final. Resettlement issue shall be facilitated by the regional PIU through project engineer and regional SIO but with consent of the community heads. The most important issue will be documentation of these proceedings to avoid any communication gap in future. The resettlement planning involves the following tasks and subtasks: Task 1:

�� Selection of Roads, for widening/rehabilitation/new construction �� Dissemination of Project Information, after selection of roads and prior to

finalisation of the alignment through Transect Walk; �� Finalisation of alignment through community planning involving the local

communities and provincial departments during Transect Walk Consultations;


�� Consultation with affected persons, to communicate how concerns of the communities have/have not been incorporated into the project design through disclosure of outputs of Transect Walk;

�� Integrating R&R issues in project document, ensuring that the designs for the NERAP roads are sensitive to social issues and have incorporated the social considerations;

Task 2:�� Disclosure of process of land requirement and entitlement provisions, to

provide information to PAPs. �� Serving Advance Notice, for removal of encroachments and clearance of

assets or standing crops; �� Entering MoU with Ministry by Individual/Group Landowners, to be

coordinated by Regional PIU, which will submit a copy each to provincial governor and PIU at Kabul. This will ensure documented record of land donated or transfered to the ministry against certain compensation. In case of Projects where individual PAP s are not significant in terms of numbers and size of the land/asset loss, group MoU between particular Shura /CDC and Ministry can be signed. In such case, MoU paper shall contain name and signature of all the persons whose land/asset will be transfered to the ministry voluntarily.

�� Information Disclosure and Consultations before construction: The

community representative/contractor, as the case may be, shall, prior to mobilization of work, provide details of temporary impacts during construction such as disruption on existing pathway, increased pollution levels, possible damages to adjacent land due to movement of machinery and project completion date so that community is well aware of the project issues. Similar provision shall be made for separate consultation with women of the community.

5.4.1.1 Impacts and Entitlements The resettlement framework for addressing various social impacts created by the project is summarized and presented in the Table-5.2.

Table 5-2: Impact and Proposed Measures Impact Category Proposed Measures


Title Holders Land � Willingly transfer land by means of MoU to the

ministry, or � Assistance/Support by the community for vulnerable

PAPs through: (i) Alternate land sites provided by community/CDC/Shura (ii) Monetary compensation by the ministry

Structures � Willingly transfer assets by means of MoU to the ministry, or

� Assistance/Support for asset creation by community and CDC/Shura or monetary compensation by the ministry

Common Property Resources

� Relocation by Shura/community/CDC with technical inputs from PIU ,or

� Reconstruction of asset by Shura/community/CDC with technical inputs from PIU

Customary Right Holders/Informal Settlements Land � Verification of land claim by majority vote of

CDC/Shura � Willingly transfer land by means of MoU to the

ministry,or � Assistance/Support by the community for vulnerable

PAPs through: (i) Alternate land sites provided by community/CDC/Shura (ii) Monetary compensation by the ministry

Structures � Willingly transfer assets by means of MoU, or � Assistance/Support for asset creation by community

and CDC/Shura or monetary compensation by the ministry

Serving Advance Notices:

� Advance notice to removal of assets/standing crops and subsequent clearance;

� Involvement of Shura/CDC/community in sensitization and clearance of land

5.4.1.2 Process of Land Transfer


For each of the land parcel likely to be affected in the project, MoU between the landowner(s) and Ministry will be executed. Format of the individual and group MoU are attached with this report as format 7 and 8. It will be the responsibility of the regional PIU/social inclusion officer of concerned region to collect the MoU from all landowners and submit the same to the PIU at Kabul. The process of land transfer will take into account the existing customary rights and informal settlements of the local community on various categories of land. It will be the responsibility of the project engineer/regional social inclusion officer along with the Shura/CDC to assess the impact on loss of livelihood and extent of dependence of local community on these lands through consultations. Where individuals are not willing to donate land voluntarily, mutually agreeable compensation should be paid to the affected person by the respective ministry through PIU and in conformity with the applicable National and the World Bank policies. PIU and CDC/Shura shall facilitate the entire process. To ensure the legal possession of the land by landowners under consideration, a copy of the proof of the ownership, as applicable, will be obtained. In the absence of land ownership proof, the Shura/CDC will verify the proof of customary ownership by majority vote and its vetting followed by signature of local government authority or district governor will be obligatory on the land owner. In case where competing claims are made for a land, Shura/CDC will first try to settle the case to the best of its ability but in case it fails to solve the issue, the case will be handled through grievance redressal mechanism as enumerated in section 5.4.4. In no case shall there be involuntary land acquisition. Customary right holders or informal settlements shall be paid compensation for their loss of land as per the applicable national law and the World Bank Policy. Similarly, in subprojects of “L” impact category, Group MoU between CDC/Shura and Ministry can be taken but with details of all the person donating land voluntarily and their signatures/thumb impressions on the MoU paper so as to ensure voluntary donations is not done under any pressure. The contract award process will commence by contract management department at Kabul only after collection of all MoUs for the respective lands of the subproject. 5.4.2 Participation Framework: The Participation Framework envisages involvement of the Shura/CDC, village community, PAPs, and regional PIU during planning, implementation and monitoring phases of the subprojects. The regional PIU will be responsible for ensuring participation of the village community at the sub project level through the Shura/CDC. The involvement of the community is not only restricted to the interactions with the villagers but also disclosing the relevant information pertaining to the project and tasks encompassed in SIF. A separate consultation


with women of the community will be mandatory and female member of CDC shall facilitate PIU in the same. Broadly, community participation (Consultation and Information Disclosure) will be undertaken at the following project stages: • Prioritization Stage primarily sensitizing the community about the project; this will be done at regional PIU and PIU Kabul Secretariats where community representative approach and meet the project authorities for project related demands. • Planning Stage for disseminating information pertaining to the specific road subproject, work schedule and the procedures involved; finalization of alignment through community involvement in planning vis-à-vis identification of impacts, entitled persons, mitigation measures; and grievance redressal. • Implementation Stage for implementation of SIF and addressing temporary impacts during construction and monitoring for transparency in the project implementation. The detailed Consultation and Information Dissemination Framework as part of the SIF is presented in Table 5.3, while formats for information issemination envisaged in the SIF are attached as various appendices with this report.

� Consultation will be organised by the community representative/Shura/CDC along with the reconnaissance survey team comprising of Project Engineer /Regional Social Inclusion officer of PIU, providing project details and explaining the community of their role in the project. This will be initiated by PE after getting signal from PIU Kabul for initiating enrollment process of a particular subproject.

� The communities will be involved in alignment finalization (but not in alignment selection at this stage), through transect walks along the suggested alignment. In future programs once NERAP framework is successfully implemented, involvement of community in alignment selection can also be considered. However, PIU shall, in the process of subproject identification, ensure that the project/program has a regionally balanced outreach and that social inclusion is ensured during implementation at local level - i.e. that local minority groups (ethnic/religious/gender etc.) are not excluded from project benefits.

� Subsequently, discussions will be undertaken to assess the extent of losses, and identify PAPs.

� The Consultations will be held to provide the outputs of the Transect Walk and address the issues pertaining to the common resource properties, etc. This will be undertaken by the Reconnaissance Survey Team in coordination with the Shura/CDC.

� The PIU will be liable to provide the desired information to any village individual or PAP pertaining to the project. Prior to construction work, the contractor will provide details of the schedule of work and temporary


impacts during construction through consultations in villages. Separate consultation with women will be mandatory in all consultation process.

The suggested framework for consultation includes dissemination of information (viz. project information, incorporation/non-incorporation of environmental / social concerns, relocation of common property resources and cultural properties etc.), during project planning and design. Adequate consultations would be held for securing land for the project and seeking consent on temporary use of land, extraction of water, etc. during the project implementation stage.


