PMGSY RURAL ROADS PROJECT

Transcription

1 Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized GOVERNMENT OF INDIA PRADHAN MANTRI GRAM SADAK YOJANA PMGSY RURAL ROADS PROJECT Environment and Social Management Framework Executive Summary October 2010 National Rural Roads Development Agency Ministry of Rural Development 1

2 Abbreviations AAV BoQ CD Structures CPCB DPR ECoP GP GS GSB HFL IRC IS MoEF MoRD MoRT&H MoU NOC NREGA NQM O & M ODR OM PIU PMGSY POL PRIs PSV PUC PWD RoW S W Plains SP SPCB WBM Aggregate Abrasion Value Bill of Quantities Cross Drainage Structures Central Pollution Control Board Detailed Project Report Environmental Code of Practice Gram Panchayat Gram Sabha Granular Sub- Grade High Flood Level Indian Roads Congress Indian Standards Ministry of Environment and Forest The Ministry of Rural Development Ministry of Road Transport and Highways Memorandum of Understanding No-Objection Certificate National Rural Employment Act National Quality Monitor Operation and Maintenance Other District Roads Operations Manual Programme Implementation Units Pradhan Mantri Gram Sadak Yojana Petrol, Oil and Lubricants Panchayat Raj Institutions Polished Stone Value Pollution Under Control Public Works Department Right of Way South West Plains Special Publications State Pollution Control Board Water Bound Macadam 2

3 ESMF Summary 1.1 Introduction This Environmental and Social Management Framework (ESMF) compiles various safeguard and compliance aspects of environmental and social issues related to the PMGSY Rural Roads Project. It summarizes the contents of the Environmental Codes of Practice (ECoP), the Social Management Framework (SMF) and the Vulnerability Framework (VF). 1.2 Background Empowering rural India through the strategic provision of all-season road access has emerged as one of the key priorities for the Government of India (GoI). The Eleventh Five Year Plan ( ), and the Tenth Plan before it, recognizes that rural connectivity is a key component of rural development and poverty alleviation in India. The Ministry of Rural Development (MORD) launched the Pradhan Mantri Gram Sadak Yojana (PMGSY) a Prime Minister s Rural Road Program in 2000 to connect all habitations with populations of more than 500 (250 in hilly, deserts, and tribal regions) with all-weather roads in the first instance. The program is primarily funded by the GoI through the Central Road Fund (CRF), and borrowing from multi-lateral agencies. PMGSY also covers upgrading of existing roads serving the targeted habitations once connectivity is achieved. PMGSY targets include connecting up to 178,000 habitations, involving construction of about 375,000 km of roads in addition to upgrading 372,000 km of existing rural roads that are in poor condition. This entails expenditures of about Rs billion (US $ 33 billion). 1.3 Project Description Through its Country Assistance Strategy, the World Bank commits to a series of loans/credits to support PMGSY. Starting from the Rural Roads Project I (RRP I) approved in 2004 and currently under implementation, the PMGSY Rural Roads Project will be the second World Bank operation to support PMGSY. The proposed project is a US$1.5 billion Specific Investment Credit (SIC) that uses a programmatic approach to support implementation of the PMGSY program over a five year period in the participating states Jharkhand, Himachal Pradesh, Rajasthan, Meghalaya, Uttarakhand, Uttar Pradesh and Punjab. The project will contribute to the finance of civil works expenditures in the seven participating states associated with providing new all weather access to unconnected habitations and upgrading key through routes in rural areas, and will strengthen implementation efficiency and the sustainability of program roads through improved maintenance. The project will also support a technical assistance program designed to strengthen the capacity of relevant agencies to implement the program. The project aims to enhance the effectiveness of the PMGSY program through improvements in its overall policy-framework and systems The project will use a results based methodology to keep the client and the Bank engaged around an agreed set of results rather than the individual transactions leading to those results. As such, there is a movement from input monitoring to output performance monitoring. The agreed results under the program have been formulated as a series of Disbursement Linked Indicators (DLI) which will be the basis for disbursement of funds during the project life. Performance against these indicators will determine the extent to which disbursements will be made at the end of each time period. In other words, the disbursements are performance linked. 3

