INSTITUTIONAL SETTING AND - World...

GUJARAT STATE HIGHWAYS PROJECT: PHASE IIB

INSTITUTIONAL SETTING AND

LEGAL FRAMEWORK

| SECRETARY, R&BD X I ITASK FORCE

I z 1 ~~~~~~~ENVIRONMENTAL PROJECT IMPLEMENTATION UNIT 1 ENVRMENTAL

MANGEMENT UNIT

SPECIAL EXTERNAL ADVISORS I CONTRACTORS

t NGO FOR RESETTLEMENT

ACTION PLAN IMPLEMENTATION

GRIEV-ANCE REDRESSAL MARKET VALUE

COMMITTEES ASSESSMENT COMMITTEES

FILe COPY E228Vol. 6 - Revised

Project Co-ordinating Consultancy Services

(A World Bank Funded Project)

VOLUME II-B: FINAL REPORT

Prepared for

The Government of Gujarat N.D. Lea International Ltd.Roads and Buildings Department in association withMarch 2002 Lea Associates South Asia Pvt. Ltd.

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TABLE OF CONTENTS

PARTICULARS PAGE NO.

1. OVER-VIEW OF GUJARAT STATE HIGHWAYS PROJECT 1-1

1.1 OBJECTIVES OF THE PROJECT 1-1

1.2 PHASES OF THE PROJECT 1-2

1.3 OVER-VIEW OF GSHP PHASE IIB 1-3

2. INSTITUTIONAL SETTING 2-1

2.1 NEED FOR INSTITUTIONAL SETTING 2-1

2.2 INSTITUTIONAL SET-UP BEFORE GSHP 2-1

2.3 GAPS AND DEFICIENCIES 2-2

2.4 INSTTUTIONAL SET-UP SUGGESTED 2-2

2.5 INSTITUTIONAL SETTING FOR GSHP 2-4

2.6 ROLE AND RESPONSIBLITIES OF THE AGENCIES INVOLVED 2-5

2.6.1 PROJECT IMPLEMENT UNIT 2-5

2.6.2 ENVIRONMENTAL MANAGEMENT UNIT 2-6

2.7 OPERATIONLISATION OF THE EMU 2-8

2.7.1 TARGETS AND TASKS 2-8

2.7.2 MOBILISATION 2-9

2.7.3 OPERATIONALISATION OF EMU 2-10

2.7.4 PROCUREMENT OF EXTERNAL TECHNICAL EXPERTISE 2-10

2.7.5 TRAINING PROGRAMME FOR THE EMU 2-12

2.7.6 TRAINING OF OTHER R&BD STAFF 2-15

2.7.7 ESTIMATED BUDGET 2-16

2.8 GRIEVANCE REDRESSAL COMMITTEE 2-16

2.8.1 MEMBERSHIP 2-17

2.8.2 FUNCTIONS 2-17

2.8.3 PROCUDURE FOR HEARING COMPLAINTS 2-18

2.8.4 REPORTS 2.19


2.9 MARKET VALUE ASSESSMENT COMMITTEE 2-19

2.9.1 MEMBERSHIP 2-19

2.9.2 FUNCTIONS 2-19

2.9.3 PROCEDURE FOR OPERATION 2-20

3 LEGAL FRAMEWORK 3-1

3.1 NATURAL ENVIRONMENT - LAWS, REGULATIONS AND POLICIES 3-1

3.1.1 FOREST (CONSERVATION) ACT, 1980 3-1

3.1.2 ENVIRONMENTAL IMPACT ASSESSMENT NOTIFICATION 3-2

3.1.3 WILDLIFE (PROTECTION) ACT, 1972 3-3

3.1.4 WATER AND AIR (PREVENTATION AND POLLUTION) ACT 3-3

3.1.5 MOTOR VEHICLE ACT, 1988 3-3

3.1.6 POLICY LEVEL INADEQUACIES 3-3

3.2 SOCIAL ENVIRONMENT - LAWS, REGULATIONS AND POLICIES 3-4

3.2.1 R & R PRECEDENCE 3-5

3.2.2 POLICY DEFICIENCIES 3-5

3.2.3 ENTITLEMENT FRAMEWORK IN GSHP 3-6

3.3 CULTURAL ENVIRONMENT - LAWS AND REGULATIONS 3-6

3.3.1 POLICY INADEQUACIES 3-7

3.4 MANAGEMENT AND ROAD-CONSTRUCTION STANDARDS/NORMS 3-7

3.5 EQUITY AND WELFARE PROVISION IN GSHP 3-9

3.6 ENVIRONMENTAL CONSERVATION PROVISIONS IN GSHP 3-11

3.7 PUBLIC SAFETY AND HEALTH PROVISIONS IN GSHP 3-14

LIST OF TABLES & FIGURES


FIGURE 1.1: TYPICAL CROSS-SECTION - GSHP 1-2.

TABLE 1.1: PHASEWISE IMPLEMENTATION PROGRAMME 1-2

FIGURE 2.1: IMPLEMENTATION ARRANGEMENTS FOR GSHP 2-4

FIGURE 2.2: INSTITUTIONAL FRAME WORK FOR THE PROJECT 2-5

TABLE 2.1: TRAINING PROGRAMME FOR EMU 2-14

TABLE 2.2: ESTIMATED BUDGET FOR EMU 2-16

LIST OF APPENDICE.S

APPENDIX PARTICULARS

A SPECIFIC RESPONSIBILITIES OF ENVIRONMENTAL MAMAGEMENT

UNIT

B EXTERNAL EVALUATION PROCEDURE

C GRIEVANCE REDRESSAL PROCEDURE

D MARKET VALUE ASSESSMENT PROCEDURE

1. OVER-VIEW OF GUJARAT STATE HIGHWAYS PROJECT

The state of Gujarat is located on the western coast of India, north of the state of

Maharashtra and borders Pakistan in norl:h-west. The state straddles the Tropic of Cancer

along the Arabian Sea and has an area of 195,904km2 .

The state has a road network of about 70,000km, of which 2,000km are primary network

(the National Highways, controlled by the GoI), and 20,000km are secondary network (the

State Highways, controlled by the R&BD, GoG), while the remaining roads are controlled

by the local self-governments (Panchayats and Municipalities). Most of the State Highways

are either two-lane or intermediate-lane carriage-way, on 10m road formation.

Due to rapidly increasing traffic, industrial growth, and'increasing levels of mobility, the

existing State Highways are experiencing different levels of stress. The constrained

capacity of the State Highways is a bottleneck for the ensuing industrial and economic

development of Gujarat. To relieve the stress on the State Highways, the GoG has

undertaken the Gujarat State Highways Project (GSHP) with loan assistance from the

World Bank (WB) to upgrade selected Highway corridors in order to facilitate smoother

and quicker movement of goods and people. Parts of a number of key State Highways will

be rehabilitated and strengthened in this project.

The Gujarat "Project Co-ordinating Corisultancy" (PCC) was undertaken by N D Lea

International Ltd, Canada (NDLI) in association with Lea Associates South Asia Pvt. Ltd.,

India (LASA). A "Strategic Options Study" (SOS), undertaken by LASA in 1995, evaluated

3000km of State Highways and selected 1500km for detailed feasibility study. The

objectives of the PCC, during the feasibility study, were to conduct a detailed feasibility

study on these i500km of state roads and, using economic and environmental principles,

establish a road investment programme for a subset of these roads to be funded by the

World Bank loan.

1.1 .OBJECTIVES OF THE PROJECT

The GSHP aims to improve a portion of the road transport network in the state within the

constraints imposed by the available funding. More specifically, the objectives are the

following:

* to provide more efficient transportation of passengers and goods in the state;

* to provide better accessibility and reduce traffic distress on the arterial highways

passing through the state;

1-1 'MDm

Chapter 1 - Overview of Gujarat State Highways Project

* to ensure longevity of the roads for more than 15 years, thereby reducing the cost of

maintenance, travel time and vehicle operation; and,

• to improve accessibility to the major ports, existing and proposed industrial estates,

and foreseeable mega-industrial complexes for efficient transport of goods.

I RIGHT OF WAY: TYPICALLY 30M

Clear Zone Clear Zone

Shoulde- | Nhoulder

_ 3.5mM ! ,3.5m _ < ~~~2.5m _2.5m <

7.0rn, 7.0rn

CORRIDOR OF IMPACT

Figure 1: Typical Cross-section - GSHP

The GHSP generally involves widening and strengthening of the project corridors along the

existing alignment and within the existing RoW (subject to minor modifications in order to

improve road geometry and for road safety).

1.2 PHASES OF THE PROJECT

The project is to be implemented in three phases, viz., Phases I, IIA, and IIB. Phase I

involves widening and strengthening of 246.3 km of State Highways, whereas Phase IIA

consists of 249.2km of State Highways for widening (the 65 km Mahesana- Palanpur

corridor is common to both Phases I and IIA: existing two-lane carriage-way to be

strengthened in Phase I and a two-lane new carriage-way to be added in Phase IIA.). The

remaining 391.3 km roads are part of the Phase IIB.

Table 1: Phase-wise Implementation Programme

Phase Contract Corridor No. Corridor Name Length of CorridorPackage (in km)

01 .Sarkhej - Viramgam 47.7

11 03 Mahesana - Palanpur 65.0

Phase I _________11 28 (part) Rajkot - Link to Vanthali 60.0

IV 17 Kadodara Bajipura 35.6

V 06 (part) Godhra - Halol 38.0

. ... . Sub-total . 246.3

VI 03 Mahesana-Palanpur 65.0

VIl 05 Shamlaji - Lunavada 85.5

Phase IIA 06 (part) Lunavada - Godhra 36.0

viii 08 Ladvel - Dakor 18.0

____ 09 Dakor - Godhra 47.7

Sub-total ..- , . 252.2

1-2

Gujarat State Highways Project, Phase IIB - Vol. IIB

Phase Contract Corridor No. Corridor Name Length of CorridorPackage (in km)

IX 10 Vadodara - Jambusar 45.4

12 Bharuch - Dahej 47.2

X 26 Jetpur - Junagarh 24.24

27 Rajkot - Morvi 68.2

Xi 28 (part) Falla-Jamnagar 65.1

Phase IIB Xii 02 Viramgam - Halvad 71.5

Xiii 21 Bagodara-Dholka 22.7

22 Wataman - Pipli 24.0

XIV 13 Olpad - Icchapore 11.0

15 Magdalla-Sachin 13.25

Sub-total 392.59

All Phases Total 826.9

1.3 OVERVIEW OF GSHP: PHASE IIB

Phase IIB includes 10 corridors in Southern Gujarat and Western peninsula of Saurashtra.

A total of 392.5km of State Highways will be upgraded in PhaseIIB. Most of these

Highways will handle traffic at design speeds of 100km/h instead of the present 65km/h.

However, most of the up-gradation will occur within RoW already acquired by R&BD.

The Environmental Study for Phase IIB of GSHP (Refer ESR, NDLI/LASA, 1999) has

encompassed all the components of the bio-physical and social environment. An

exhaustive Public Participation Programme and a detailed Wild Ass survey in Corridor 02

(Viramgam-Halvad), which lies south of the Wild Ass Sanctuary in Little Rann of Kutchchh,

have been conducted under the Phase IIB of the Project.

Also, composite sampling for air quality (3 days continuously) and ambient noise levels (24

hours) at selected locations along critical corridors was also carried out. Trees, ponds,

wells and all other water sources within the RoW were enumerated as a part of

Environmental Survey.

Suitable avoidance, mitigation and protective measures have been designed so as to have

minimum impact on natural and social components of the environment. All cultural

properties within RoW and in the indirect zone of influence of the Project were also

surveyed, listed and enhancement prescriptions were prepared for the same.

In Phase IIB, the objective has been to concretize operation plans, detailing out the

methods and tools for implementation of EMAP and RAP. The details of operationalisation

Iwo

Chapter 1 - Overview of Gujarat State Highways Project

of the institutions and their working procedures recommended for the implementation of

environmental and R&R components have been worked out.

As the working procedures recommended now will form basis of any action by the EMU

and all other agencies in all phases of the project, a separate stand-alone report, Volume

IIB: Institutional Arrangements and Legal Framework for GSHP is being

submitted.

-m. J 1-4

2. INSTITUTIONAL SETTING

During project preparation of GSHP: Phase I, in the SEA (NDLI/LASA, 1998), a review of

the existing institutions and legislation relevant to this project, at the National and State

level was taken up. Regulations concerning procedures and requirements that may directly

concern this project-were annotated. Gaps and resource deficiencies had been identified

within the institutions and agencies relevant to GSHP, concerning their ability to respond

to various policy and resource related needs. Subsequently, creation of an Environmental

Management Unit within the R&BD was suggested, as a measure of internal capacity

building, as well as to implement the EMAP and the RAP credibly.