Table 5.3: Consultations and Information Dissemination proposed in NERAPStage/Activities

ResponsiblePerson/Agency

Stakeholders Tools & Techniques Desired Outputs

Project Preparation: A separate consultation with women of the community will be mandatory throughout the project cycle and female memberof CDC shall facilitate PIU in the same.

Disseminationof NERAPprojectinformation

PIU(regional as well asat Kabul, whom thecommunities approachfor road project request)

CommunityVerbalcommunications/posters/pamphlets

� Sensitization of communities� Increasing awareness of community

about the NERAP project, projectlimitations, way forward

� Community’s roles and responsibilitiesDisseminationof roadsubprojectinformationprior toTransect Walk

Project Engineer/SocialInclusionofficer(SIO),CDC/Shuramembers

CommunityPublicAnnouncements/posters/pamphlets

� Disclosure of sub-project details� Schedule of Transect Walk

Finalisation ofalignment

Project Engineer/SocialInclusion officer(SIO),Shura members/CDC Community

Transect walk and Consultation withlocal community, Joint On-siteinventory

� Verification of the alignment,Identification of sites for land width

� Accretion, vulnerable PAPs, Identificationof grievance, Documentation of Transectwalk, Finalization of alignment

� (Modifications/ shifts) throughcommunity involvement and planning

� Incorporation of suggestions fromCommunity

Consultationswith PAPs

Project Engineer/SocialInclusion officer(SIO),Shura members/CDC

Community,PAPs

Discussions, Public meetings

� Sensitise PAPs on Likely issues� Disseminate procedures, entitlement

provisions and the social issues in theproject;

� Disclosure of outputs of Transect Walk� List of PAPs


Disseminationof informationon process ofland transfer,entitlementprovisions &grievanceprocedures

Project Engineer/SocialInclusion officer(SIO),Shura members/CDCCommunity

PAPs

Public meetings, Distribution ofNotices to encroachers andsquatters,Individual consultation with PAPs

� Display of PAPs donating land;� Awareness about process for land

transfer;� Provide clarity on the grievance

procedures, entitlement provisions

Finalization ofEntitlements

Project Engineer/SocialInclusion officer(SIO),Shura members/CDC,

PAPs Individual consultation with PAPs Ensure that PAPs have a choice in theirentitlements.

Implementation of SIFNotice toencroachersand non-titleholders,farmers withstanding crops

Project Engineer/SocialInclusion officer(SIO),Shura members/CDC,

PAPs Public meetings, Notices� Clearance of RoW prior to mobilization of

Contractor.

Physicalpossession ofMoU for landacquisition

Project Engineer/SocialInclusionofficer(SIO),CDC/Shura

PAPs,voluntarilydonatingcommunity

Public Meetings and Individualmeeting with PAPs

� Single/group MoU with communitydonating land voluntarily

� Individual MoU with PAPs not willing todonate land voluntarily

Relocation ofcommonpropertyresources

Project Engineer/Shuramembers/CDC

Community Public meetings � Ensure that the relocation of commonproperty resources are done as per needsof communities

� Clearance of RoW prior to mobilization ofwork.

Redressal ofgrievances

Project Engineer/SocialInclusion officer(SIO),Grievance redressal

Communityand PAPs

Individual consultation with PAPs� Opportunity for PAPs to voice their

grievances� Resolution of outstanding issues.


committee

Disbursal ofentitlements

Project Engineer/SocialInclusion officer(SIO)

EntitledPersons(EPs)

Individual consultation with PAPsCompensation to the PAPs

Temporaryimpactsduringconstruction

Contractor Community Public meetings, Provide an enhanced awareness andmechanisms for redressal of temporaryimpacts

MonitoringandEvaluation

Social Inclusionofficer(SIO)/RegionalMonitoring Officer,concerned CDC/Shura

PAPs,Community

Public meetings, Individualconsultation

� Provide information on progress ofimplementation of SIF-R&R

� Identify scope for improvement� Provide an opportunity to improve in

later projects


5.4.3 Monitoring and Audit of Social Inclusion The Social Inclusion Unit (SIO officers), regional monitoring officer and concerned CDC/Shura will be responsible for supervision of Resettlement and Rehabilitation(R&R) implementation and its progress. Safeguard specialist of the World Bank will undertake third part audit to verify the sanctity of the process being followed as per the provisions of SIF. The regional SIO/Monitoring officer in respective regional PIU will document the progress of implementation and send to PIU at Kabul on monthly basis. PIU at Kabul will document progress report on a quarterly basis and forward the same to MRRD/MoPW.

5.4.4 Grievance Redressal Mechanism A village level Grievance Committee will be set up in consultation with seniors of the community for resolving issues. Facilitated by regional SIO this committee will meet once in a month till implementation of SIF and quarterly after initiation of the construction work for addressing grievances till the construction is completed. Members of CDC/Shura will not be eligible to join grievance redressal committee. All decisions will be taken on the basis of majority vote of the committee. Residual grievances will be addressed through a Grievance Redressal Committee at the province level, comprising of Regional SIO, Provincial Governor, and Head of concerned Shura/CDC. Representative of PAPs will be invited to be present during the proceedings of grievance redressal.


CHAPTER 6

Implementation Arrangement

The National SIO at Kabul PIU will have the main responsibility of planning and implementing the Environment and R&R activities along with other project components. Coordinating the tasks at the field and between field and PIU at Kabul is the responsibility of the regional PIU (PE/SIO). The civil works will be initiated only after the required RoW or land width is free from any encroachments and the PIU has the physical possession of the land through MoUs. During implementation, meetings will be organised by the PIU for providing information on the progress of the project work to the nodal agencies (MRRD/MOPW) quarterly. The information on progress of the project work will also be disclosed to the local community through consultations. 6.1 Implementation Arrangements 6.1.1 Institutional Structure

6.1.1.1 Recommended Institutional Structure: The MRRD/MOPW

will be the joint executing agency for NERAP at national

level and coordinated by a single PIU consisting of representative from both departments. Present system of having one PDCU and two PIUs belonging to MRRD and MOPW separately may lead to conflict of issues. The PIU, at the regional level through SIO/PE, will have the responsibility of coordinating and implementing the provisions of the ESMF along with the other project components. Towards implementation of the ESMF, two officers for managing environmental and social aspects will be deputed from the Social Inclusion unit of PIU at Kabul. There is already one National SIO at Kabul PIU and he shall be assisted by another junior officer on environmental issues. Roles and responsibilities of these officers are as discussed in the following sections. The regional PIU through the PE/SIO will implement all the SIF tasks at the field level with the assistance and participation of the Site Supervisor/ CDC/Shura. 6.1.1.2 Need for National Focal Point Officer in MRRD/MOPW Internalization of environmental and social aspects in any policy/plan or program of the government is the key for mainstreaming environmental/social


planning. Internalization of environmental and social issues can not take place effectively until there is a focal point in various ministries whose role would be of highlighting environmental and social aspects of the program and there by help minister in taking wholesome decisions for sustainable development of Afghanistan. Appointment of a national focal point officer each in MRRD and MOPW is strongly recommended. 6.1.2 Roles and Responsibilities 6.1.2.1 Social Inclusion Officer at Kabul PIU (Environmental and Social responsibility) The roles and responsibilities vis-à-vis Environmental and social issues will include:

• Coordinate planning and implementation of Environmental and Social aspects of ESMF with regional SIOs and contract department at Kabul;

• Assist National SIO in monitoring NERAP subprojects for fulfillment of ESMF provisions

• Coordinate sometimes on behalf of national SIO, if he is not there, with agencies for ensuring implementation of EMM and R&R aspects;

• Prepare reports ,etc for national SIO as per requirements 6.1..2.2 National Social Inclusion Officer The roles and responsibilities vis-a-vis Social issues will include:

• Ensure dissemination of information to community/PAPs as proposed in the SIF,

• Coordinate with regional agencies for ensuring implementation of ESMF provisions especially social development issues during SIF implementation,

• Carry out Assessment of people affected by the project; assess vulnerability and entitlement issues and coordination of R&R implementation,

• Ensure implementation of EMM/EMP and SIF as per schedule, • Ensuring incorporation of environmental and social issues in Project

preparation document • Monitor NERAP roads for fulfillment of ESMF provisions • Report progress, highlighting environmental and social issues not

addressed, to provide for course correction in subsequent projects, • Review and ratify PD for inclusion of environmental and social safeguard

measures • Coordinate training with agencies involved.