4 1.4 Rational for the ESMF Environment The development of an improved rural road network can cause significant damage to the surrounding environment, if not addressed appropriately during planning, design and construction. Improper slope stabilization techniques, drainage and disposal of construction wastes, particularly in hilly terrain can lead to landslides, soil erosion, degraded scenic value and can cause siltation of dams. Connecting roads in remote locations can affect a wide range of critical natural habitats such as protected areas, wildlife corridors, wetlands and forests. In addition, increased traffic, pedestrian safety, the presence of a large work force in or near small rural communities and reducing nuisances such as dust and noise will require attention Social The social benefits from a rural road project are location specific to the villages targeted under the program. The impoverishment risks and social adversities for rural roads projects are generally minimal because of low land intake. Assessments and consultations to date indicate accrual of net gains to the people affected as they will gain better access to their agricultural fields and gain higher land values. Improved access will also facilitate productivity enhancements and better participation of female workers in agricultural and other productive activities. Rural communities reported elevation in social status and pride in being connected to the main road network, and having an important community asset in the road Construction in PMGSY is proposed along the existing tracks and restricted to the width as available in the Revenue Records. In instances where available width is small, additional land may be required for construction of roads, and however negligible the land requirement, the SMF guidelines would apply to ensure compliance with Bank's safeguard and national policies on land acquisition and resettlement. Land acquisition is not financed under the PMGSY but provided by the states - mostly through voluntary donations. However, a couple of PMGSY project states Punjab and Uttarakand instituted purchase of land as opposed to voluntary donation, and this represents an important shift in the land transfer modalities under the PMGSY, one that will mitigate potential social challenges associated with voluntary transfers In rural India, adivasis also referred as scheduled tribes, along with schedule caste and poor women are considered vulnerable and are often from participating in development programs. Given this context, the project has developed the vulnerability framework to guide addressing the vulnerability from birth identity and gender, while complying with Bank safeguard policies and national legal framework on adivasis. Adivasis are present in all participating states, with Meghalaya, followed by Jharkhand reflecting the largest percentage of adivasis. 1.5 Applicable World Bank Safeguard Policies The World Bank s safeguard policies applicable to the project are detailed below. S. No World Bank Policy Applicability Mitigation Measures 1. Environmental Assessment The project is likely to have impacts on environmental components such as on water bodies, existing slopes in case of hilly areas Preparation and application of Environmental Codes of Practice for addressing environmental 4

5 OP 4.01 and trees along the road issues. 2. Natural Habitats OP 4.04 Some sub-projects (about 1 percent) are likely to be in/close to sensitive natural habitats Avoidance measures, including non-inclusion of such sub-projects in the project. 3. Forest OP 4.36 Some sub-projects are likely to be in/close to forest areas and may need forest land diversion, particularly in the hill states Preparation of a management plan to address impacts, if any and avoidance/minimization of construction and allied activities in forest areas. 4. Cultural Properties OP4.11 The project entails risk/damage to cultural properties and has likelihood of chancefinds Provisions made for relocation of cultural properties and protection of the same through design modifications and other measures. 5. Indigenous Peoples OP/BP 4.10 Several project states have a significant adivasis population, whose well being should be promoted. The VF ensures that the development process generated by PMGSY fully addresses the needs of the vulnerable populations, including the adivasis population. 6. Involuntary resettlement OP/BP 4.12 Some sub-projects may require additional land for constructing the road, possibly causing loss of small strips of agriculture land and in few cases losses of entire or substantial parts of land holdings and even structures. The SMF articulates standards for land transfers through purchase and donation to mitigate against harm to the donors, particularly to those designated as vulnerable Apart from compliance to the GoI policies, the project will comply with the Bank procedure, BP Disclosure shall be carried out at all stages of the project as at planning stage, prioritization stage, project preparation stage and implementation stages. The core network shall be displayed at the project planning stage and project information brochure shall be distributed at the prioritization and project preparation stages. Consultations shall be conducted with the community and the PRI at project preparation and implementation stages. 1.6 Key Objectives of the ESMF The ESMF intends to provide technical and managerial inputs and guidance into the design of the PMGSY road works (new construction, upgrading, rehabilitation and maintenance), through identification of key environmental and social issues related to the foreseen projects, mitigate potential impacts and concerns, devise opportunities to enhance the benefits. The framework integrates in a step-wise approach the most important environmental and social considerations into all stages of project preparation, implementation, monitoring and operation and is applicable to all future PMGSY works. 1.7 Methods applied to prepare the ESMF In order to prepare this ESMF, a three-tier approach comprising the following has been adopted (i) review of environmental and social profile of the project states, (ii) consultations with stakeholders, 5