During the preparation of Phase IIA report, an operationalisation plan for the EMU was

detailed out while in Phase IIB the objective has been to concretize the operation plans,

detailing out the methods and tools for implementation of EMAP and RAP. This section

describes operationalisation of the institutions and their working procedures recommended

for the implementation of environmental and R&R components.

2.1 NEED FOR INSTITUTIONAL STRENGTHENING

Environmental-regulations, legislation, policy guidelines and control that may impact this

project, are the responsibility of a variety of government agencies. Although most of the

direct responsibility rests with the R&BD, implementation of mitigation measures as per

the EMAP and the RAP, often require several agencies to co-operate. The collaboration

process is complex, and there is a multiplicity of authorities.

The GSHP proposes a range of EMAP and RAP measures, which are to be implemented by

GoG agencies, other than the R&BD. There were several features of these measures,

especially the Entitlement Framework, proposed for the GSHP that required

operationalisation of alternative mechanisms. These mechanisms are now beginning to

take shape, as per recommendations in the SEA.

2.2 INSTITUTIONAL SET-UP BEFORE GSHP

The Secretary functions as the head of the R&BD, and is assisted by the Special Secretary

(Special Projects and Capital Projects), as well as an array of Chief Engineers, who carry

out the technical and administrative functions of the Department. Eight Chief Engineers

assist the Secretaries on all matters related to finance, human resources, planning, co-

ordination, maintenance and management of the roads, buildings and bridges throughout

the state.

2-1

Chapter 2 - Institutional Setting

The R&BD Circles and Divisions at more local levels (within a project area) operate as the

implementing 'cells'. A counterpart 'circle' had been created by the Department, under the

control of the Special Secretary and headed by a Superintending Engineer and three

Executive Engineers (located in Gandhinagar, Rajkot and Vadodara), to deal with the

Gujarat State Highways Project.

The Quality Control Unit, in collaboration with Gujarat Engineering Research Institute

(GERI), monitors the activities of R&BD to ensure the quality of work, economic utilization

of materials, etc. This Unit supervises and checks the construction projects and follows up

complaints regarding the quality of work performed by R&BD across the state. The Unit

consists of one Chief Engineer, one Superintending Engineer and six Executive Engineers.

On matters of land acquisition the R&BD Department is entirely dependent on the Revenue

Department. Similarly on matters related to pollution abatement, control and management,

the R&BD is dependent on DoEF, the GPCB and the STA.

2.3 GAPS AND DEFICIENCIES

The R&BD is essentially a highway-engineering agency, and will require procurement of

the expertise necessary to complete the implementation, monitoring and evaluation of the

EMAP or RAP. The execution of an EMAP/RAP depends on co-ordination and links with

several line agencies; these links needs to be strengthened and formalized. In summary,

gaps and deficiencies within the R&BD are:

* Limited experience in environmental management;

* Lack of specific technical skills in environmental mitigation/management or EMAP/RAP

implementation;

* Insufficient interagency linkages-needed to implement and carry out cross-agency

mitigation measures;

* Limited staffing of monitoring unit(s) and,

* Reliance on revenue departments to address grievances associated with land and

assets expropriation.

2.4 INSTITUTIONAL SET-UP SUGGESTED

It was suggested that the R&BD needs to establish, or have access to an Environmental

Management Unit (EMU) that would ultimately be responsible for the implementation of

the EMAP and RAP as well as handling all other environmental matters for the R&BD such

Iwo 2-2

Gujarat State Highways Project, Phase IIB - Vol IIB

as hazardous materials transport, emergency response and environmental health and

safety.

Environmental capacity building is a long-term plan. It was suggested that the EMU would

be created for implementing EMAP and RAP components of the GSHP initially. However, in

the long run, it would evolve as a full-fledged Cell within the R&BD, and will be responsible

for environmental components of all R&BD projects in the future.

The EMU would be under the direction of the project implementation unit (PIU, which is

responsible for overall and all-round implementation of the GSHP). The EMU would act as

an implementing cell, triggering and monitoring activities undertaken to meet EMAP and

RAP commitments made by the R&BD. The EMU would also be charged with confirming

that actions needed to implement the mitigation measures defined in the EMAP, have been

taken at the appropriate level in order to physically put measures in place. The EMU will

also report and monitor compliance of the EMAP and RAP by each of the responsible

agencies/entities.

Providing overall advice and direction, will be a taskforce or inter-agency advisory group.

It was recommended that the then existing task force established by R&BD for the GSHP

could be re-organized and given such a role. In summary, the EMU will, from the time it is

activated, demonstrate the four key qualifications needed to manage Environmental

Assessments, namely:

* To demonstrate technical competence in natural and social environment impact

management;

* To implement and manage mitigation measures such as those defined in an

EMAP/RAP;

* To be able to undertake compliance monitoring of contractors and evaluation of

mitigation measures and,

* To undertake community consultation, grievance management and reporting.

With time, the EMU's function- would broaden to include the completion of EAs and

associated plans such as EMAPs and RAPs. The SEA also suggested staffing and

organization of the- EMU. The EMU should be staffed with a Co-ordinator, at least two

technical specialists, and an NGO representative, as permanent members

The SEA suggested a collaboration plan with a number of GoG agencies, and a- NGOs

procurement plan (particularly with reference to implementation of the RAP). Moreover,

2 - 3 00_2v~544-


with reference to the RAP, district level Grievance Redressal Committees, as well as Market

Value (of land and non-land assets) Assessment Committees were suggested. These

collaborations, procurement and constitution need to be taken up in an integrated manner.

2.5 INSTITUIONAL SETTING FOR GSHP

The GoG has already created and mobilized the EMU, within the R&BD, following

suggestions in this regard by the PCC, and subsequent discussions with the WB. Figure 2

presents an overview of the organisational structure of the Project as a whole, while

Figure 3 illustrates the structure of its environmental aspects. The figures illustrate the

primary, formal relationships between each of the bodies, but they do not purport to be

comprehensive. For example, numerous informal communications can be expected

between the EMU and the PICs, but, where required, these will have to be endorsed by

means of communications between the EMU and the PIU.

Secretary, R&BD,. * Employer Task Force Extemal Technical

I . . ~~~~~~~~~~Assistance

. ~~~~~~~~Project <1..q

._Implementation Unit Envir ntal . .Environmental. , ~~~~~~(PIU), HQ . managemenUi

F->j X ii C 10 ENVIRONMENM AT MU)U)

I~~~j~~j~~ C-5~~~ C 014~~~ G'evhiaAssance MarkettVal

.i. . Redressal Assessmeg r R orts rsCommi-teer, Commintees employedfor

... r r -- t + __ =_____ F _ ___ . . t _ vV~~ork

| Engineer-l n |Engineer-iE | CEnoineer-cill i

r - 5 | 4, - g ~~~~~ENVIRONMENTAL MANAGEMENT UNIT (EMU)

Figure 2.0 1:l 91-= Recommendation A n t Co-ordination

iH [9lj i0 : ]13 t -~~~~~~~.....Technical Assistance ~Reporting~~~~~~ I f ~~~~~----' .~~~~ Special Reporting/ ProgresrsReports

PROJECT IMPLEMENTATION UNIT (PIU) C =Project Implementation Cell;C-1, C-2, etc = Contractors for Packages 1,2, etc.;

Engineer-1, Il, III = Construction Supervision engineers

Figure 2.1: Implementation Arrangements for GSHP

This subsection presents summary descriptions of those aspects of Figures 2 and 3 that

are relevant to environmental matters.

MD 2-4

Gujarat State Highways Project, Phase I/B - Vo/ 118

TASK FORCE

SECRETARY, R&BD | * Secretary, R&BD

l l * ~~~~~~~~~~~~~Secretary, Departrnent of Forests

s r . ~~~~~~~~~Secretary, Department of Revenuer . . ~~~~~~~~~~~~~~Director, Department of Environment and Forests

PROJECT IMPLEMENTATION UNIT l Commissioner, Gujarat Ecological Commission

. Special Secretary, R&BD - Project Director . Project Director, Gujarat State Highways Project

. Superintending Engineer,Project Co-ordinator

. Executive Engineer

EMAP and R&R Co-ordinator ENVIRONMENTAL MANAGEMENT UNIT. Executive Engineer

. Executive Engineer . Superintending Engineer, Project Co-ordinator. Executive Engineer, EMAP and R&R Co-ordinator

* Department of Revenue - Technical Specialist

* Department of Forests - Technical Specialist

SPECIAL EXTERNAL ADVISORS * Environment and Social Expert

GRIEVANCE REDRESSAL MARKET VALUE I 'I

COMMITTEES ASSESSMENT COMMITTEES [NGOFOR RAP I |CO0NTRACTORS

At the District Level At the District:Level l

Figure 2.2: Institutional Framework for the Project

2.6 ROLE AND RESPONSIBILITIES OF THE AGENCIES INVOLVED

The responsibilities of the agencies involved are of two kinds. The Secretary, R&BD and

the PIU are co-ordinating and facilitating agencies, whereas, the EMU (including the GRC,

the MVAC) is responsible for implementation of the EMAP and the RAP components. The

EMU, of course, will need to implement and monitor a major part of the EMAP through the

PICs and the Engineers who are in charge of the main contractors.

2.6.1 Project Implementation Unit (PIU)

The Project Implementation Unit (PIU) has a complex set-up. Based at Gandhinagar, the

PIU is headed by the Special Secretary, R&BD, who acts as the Project Director. The other

members are a Superintending Engineer, who also heads the EMU, and three Executive

Engineers, one of whom has a special responsibility for the EMAP and the R&R and also

sits on the EMU. Other members will be appointed as needed.

The PIU has the overall responsibility for the execution of every aspect of the Project,

including planning, budgeting, accounting, procurement, implementation, co-ordination,

2 - 5 D


management, and monitoring. It retains final responsibility for implementing the EMAP

and the RAP. The PIU acts on behalf of the Employer for construction and maintenance

contracts, and it is responsible for ensuring that construction sites can be handed over to

contractors free of obstructions at the start of contracts. The PIU is responsible for

producing quarterly reports for the WB and monthly reports and periodic recommendations

for the Tender Committee.

Among the various agencies involved in monitoring, managing and implementing the

project, the following will have important co-ordinating and facilitating roles in

implementing the EMAP and the RAP.

a) Secretary, R&BD

In his capacity as the head of the R&BD, the Secretary is ultimately accountable for the

proper execution of the Project to the GoG and the WB. Obviously, the majority of his

responsibilities are delegated to his officials, but he retains personal responsibility for

the following high-level contacts with the WB and for liaising with the Committee for

Monitoring Infrastructure Development (CMID).

b) Project Co-ordinators / Project Implementation Cells (PICs)

A Project Co-ordinator (PC) will be appointed for each package of contracts. Based on-

site, each PC will be assisted by one Assistant Project Co-ordinator per contract and

other staff to form a Project Implementation Cell. These positions are relevant to the

present discussion, because the executive engineers of the PICs will co-ordinate all

environmental and R&R actions in the field; in effect, they will be the field

representatives of the EMU.

2.6.2 Environmental Management Unit (EMU)

The members of the EMU are the Superintending Engineer and one Executive Engineer

from the PIU, two Technical Specialists deputed from departments or agencies of the GoG,

and an NGO representative.

A Contractors' Representative was also proposed to be in the EMU as per the SEA (NDLI/

LASA, 1998). However, considering the practical difficulty of involving one representative

from the 14 contractors working in simultaneous contract packages, it is now

recommended that the position for the Contractors' Representative may be withdrawn.

The global responsibilities of the EMU are to implement the EMAP and the RAP and to

oversee compliance and performance monitoring. In order to facilitate a clear

ESl'o 2-6

Gujarat State Highvways Project, Phase IIB - Vol IIB

understanding of such details, the responsibilities of EMU have been listed under the

following heads -

* Execution/Implementation * Co-ordination and

* Supervision * Monitoring

Each of these heads has been further divided under responsibilities with regard to EMAP

and RAP. Though the list is exhaustive, there may be such responsibilities that may arise

once the EMU and the Project are initiated. The role and details of responsibilities has

been listed in Appendix A.

The EMU will act as the Employer for contractors retained to undertake environmental

works that are not included in the construction contracts. Given its responsibilities for

monitoring, the EMU will continue to function for several years after the completion of

construction. Indeed, current planning is for it to become a permanent unit within the

R&BD.