6.1.2.3 Project Engineer /Regional SIO

• PE/ Regional SIO will oversee land availability for taking up proposed roads


• Dissemination of Project Information at various stages of project as envisaged in the R&PF

• Preparation of schematic maps prior to Transect Walk • Finalize alignment through community involvement in planning

including road safety and scope for future growth, through Transect Walk encompassing a joint onsite inventory and verification of alignment

• Documentation and disclosure of Transect Walk outputs through consultations in coordination with CDC/Shura/Community

• PE along with regional SIO, and CDC/Shura to identify locations for land width accretion and ownership including the customary rights in tribal areas

• Verify ownership of impacted land parcel through proof of ownership, if available or get the proof vetted by Shura/CDC and approved by local authority

• Involving the community, initiate process of land transfer and addressal of grievances

• Ensuring disbursal procedures for entitlements as per schedule • Collection and submission of MoU from landowners to PIU Kabul • Responsible for addressal of additional unforeseen impacts during

construction • Prepare EMPs as may be required for the subproject activity • Supervising the EMM and SIF tasks during implementation & its progress

in coordination with community 6.1.2.4 Shura/CDC

• Ensure establishment of Committee for grievance redressal at village level • Dissemination of project information as per the SIF in village in

coordination with the PIU • Finalization of alignment during transect walk along with regional PIU

and Revenue Department through process of community planning • Ensure the finalization of alignment as per the NERAP guidelines and

project specifications • Encouraging community participation during transect walk and

consultations • Organize Consultation involving community and PAPs to disclose

transect output • Identification of vulnerable PAPs • Ensure finalisation of procedure for land transfer and disbursal of

entitlements • Responsible to collect MoU from landowners & subsequent submission to

regional PIU • Make sure that contractor holds consultation with community prior to


mobilisation of machinery • Supervise the SIF tasks during implementation

6.1.2.5 Coordinator PIU • Coordinate all activities related to ESMF wherever mentioned and

required • Sensitize communities, in case community demands, about the

prioritization of roads and why certain roads were selected on priority and why others were left

• Organise meeting with nodal government and funding agencies as per the scheduled time frame

• Approve certificate of incorporation to the contract division for category M projects, on the recommendation of national SIO.

6.1.2.6 NEPA

• Assess the projects applied to it under EIA regulation by PIU. • Provide certificate of compliance to applicable projects within optimum

time duration. • If more information is required, then inform PIU about the same within

quick time and ensure to resolve issues as early as possible. • Obtain progress of EMP implementation along with any other conditions

as stipulated in “certificate of compliance”. 6.1.2.7 The Ministries (MRRD&MOPW)

• Obtain compiled progress report on social inclusion i.e. resettlement and rehabilitation plan(R&R plan) for the subprojects, from PIU at Kabul

• Coordinate with the World Bank for any policy decision on environment and social issue related to NERAP project

• Guide PIU(s) for effective implementation of ESMF

6.2 Training Plan Implementation staff of MRRD, MOPW along with PIUs would need to be oriented towards Environmental and Social management. A three tier-training plan(It can be converted to Two tier training plan if regional and provincial staff could be clubbed together) is prepared to orient the staff at Kabul, Regional level and Provincial level towards implementation of ESMF. The training plan with the mode of training and target groups along with the duration is presented in the Table 6-1.

Table 6-1: Training Plan Module Description Target

Participant Form of training Level Duration

Module-1 Session 1

• Basic Concept of ESMF

MRRD, MoPW, PIU,NEPA,

Workshop National Half day


Module Description Target Participant

Form of training Level Duration

• Screening of Road Alignment

• Environmental & Social Concerns in NERAP

technical agency involved in Project preparation

Session 2

• Basic Concepts of Resettlement and Participation Framework

• Provisions of EMM/EMP

• Provisions of Resettlement and Participation Framework

• Integrating ESMF provisions into PD

MRRD, MoPW, PIU,NEPA, technical agency involved in Project preparation

Workshop National Half day

Module 2 Session 1

• Basic Concept of ESMF Transect Walk

• EMM/EMP Provisions and Applicability

• Role and Responsibility

• Monitoring Mechanism

Project Engineers (PE), Regional SIO, Provincial Officers/DirectorsTechnical Agency

Workshop/Exercise Regional/Province level Venue- Kabul

One day

Session 2

• Basic Concepts of Resettlement and Participation Framework

• Profile of PAPs Identification of Vulnerable PAPs Transfer of land/assets

• Integrating social

Project Engineers (PE), Regional SIO, Provincial Officers/DirectorsTechnical Agency

Workshop/Exercise Regional/Province level Venue- Kabul

One day


Module Description Target Participant

Form of training Level Duration

concerns in PD

• Role and Responsibility

• Redressal Mechanism


CHAPTER 7

GUIDE TO APPLICATION OF ESMF

7.1 Project Cycle: Sub-Project Details

The entire project cycle from environment and social safeguard point of view are divided into following five phases of work: • Road Prioritisation: This involves tasks related to the prioritisation of the

project roads through project planning. Roads out of the core network shall be prioritised for implementation in each year by PIU at Kabul. PIU shall, in the process of subproject identification, ensure that the project/program has a regionally balanced outreach and that social inclusion is ensured during implementation at local level - i.e. that local minority groups (ethnic/religious/gender etc.) are not excluded from project benefits.

• Project Planning & Design: The planning and design phases involves following:

� First task involves planning for finalization of alignment through involvement of community in planning, during transect walk. Transect walk is undertaken for inventorization of social & environmental features, sites for land accretion, considering aspects of road safety and scope for future growth, consultations with the landowners/community and identification of PAPs and loss of assets.

� Second task involves categorization of subprojects based on information from transect walk and arriving at a decision to exclude or include the particular project as per the screening criteria.

� Third task involves design of road geometrics and enhancement measures for environmental considerations of the project, based on the outcome of the first and second task vis-à-vis the project and finally the preparation of Project Document(PD)

• Site Preparation: This entails implementation of R&R measures viz. disbursement of entitlements, land transfer, collection of group or invidual MoUs from the landowners, serving of advance notices to PAPs for making land free for the construction of NERAP road. The process also involves mobilization of contractor that includes setting up of site, signing of MoU, site clearance, disclosure of information pertaining to details of construction schedule, etc. During this stage, the contractor will organize consultations with the community and labourers to discuss temporary impacts during construction including safety and the work schedule. It is


only after the physical possession of land that the mobilization of the labour will start on site.

• Construction Stage: The stage involves where actual construction of road begin. The stage includes earthwork, sub-base and base course, construction of culverts and drains etc. with main focus on public and workers safety and implementation of environmental mitigation measures (EMMs) depending on the category of the project. Monitoring plays the important role in the stage to ensure all measures are followed as per PD. The process of disbursal of entitlements will continue during this stage with active involvement of the PIU, CDC/Shura.

• Post Construction Stage: The post construction scenario tasks include Reclamation of temporary used land for disposal of waste, storage of material, etc., borrow area, water body & culture property by the contractor. The other tasks headed by the Shura/CDC involves tree plantation.