6 and (iii) use of field/practical experience gained from RRP I implementation. Based on the consultation and reviews, a consensus on the following three key aspects was established: (i) The ESMF used for RRP I is largely relevant for the PMGSY Rural Roads Project. The framework can be adopted for the PMGSY Rural Roads Project with a few modifications, primarily guided by the experience gained through implementation of RRP I; (ii) ECoPs are updated with a particular focus on strengthening ECOPs related to slope stability and biodiversity management; and (iii) Strengthening the social and environmental management capacity both at national and state level is the key The provisions under the framework have been drafted in accordance with the applicable statutory provisions of Government of India and for compliance with the World Bank Policies. Certain provisions to address the environmental issues are already present within the existing codes/specifications. In case of conflict of the provisions mentioned in this ECoP with the existing codes/specifications, the existing codes/specifications shall prevail. 1.8 Approach to Environmental and Social Management The World Bank-financed first rural roads project prepared an environmental and social management framework (ESMF) which included environmental codes of practice (ECOP) and a resettlement and participatory framework (RPF). The ESMF was later improved in Under RRP I the World Bank ESMF was introduced as a supplement to the main PMGSY operations manual and only used for Bank-financed contracts. In terms of policy and procedure there are no major differences between Bank requirements and the social and environmental regulations governing the PMGSY. However, there have been differences in the expectations for implementation. To strengthen implementation and better align the program with national policies and regulations the following key initiatives have been agreed with MoRD, NRRDA and the participating states: Integration of Environmental and Social Aspects in the Operations Manual: The Operations Manual (OM) of PMGSY (a key document that lays out the detailed procedures) will be modified to better reflect the environmental and social management procedures governing the program Strengthening of Detailed Project Report Template (DPRs): The template for DPR, (a key document used for sub-project preparation) which is currently being prepared by NRRDA with help of a consultant, will better reflect environmental and social features/ issues as well as other key planning and engineering/design requirements Mainstreaming Environmental Dimensions in the Technical Design Standards: The Indian Roads Congress is currently updating their technical design manual for rural roads (known commonly as the Red Book ). It has been agreed that engineering best practice to avoid and mitigate environmental impacts/issues will be introduced/strengthened in the said manual. The project will finance consultant services to support the updating process of these technical standards Integration of environmental, health and safety requirements in the Standard Bidding Document: Inappropriate construction practices can cause adverse environmental, health and safety (EHS) impacts, especially from the improper scheduling of works, unsafe handling of hazardous materials and haphazard dumping of construction wastes (including earth cuts in hills). To ensure improved environmental management during the construction stage, a section clearly specifying preventive and mitigation measures to be taken by the contractor are being introduced in the Standard Bidding Document (SBD) Capacity Building: The technical assistance component (TA) includes training on the management of key social and environmental issues in the rural roads development program, such as planning, 6

7 design and/or construction of roads in ecologically sensitive areas; drainage design and management; slopes and debris management in hilly terrain and materials management; ensuring community participation and consultations, will be provided to the engineers and contractors. This initiative also seeks to help NRDDA and its associated training agencies in developing appropriate and user-friendly training material for use both during and after the project duration Environmental Management The Environmental Codes of Practice (ECoP) address the environmental issues mentioned above likely to be encountered in sub-projects in the participating states by providing guidance on the selection, planning, design and implementation of sub-projects of PMGSY in terms of avoidance or mitigation of the adverse environmental impacts that may result from the sub-projects. To enhance compliance with environmental safeguard policies, project screening, design and construction practices will be strengthened. Screening for critical natural habitats, in addition to following good engineering practices during the project cycle can avoid, minimize and mitigate the environmental issues identified Environmental Codes of Practice (ECoP): The ECoP provide technically specified solutions illustrating the general principles of environmentally sound and sustainable planning, design and construction of road structures. It also refers to drainage and flood prevention, roadside planting, work safety and health concerns, and protection of wildlife and cultural assets. The codes define methods and procedures to be followed by the Executing Agencies, Contractors and other agencies involved in the project states. The scope of the ECoPs is outlined in the Box to the right. Scope of Environmental Codes of Practice To form a field guide manual for planners, field engineers and contractors. Identify project activities that can have potential environmental impacts and to provide mitigation measures. Demonstrate road design and construction practices that are cost-effective and address environmental impacts. Illustrate recommended practices to address the environmental concerns during project planning, implementation and operation. Define the role of involvement of the rural communities at different stages of the project. Achieve PMGSY objectives of rural connectivity through roads planned and constructed to blend with the natural surroundings Screening: Supporting the existing RRP I ESMF, a process to screen the projects against environmental features at the State level has been developed. The rural road network will be screened not only for the officially demarcated reserves and sanctuaries, but also for areas outside these boundaries that are considered critical for certain species of fauna (tigers and elephants for instance). This will ensure all roads close to critical natural habitats are identified prior to DPR preparation and appropriate measures are taken, avoiding delays. These critical areas have been studied and mapped by the Wildlife Institute of India (WII) and maps are particularly well developed for the 17 tiger range states, which include the project states Uttarakhand, Uttar Pradesh and Meghalaya. NRRDA/SRRDA will implement this screening criterion in collaboration with the WII Updated Operations Manual: The existing Operations Manual is being updated to mainstream the environmental principles into PMGSY Strengthened Standard Bidding Document and Supervision: Contractor practices can cause readily visible environmental and aesthetic impacts especially from the inadequate disposal of construction wastes and earth cuts. As a result, the SBD will be strengthened to 7