The role of the other bodies, which are essentially created for implementing the

environmental, and R&R components of the project are given below.

a) The Task Force

Given the complexity, diversity, and interdepartmental nature of its responsibilities, it

is desirable for the EMU to benefit from a wide range of senior advisors. That need is

particularly urgent because the EMU will have relatively little time to accomplish many

of its mandates if preparations are to be completed to permit the timely start of

construction. A Task Force, staffed by the Secretaries of the R&BD, the Department of

Revenue, and the Department of Environment & Forests; the Director, Environment, of

the Department of Environment & Forests; the Commissioner of the GEC; and the

Project Director, has therefore been created. It is anticipated that the Task Force will

usually react to requests for advice or assistance from the EMU, but it may, from time

to time, take proactive initiatives.

b) Special External Advisors

Special External Advisors will assist the EMU periodically over the first two years of its

operation with experience in mitigating and monitoring biophysical-and social impacts,

including resettlement and rehabilitation. The-advisors will assist in activating the EMU,

including developing its operational procedures, and in co-ordinating training

programmes for its staff.

2 - 7


c) Grievance Redressal Committees

GRCs will be created in each District to recommend solutions to problems experienced

by EPs or persons who believe that they should be recognised as EPs. The structure

and operating procedures of GRCs are described in detail under Section 2.6 of this

report.

d) Market Value Assessment Committees

MVACs will be created in each District in order to recommend the value of land and

related immovable that will have to be acquired for the purposes of the Project. The

structure and operating procedures of MVACs are described in detail under Section

2.7of this report.

e) Non-Government Organisation(s)

A number of responsibilities, especially with respect to the implementation of the RAP

rest with NGOs, which will be procured by the EMU.

f) External Monitoring Agency

The mid-term and post-implementation performance monitoring will be contracted to

external agencies, which will report directly to the EMU. Details of the monitoring

procedure have been covered under Appendix B.

2.7 OPERATIONALISATION OF THE EMU

The GoG has already created and mobilised the EMU, within the R&BD, following

recommendations in this regard by the PCC, and subsequent discussions with the WB.

Following are the targets and tasks of the EMU -

2.7.1 Targets and Tasks

The short-term target for the EMU is to implement the RAP and EMAP for the existing

project, while quickly building technical competence. The long-term target is to build

environmental awareness and support, both within and outside of the Department.

Secondly, the Unit is to become a valued step in the career path for engineers, in that,

time within the Unit would be viewed as an advantage for promotions. This could be

achieved through a career path cycling program.

Functioning as the primary implementers of environmental measures defined in the SEA

and ESR documents, the EMU's tasks should be as follows:

2 - 8

Gujarat State Highways Project. Phase IIB - Vol IIB

a) Short Term

* preparation of a Unit Operations Plan (one time with annual updates);

* interpretation of- the requirements of the EA documentation (including the RAP) into an

Environmental Execution Plan;

* undertaking and/or co-ordinating all internal compliance monitoring and evaluation and

securing necessary external monitoring (two times during life of project) through

suitable state level NGO or any other agency;

* preparation of collaboration plan with the identified collaborating agencies in order to

deliver the RAP entitlements, as well as other (social and natural) environmental

deliverables, during implementation and operation phases of the project;

* monitoring all construction activities as -specified in the EMAP and preparation of

detailed Environmental Execution Plan, if and when required;

* prepare all monitoring reports;

* assisting the Secretary, R&BD and Co-ordinator, PIU on all matters related to

environmental requirements of project:;

* ensuring, at all times, that mitigation measures (both natural and social ) are being

implemented at the local levels-on time and as defined in the EA documentation and

the execution plan(s) and,

* providing all necessary specialised environmental expertise as needed during project's

life.

b) Long Term

* Development of environmental training programs that target a range of people within

the R&BD, from managers to field engineers;

* raising environmental awareness within the contractor community, through internships

of contractor employees at the EMU and training workshops (if required) and,

* leading the improvement and standardisation of environmental clauses used in project

contracts within the R&BD.

2.7.2 Mobilisation-

The Environmental Management Unit proposed for the Project has.been mobilised and all of

the proposed members of this set up are in place The EMU office has been set-up in

Nirman Bhavan at Gandhinagar.

2-9


2.7.3 Operationalisation of EMU

The EMU is functioning in its fullest capacity from the period of implementation of Phase I

contracts, which have been initiated in October 2000. The EMU is staffed with a full time

Superintending Engineer, one Executive Engineer, two experts from Department of Forest

and Department of Revenue and one Environment and Social Expert. The EMU is

* Over-seeing implementation of EMAP and other relevant acts

* conducting regular environmental inspections for Phase I corridors,

* producing Monthly and Quarterly Progress Reports,

* organising Public Consultation,

* Co-ordinating all R&R activities,

* Training and Awareness Generation

* preparing Status Reports for the World Bank mission etc.

The RAP for Phase I is also being implemented by the EMU with the help of an NGO. The

other issue which has been taken up successfully by the EMU is the shifting of cultural

properties through public participation in Phase I corridors.

2.7.4 Procurement of External Technical Expertise

The external technical experts are assisting the EMU in implementation of the RAP and the

EMAP; and to prepare the operating plans for the EMU for the Gujarat State Highways

Project.

a) Functions for the external technical advisor

The external technical assistance to the EMU will be inclusive of the following:

* assisting in operationalisation of the EMU. This includes preparing a detailed plan of

actions for each member of the EMU (ToR for each member of the EMU has already

been developed by the PCC), and development of an information system;

* development of operation plans for the EMU, in order to implement, manage and

monitor the EMAP and RAP satisfactorily. This would include development of

sufficiently detailed out manpower allocation plans, compliance monitoring plan and a

reporting system for Phase I of the project;

, ¢IO 2 - 10


* assistance in procuring, operationalisation and monitoring the various NGOs who would

be (partially) responsible to implement the RAP;

* assisting the R&BD, -in activation of the collaborating agencies. The EMAP and RAP

already identified GoG agencies (who will collaborate with the R&BD), and the areas of

collaboration, to implement the EMAP and the RAP. The technical advisor(s) will

advise, draw a plan for collaboration, and shall assist in finalising the collaboration

plan(s);

* identifying training needs for the EMU, preparation of a Training Plan for the EMU, and

assistance in the training programme and,

* assisting and advising from time to time, in implementing various measures suggested

by the RAP and the EMAP. This would include, if any, preparation of detailed

contingency plans, and on-field monitoring of works etc.

The experts(s) will undertake to ensure that the EMAP and RAP are implemented in an

effective and proper manner. The expert(s) will ensure, within reasonable limits, that

the EMU is capable of implementing the EMAP and the RAP efficiently, when the

expert(s)' services cease to exist, at the end of the consultancy period.

b) Duration of services

The duration of service of the expert(s)' have been initially for one year. This includes

services of a very senior professional, a middle level professional and a junior level

professional for 2 months, 4.5 months and 6 months respectively. The services of the

experts nave been spread over the year so that at any point of the year at least two

experts are there to help the EMU in implementation of RAP and EMAP. The

consultancy service has started in January 2002.

Looking at the progressive requirement of fully implementing the RAP and the EMAP, it

is anticipated that the duration of services is likely to be increased. The SEA estimated

the quantum and duration of services, with an understanding that the EMU will have

sufficient support (both technical and secretarial) staff for each of the technical

specialists, which did not materialize. Significant increase in staffing and duration of

services will be required, which at present may be-estimated to be about 24 additional

man-months for middle level support professionals and 84 man-months for junior level

support professionals.

2 - 11 1


c) Essential qualifications

The expert(s) shall have prior experience of conducting environmental management

operations in highway development projects of equivalent nature. The expert(s) must

have demonstrated Environmental Management expertise, and have experience in

preparation of operation plans with respect to highway projects in India, or in similar

region and context. Experience of managing resettlement and rehabilitation

programmes/projects is also required. The expert(s) must be well versed with the

project monitoring and reporting requirements in the World Bank assisted projects.

g) Status of procurement

The procurement of the external advisors for the EMU for the period of one year was

completed in the month of January 2002. The main aim behind the procurement of

external advisors was to help the EMU in its initial operational stages in planning and

implementing the EMAP and RAP as well as in field activities.

2.7.5 Training Programme for the EMU

The EMU as constituted, has very limited experience of implementing RAP or EMAP, in a

project of similar nature or magnitude. There would be high requirement of training for

the EMU. The training would cover basic principles and postulates of environmental and

social mitigation plans and programmes (particularly the World Bank operational guidelines

and the National policy perspectives), implementation techniques, monitoring and

management methods and tools. The training programme envisaged is detailed out in the

following.

a) Participants

All members of the EMU; the collaborating GoG agencies represented by the officials

identified to be directly responsible for delivery of collaborating services; the NGOs

with their field staff will be participating in the training programme. Representatives of

the contractors and the resident engineers will take part in the later phases of the

training programme, where operational and implementation methods, mechanisms and

techniques will be the issues to be deliberated on.

Senior officials of the R&BD, including members of the PIU will take part in the initial

training sessions, where the focus will be on policies and principles. This is aimed to

help the EMU and other directly responsible entities to interact more meaningfully with

RWI-4 2 - 12

Gujarat State Highways Project, Phase ll/ - Vol IIB

the PIU and other counterpart staff in the R&BD. This is also aimed to generate an

environment of appreciation for the EMU's endeavour in the parent organization.

b) Schedule

The first training session, which is envisaged to be a symposium will take place once

the EMU is fully mobilized, the collaborating agencies and the NGOs are procured. The

timing will also depend on the target date for start of construction, as well as the date

of operationalisation of the project. This session will tentatively be held in the third

week of September 1998.

Further training sessions will be held as a continuous programme. It is proposed that

the schedule be as given in Table 2.

c) Training components

The training components may be broadly divided into the following categories:

* Principles and policies for (natural and social).environmental mitigation in development

projects;

* Legal and institutional aspects; project mandates;

* Probable- (natural and social) environrnental impacts and losses in road strengthening

and widening projects;

* The EMAP and the RAP in GSHP consisting of

(i) The construction stage environmental concerns;

(ii) The environmental designs and implementation plans;

(iii) The project entitlement framework;

(iv) Types and aspects of vulnerability of the EPs;

(v) Counselling and grievance redressal methods and mechanisms and

vi) Financial control mechanisms;

* Monitoring, evaluation and reporting methods and mechanisms and,

* Inter-sectoral and inter-agency-collaDoration, etc.

The above are the major areas of training and discussion and is not an exclusive list.

2 - 13


Table 2.1: Training Programme for the EMU

Training Training ComponentsSessions

Principles and policies for (natural and social) environmental mitigation in development

Module I projects;Initiation * Legal and institutional aspects; project mandates including the WB operational

guidelines;

. Introduction to the designs, implementation schedule for GSHP.

Module II . Probable (natural and social) environmental impacts and losses in road strengtheningProject and widening projects;Specific . Basic features of the EMAP and the RAP in GSHP.

* Construction stage environmental concerns including hot-spot mitigation matricesModule III . Environmental designs and implementation plans; Location-wise and class-wise;EMAP and . Project entitlement framework including group, individual or community entitlements;RAP in GSHP the verification procedure; conditions/circumstances under which additional persons

may be considered affected/entitled;. Vulnerability of the EPs; special measures or additional supports proposed in the

entitlement framework to assist vulnerable groups to protect their livelihood;

* Counselling for each category of entitled persons, households or groups; method andscope of counselling; Completion and distribution of entitlement photo identity cards;

. grievance redressal methods and mechanisms; market value assessment method andmechanisms proposed in GSHP;

* Financial control mechanisms including disbursement of compensation/assistancepayments in a transparent method.

* Laws and other statutes associated with the proposed project such as the Labour Laws,Module IV the various pollution control acts, Environmental (Protection) Act, Mining Act,Construction Hazardous Materials (Handling) Act, Forest (Conservation) Act, Land Acquisition Act,stage issues Draft National Rehabilitation Policy, etc;

* Efficient construction activity monitoring; compliance monitoring;

* Environmental clauses in GSHP contract documents and their implications.

Module V * Monitoring requirements; monitoring techniques;Operation * Environmental evaluation techniques;

stage Issues . Reporting requirements and mechanisms for GSHP.

. environmental surveys including ambient air, noise, biological and water qualityModule VI surveys;Long term . social surveys, survey questionnaire design, sampling techniques;issues . data storage, analysis and retrieval;

. contract documents and incorporation of environmental clauses;

. community consultation and participatory technology generation methods;

. legal or statutory requirements for environmental, social and forestry clearance of roadprojects and,

. contingency planning and management, etc.