7.2 Guidance for institutionalizing provisions of ESMF Project preparation activities as part of project document (PD) are to be followed in conjunction with the mitigation measures (MM) and EMPs in this ESMF. To institutionalize such ESMF provisions into the project stages as laid down in the PD, the EMMs/EMPs and R&R measures along with forms and formats will be appended to the PD. 7.2.1 Finalisation of Alignment All requirements of standard procedure for finalisation of alignment should be met with. In addition, adequate consultations with the communities to identify the concerns and preferences need to be taken up during finalisation of the alignment. Consultation with community women shall be mandatory.. Finalization of alignment shall be carried out in accordance with the provisions presented below. �� Alignment shall conform to the natural topography as far as possible to avoid

excessive cut and fill. �� An inventory of all environmental features along the proposed road is to be

prepared and marked on a map. This would be conducted by the Project Engineer (EE)/regional SIO in co-ordination with the local community through transect walks.

�� Consultations with the local communities are to be conducted during these transects to obtain their suggestions and incorporate their concerns to address the potential environmental and social impacts.

�� The methodology for conduct of transect shall be as per annexure- 1,“Methodology for Transect Walk”.

�� In case of flood prone areas and/or areas with very flat slopes, hydrological assessment have to be conducted before alignment finalisation. Inputs


derived from these surveys such as the need for provision of culverts/bridges or other cross/roadside drainage structures should be considered in the alignment finalisation. In case of hill areas, geological assessment have to be conducted to determine locations of loose rock, soil or potential sites for land slides.

7.2.2 Design Specifications All the road designs should conform to the approved technical specifications of the best practices feasible. Additional measures suggested for minimization of environmental impacts, safety of road users and for enhancement of community benefits are indicated in the EMM. 7.2.3 Environmental considerations ¾ Road Alignment identified by PIU as per the core network shall be subjected

to screening as per the screening checklist (Annexure 2). The roads so screened as per the checklist shall be subjected to greater analysis in the PD for the issue/s due to which it is screened.

¾ Environmental considerations for various activities and sub-activities in the project are presented in the Table 7-1. Measures for the same are to be incorporated in the project preparation stage to offset environmental impacts in the subsequent stages (Table 7-2).

¾ Environmental concerns of the community shall be incorporated to the extent possible in the project preparation and also in the subsequent stages of the project. This is achieved by PE or Contractor through various consultation tools as defined in Participation framework of SIF.

¾ Towards implementation of the environmental provisions by the contractor, he shall nominate one of his senior personnel to ensure that the construction practices comply with the EMMs/EMPs.

7.2.4 Compliance to legal requirements

¾ The clearance requirements as per the various legislations in force towards the conservation of the environment during the various project stages, as applicable to the project shall be identified in PD.

¾ The tender/bid document shall include if obtained by then or reference shall be made to the applicable clearances pertaining to environmental management and shall contain the necessary directions for compliance of the same.

7.2.5 R&R Considerations The site for construction shall be handed over to the contractor, free from encumbrances and encroachments. Land acquisition MoUs must be under the possession of the PIU before awarding the contract. R&R issues can be ongoing


activity along with project implementation but R&R surveys in recording formats as attached with this ESMF, shall be completed and incorporated in Project Document (PD) before using as tender document. R&R process will start at transect walk stage and end when various compensation measures related to loss of land and loss of assets are fully addressed. 7.2.6 Chance Find of Cultural Property Chance finds of cultural property (archaeological artifacts) during implementation of subprojects involving civil works will be reported to the provincial or district governors, who then will inform the Archaeological department/committee. Procedure for the same are defined in the Law on the Preservation of Afghanistan’s Historical and Cultural Heritages (Official Gazette, 2004), and key features are explained in annexure 4.

7.2.7 Integrating Environmental Provisions in bid documents The design and environmental considerations including chance find of cultural properties discussed above have to be incorporated suitably in the PD and the bid document to ensure implementation. Towards this end, the following steps should be taken by the PIU: ¾ Detailed mitigation measures for the environmental provisions as per the

EMMs/EMPs are to be included in the PD. ¾ Cost implications of environmental measures suggested by the EMMs/EMPs

have to be included in the estimates for the project. ¾ Monitoring requirement of implementation of EMMs/EMPs at regular

interval is to be incorporated in PD ¾ Through tendering guidelines, the contractor shall be expected to submit for

approval of the PIU, the general methods, arrangements, orders and timing for all the activities to meet above requirements in the works along with approximate BoQ for the same.

¾ Tendering guidelines shall mention that while scheduling the construction works, the contractor shall consider all the risks and schedules the activities, which are likely to be impacted by weather phenomenon in a period in which these phenomenon are unlikely to occur.

The environmental concerns to be addressed at the preparation stage of PD are detailed out in the Table 7-2. All environmental mitigation measures shall be incorporated in relevant sections of PD or they may be incorporated in PD as separate section on Environmental and Social Safeguard Clause.


Table 7.1: Environmental Mitigation Measures (EMM) and their coverage Activities generating Impacts

Key Issues Addressed

Project Preparation (Planning & Design)

� Incorporation of environmental concerns in project preparation to avoid impacts in construction and operation stages

� Avoidance of roads through sensitive(exclusion list) areas as reserved forests/sanctuaries/wetlands etc

� Compliance with legal requirements.

Site Preparation � Relocation of utilities, common property resources and cultural

properties � Avoidance of affect on roadside vegetation

Construction Camps � Avoidance of sensitive areas for location of construction camps � Infrastructure arrangements for workers and construction

equipment

Borrow Areas � Avoidance of agriculture lands as borrow areas � Redevelopment of borrow areas

Topsoil Salvage, Storage & Replacement

� Topsoil removal from areas temporarily/permanently used for construction

� Reuse of topsoil at areas to be revegetated and in agriculture lands

Quarry Management Redevelopment of quarries in case new quarries are setup for the project

Water for Construction � Extraction of water in water scarce areas with consent of

community � Scheduling construction activities as per water availability

Slope Stability and Erosion Control

� Slope stability along hill roads � Protection of land on hill side from stability loss due to cutting � Protection of lands on valley side from debris due to

construction � Adequacy of drainage for erosion control

Waste Management � Reuse of cut material in hill roads � Safe disposal of wastes

Water Bodies

� Avoidance from cutting due to alignment � Protection of embankment slopes in case of alignment on

embankments � Rehabilitation of water body

Drainage

� Conduct of hydrological investigations during project preparation

� Provision of longitudinal and cross drainage as per requirements

� Proper location of drainage outfall

Construction Plants & Equipment Management

Maintenance of machinery and equipment to avoid pollution

Public and Worker’s Health & Safety

� Provision of Personal � Protective Equipment to workers � Provision of basic necessities to workers � Public safety while travel along construction sites � Public safety during operation of the road


Cultural Properties � Avoidance of impacts due to project � Protection of boundaries from impacts due to construction � Relocation in case impacts are unavoidable

Tree Plantation

� Avoidance of impact on trees � For every single felled tree , two trees of local species will be

planted by the project authorities � Encourage growing of trees on roadside

Natural Habitats � Identification of natural habitats � Management measures for roads passing through natural

habitats (EMP) � Structure of management plan

Table 7.2 Environment Mitigation Measures(EMM)Responsible Party

Project Stage/Activity

Potentially Negative Impacts

Mitigation Measures

Location Implementation Monitoring

A. Location

Location of construction camps and contractor facilities

•Inappropriate location such as proximity to local community drinking water source, shrines•Environmentally unsound use of community resources such as forestry products by workers

• Location of construction camps at least 500m away from community areas, and away from drinking water sources • Inclusion of information on activities not allowed by construction workers in contract documents

Construction camp sites

Project Engineer/Contractor

Regional SIO/Monitoring officer(MO)

Location of quarry sites

Location in unstable areas or in sensitive areas legally and otherwise

Only stable areas and existing or new government approved sites may be considered

All parts of project area



Location of borrow pits

Location in unstable areas or on agricultural land

Location in area with stable soil and away from agricultural land

All parts of project area



Obtaining appropriate clearances/permits for sections of the road through environmentally

Delays in processing clearances, causing delays in initiation of construction

Processing of clearances/permits on a timely basis and keeping in mind the time requirements for