8 reflect all measures required to be taken by the contractor. Compliance with these specifications will be supervised as part of project technical supervision Standard Environmental Specification and Supervision: Minimum standard environmental specifications have been prepared and will be included in all bidding documents and contracts. In addition, an environmental supervision protocol is to be utilized by the supervision engineers to ensure all environmental considerations included in the SBD and bided for by the contractor are implemented during construction has been developed. This will include checklists for these junior engineers to better enforce the environmental requirements during construction Social Management 8

9 The land donation experience during RRPI has shown that the agreed procedures are not always fully followed or documented. To improve the overall safeguard management and ensure compliance with OP 4.12 Involuntary Resettlement and OP 4.10 Indigenous Peoples, exclusive operational documents the Social Management Framework (SMF) and the Vulnerability Framework (VF) - have been prepared for the PMGSY Program, supplementing the Environment and Social Management Framework (ESMF) - adopted under the RRP I. While implementation of the original ESMF under RRPI has provided reasonable experience to NRRDA as well as to some of the proposed project states, annual reviews of the functioning of the SMF and VF within the PMGSY Program will improve understanding of their efficacy in supporting compliance with OP 4.12 and OP 4.10 respectively, and enable modification where necessary Social Management Framework: The SMF lays down the standards for asset donations, ensures that throughout its life, the project fully complies with the principle that involuntary loss of assets or relocation of economic activities or residence, is minimized and fully compensated; and guarantees that adequate procedures exist for prior consultation of all affected persons, assessment of losses and entitlements, handling complaints and disputes, and monitoring of the outcomes Vulnerability Framework: The VF ensures that the development process generated by the PMGSY fully addresses the needs of the vulnerable populations and enables measures to promote distributional equity among the project affected populations (PAPs) in a culturally sensitive manner. It underscores the importance of participatory approaches, including information sharing, consultation and collaboration, as a way to give voice to, and strengthen the capabilities of PAPs - especially vulnerable groups, to influence the project s outcomes Updated Operations Manual: In an effort to mainstream the social principles into PMGSY, the existing Operations Manual is being updated accordingly Annual Reviews: While implementation of the original ESMF under RRPI has provided useful experience to NRRDA and some of the states, annual reviews of the functioning of the SMF under PMGSY will be undertaken to improve the understanding of their effectiveness in enabling compliance with OP 4.12 and OP Modifications would be made where necessary Additional Measures supporting social goals: Specific measures will be necessary to support social goals: (i) incorporating revisions from the newly edited SMF into the OM; (ii) mandating gender and vulnerability sensitive inclusion as a necessary feature in all habitation connectivity, (iii) introducing social standards for DPR acceptability; (iv) enforcing gender and vulnerability based inclusion among road workers as a criteria for awarding community contracts; and, (v) identifying reputable independent NGOs to support the grievance redress requirements of PAPs and providing clear procedures for the grievance redress process Monitoring: Continuous monitoring by the Social Planning and Monitoring Specialist at SRRDA/PIU and the Social Scientist of the Technical Audit Committee, complimented by Performance Audits and Annual reviews, will help identify the implementation lags as they emerge, with appropriated modifications made. Additionally, the project will finance the design and roll-out of citizen monitoring to 100 districts under the PMGSY program. To further strengthen the accountability of the project, a grievance redress mechanism will be implemented with the facilitation of an independent NGO, which can trigger social audits by local communities at the local, state and central levels Capacity Building: The existing patchy implementation capacity can affect social outcomes despite adequate safeguard provisions. This dearth in capacity will be addressed through enhanced TA and training, and sharing of social lessons from roads programs. Capacity 9

10 building for effective implementation of social aspects in PMGSY will be tailored for the different audiences. In addition, (i) the OM will be revised to incorporate provisions of the SMF and VF (ii) Training will incorporate global best practices in gender and vulnerability inclusion, safeguard compliance and grievance redressal in rural road programs; and (iii) Training on road safety will be conducted for officers and local communities alike. Moreover, groups undertaking participatory monitoring will be trained in generating and disaggregating data to better understand the program s impact on vulnerable groups including women. 10