The additional areas of training, in order to develop long term capacity in the EMU will

include, among others, the following:

* environmental surveys;

* social surveys, survey questionnaire design, sampling;

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Gujarat State Highways Project. Phase IIB - Vol I/B

* data storage, analysis and retrieval;

* gender and other vulnerability issues;

* contract documents and incorporation of environmental clauses;

* community consultation and participatory technology generation methods;

* legal or statutory requirements for environmental, social and forestry clearance of road

projects and,

* contingency planning and management, etc.

d) Technical input

The principal responsibility for providing and planning for technical input in the training

programmes would lie with the "external technical experts/advisors", proposed to be

procured. However, responsibility for organizing and conducting the first training

session rests with the PIU. The PCC will continue to provide technical support to the

"external technical experts/advisors", until project preparation for GSHP: Phase IIB is

over.

There are several other agencies conducting training programmes in the areas of

environmental and social impact assessment, environmental mitigation/compensation,

and resettlement and rehabilitation planning/design. The Staff Training College in New

Delhi; the Centre for Environmental Planning and Technology (CEPT), Ahmedabad;

Gandhi Labour Institute, Ahmedabad; Gujarat Institute of Development Research,

Ahmedabad, etc. may be procured to collaborate in the training programmes. The

World Bank also proposes to conduct training programmes from its New Delhi Office,

which might be very useful for the project.

2.7.6 Training of Other R&BD Staff

Preceding any training a short needs assessment within the R&BD would be conducted. At

the same time a technical resource inventory would be completed, where local technical

specialists and training opportunities are identified. The EMU co-ordinator will lead this

exercise.

The training activity will not be limited to technical upgrading, but will also target mid-

level management through environmental awareness raising seminars (say, '/ 2-day

sessions). Only by building awareness at the decision making level, will commitment be

obtained and the Unit remain functioning.

2 - 15


The following training will be provided through training courses, workshops, seminars as

well as one-on-one counterpart learning-by doing. The topics to be covered would

include:

* Environmental management principles and EA;

* Environmental information systems and data analysis;

* Social assessment, resettlement and rehabilitation;

* Compliance monitoring, evaluation and environmental reporting;

* Inter-agency networking/communication;

* Environment compliance through good engineering design of highways and,

* Contract provisions for environmental conservation and compliance.

2.7.7 Estimated Budget

The EMU will have to function for at least two years after the completion of all work on

GSHP has been completed. There is a long-term plan to transform this project level EMU

into a full-fledged permanent unit within the R&BD, to look after all future projects. As

part of the BPIP, an initial 4-year estimate has been prepared (Refer Table 3). The total

estimated budget is Rs. 20.9 million out of which Rs. 9.6 million is to be provided by the

GoG and the remaining Rs. 11.3 million is to be funded by the WB loan. The budget and

the sub-head-wise distribution are tentative and are to be worked out in detail during the

preparation of the EMU operating plan.

Table 2.2: Estimated Budget for the EMU (1999-2003) (Rs. in million)

Provision from Staff Capital Operating Training TotalCost Cost

Pro]ect Budget for Institutional Development 2.8 0.7 6.8 5.6 15.9

R&R Budget Provision for Strengthening of EMU - 2.0 1.0 1.0 4.0

Apportioned Contingency from R&R Budget - 0.5 0.25 0.25 1.0

Provision

Total 2.8 3.2 8.0 6.9 20.9

2.8 GRIEVANCE REDRESSAL COMMITTEE

The territorial jurisdiction of the GRC shall be the District. The text has been drafted in the

form of a by-law or regulation that might be adopted by the Project Implementation Unit

("PIU") to constitute each District GRC. In case the PIU decides to constitute the GRCs

H& 'll 2-16

Gujarat State Highways Project, Phase IUB - Vol IIB

using another vehicle, the text can easily be modified. The operational procedure of the

GRC including procedure for hearing complaints, quoram, preparation of reports,

organization of meetings etc. has been prepared in detail. Also, various forms to be filled

up by different departments/agencies or persons during different stages of operational

procedure of GRC have been prepared. (Refer Appendix C)

2.8.1 Membership

The following persons are members of the GRC:

* The District Collector or his designated representative, who must hold at least the rank

of Assistant District Collector;

* The District Development Officer of the Department of Revenue;

* The Executive Engineer, State Road Project;

* The Special Land Acquisition Officer of the Department of Revenue for the District;

* the Executive Engineer responsible for the Corridor that traverses the District;

* The Project Manager of the Scheduled Tribes Development Corporation for the District

in the case of a District that falls within a Tribal Sub-plan Area;

* A representative of a non-government organization appointed in writing by the

Secretary of the Roads and Buildings Department;

* Social Sciences Technical Specialist of the EMU

The District Collector shall be the Chairman of the GRC, and the Executive Engineer, State

Road Project shall be its Secretary and Convenor. The GRC may appoint such other officers

as it sees fit from among its members.

2.8.2 Functions

The functions of the GRC are:

1. to publicize within the District the list of EPs and the functioning of the grievance

redressal procedure established hereby;

2. to evaluate grievances fromrEPs concerning the-application to them of the Entitlement

Policy, including decisions of the MVAC;

3. to recommend to the EMU or the PIU, as the case may be, solutions to such grievances

from EPs;

2 - 17


4. to communicate the decisions of the EMU or the PIU, as the case may be, to

Claimants and, where applicable, to the MVAC;

5. to hear appeals from persons, households or groups who, not being EPs, believe that

they are qualified to be recognized as EPs, to recommend to the EMU whether such

persons should be recognized as EPs, and to communicate the decision of the EMU in

that regard to the Claimants;

6. to ensure that all notices, forms, and other documentation required by Claimants are

made available Gujarati.

2.8.3 Procedure for Hearing Complaints

Grievances from Entitled Persons - The Claimant shall complete the forms required for

filing grievance at the District office of the EMU. He can also seek the help of a NGO

Member to fill up these forms. In such a case, the NGO Member shall ensure that any

errors or omissions in the forms are rectified. He shall thereupon forward these to the

Secretary/Convenor of the GRC. The Secretary/Convenor would add a discussion of the

said grievance and the redressal recommended by the NGO Member to the agenda of the

next meeting of the GRC. The NGO Member shall advise the Claimant of the time and

place at which the GRC will meet to consider his grievance and shall inform the Claimant

of his right to be present and to make representations at that part of said meeting at

which his grievance is considered.

The GRC shall dispose each grievance using the voting procedure established at Articles 13

and 14 of GRC procedure. The Claimant would be informed about the decision through

correspondence. by the GRC and by the NGO member, the receipt of which has to be

acknowledged in the prescribed format. The Secretary/Convenor shall send a copy signed

by the Claimant to the EMU for execution of decision. In the case of a grievance

concerning a decision of the MVAC, a copy of shall be sent to MVAC for purposes of

information. If, within the specified time limit, the PIU has not communicated its decision

to the GRC, the PIU shall be deemed to have endorsed the recommendation of the GRC.

The GRC shall so inform the Claimant by completing required forms.

Grievances from Other Persons - A person whose name does not appear on the list of

EPs displayed and who believes that he should be recognised as an EP could present

himself at the District office of the EMU and shall complete the filling of required forms.

The follow-up procedure of such grievances shall remain similar to the one described

above.

lo "O 2- 18


2.8.4 Reports

The GRC shall prepare monthly reports and a final report. The monthly reports shall

contain at a minimum the following information for the month in question: the names of

the members; the dates and places of meetings; the names of the members attending

each meeting; the disposition of each grievance or application, comparing the grievance or

application, the recommendation of the GRC, and the decision of the EMU or the PIU as

the case may be. The final report shall be a compilation of the monthly reports and shall,

in addition, contain the members' evaluation of the GRC and their recommendation for

changes to any future grievance redressal procedure.

2.9 MARKET VALUE ASSESSMENT COMMITTEE

The MVAC shall have jurisdiction within the District. The operational procedure of the

MVAC including preparation of progress and final reports, delays, organization of meetings

etc. has been prepared in detail (Refer Appendix D).

2.9.1 Membership

The following persons shall be members of the MVAC:

* The District Collector or his designated representative;

* The Executive Engineer, State Road Project;

* The Land Acquisition Officer of the Department of Revenue;

* The District Agricultural Officer;

* A representative of a NGO familiar with the District, or an eminent Engineer familiar

with the District and licensed to practice therein as a property value-assessor, or an

eminent Value-Assessor familiar with the District and licensed to practice therein

appointed by the PIU upon the recommendation of the EMU.

2.9.2 Functions

The functions of the MVAC are:

1. to explain to EPs both individually and collectively the procedures for assessing the

market value of Land that-is to.De acquired pursuant to the LAA for the purposes of

the Project;

2 - 19


2. in consultation with its owners and other knowledgeable persons, to establish the

market value of Land that is to be acquired pursuant to the LAA for the purposes of

the Project, and to recommend same to the EMU;

3. to submit monthly progress reports and a final report to the EMU;

4. at the request of the GRC, to reassess the market value of Land.

2.9.3 Procedure for Operation

Forthwith upon the start of operation of the MVAC, the EMU shall submit to it drawings

showing the Land that is to be acquired pursuant to the LAA for the purposes of the

Project, together with such other relevant information as may be in the possession of the

EMU. With this, MVAC shall hold a meeting at a time and place within the District

determined by the DM. The purposes of that meeting shall be -

(1) to decide upon the methodology to be employed to measure the Land and any

structures thereon, to record other immoveables, such as trees and wells, and to

determine the market value of the land; and

(2) to fix the date, time and place of a meeting with the concerned EPs to explain the

market value assessment procedure to them.

The MVAC shall also issue a letter giving the occupier of each building or enclosed court or

garden attached to a dwelling house that is to be acquired pursuant to the LAA for the

purposes of the Project. The MVAC shall visit each piece of Land that is to be acquired

pursuant to the LAA for the purposes of the Project and shall take such measurements and

collect such other information, as it considers necessary to establish the market value

thereof. The MVAC shall hold its second to review the progress of the market value

assessment. The MVAC shall hold its third meeting to fix the market value of each piece of

Land that is to be acquired pursuant to the LAA for the purposes of the Project. The

MVAC's assessment shall be submitted to the EMU in the form of a recommendation.

Forthwith upon being requested to do so by the GRC, the MVAC shall re-assess the market

value of any piece of Land, or part thereof that is to be acquired pursuant to the LAA for

the purposes of the Project. If necessary, it shall re-measure the land and shall confirm its

characteristics and those of any immoveables situated on it. The MVAC shall submit its re-

assessment to the GRC and shall send a copy thereof to the EMU. The operation procedure

mentioned in the text above is a brief over-view. (For complete details Refer Appendix E).

am, '11 2 - 20

3. LEGAL FRAMEWORK

The following sub-sections summarize the legislative framework in which the projects will

be implemented with respect to environmental, social and cultural issues.

3.1 NATURAL ENVIRONMENT - LAWS, REGULATIONS AND POLICIES

3.1.1: Forest (Conservation) Act, 1980

Of all the laws, the Forest (Conservation) Act, 1980 stands out as having particular

significance for this project. The Act pertains to the cases of diversion of forest area and

felling of roadside plantation. Depending on the size of the tract to be cleared, clearance

are applied for at the following leveis of government:

* if the area of forests to be cleared or diverted exceeds 20 ha (or, 10 ha in hilly area)

than prior permission of Central Government is required;

* if the area of forest to be cleared or diverted is between 5 to 20 ha the Regional Office

of Chief Conservator of Forests is empowered to approve;

* if the area of forest to be cleared or diverted is below or equal to 5 ha the State

Government can give permission; and,

* If the area to be clear-felled has a forest density of more than 40%, permission to

undertake any work is needed from the Central Government, irrespective of the size of

the area.

a) Applicability of the Forest (Conservation) Act to the roadside strip plantation

In 1986, when MoEF enacted the Environment Protection Act, the entire linear

stretches of roadside plantations along the State Highways were declared as protected

forest. Although the land is under the control of the R&BD, due to its protected status,

clearance is required to cut roadside trees. Applicability of the provisions of the Forest

(Conservation) Act, 1980 to the linear (road or canal side) plantations was modified by

a notification from the GoI, MoEF, dated 18 February 1998. The new notification

recognises that the spirit behind the Forest (Conservation) Act was conservation of

natural forests, and not strip plantations. In the case of the "notified to be protected"

roadside plantations, the clearance now may be given by the concerned Regional

Offices of the MoEF, irrespective of the area of plantation lost. While issuing the

approval, in place of normal provision for compensatory afforestation, the Regional

Offices will stipulate a condition that for every tree cut at least two trees should be

3-1

Chapter 3 - Legal Framework

planted. If the concerned Regional Office does not accord the decision within 30 days

of the receipt of fully completed application, the proponent agency may proceed with

the widening/expansion under intimation to the State Forest Department, and MoEF.

b) Forest land

Restrictions and clearance procedure proposed in the Forest (Conservation) Act applies

wholly to the natural forest areas, even in case the protected/designated forest area

does not have any vegetation cover. In the Gujarat State Highways Project: Phase IIB,

none of the corridors pass through designated forest area.