All applicable parts of project area

PIU Kabul WB/NEPA


sensitive area and/or belonging to EIA regulation category

these clearances

B. Planning/Project Design

Pavement • Water leakage/seepage through pavement and damage of road caused by poor quality design

• Quality designs vis-a-vis layer thickness and material content

All parts of project road

PD Consultant/contract management unit of PIU Kabul

Regional PIU

Determination of ROW width

Unnecessary widening leading to unnecessary geometric cuts, soil erosion, and destruction of plant and water resources

Widths to be supported by traffic analyses and economic justification


Regional PIU/CDC/Shura

Regional PIU

Drainage structures •Poor drainage caused by poorly designed/ specified drainage structures, e.g., unlined drains •Damage to cross-drainage structures because of inadequacy to support water flows, leading to damage to road •Unnecessarily increased sedimentation and waste

•Drains lined with cement mortar only•Drainage structures designed in accordance with anticipated levels of water flows


PD consultant Regional PIU

Geometric cuts Excessive excavation leading to unnecessarily large volumes of earthworks, and generation of excessive dust and sediments deposited in nearby water

Designs to be based on scientific basis

Sharp curves where geometric adjustment is required



bodies

Road safety measures

• Inadequate safety measures causing accidents in future

• In detailed design, provide site-specific safety measures that taken into account cost and likely economic benefits



Mechanization • Poor quality construction because of lack of proper equipment and machinery causing early and untimely damage to the road surface and road furniture—leading to poor riding surfaces, poor drainage, unnecessary erosion landslides, accidents, and sedimentation in water bodies

• During detailed design, specify mechanical construction methods • Select contractors based on their ability to supply/use machinery


PIU

Bioengineering • Use of unsuitable bioengineering methods at various sites

•In detailed design, specify various bioengineering options and follow the standard specification. •Specify the need for monitoring the implementation of bioengineering



C. Construction

Establishment and shifting of construction camps

• Deforestation and poaching by laborers• Improper waste disposal • Loss of aesthetic beauty • Disturbance to nearby settlements • Unfriendly use of community resources such as non-timber forestry products by construction workers • Leaving dirty and waste material after

• Provision of cooking fuel to contractors’ staff •References to the illegality of cutting trees, hunting and fishing, and other prohibited activities in community areas to be included in contract documents • Provision of proper waste disposal facilities and health facilities


Contractor Regional PIU


shifting from one camp site to another

• Prior information to nearby communities of camp establishment • Ensure clean area left behind when shifting camp

Removal of vegetation and uprooting of trees

• Negative changes in micro-level wildlife habitat/environment • Soil erosion • Scarring of landscape



Cutting of hill slope and earth removal from borrow areas

• Soil erosion and landslides • Scarring of landscape because of improper disposal of debris • Dust pollution • Disruption of local drainage • Salitation in nearby water bodies and consequent negative effects on aquatic ecology • Noise and disturbance to wildlife and nearby communities

• Confine cutting activities to dry season • Use standard method • Disposal of debris at proper sites or reuse material for construction • Use of appropriate bioengineering techniques immediately after cutting to maintain stability of slope above and below RoW • Proper restoration of borrow areas • Provision of appropriate drainage structures/facilities • Confine construction activities to daytime


Quarrying • Landslides (rock slides/falls) • Scarring of landscape • Disturbance to wildlife and nearby communities from

• Use of controlled blasting and environment-friendly quarrying techniques • Blasting only during daytime

Quarry sites Contractor Regional PIU


blasting

Crushing of stone and transport of stone/materials

• Dust pollution affecting construction laborers and local vegetation • Air pollution from machinery and vehicle exhausts • Noise pollution and disturbance to nearby wildlife and communities

• Water sprinkling of stone crushing site • Proper covers for vehicles transporting stone and materials • Regular maintenance of machinery and vehicles • Confine stone crushing and transportation activities to daytime

Stone crushing sites and all parts of project road


Road surfacing activities

• Air pollution from smoke and gaseous emissions affecting health of workers • Traffic delays

• Use of bitumen emulsion wherever possible • Use of diesel fuelled asphalt mixing plants when bitumen heating is required • Manage traffic



Construction of line and cross drainage structures and bridges

• Inadequate capacity • Collapse of drainage structures because of poor quality construction • Disruption of local stream/river courses and aquatic hydrology • Increased sediments in rivers or streams

• Quality construction • Construction confined to dry season • Provision of appropriate drainage facilities and river/stream diversion structures



Operation of machinery and equipment and general activities of laborers

• Spillage/leakage of chemicals and oil and contamination of soil and water resources • Injury to workers/others • Respiratory problems from dust and machinery emissions

• Proper storage and handling of chemicals and oil • Provision of workers with construction hats, face masks, earplugs, gloves, etc. • Provision of well-




• Hearing problems due to high level of noise

equipped first aid kits and health facilities

Water supply • Misuse of community water resources

• Independent arrangements to be made for water requirements so that supplies to nearby communities remain unaffected

Construction camps


D. Operation

Movement of vehicles

• Air pollution, noise, and vibrations from increased number of vehicles and disturbance to wildlife

• Planting of appropriate species surrounding the road to absorb air pollution and block noise and disturbance during and immediately after construction

All parts of project road All parts of project road


General functioning of road

• Damage to riding surface and structure of road—formation of potholes, water seepage, and poor drainage • Excessive landslides, erosion caused by improper maintenance of bioengineering works, wall construction • Damage of drainage structures and consequent disruptions to traffic, failure to enable proper drainage, and increased sedimentation

• Quality construction and maintenance




Annexure-1

METHODOLOGY FOR TRANSECT WALK A transect walk is suggested along the proposed alignment with the communities towards finalisation of the alignment. The transect walk shall be a participatory process organised by the Project Engineer /SIO of Regional PIU in co-ordination with the Shura/CDC at the village level. The methodologies for the conduct of transect, the issues to be raised and recording of the same is described in this Annexure. WHAT IS A TRANSECT WALK? A walk along the suggested alignment and key informants to observe, to listen, and to ask questions which would enable identification of problems and collectively evolve solutions. The transect shall enable the PE/SIO, to quickly learn about the social structure, issues pertaining to land, social impacts, soils, land use, and community assets. PLANNING AND PREPAREDNESS FOR A TRANSECT WALK •The PE to intimate the Shura/CDC at least a week prior to the transect walk. The intimation to the public shall be in the form of a formal notice at the Mosque or through public announcement

Width required and the provisions of the resettlement framework. • Collect the village revenue map and mark the suggested alignment. The list of landowners along the suggested alignment to be identified from the revenue records. •The Shura/CDC to select a group of villagers (key informants) who have good knowledge on physical resources of the village and who are willing to participate in the transect walk. •Discuss with the Shura/CDC representatives on the basis of the village revenue map the route to follow in the walk. Obtain the suggestions from the representatives on the following questions: •Where to start? •Where to end? •What to see? •At what time to start? •How long will it take? •Does the walk need to be split into sections? •When does the transect team stop?


CONDUCTING A TRANSECT WALK •Based on the responsibilities assigned, the participants shall observe and record in detail all-important things on the revenue map and get as much information as possible from the villagers and the locals. When talking to the villagers, the PIU to feel free to use the six helpers: •When? •What? •How? •Where? •Why? •Who? •Make notes of all vital information gathered and draw sketches wherever necessary. The sensitive locations where additional efforts need to be taken during the design will be marked on the revenue map. •Travel slowly and patiently and try to understand the physical features and aspects related to social issues, land titles, in the village from different perspectives.