3.1.2 Environmental Impact Assessment Notification

The Environmental (Protection) Act, 1986 provided for Environment (Protection) Rules,

which are formulated since then. As one of these rules the Environmental Impact

Assessment Notification, 1994 identified highways (item 21 of Schedule-I) as one of the

projects requiring prior clearance from the MoEF. Environmental Impact Assessment (EIA)

is a statutory requirement for obtaining clearance (a comprehensive format for EIA has

been prescribed in the notification).

Additionally, as per the notification dated 10 April 1997, GPCB is also empowered for

public hearing of all projects including road projects. The Government of India (GoI)

standards for the discharge of pollutants to the environment (water and noise standards)

are listed under the Environmental Protection Act. These standards apply mainly to the

control of industrial pollution, with some applying to road construction projects.

In April 1997, a notification was by the MoEF amending schedule-I of the EIA Notification

and stated that environmental clearance from the MoEF is not required for highway

projects relating to improvement work including widening and strengthening of roads with

marginal land acquisition along the existing alignments provided the highways do not pass

through ecologically sensitive areas such as National Parks, Sanctuaries, Tiger Reserves,

Reserve Forests, etc.

As a result of the amendment, clearance requirement for the GSHP: Phase IIB has been

considerably reduced. None of the roads to be widened in this Phase require

environmental clearance from the MoEF, since these roads do not pass through an

ecologically sensitive area and will be widened and strengthened with marginal land

acquisition (required for geometric correction of road alignment only).

@M-0, 3-2

In 1989, the MoEF in conjunction with the Ministry of Surface Transport (MoST), GoI had

published the Environmental Guidelines for Rail, Road and Highway Projects. The

Guidelines have been followed in designing and conducting environmental studies for

Gujarat State Highways Project.

3.1.3 Wildlife (Protection) Act, 1972

The Wildlife Protection Act has allowed the government to establish a number of National

Parks and Sanctuaries over the past 25 years, to protect and conserve the flora and fauna

of the state. Locations of these protected areas and their proximity to the project roads

are discussed at length in Chapter 4 - ESR.

3.1.4 Water and Air (Prevention and Control of Pollution) Acts

The Water (Prevention and Control of Pollution) Act, 1974 resulted in the establishment of

the Central and State level Pollution Control Boards whose responsibilities include

managing water quality and effluent standards, as well as monitoring water quality,

prosecuting offenders and issuing licenses for construction and operation of certain

facilities. GPCB is empowered to set air quality standards and monitor and prosecute

offenders under the Air (Prevention and Control of Pollution) Act, 1981.

The responsibility for monitoring vehicular air and noise pollution lies with the State

Transport Authority (STA), not the GPCB. For water pollution and erosion, there is no

institutional set-up for the road sector. None among the GPCB, the STA and the R&BD is

empowered to monitor the pollution levels and enforce the standards. There is inadequate

co-ordination among the R&BD, the GPCB and the STA.

3.1.5 Motor Vehicles Act, 1988

In 1988, the Indian Motor Vehicle Act empowered the State Transport Authority to enforce

standards for vehicular pollution and prevention control. The authority also checks

emission standards of registered vehicles, collects road taxes, and issues licenses. In

August 1997, the "Pollution Under Control Certificate" (PUC) programme was launched in

an attempt to crackdown on the amount of vehicular emissions in the state. To date it has

not been highly effective.

3.1.6 Policy Level Inadequacies

NDLI/LASA (December 1998) discussed briefly some of the inadequacies of this legislation.

However, the most important inadequacy of the legislative framework is the lack of,

3-3 D


enforcement and the lack of co-ordination among the agencies responsible on behalf of

the Gol and the GoG.

The lack of co-ordination among these agencies Is often the main reason for unnecessary

delays and ineffective actions. For example, the responsible agencies for ecologically

sensitive areas (ESAs) are the Department of Environment and Forest and The Wildlife

Authority (State and Central Government). GPCB also acts as the regulator for approving

the location of polluting industries, which is the domain of the Water and Air Pollution

Acts, and these industries are sometimes located in or near ecologically sensitive areas.

Moreover, the Central Government also plays a separate role under the Coastal Zone

Regulations, controlling certain industrial, operational and processing activities that are to

be built in the coastal zone. Lack of co-ordination among these agencies has increased the

risk of serious threats to ESAs given that, in some cases, the regulating agency for

pollution is also that same agency which can permit polluting industries to locate in ESAs.

There is not much co-ordination between R&BD, Motor Vehicle Department and GPCB. It

would be useful if STA would co-ordinate with GPCB on matters related to vehicular

maintenance standards, thus establishing a powerful preventative mechanism. Noise

standards as well as emission standards have been set for motor vehicles but, both are

unrealistically high and rarely achieved. Enforcement is therefore, difficult and resources

are constrained.

3.2 SOCIAL ENVIRONMENT - LAWS, REGULATIONS AND POLICIES

The following text summarizes the principal features of the laws that form the basis of

planning, construction and operation of the Project in relation to the social environment.

There is no comprehensive legislation, as yet, at the National or State level that governs

the resettlement and rehabilitation of PAPs. There is however a draft Rehabilitation Policy

at the National Level, that has been formulated and awaits approval by the central

government. In brief, the proposed policy acknowledges the inadequate measures taken in

the past and the inaccessibility to studies, reports and data about the projects, for the

PAPs and NGOs. It suggests full access and information disclosure to PAPs and NGOs to

ensure effective participation and representation. The draft policy further emphasizes the

need for a separate institutional framework and organizational structure, as well as a

sustained system for monitoring and evaluating resettlement and rehabilitation projects.

The Land Acquisition Act (LAA), 1894 is the expropriation law of eminent domain. Different

levels of government have increasingly been using the Act to acquire land for a spectrum

-=01- 3 - 4

of public purposes such as the building of thermal power stations, multipurpose irrigation

systems, development of planned urban areas, widening of roads, defence purposes,

construction of public spaces and amenities. In 1984, the Act was amended to extend the

scope of the definition of "public purposes", and to rationalize the acquisition process.

However, legal procedures remain the same as the original act and do not'include any

special process in the case of resettlement.

However, development of a project specific RAP is mandatory as per provisions in the

Environmental Impact Assessment Notification, 1994. Important aspects such as protection

against loss of livelihood, community support system and infrastructure, loss of productive

resources, minimization of displacement, etc. are covered.

3.2.1 R&R Precedence

In road development sector, there is no such precedence. The only precedence at the

state level applies to the Sardar Sarovar Narmada Project (SSNP), which is a multipurpose

irrigation project. The R&R package in SSNP was developed following award of the

Narmada (Inter-state Dispute) Tribunal, and is contained in a number of Government

Orders (GOs). Strictly speaking, these are applicable to irrigation projects only. However,

useful references to these have been drawn in developing R&R entitlement framework for

GSHP.

3.2.2 Policy Deficiencies

NDLI/LASA (December 1998) identified some deficiencies in the preceding legislation,

including any comprehensive legislation at the National and State levels governing

resettlement and rehabilitation and the inadequacy of compensation under the Land

Acquisition Act, 1894. However, a National Policy on Resettlement is expected to be

adopted soon. The draft Policy' has been referred to in preparing the RAP in this project.

The framework and principles used when public property is acquired is found in the Land

Acquisition Act, 1894. It is totally inadequate and inappropriate for the problem of

community displacement, compensation and resettlement. The market value assessed by

the existing procedure tends to be lower than the actual prevailing market value of assets.

No statutory assistance is provided to PAF's for moving property, or losing income during

relocation. Encroachments, squatters and non-title holders are not recognized and are

generally not considered for compensation under the LA Act. The EIA notification mentions

Government of India, Ministry of Rural development and Employment. Draft National Policy on

Resettlement (unpublished draft for discussion). New Delhi, 1996.

3-5 - '


the need of rehabilitation support for encroachers identified during road projects but donot require anyone to act. Therefore, to cater to resettlement and rehabilitation action

plans in GSHP, an (R&R) entitlement framework was developed during project preparation

for Phase I.

3.2.3: Entitlement framework in GSHP

Entitlement framework for the GSHP has been derived from specific project requirement as

identified by a baseline socio-economic census and exhaustive Public Participation

sessions. Considerable references were made to the earlier R&R experiences in Gujarat

and other best-demonstrated practices in India. The entitlement framework for GSHP has

been approved and endorsed by the GoG. (For details refer Chapter 8 - Resettlement

Action Plan, ESR).

Highlights of the entitlement framework for GSHP include the following:

* the entitlement framework for GSHP provides for assistance over and above

compensation payable under the Land Acquisition Act; such assistance includes

allowances towards fees and taxes, etc.;

* it provides for replacement value for the assets lost; to assess replacement / market

value of assets district level committees are being formed;

* it provides for assistance to the squatters for the assets lost, and livelihood disruption;

* it provides for assistance to mitigate disruption to life;

* it provides for assistance to mitigate indirect disruption -/ loss of livelihood;

* it provides for additional assistance and support mechanisms for the vulnerable

sections of the community;

* it provides for additional support mechanisms (including right to compel compensation)

towards severance and marginalization of land and assets;

* it provides for assistance to cover loss of community resources, infrastructure and

amenities as well as social networks etc.

3.3 CULTURAL ENVIRONMENT- LAWS AND REGULATIONS

As a result of growing interest in cultural heritage in the nation, both government agencies

and NGOs concerned with the preservation and conservation of this heritage have been

established.

MD' 3-6

The Archaeological Survey of India (ASI) is the organization working on the protection and

conservation of monuments and archaeological sites. It is supported in its endeavours by

the state level Directorates of Archaeology. The ASI administers the Ancient Monuments

and Archaeological Sites and Remains Act, 1958. In the state of Gujarat, the ASI and

Gujarat State Directorate of Archaeology protect 212 monuments and sites of national

importance and 329 sites of regional importance, respectively.

According to the Ancient Monuments and Archaeological Sites and Remains Act, areas

within radii of 100 m and 300 m from the "protected property" are designated as

"protected" and "controlled", respectively. No development activity (including building,

mining, excavating, blasting or similar activities) is permitted, in the protected area,

without prior permission of the GoL. Similarly, certain development (likely to damage the

protected property) activities require prior permission from the GoL.

There are numerous NGOs interest groups involved in the conservation of cultural property

in India including the Indian Heritage Society (IHS), the Indian National Trust for Art and

Cultural Heritage (INTACH). INTACH has regional chapters in most states and is the most

significant NGO in the field of conservation and protection of cultural environment in the

country. It acts as a reference for government agencies on conservation issues.

3.3. 1 Policy Inadequacies

Conservation for the designated protected monuments/sites/remains is addressed by the

existing legislation. However, there are several roadside cultural properties that are not

"protected", but are of significant cultural or religious value to the community. No

procedure exists at present for conservation of these 'smaller' cultural properties.

Moreover, the existing legislation covers "protection", instead of holistic conservation, let

alone enhancement of such properties.

3.4 MANAGEMENT AND ROAD CONSTRUCTION STANDARDS/NORMS

Environmental issues during road construction stage generally involve equity, safety and

public health issues. The road construction agencies require complying with laws of the

land, which includes interalia, the following:

* Guidelines for EIA of Highway Project, Indian Roads Congress, 1989 (the publication

provides guidelines on preparation of EIA for Highway Projects involving either

construction of a new road or major improvements to an existing road);

* Workmen's Compensation Act, 1923 (the Act provides for compensation in case of

injury by accident arising out of and during the course of employment);

3 - 7 m ~~U,


• Payment of Gratuity Act, 1972 (gratuity is payable to an employee under the Act on

satisfaction of certain conditions on separation if an employee has completed 5 years);

* Employees PF and Miscellaneous Provision Act, 1952 (the Act provides for monthly

contributions by the employer plus workers);

* Maternity Benefit Act, 1951 (the Act provides for leave and some other benefits to

women employees in case of confinement or miscarriage, etc.);

* Contract Labour (Regulation and Abolition) Act, 1970 (the Act provides for certain

welfare measures to be provided by the contractor to contract labour);

* Minimum Wagers Act, 1948 (the employer is supposed to pay not less than the

Minimum Wages fixed by appropriate Government as per provisions of the);

* Payment of Wages Act, 1936 (it lays down as to by what date the wages are to be

paid, when it will be paid and what deductions can be made from the wages of the

workers);

* Equal Remuneration Act, 1979 (the Act provides for payment of equal wages for work

of equal nature to Male and Female workers and not for making discrimination against

Female employees);

* Payment of Bonus Act, 1965 (the Act provides for payments of annual bonus subject to

a minimum of 8.33% of wages and maximum of 20% of wages);

* Industrial Disputes Act, 1947' (the Act lays down the machinery and procedure for

resolution of industrial disputes, in what situations a strike or lock-out becomes illegal

and what are the requirements for laying off or retrenching the employees or closing

down the establishment);

* Industrial Employment (Standing Orders) Act, 1946 (the Act provides for laying down

rules governing the conditions of employment);

* Trade Unions Act, 1926 (the Act lays down the procedure for registration of trade

unions of workers and employers. The trade unions registered under the Act have

been given certain immunities from civil and criminal liabilities);

* Child Labour (Prohibition and Regulation) Act, 1986 (the Act prohibits employment of

children below 14 years of age in certain occupations and processes and provides for

regulation of emrployment of children in all other occupations and processes.

Employment of child labour is prohibited in Building and Construction Industry);

MD" 3-8

* Inter-State Migrant Workmen's (Regulation of Employment and Conditions of Service)

Act, 1979 (the inter-state migrant workers, in an establishment to which this Act

becomes applicable, are required to be provided certain facilities such as housing,

medical aid, travelling expenses from home to the establishment and back, etc.);

* The Building and Other Construction Workers (Regulation of Employment and

Conditions of Service) Act, 1996 and the Cess Act of 1996 (all the establishments who

carry on any building or other construction work and employs 10 or more workers are

covered under this Act; the employer of the establishment is required to provide safety

measures at the building or construction work and other welfare measures, such as

canteens, first-aid facilities, ambulance, housing accommodation for Workers near the

workplace, etc.);

* The Factories Act, 1948 (the Act lays down the procedure for approval of plans before

setting up a factory, health and, safety provisions, welfare provisions, working hours

and rendering information regarding accidents or dangerous occurrences to designated

authorities);

* Environment Protection Act (Protectionr Act), 1986;

* Water (Prevention and Control of Pollution) Act, 1974 and Rules, 1975;

* Air (prevention and Control of Pollution) Act, 1981 and Rules, 1982;

* Hazardous Wastes (Management and Handling) Rules, 1989;

* Public Liability Insurance Act, 1991 and Rules, 1991 and

* Chemical Accidents (Emergency Planning, Preparedness and Response) Rules, 1996.

3.5 EQUITY AND WELFARE PROVISIONS IN GSHP

The following equity and welfare provisions will apply in the construction activities in

GSHP, in addition to and in supplementation of the provisions in the EMAP and the RAP, as

provided in the Conditions of Contract:

Clause 9.2.9.1: First-aid: At every workplace, a readily available first aid unit including an

adequate supply of sterilized dressing materials and appliances will be provided as per the

Factory Rules of Gujarat. Workplaces remote and far away from regular hospitals will have

indoor health units with one bed for every 250 workers. Suitable transport will be provided

to facilitate take injured or ill person(s) to the nearest applicable hospital. At every

workplace an ambulance room containing the prescribed equipment and nursing staff as

per prescribed.

3 - 9


Clause 9.2.9.1. (a): Accommodation: The contractor during the progress of the work will

provide, erect and maintain necessary (temporary) living accommodation and ancillary

facilities for labour to standards and scales approved by the resident engineer.

Clause 9.2.9.2. : Potable water: In every workplace at suitable and easily accessible

places a sufficient supply of cold potable water (as per IS) will be provided and

maintained. If the drinking water is obtained from an intermittent public water supply

then, storage tanks will be provided. All water supply storage shall be at a distance of not

less than 15m from any latrine, drain or other source of pollution. Where water has to be

drawn from an existing well, which is within such proximity of any latrine, drain or any

other source of pollution, the well shall be properly chlorinated before water is drawn from

it for drinking water. All such wells shall be entirely closed in and be provided with a trap

door, which shall be dust proof and waterproof. A reliable pump shall be fitted to each

covered well. The trap door shall be kept locked and opened only for cleaning or

inspection, which shall be done at least once a month.

Clause 9.2.9.1. (c): Washing and Bathing Places: Adequate washing and. bathing places

shall be provided kept in clean and drained condition.

Clause 9.2.9.1. (b): Latrines and urinals: There shall be provided within the precincts

of every workplace, latrines and urinals in an accessible place, and the accommodation,

separately for each for these, as per standards set by the Factories Act. Except in

workplaces provided with water-flushed latrines connected with a water borne sewage

system, all latrines shall be provided with dry-earth system (receptacles) which shall be

cleaned at least four times daily and at least twice during working hours and kept in a

strictly sanitary condition. Receptacles shall be tarred inside and outside at least once a

year. If women are employed, separate latrines and urinals, screened from those for men

and marked in the vernacular. There shall be adequate supply of water, close to latrines

and urinals.

Clause 9.2.2.11. (d): Shelters for rest: At every workplace, there shall be provided, free of

cost, four suitable sheds, two for meals and two others for rest, separately for use of men

and women labourers. The height of each shelter shall not be less than 3m from floor level

to lowest part of roof. Sheds shall be kept clean and the space provided shall be on the

basis of at least 0.5m2 per head.

Clause 9.2.2.11. (d):Creches: At a place, at which 20 or more women are ordinarily

employed, there shall be provided at least one hut for use of children under the age of 6

years belonging to such women. Huts shall not be constructed to a standard lower than

I u` 33- 10

that of thatched roof, mud floor and wall with wooden planks spread over mud floor and

covered with matting. Huts shall be provided with suitable and sufficient openings, for

light and ventilation. There shall be adequate provision of sweepers to keep the places

clean. There shall be two maidservants in the satisfaction of local medical, health and

municipal or cantonment authorities. Use of huts shall be restricted to children, their

attendants and mothers of children. Where the number of women workers is more than 25

but less than 50, the Contractor shall provide at least one hut and one maidservant to look

after the children of women workers. Size of creches(s) shall vary according to the number

of women workers employed. Creche(s) shall be properly maintained and necessary

equipment like toys, etc. provided.

Clause 9.2.2.11. (d): Canteen: A cooked food canteen on a moderate scale shall be

provided for the benefit of workers wherever it' is considered necessary. The Contractor

shall conform generally to sanitary requirements of local-medical, health and municipal

authorities and at all times adopt such precautions as may be necessary to prevent soil

pollution of the Site.

3.6 ENVIRONMENTAL CONSERVATION PROVISIONS IN GSHP

The Environmental management action plan (EMAP) is an executable part of the GSHP.

The EMAP is a part of the Conditions of Contract between the Employer, GoG in this case,

and the Contractor. The construction activities are to be guided, controlled, monitored and

managed as per the provisions mentioned by the EMAP. In addition to and in

supplementation of the EMAP provisions, specific clauses of the Conditions of Contract will

apply. Significant clauses from the Conditions of Contract, in addition to the appended

EMAP, are listed below:

* Clause 80.1:Noise Pollution: All Works shall be carried out without unreasonable

noise and disturbance. During routine servicing operations, the effectiveness of

exhaust silencers must be checked and if found to be defective must be replaced. Not

withstanding this requirement, noise levels from any item of plant must comply with

the relevant legislation for levels of sound emission. Non-compliant plant is to be

removed from site.

* Clause 80.2: Pollution: Subject and without prejudice to any other provision of the

Contract and the law of the land and its obligations as applicable, the Contractor shall

take all reasonable precautions. In connection with rivers, streams, waterways, drains,

water-courses, lakes, reservoirs and the like to prevent i) silting; ii) erosion of their

beds or banks; iii) pollution of the water so as to affect adversely the quality or

3- 11 iI ,


appearance thereof or cause injury or death to animal and plant life; iv) in connection

with underground water resources including percolating -water to prevent any

interference with the supply to or obstruction from such sources; v) pollution of the

water so as to affect adversely the quality thereof; vi) asphalt plant shall be located

taking into consideration the environment norms laid down with the express

permission of the Employer.

* Clause 111.1: Conservation of vegetation: The Contractor shall preserve existing

trees, plants and other vegetation that are to remain within or adjacent to the works

and shall use every precaution necessary to prevent damage or injury thereto. On

completion of the Works, all areas disturbed by the Contractor's construction activities

shall be restored .to their original condition, or as may be acceptable to the Engineer.

* Clause 111.4: Drainage: The Contractor is to ensure that there is gooa arainage at

all construction areas, to avoid creation of stagnant water bodies especially in

urban/industrial areas.

* Clause 111.5: Pollution from Hot Mix Plants and Batching Plants (HMP):

Where possible the HMP should be sited at least 500m from the nearest habitation.

The HMP shall be fitted with a dust extraction unit in order that the exhaust gases

comply with the requirements of the relevant current emission control legislation. All

operations at plants shall be undertaken in accordance with all current rules and

regulations protecting the environment.

* Clause 111.6: Substances Hazardous to Health: The use of any herbicide or other

toxic chemical shall be strictly in accordance with the manufacturer's instructions. The

Engineer shall be given at least 6 working days notice of the proposed use of any

herbicide or toxic chemical. A register of all herbicides and other toxic chemicals

delivered to the site shall be kept and maintained up to date by the Contractor. The

register shall include the trade name, physical properties and characteristics, chemical

ingredients, health and safety hazard information, safe handling and storage

procedures, and emergency and first aid procedures for the product.

* Clause 111.9: Spillage: Vehicles delivering materials to the site shall be covered to

avoid spillage of materials on public roads.

Clause 111.13: Discharge of wastes: The Discharge Standards promulgated under

the Environment Protection Act, 1986, shall be adhered to strictly. All waste arising

from the project is to be disposed of in a manner, which is acceptable to the State

Pollution Control Board and the Engineer. All vehicles and machinery employed in the

l i -3- 12

execution of the works shall be regularly maintained to ensure that pollutant emission

levels comply with the relevant requirements of current pollution control legislation.

Vehicle maintenance and refuelling shall be carried out in such a fashion that spillage

of fuels and lubricants do not contaminate the ground or nearby watercourse. An "oil

interceptor" shall be provided for wash down and refuelling areas. Fuel storage shall

be in proper bounded areas. All spilt and collected petroleum products shall be

disposed of in accordance with the relevant legislation.

. Clause 111.14: Sanitation and contamination: All temporary accommodation

must be constructed and maintained in such a fashion that uncontaminated water is

available for drinking, cooking and washing. The sewage system for the camp must be

properly designed, built and operated so that no health hazard occurs and no pollution

to the air, ground or adjacent watercourses takes place. Compliance with the relevant

legislation must be strictly adhered to. Garbage bins must be provided in the camp and

regularly emptied and the garbage disposed of in a hygienic manner. Construction

camps are to be sited away from vulnerable people and adequate health care is to be

provided for the work force.

* Clause 111.15: Conservation of flora and fauna: All works are to be carried out

in such a fashion that the damage or disruption to the flora and fauna is reduced to a

minimum wherever possible. Trees or shrubs will only be felled or removed that

impinge directly on the permanent works or necessary temporary works, with

permission from the Engineer.

* Clause 112.1: Public safety: Special consideration shall be given in the preparation

of the Traffic Control Plan to the safety of pedestrians and workers at night.

* Clause 112.7: Side Roads and Property Accesses: At all times, the Contractor

shall provide safe and convenient passage for vehicles pedestrians and livestock to and

from side roads and property accesses connecting to the roadway. Work that affects

the use of side roads and existing accesses shall not be undertaken without providing

adequate provisions to the prior satisfaction of the Engineer.

* Clause 112.8: Plant and Equipment: During the day, plant and1equipment working

in a position adjacent to traffic and having a projection beyond the normal width of the

item, for example, a grader blade, shall have a fluorescent red marker attached to the

outer end of the projection. During poor light conditions or at night, an additional

traffic controller with an illuminated red wand shall direct traffic around such plant and

equipment. At night, all plant items and similar obstructions shall be removed from the

3-13


normal path of vehicles, to provide a lateral clearance of at least 6m where

practicable, with a minimum clearance of 1.2m. Plant and equipment, within 6m of the

normal path of vehicles, shall be lit by not less than two yellow steady lamps

suspended vertically from the point of the obstruction nearest to a traffic lane, and

one yellow steady lamp at each end of the obstruction on the side farthest away from

the traffic lane.