Social Aspects to be observed: • Sites of additional land uptake • Encroachments and squatters • Land categories impacted • Lands with traditional, customary rights • Population characteristics including vulnerable groups • Assessment of social impacts • Grazing Land • Structures (Residential/Commercial) • Other structures (Wells, Temples etc) • Standing crops • Common properties

• Livelihood and economic opportunities

Environmental Aspects to be observed: • Trees • Forests if any • Drainage lines, rivers and water crossings


• Irrigation water courses • Water bodies • Grazing lands • Utilities • Community facilities • Schools • Hospitals • Major junctions and • Seasonal markets or cultural congregations • Location for stacking maintenance material

The PE to communicate to the participants on site, on the possible extent of improvements. The regional SIO shall provide adequate responses to the communities on: •Queries raised pertaining to environmental and social issues •Process of voluntary land donation. •Working out possible alignment changes to minimise impacts All queries and concerns of the communities shall be recorded. THINGS TO DO AFTER THE TRANSECT WALK • After the completion of a transect walk, sit down in a suitable place with the

villagers to have a discussion and recording of information and data collected.

• Prepare an illustrative diagram of the transect walk on the revenue map using the information already gathered and get the information cross-checked by the community.

• Prior to dispersing for the day, finalize a date for the formal consultation session to be conducted.


Annexure -2Environmental/Social Checklist for Screening of Subprojects(Category-B)

Province: …………….. Project ID:…………………… District/Village: ………………

S.N. Nature of subproject Does the Subproject fall in this category

Remark

Environmental Impact Yes No 1 Vulnerability to natural hazards,

land slides/slips

2 Trees to be felled are reasonably high

3 Roads passing adjacent to(within 500 m) the environmentally sensitive area as declared by NEPA or areas as detailed out in exclusion list for this ESMF,

4 Road passing through flood prone areas or some water course

5 Impacts on natural habitats like water bodies, etc

Note- 1) A subproject falling in any of the above categories will be treated as environmentally

medium Impact project (M) 2) A subproject not falling in any of these categories will be treated as Low Impact

project (L) Social Impact

Significance of Social Impact S.N. Nature of subproject

Insignificant Significant Remark

1 Requirement for land width accretion

2 Impact on structures 3 Loss of livelihood 4 Impact on PAPs 5 Acceptance of communities

towards the process of land transfer for the project

Please Explain about this: Acceptance by community for voluntary donation will be treated as having low(L) impact, else subproject will be treated as Medium Impact(M) requiring R&R planning

Note- It is not necessary that a subproject road will fall in L or M category vis-à-vis environmental and social issues both together. Checklist Filled Out by the Project Engineer/Regional SIO:

1. Name of PE Engineer: ……………………………Signature: ……….Dated:………………………..

2. Name of Regional SIO: ……………………………Signature: ……….Dated:………………………..


Annexure-3

Screening of Sub-projects A screening and review process for identification of sensitive sub-projects with respect to environmental/social issues has been worked out. The screening exercise will be carried out by the PIUs prior to initiation of the project preparation activities. The screening exercise will be used as a tool to identify the severity of impacts of environmental and social issues, and thereby integrate their mitigation measures into the project preparation accordingly. The screening criteria include: Environmental factors such as;

• Sensitive areas, natural habitats, other state declared sensitive areas • Felling of trees • Clearance of vegetative cover • Loss of productive agricultural land • Cuts across perennial streams or surface water bodies • Vulnerability to natural hazards, land slides/slips, soil erosion and, • Environmental features as wet lands, protected ground water zone, etc

Social factors such as; • Land availability • Loss of structures • Loss of livelihood • Impacts on ethnic/religious population • Impacts on common property resources

Severity of environmental and social impacts differs with location. Though most of the environmental impacts will be addressed through predetermined mitigation measures by means of environment mitigation measures (EMMs), at some ecologically and socially sensitive locations it may not be possible to address all impacts through predetermined EMMs. Subprojects in such location shall require additional analysis and mitigation measures. Screening criteria have been developed for classification of the sub projects into three categories, based on the likely extent and nature of environmental and social impacts. The screening exercise shall be carried out by the PIU prior to selection of the subproject. The screening shall provide information on

•Categories of sub-projects and inclusion in the project •Categories of sub-projects to be excluded in sensitive areas through exclusion criteria

5.1.1 Categorization of Inclusion List:


¾ For inclusion screening purposes, the sub-projects shall be classified in accordance with NEPA’s (GoA) and WB’s environmental assessment guidelines, as category A and category B project.

¾ For each category “A” subproject, an EIA including an environmental management and monitoring plan is required. For each category “B” subproject, EMMs and EMP is required.

¾ Category “A” subproject will not be funded under NERAP program under normal circumstances and hence they have been put in exclusion list for NERAP program. Exclusion list is explained in following section. If, owing to unavoidable circumstances, category “A” sub-project is decided to be included in the program then a detailed environmental Impact Assessment (EIA) study along with R&R plan preparation will be undertaken by PIU through a qualified agency. Such sub-project will have to comply with NEPA’s EIA regulation and WB’s safeguard policies. Following triggers will be used for category A subprojects:

o Subproject falling in exclusion list o Subprojects with project cost more than 800,000 US Dollars o Subproject passing through ecologically sensitive areas as declared by

NEPA ¾ Road upgrading and rehabilitation subprojects that do not fall under the

above classification are classified as “B” subprojects. Since majority of NERAP projects are of rural and district roads type, category B projects are further classified into following low and medium impact projects, for better and fast application of environmental and social safeguards as mentioned in this ESMF

(iii) Environment:

Low Impact Sub-Projects (L):The environmental impacts will be of the type normally associated with standard rural road rehabilitation/ reconstruction. Where the expected impacts are small in scale, and can be mitigated through standard measures suggested in the Environmental Mitigation Measures (EMMs).

Medium Impact Sub-Projects (M): Where impacts are larger and complex than Category ‘L’ projects requiring specific intervention, such as new construction projects, project in/adjacent to areas that are declared environmentally sensitive areas by NEPA or that have sensitive environmental features like passing through natural water bodies, flood prone areas, etc. there by requiring additional analysis and site specific environmental management plans. In such cases EMP will be prepared as part of Project Document (PD). The following aspects will be considered as triggers for the Medium impact sub-projects thereby requiring preparation of EMP,


(e) Impacts on natural habitats, (f) Vulnerability to natural hazards, land slides/slips (g) Projects adjacent to(within 500 m) the environmentally

sensitive area as declared by NEPA or areas as detailed out in exclusion list for this ESMF, and

(h) Projects in flood prone areas. In addition to the preparation of the EMP for such projects, the PIU

will undertake the particular road improvement in compliance with the statutory provisions for Environmental compliance by NEPA.

(iv) Social:

Low Impact Sub-Projects (L): �� Trigger: The extent of the requirement for land width accretion is

not significant and there is no or negligible impact on structures or loss of livelihood.

�� Any extra land taken in such sub-projects for the proposed improvements will be through a community planning enabling a transparent process of land transfer and alignment finalisation aslaid down in the Social Inclusion Framework (SIF). This will involve community and village level government body (Shura/CDC) participation in finalising the land requirement and alignment finalisation giving due consideration to aspect of land, safety and scope for future development along the project Road Alignment.

¾ Medium Impact Sub-Projects (M):

o Triggers: Sub-projects, wherein there is a potential for reasonable loss of land/assets and common properties.

o Prior to initiation of the project preparation activities of such subproject, PIU through community involvement will prepare R&R plan and land transfer process, which should be acceptable to the affected people.

o However if it found that there is a resentment of the communities towards the process of land transfer and R&R plan for the project. In such cases, the PIU through community planning will work out alternative alignments, design modifications to address social issues also taking into account aspects such as road safety and scope for future development.

o Sub-projects where no scope exists for addressing the resettlement impacts through any of the mechanisms suggested in the SIF will be called as High impact project not to be taken up during that particular year and put in exclusion list.


o For such roads, the PIU will decide not to go forward with the proposed road improvement through a written communication to the Shura/CDC stating the reasons, and no further analysis or investigation will be undertaken. Such roads will be taken up in subsequent phases of the project, only after these issues are resolved by the communities /Shura/ CDC and there is a formal demand for the project to the PIU from the Shura/CDC as per the NERAP guidelines.