* Clause 305.2: Borrow Materials: No borrow area shall be made available by the

Employer for this work. The arrangement for the source of supply of the material for

embankment and sub-grade as well as compliance to the different environmental

requirements in respect of excavation and borrow areas as stipulated, from time to

time, by the Ministry of Environment and Forest, Government of India and the local

bodies, as applicable shall be the sole responsibility of the Contractor.

. Clause 306.4: Soil erosion and sedimehtation control: All temporary

sedimentation and pollution control works shall be deemed as incidental to the

earthwork and other items of work and as such no separate payment shall be made for

the same.

* Clause 111.12: Cost of environmental conservation and compliance: The costs

of compliance with Clause 111 shall be deemed to be included in the rates for items

included in the Bill of Quantities in reference to Clause 114.2 (XV) of MoST

Specification.

* Clause 111.1: Environmental Training: If so requested by the Engineer, the

Contractor shall on two weeks notice, make available site staff of foreman level and

above for training in the environmental aspects of road construction. The staff to be

included in the training shall be chosen by the Engineer. The training shall be of a

maximum of two working days duration and shall be held on the site. The Engineer will

arrange training. The cost of providing personnel for environmental training is deemed

to be included in the rates generally.

3.7 PUBLIC SAFETY AND HEALTH PROVISIONS IN GSHP

The following public safety and health provisions will apply in the construction activities in

GSHP, in addition to and in supplementation of the provisions in the EMAP and the clauses

of the Conditions of Contract mentioned in the preceding sections:

Clause 9.2.8.1.: Workers' safety: The contractor is required to comply with all the

precautions as required for the safety of the workmen as per the International Labour

3- 14

Organisation (ILO) Convention No. 62 as far as those are applicable to this contract. The

contractor shall supply all necessary safety appliances such as safety goggles, helmets,

earplugs and masks, etc., to the workers and staff. The contractor has to comply with all

regulation regarding safe scaffolding, ladders, working platforms, gangway, stairwells,

excavations, trenches and safe means of entry and egress.

Clause 9.2.8.2. : Safety from electrical equipment: Adequate precautions will be

taken to prevent danger from electrical equipment. No material or any of the sites will be

so stacked or placed as to cause danger or inconvenience to any person or the public. All

necessary fencing and lights will be provided to protect the public. All machines to be used

in the construction will conform to the relevant Indian Standards (IS) codes, will be free

from patent defects, will be kept in good working order, will be regularly inspected and

properly maintained as per IS provisions.

Clause 9.2.8.3. (a): Safety at hazardous activity: All workers employed on mixing

asphaltic material, cement, lime mortars, concrete, etc., will be provided with protective

footwear and protective goggles. Workers engaged in welding works would be provided

with welder's protective eye-shields. Stone breakers will be provided with protective

goggles and clothing and will be seated at sufficiently safe intervals.

Clause 9.2.8.4.: Lead pollution: No men below the age of 18 years and women will be

employed on the work of painting with products containing lead in any form. No paint

containing lead or lead products will be used except in the form of paste or readymade

paint. Face masks will be supplied for use by the workers when paint is applied in the form

of spray or a surface having lead paint dry rubbed and scrapped.

Clause 9.2.8.5.: Force' de majure : All reasonable precaution will be taken to prevent

danger of the workers and the public from fire, flood, drowning, etc. All necessary steps

will be taken for prompt first aid treatment of all injuries likely to be sustained during the

course of work.

Clause 9.2.8.6.: Explosives : Except as may be provided in the Contract or ordered or

authorized by the Engineer, the Contractor shall not use explosives. Where the use of'

explosives is so provided or ordered or authorized, the Contractor shall comply with the

requirements of the following Sub-Clauses of this Clause besides the law of the land as

applicable:

The Contractor shall at all times take every possible precaution and shall comply with

appropriate laws and regulations relating to the importation, handling, transportation,

3-15 iID,


storage and use of explosives and shall, at all times when engaged in blasting

operations, post sufficient warning flagmen, to the full satisfaction of the Engineer.

The Contractor shall at all times make full liaison with and inform well in advance and

obtain such permission as is required from all Government Authorities, public bodies

and private parties whatsoever concerned or affected or likely to be concerned or

affected by blasting operations.

Clause 9.2.8.7.: Anti-malarial precautions: The Contractor shall, at his own expense,

conform to all anti malarial instructions given to him by the Engineer, including filling up

any borrow pits which may have been dug by him.

Clause 9.2.9.3. (d): Disposal of Excreta: Unless otherwise arranged for by the local

sanitary authority, arrangement for proper disposal of excreta by incineration at the

workplace shall be made by means of a suitable incinerator approved by the local medical

health or municipal authorities. Alternatively, excreta may be disposed off by putting a

layer of night soils at the bottom of a permanent tank prepared for the purpose and

covering it with a 15 cm layer of waste or refuse and then covering it with a layer of earth

for a fortnight (by then it will turn into manure).

Clause 9.2.9.3. (e): Cleaning of site: On completion of the works, the whole of such

temporary structures shall be cleared away, all rubbish burnt, excreta or other disposal

pits or trenches filled in and effectively sealed off and the whole of the site left clean and

tidy, at the Contractor's expense to the satisfaction of the Engineer.

@ >l- 3-16

APPENDIX A

SPECIFIC RESPONSIBILITIES OF ENVIRONMENTAL MANAGEMENT UNIT(EXECUTION / IMPLEMENTATION)

o SPECIFIC RESPONSIBILITIES WITH REFERENCE TO EMAP

PROJECT STAGE REFERENCETASK RESPONSIBILITY PLANNING CONSTRUCTION OPERATION (PHASE IIA

STATE DISTRICT STATE DISTRICT STATE DISTRICT REPORT)Execution * Short term - implement EMAP and RAP for V 3.2.1.1

existing projectExecution * Long term - to build environmental awareness and V 3.2.1 1.

support - both within and outside the departmentExecutton/ * Provide specialized environmental expertise 3.2.1.2

Co-ordination

Execution * Prepare Environmental Execution Plan 3.2.1.2Supervision/ * Ensure timely implementation of mitigation . . 3.2.1.2

Execution measure at the local level

Execution * Organize training programme on environmental 3.2.3.5management for administrative and technical staff

Execution * Prepare Contingency management action plan . 3.2.3.6

o SPECIFIC RESPONSIBILITIES WITH REFERENCE TO RAPExecution * Prepare Collaboration Plan 3.2.1.2Execution * Prepare Unit Operations Plan and update annually 3.2.1.2Execution * Preparation of RAP addenda V 10.1

PROJECT STAGE REFERENCETASK RESPONSIBILITY PLANNING CONSTRUCTION OPERATION (PHASE IIA

STATE DISTRICT STATE DISTRICT STATE DISTRICT REPORT)

Execution/ * Support EPs who are members of vulnerable 10.3.1

Co-ordination groups - counseling on alternatives and guidance V

on appropriate training programmes

Execution * Relocate and rehabilitate EPs, who are not 10.3.2

eligible for govt. and other programmes

Execution * Recognition of a rightful EP not covered under , 10 3.2 1

census on showing documentation or evidence 10.3.2.2

Execution * Administer disputes or grievances arising out of 10.3 2 1

definition of 'household' or entitled persons through Vverification and grievance procedure

Execution * Adequate assistance to provide access to V 10.3.3.2

training programme or land

Execution * Consider assistance on case by case as 10.3.3.2

specified under RAP

Execution * Free advisory service to all EPs & implement 10.3.3.2

RAPExecution * Visit to host neighborhoods & encourage the land , . 10.5.5

owners to sell their land to PAPs at market rate

Execution * Verification of entitled persons V 10.6.2.1

Execution * Second round of community consultation with PCC V 10.6.2.2

Execution * Preparation of information brochure in the local 10.6.2.2

language explaining RAP

Execution * Distribution of ID V 10 6.2.2

Execution/ * Preparation of entitlement details. v 10.6.2.2

Supervision

Execution * Preparation of contract & work plan to outline the 10.6.3 1

task required to be completed for NGO

Execution * Update the number of PAPs 10.6 4.1

2

PROJECT STAGE REFERENCETASK RESPONSIBILITY PLANNING CONSTRUCTION OPERATION (PHASE P

STATE DISTRICT STATE DISTRICT STATE DISTRICT REPORT)Execution * Ensure aid to other PAPs not covered under / 10.6.4.3

existing govt. housing schemes.._.

Execution - Aid the EPs in negotiating process with private 1 10.6.4.4landowners.

Executionl * Evaluate other options for relocation . ' 10.6.4.4Supervision

Execution * Assisting the EPs to identify the land of their choice 10.6.4.4for resettlement.

Execution * Benefits to the host communities v 10.6.4.5Execution/ * Provision of basic amenities for major resettlement 10.6.4.9Supervision site

Execution/ * Identification, implementation and enrolment of 10.6.4.10Supervision PAPs under various income generation programme

and vocational training

Execution a Update and estimate of unit cost and budget . 10.6.5.1Execution * Detail out implementation schedule. . 10.7Execution * Update timeline with progress in project 10.7

I _ implementation. _ . .Execution * Preparation of summary of operational aspects of v 10.7

implementation.

Execution * Verification of EPs. l 10.7.1.1Execution - Notify cut-off date. 10. 7.1.1Execution/ ' Explanation of entitlement framework and process 10.7.1.2Supervision of payment of compensation, assistance and

grievance to EPs.

Execution * Precede final documentation of EPs entitlements 10.7.1 2and options.

PROJECT STAGE REFERENCE

TASK RESPONSIBILITY PLANNING CONSTRUCTION OPERATION (PHASE IIASTATE DISTRICT STATE DISTRICT STATE DISTRICT REPORT)

Execution/ * Verify entitlement card 10.7.1.2Supervision

Execution/ * Transfer of facilities. v 10.7.1.4Supervision

Execution/ * Help PAPs to select appropriate compensation and 10.7.2.1Supervision assistance options.

Execution * Preparation of formal contract and work plan for V 10.7.3.2NGOs.

Execution * Endorsement of GRC decision or may send it back 10.7.5.1recommending reference to the PIU

Execution * Preparation of Specific Contingency Plan with 10.7.7reference to RAP

Execution/ * Identify risks and benefits associated with each 10.7.7Supervision option of entitlement policy. .

4

SPECIFIC RESPONSIBILITIES OF ENVIRONMENTAL MANAGEMENT UNIT(CO-ORDINATION)

c SPECIFIC RESPONSIBILITIES WITH REFERENCE TO EMAP

PROJECT STAGE.TASK RESPONSIBILITY PLANNING CONSTRUCTION OPERATION REFERENCE

STATE DISTRICT STATE DISTRICT STATE DISTRICT (Phase IIA)

Co-ordination/ * Provide specialized environmental V V v 3.2.1.2Execution expertise .

Co-ordination * Assist Secretary, R&BD, as requested V V 3.2.1.2Co-ordination * Assist Coordinator, PIU, as requested V I 3.2.1.2Co-ordination * Co-ordinate meetings and report to the v/ 3.2.3.5

secretary .Co-ordination * Co-ordinate With PIU v/ V _ 3.2.3.5Co-ordrination * Collion tion with other agencies V 10.7.4

o SPECIFIC RESPONSIBILITIES WITH REFERENCE TO RAP

Co-ordination * Organize external monitoring v V 3.2.1.2Co-ordination * Assist Secretary, R&BD, as requested v V 3.2.1.2Co-ordination * Assist Coordinator, PIU, as requested V / 3.2.1.2

Co-ordination * Co-ordinate meetings and report to the , , 3.2.3.5secretary

Co-ordination * Co-ordinate with PIU V / 3.2.3 5Co-ordination/ * Support EPs who are members of 10.3.1

Execution vulnerable groups - counseling onalternatives and guidance on appropriatetraining programmes

Co-ordination * Co-ordinate during implementation of RAP 10.3.3.3with Dept. of Forest on social forestry V / V

compensation programmes.

PROJECT STAGETASK RESPONSIBILITY PLANNING CONSTRUCTION OPERATION REFERENCE

STATE DISTRICT STATE DISTRICT STATE DISTRICT

Co-ordination/ * Pursue provision of jobs to local people, 10.3.3.3Supervision especially vulnerable groups during /

construction of roads with contractorsthrough PIU.

Co-ordination/ * Consultation with local community 10.3.3.5Supervision representative for assistance to entitled VI

host communities.

Co-ordination * Establish linkages with Govt. Dept. for V 10.6.4.3individual relocation. .