5.1.2 Exclusion of Subprojects (E): The exclusion criteria have been worked out to identify activities that would result in serious environmental/social impacts and hence will not be considered for the NERAP project. Such subprojects shall include: ¾ Projects involving significant conversion or degradation of critical natural

habitats. Including, but not limited to, any activity within: • Ab-i-Estada Waterfowl Sanctuary; • Ajar Valley (Proposed) Wildlife Reserve; • Dashte-Nawar Waterfowl Sanctuary; • Pamir-Buzurg (Proposed) Wildlife Sanctuary; • Bande Amir National Park; • Kole Hashmat Khan (Proposed) Waterfowl Sanctuary

¾ Road passing through designated protected areas, as Reserved forests, Protected forest

¾ Project will significantly damage non-replicable cultural property, including but not limited to any activities that affect the following sites:

• monuments of Herat (including the Friday Mosque, ceramic tile workshop, Musallah complex, Fifth Minaret, Gawhar Shah mausoleum, mausoleum of Ali Sher Navaii, and the Shah Zadehah mausoleum complex);

• monuments of Bamiyan Valley (including Fuladi, Kakrak, Shar-I Ghulghular and Shahr-i Zuhak);

• archaeological site of Ai Khanum; • site and monuments of Ghazni; • minaret of Jam; • mosque of Haji Piyada/Nu Gunbad, Balkh province; • stupa and monastry of Guldarra; • site and monuments of Lashkar-i Bazar, Bost; • archaeological site of Surkh Kotal.

¾ Project requires involuntary acquisition of land, or the resettlement or compensation of more than 200 people.

¾ Roads types other than “province to district/district/village roads”


Annexure-4Protection of Cultural Property

Physical culture includes monuments, structures, works of art, or sites of "outstanding universal value" from the historical, aesthetic, scientific, ethnological, or anthropological point of view, including unrecorded graveyards and burial sites. Within this broader definition, cultural property is defined as sites and structures having archaeological, paleontological, historical, architectural, or religious significance, and natural sites with cultural values. The proposed project is unlikely to pose a risk of damaging cultural property, as the sub-projects will largely consist repair and reconstruction of existing secondary and tertiary rural access infrastructure. Further, the negative list of attributes, which would make a subproject ineligible for support (Attachment 1), includes any activity that would significantly damage non-replicable cultural property. Nevertheless, the following procedures for identification, protection from theft, and treatment of chance finds should be followed and included in standard bid documents. Chance Find Procedures Chance find procedures are defined in the law on the Preservation of Afghanistan’s Historical and Cultural Heritages (Official Gazette, 2004), specifying the authorities and responsibilities of cultural heritage agencies if sites or materials are discovered in the course of project implementation. This law establishes that all moveable and immovable historical and cultural artifacts are state property, and further:

1. The responsibility for preservation, maintenance and assessment of historical and cultural monuments rests with the Archaeological Committee under the Ministry of Information, Culture, and Tourism which has representation at provincial level.

2. Whenever chance finds of cultural or historical artifacts (moveable and

immovable) are made the Archaeological Institute should be informed. Should the continuation of work endanger the historical and cultural artifacts, the project work should be suspended until proper measures are taken to preclude such harm.

3. If a moveable or immovable historical or cultural artifact is found in the countryside of a province, the provincial governor (wali) or district in-charge (woluswal) should be informed within two weeks, and they should inform the Archaeological Institute. In case the immovable historical or cultural artifact is found in a city, the provincial branch of the Department of Maintenance of Historical Values of the Ministry of Information and


Culture should be informed within two weeks. If the find is made within the center, the Archaeological Committee must be informed directly within one week .

4. Digging wells, ditches, rock blasting, driving over and any other operations which causes destructions of the recorded historical and cultural sites is prohibited without coordination and permission of Archaeology Institute

5. If a historical and cultural site is located next to privately owned property and the landowner wants to repair, demolish or redesign his building, the owner must receive approval from the Historical and Cultural Artifacts Preservation Department

6. Whenever individuals who discover historical and cultural artifacts do not

report such discoveries to the related Departments within the specified period, they will be incarcerated for a minimum of one (1) month but not more than a maximum of three (3) months.

7. Individuals who deliberately destroy historical and cultural artifacts will

be fined and according to the level and kind of destruction, they shall be incarcerated from one (1) month minimum to a maximum of ten (10) years.

In case of a chance find of moveable or immovable historical or cultural artifact, the implementing agency is responsible for securing the artifact from theft, pilferage and damage until the responsibility has been taken over by the relevant authorities as specified above.

These procedures must be referred to as standard provisions in construction contracts, when applicable. During project supervision, the Site Engineer shall monitor that the above regulations relating to the treatment of any chance find encountered are observed. Relevant findings will be recorded in World Bank Project Supervision Reports (PSRs), and Implementation Completion Reports (ICRs) will assess the overall effectiveness of the project’s cultural resources mitigation, management, and capacity building activities, as appropriate.


Format 1:Environmental Audit Format

Project ID:Responsibility: Regional SIO/Regional Monitoring Officer

Project Stage/ActivityPotentially Negative Impacts Mitigation Measures

Applicableto the project(please writeYes/No

Implementationstatus(Write yes orNo)

Remarks(whereimplementationis poor ,pleasewrite reason forthe same)

A. Location

Location ofconstruction campsand contractorfacilities

•Inappropriate location such asproximity to local communitydrinking water source, shrines•Environmentally unsound useof community resources such asforestry products by workers

• Location of construction camps atleast 500m away from communityareas, and away from drinking watersources• Inclusion of information onactivities not allowed by constructionworkers in contractdocuments

Location of quarrysites

Location in unstable areas or insensitive areas legally andotherwise

Only stable areas and existing or newgovernment approved sites may beconsidered

Location of borrowpits

Location in unstable areas or onagricultural land

Location in area with stable soil andaway from agricultural land

Obtaining appropriateclearances/permitsfor sections of theroad throughenvironmentallysensitive area and/or

Delays in processing clearances,causing delays in initiation ofconstruction

Processing of clearances/permits on atimely basis and keeping in mind thetime requirements for these clearances


belonging to EIAregulation category

B. Planning/ProjectDesign

Pavement • Water leakage/seepagethrough pavement and damageof road causedby poor quality design

• Quality designs vis-a-vis layerthicknesses and materialcontent

Determination ofROW width

Unnecessary widening leading tounnecessary geometric cuts, soilerosion, and destruction of plantand water resources

Widths to be supported by trafficanalyses and economic justification

Drainage structures •Poor drainage caused by poorlydesigned/ specified drainagestructures, e.g., unlined drains•Damage to cross-drainagestructures because of inadequacyto support water flows, leadingto damage to road

•Drains lined with cement mortar only•Drainage structures designed inaccordance with anticipated levels ofwater flows

Geometric cuts Excessive excavation leading tounnecessarily large volumes ofearthworks, and generation ofexcessive dust andsediments deposited in nearbywater bodies

Designs to be based on scientific basis

Road safety measures • Inadequate safety measurescausing accidents in future

• In detailed design, provide site-specific safety measures that taken intoaccount


cost and likely economic benefits

Mechanization • Poor quality constructionbecause of lack of properequipment and machinerycausing early and untimelydamage to the road surface androad furniture—leading to poorriding surfaces, poor drainage,unnecessary erosion landslides,accidents, and sedimentation inwater bodies

• During detailed design, specifymechanical construction methods• Select contractors based on theirability to supply/use machinery

Bioengineering • Use of unsuitablebioengineering methods atvarious sites

•In detailed design, specify variousbioengineering options and follow thestandard specification.•Specify the need for monitoring theimplementation of bioengineering

C. Construction

Establishment andshifting ofconstruction camps

• Deforestation and poaching bylaborers• Improper waste disposal• Loss of aesthetic beauty• Disturbance to nearbysettlements• Unfriendly use of communityresources such as non-timberforestry products by constructionworkers• Leaving dirty and wastematerial after shifting from onecamp site to another

• Provision of cooking fuel tocontractors’ staff•References to the illegality of cuttingtrees, hunting and fishing, and otherprohibited activities in communityareas to be included in contractdocuments• Provision of proper waste disposalfacilities and health facilities• Prior information to nearbycommunities of camp establishment• Ensure clean area left behind whenshifting camp

Removal of • Negative changes in micro- All parts of project road


vegetation anduprooting of trees

level wildlifehabitat/environment• Soil erosion• Scarring of landscape

Cutting of hill slopeand earth removalfrom borrow areas

• Soil erosion and landslides• Scarring of landscape because

of improper disposal of debris• Dust pollution• Disruption of local drainage• Siltation in nearby water bodiesand consequent negative effectson aquatic ecology• Noise and disturbance towildlife and nearby communities

• Confine cutting activities to dryseason• Use standard method• Disposal of debris at proper sites orreuse material for construction• Use of appropriate bioengineeringtechniques immediately after cutting tomaintain stability of slope above andbelowROW• Proper restoration of borrow areas• Provision of appropriate drainagestructures/facilities• Confine construction activities todaytime

Quarrying • Landslides (rock slides/falls)• Scarring of landscape• Disturbance to wildlife andnearby communities fromblasting

• Use of controlled blasting andenvironment-friendly quarryingtechniques• Blasting only during daytime

Crushing of stone andtransport ofstone/materials

• Dust pollution affectingconstruction laborers and localvegetation• Air pollution from machineryand vehicle exhausts• Noise pollution anddisturbance to nearby wildlife

• Water sprinkling of stone crushingsite • Proper covers for vehiclestransporting stone and materials• Regular maintenance of machineryand vehicles• Confine stone crushing andtransportation activities to daytime


and communities

Road surfacingactivities

• Air pollution from smoke andgaseous emissions affectinghealth of workers• Traffic delays

• Use of bitumen emulsion whereverpossible• Use of diesel fuelled asphalt mixingplants when bitumen heating isrequired• Manage traffic

Construction of lineand cross drainagestructures and bridges

• Inadequate capacity• Collapse of drainage structuresbecause of poor qualityconstruction• Disruption of localstream/river courses and aquatichydrology• Increased sediments inrivers or streams

• Quality construction• Construction confined to dry season• Provision of appropriate drainagefacilities and river/stream diversionstructures

Operation ofmachinery andequipment andgeneral activities oflaborers

• Spillage/leakage of chemicalsand oil and contamination of soiland water resources• Injury to workers/others• Respiratory problems from

dust and machinery emissions• Hearing problems due to highlevel of noise

• Proper storage and handling ofchemicals and oil• Provision of workers withconstruction hats, face masks, earplugs,gloves, etc.• Provision of well-equipped first aidkits and health facilities

Water supply • Misuse of community waterresources

• Independent arrangements to bemade for water requirements so thatsupplies to nearby communities remainunaffected

D. Operation


Movement ofvehicles

• Air pollution, noise, andvibrations from increasednumber of vehicles anddisturbance to wildlife

• Planting of appropriate speciessurrounding the road to absorb airpollution and block noise anddisturbance during and immediatelyafter construction

General functioningof road

• Damage to riding surface andstructure of road—formation ofpotholes, water seepage, andpoor drainage• Excessive landslides, erosioncaused by improper maintenanceof bioengineering works, wallconstruction• Damage of drainage structuresandconsequent disruptions to traffic,failure to enable proper drainage,and increased sedimentation

• Quality construction and maintenance

Verified by:

Regional SIO: (Signature)………………………….Regional Monitoring Officer:………………………..Date:……………………..Agreed by Contractor: (Signature)………………………….


Format 2: Public Announcements (Prior to finalization of alignment/transect

Walk) Province: …………….. Project ID:……………………

District/Village: ………………

� What is the Project and its salient features � Benefits � Which Agencies are involved � What if resentment from community � Need for additional land through Voluntary Land Donation � Likely Impacts and Entitlements � Date of Transect Walk � Alignment Details along with map of alignment displayed � Contact Person and Address (PIU and PRI)

Responsible Agency/Person: PIU (PE/RSIO), CDC/Shura (Head and other members)


Format 3: Alignment Details for Disclosure

(Prior to finalization of alignment/transect walk)

Province: …………….. Project ID:……………………


Province: District: Village:

Name of Project alignment: Total Length (km): Connected Settlements:

•Starting Node/km: •Ending Node/km:

Population Benefited Total Implementing Agency: Name of Contact Person and Address: Project alignment marked on schematic diagram with centerline & socio-environmental features

Socio-environmental Features Schematic diagram


Format 4Outputs of Transect Walk

(After finalization of alignment/transect walk)



• Identification of Environmental & Social sensitive location

• Likely location for additional land requirement

• Issues identified

• PAPs Identified

• Suggestion from community

Modifications(if any) to minimize land width accretion and incorporating community suggestions through alterations/modifications on alignment ……………………………………………………………………………………… ………………………………………………………………………………………


Responsible Agency/Person: PIU (PE/RSIO), CDC/Shura (Head and other members), Government officer ,if any

Format 5Sub Project Details

(Prior to mobilizing construction work on site)



Province: District: Village: Name of Sub Project Corridor: Total Length (km): Connected Settlement/s: Total Cost (Rs. Lakhs): Implementing Agency: Name of Contractor: Construction Schedule: Date of Commencement: Date of Completion: Scope for involvement of locals as construction labour: Yes No Wages (Rs/Day) as per minimum wages prescribed:

Grievance Redressal, Contact Person & Frequency of meeting: •Village Level •Province Level Contract Details: Type of Work: Road Width (m): Design Speed (km/hr): No. of CD Works: No. of Bridges: No. of Culverts: Surface/Side Drains (No X m):

In case of any concerns in quality of implementation, Contact Project Engineer, PIU (Agency, Name, Address, Phone No & Contact Person Name)


Contract Document copy available at Regional PIU (Agency Name, Address, Phone No & Contact Person Name) Responsible Agency/Person: PIU (PE/RSIO), CDC/Shura (Head and other members), Community mobiliser,


Format 6Verification of Ownership of Land



Name of Road Alignment Village S.N. Name of the land

owner Amount of land/asset affected (sqm)

Type of land Verified (Y/N)

Method of verification

Total

Note: Verification of Ownership of Land forms for each village by Regional PIU and compiled by PIU for each corridor and to be attached with the PD.


Format 7: Memorandum of Understanding(MoU) for Individuals

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

____________________________ _____________________________________ Signature of the Owner: Signature of the MRRD/MOPW Officer (Recipient): Witnesses: 1.______________________________ 2.______________________________

(Signature, name and address)


Format 8: Memorandum of Understanding (MoU) for Group of Community Members

The following agreement has been made on............................ day of...................………. between community members through Shura/CDC of ............................................(the Village/District) and ……………………………………………….(the Recipient).Name of the community members are listed below. 1. That the Owners hereby grant to the Recipient this asset for the construction and development of ................................for the benefit of the villagers and the public at large. 2. That the Owners will not claim any compensation against the grant of this asset. 3. That the Recipient shall construct and develop the……………………and take all possible precautions to avoid damage to adjacent land/structure/other assets. 4. That both the parties agree that the………………………so constructed/developed shall be public premises. 8. That the provisions of this agreement will come into force from the date of signing of this MoU. Details of Community members donating voluntary:

S.N. Name of Community Member Land/asset details Signature

____________________________ _____________________________________ Signature of the Shura/CDC Head: Signature of the MRRD/MOPW Officer

(Recipient): Witnesses: 1.______________________________ 2.______________________________

(Signature, name and address)

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