Co-ordination * Identification of suitable land for the 10.6.4.3V/

purpose of resettlement

Co-ordination * Ascertain programmes underway or sites 10.6.4.4available in particular areas of housing V

board for relocation, as required.

Co-ordination * Displaying a list of eligible EPs in public 10.7.1.1place on the corridor

Co-ordination * Collaboration with other agencies V/ 10.7 4Co-ordination * Representation in GRC V / 10.7.5.1

6

SPECIFIC RESPONSIBILITIES OF ENVIRONMENTAL MANAGEMENT UNIT(MONITORING)


PROJECT STAGE

TASK RESPONSIBILITY PLANNING CONSTRUCTION OPERATION REFERENCE

STATE DISTRICT STATE DISTRICT STATE DISTRICT (Phase IIB)

Monitoring * Monitor' all construction activities as 3.2.1.2

specified in EMAP

Reporting * Reporting to PIU V/ V f V 10.7.8.2

o SPECIFIC RESPONSIBILITIES WITH REFERENCE TO RAP

Monitoring * Undertake/coordinate internal compliance 3.2.1.2

monitoring

Monitoring * Monitor and evaluation of R & R activities V v 10.7.8

Monitoring * Monitor notification for acquiring privately 10.7.1.1

owned land and assets under LAA.Monitoring * Monitor activities of NGOs. V V V V V 10.7.3.2

Reporting : Reporting to PIU iV I i V i 10.7.8.2

SPECIFIC RESPONSIBILITIES OF ENVIRONMENTAL MANAGEMENT UNIT

(SUPERVISION)


PROJECT STAGE REFERENCETASK RESPONSIBILITY PLANNING CONSTR(UCTION OPERATION CLAUSEISECTION PHASE


Supervision/ * Ensure timely implementation of mitigation measures at the v 3.2.1.2Execution

local levelsupervision * Ask engineer to take suitable steps to restrict work hours on 7.2.4

complaints from road side residents -

Supervision * Advice engineer to approve detailed conservation processes, v V 7.2.5

plans and designs

Supervision * To approve construction for temporary diversion of traffic 7.3.1.2

Supervision * To over see during pre-construction phase that contractor is V 9.1

given access to clear site

Supervision * Assist and activate engineer to supervise during 9.1

implementation of the project according to contract or bid V V

documentsSupervision * Acquisition of land and properties 9 1.1Supervision * Removal of Trees v 9.1.1.

Supervision * Relocation of utility V 9.1.3

Supervision * Removal of community utility 9.1 4

Supervision * Relocation of cultural properties V 9 1.5

PROJECT STAGE REFERENCETASK RESPONSIBILITY PLANNING CONSTRUCTION OPERTION ICLA REPORNP

STATE DISTRICT STATE DISTRICT STATE DISTRICTSupervin_ _Supervision * Clearance of encroachment / squatters _ 9 1.6

SOIL

Supervision * Management of debris generated 9.2.1.1Supervision * Management and restoration of top soil 9.2.1.2Supervision * Maintenance of compaction of soil 9.2.1.3Supervision * Inspection of all borrow area 9.2.1.4Supervision * Sustainable use of borrow area and reclamation 9.2.1.5Supervision * Mitigation of soil erosion / 9.2.1.6Supervision * Avoidance of contamination of soil by fuel and lubricants 9.2.1.7Supervision * Avoidance of contamination of soil by construction wastes 9.2 1.8Supervision * Supervision of quarry operations 9.2.1.9

(during licensing and operation of the quaries for the project)

WATER

Supervision * Avoidance and restoration of minor water bodies 9.2.2.1Supervision * Avoidance and restoration of other water sources 9.2.2.2

Supervision * Control of over toping V I 9.2.2.3(during construction and defects liability period)

Supervision * Control of siltation into water bodies / 9.2.2.4Supervision * Prevention of water pollution due to run off 9 2.2.5Supervision * Restoration of natural water ways | 9.2.2.6Supervision * Avoidance of.ground water depletion _ 9.2.2.7Supervision * Avoidance and mitigation of increased run off 9 2.2.8Supervision * Prevention of waste water produced in construction from v 9 2.2.9

entering into water bodiessupervision * Prevention of water bodies from contamination by fuel and . 9 2.2.10

lubricants

PROJECT STAGE REFERENCETASK RESPONSIBILITY PLANNING CONSTRUCTION OPERATION (CLAUSE/SECTION PHASE

PLANNING CONSTRUCTION _OPERATION IA REPORT)


Supervision ' Maintenance of sanitation & waste disposal in construction 9.2.2.11

camps (during establishment, operation & dismantling of such

camps)

Supervision a Avoidance of wastage of water durinb construction 9.2.2.12

Supervision * Avoidance of disruption to other users of water 9.2.2.13

AIR

Supervision * Dust control during construction V 9.2.3.1

Supervision * Emission control from Hot-Mix plants and batching plants 9.2.3.2

Supervision * Compliance with the factory act in labourers camp (during 9.2.3 3

establishment, operation and dismantling of such camps)

Supervision * Emission control from construction vehicles, equipment and V 9.2.3 4

machinery

Supervision V Mitigation and control of pollution from crusher 9.2.3.5

NOISE

Supervision * Control of noise from vehicles, plant and equipment V 9.2.4.1

Supervision - Control of noise from blasting and pre-splitting operations [ V 9.2.4.2

(during preparation, operation and closure of such sites) l

FLORA

Supervision * Avoidance of loss of vegetation 9.2.5.1

Supervision * Avoidance of disruption to vegetation V 9.2.5.2

Supervision - Avoidance and conservation of endangered flora V 9.2.5.3

FAUNA

Supervision * Avoidance of loss of fauna V 9.2 6.1

Supervision * Avoidance and conservation of enlarged fauna 9.2.6.2

10

PROJECT STAGE REFERENCETASK RESPONSIBILITY PLANNING CONSTRUCTION OPERATION NA REPORT)


DISRUPTION TO USERSSupervision * Prevention of odour from construction labourer's camp (during 9.2.3.3.

establishment, operation and dismantling of such camps)

Supervision .* Avoidance of disruption and public access 9.2.7.2

WORKERS' ACCIDENT RISK

Supervision * Avoidance of risk to workers at hazardous activity 9.2.8.3

Supervision * Avoidance of risk of lead pollution 9.2.8.4

Supervision * Avoidance of risk caused by force Majure 9.2.8.5

Supervision Maintenance and filling up borrow pits to avoid Malaria risk 9.2.8.7

WORKERS HEALTH RISK

Supervision * Provision of first aid 9.2.91

Supervision * Provision of potable water 921 99.2

Supervision * Provision of sanitary condition near work place 9 2.9.3

DAMAGE AND LOSS OF CULTURE PROPERTIES

Supervision * Conservation of religion structures and shrines 9.2.10.1

Supervision * Conservation of archeological property found by chance l / l 9.2.10.2

ENVIRONMENTAL ENHANCEMENT

Supervision * Developmentof roadside landscape l 9.2.11.1

Supervision * Provision, replacement and restoration of roadside amenities | 9.2.11.2

Supervision * Provision of road furniture 9 2 11 3

Supervision * Enhancement of cultural properties l 9.2.11.4

Supervision * Maintenance of storm water drainage system 9.3.2

PROJECT STAGE REFERENCETASK RESPONSIBILITY PLANNING CONSTRUCTION OPERATION (CLAUSE/SECTION PHASE


Supervision * Afforestation programme to mitigate dust generation " 9.3.3

Supervision * Control of atmospheric pollution / 9.3 4

Supervision * 'Control of noise pollution 9.3.5

Supervision * Implementation of traffic management to avoid accidents 9.3 6

SPECIFIC SUPERVISION RESPONSIBILITIES WITH REFERENCE TO RAPSupervision/ X Pursue provision of jobs to local people, especially vulnerable VI 10.3.3.3Co-ordination groups during construction of roads with contractors through

PIU.Supervision/ * Consultation with local community representative for V/ 10.3.3.5

Co-ordination assistance to entitled host communities.

Supervision/ * Distributions of entitlement photo identify card and preparation V 10.6.2.2Execution of entitlement details.

Decision + * Development of new site for resettlement / V 10.6.4.6Supervision

Assessment * Provision of basic amenities for major resettlement site v / 10.6.4.9for Decision

Execution/ * Identification, implementation ahd enrolment of PAPs under V 10.6.4.10Supervision various income generation programme and vocational training

Supervision/ * Identify risks and benefits associated with each option of / 10.7.7Execution entitlement policy.

Supervision/ * Explanation of entitlement framework and process of payment V -10.7 1.2Execution of compensation, assistance and grievance to EPs.

Supervision/ * Verify entitlement card. V 10.7.1.2Execution

Supervision/ Transfer of facilities. / V 10.7 1 4Execution

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Vounme 118. Institutional Afrangements and Legal Fr,alwo,k fIr GSHP

APPENDIX B

EXTERNAL EVALUATION PROCEDURE

An third party, preferably an NGO/Individual/institution with prior experience inrehabilitation/resettlement or other social development programme will also be engaged tocarry out the evaluation and reporting of the implementation of the resettlement andrehabilitation of RAP. This agency will be independent of the project.

This external agency will do evaluation at least twice during the life of the project. The firstevaluation will take place after the resettlement of families affected in Phase I of this project.Any problems encountered will be assessed and necessary changes will be recommended tothe EMU for consideration. This is to ensure that the same issues do not arise duringimplementation of Phase IIA and Phase IIB of the project.However, the current uncertainties as to the time delay in the Project may mean that there islittle, if any, delay between the relocation under Phase I and that under Phases IIA and IIB.In that case, the EMU may have to modify external monitoring.It is recommended that the external agency should evaluate the resettlement programme infour categories. It should be carried out on a corridor basis, since comparisons betweencorridors may reveal useful lessons. It should also be based on a recognised samplingmethod to select the corridors to be monitored and the EPs within each corridor to bemonitored under this programme. The resettlement activities have to be evaluated in thefollowing terms.1. Physical targets set and achievements made within the prescribed time frame: This will

help in identifying the delay in the implementation process.

2. Budgetary allocations made and actuial expenditure made: This assessment would help inidentifying issues related to financial management.

3. Perception of EPs about the RAP: This is to evaluate the perception of EPs about thevarious aspects of RAP including the adopted implementation procedure adopted. Some ofthe aspects identified for evaluation are stated below table 1.

Table l: Indicators for evaluation of EPs perceptionPerception about the compensation received Perception about the assistance received

-Cash - Cash For lost assets

-Procedure - Cash as ex-gratia

Properties (i) Resettlement Assistance

- Land (ii) Shifting Assistance

- Dwelling unit (iii) Assistance equal to nine months rent

- Income Restoration (iv) Assistance equal to six months income

(i) Employment Programme Perception about the new relocation site (House)

(ii) Training Schemes - Location

Perception regarding relation with host communities - Community feeling

Perception about the new relocation site (Shop) - Security

- Location Perception about the grievance procedure

- In terms of business Perception about Market Value AssessmentCommittee

- Sense of security Perception about NGO service

- In terms of facilities Perception about the behavior of Governmentofficials involved in RAP

Volunle 118. Institutional An-angements and Legal Framewor* for GSHP

4) Estimation of Quality of Life Index of PAPs.

The rational behind having a comprehensive RAP is to improve the standard of livingof PAPs if not, then to at least restore their standard of living as it was before theimplementation of the project. The word standard of living and quality of life are usedinterchangeably. However, the term 'quality of life' is somewhat more comprehensivein meaning than the word 'standard of living'. Quality of life is more holistic way oflooking at the well being of a person where as standard of living has more to do withincome level of a person. Considering both the meaning of the two terms and scope ofRAP, it is felt that an effort should be made to assess the quality of life of the PAPsinstead of their standard of living.

People use the connotation of the term 'quality of life' in different ways to sufficedifferent purposes. But the inferences could be made out of those definition says"Quality of life is experienced and expressed by an individual in his physical, social andpsychological conditions". Quality of life is a combination of both objective factors andsubjective perception about those objective conditions. For example, housing isprovided to the squatters. Objectively it will show the record that "n" numbers ofhouses have been built. But the subjective perception of the beneficiaries about thehouse size, location, construction quality etc. would reveal their satisfaction level inthis regard. Objective conditions are the artifacts, which can be easily measurednumerically. But the subjective perceptions, which are qualitative in nature, aredifficult to measure. An approach assigning weightages to different indicators andscales to different perceptions has been adopted for subjective evaluation to arrive atthe quality of life index. The exercise of QoL index will be carried out at corridor levelto reflect the out come of RAP at each such level. The corridor level analysis wouldhelp in finding the problem and lacunas at micro level and would help in solving theforthcoming issues without generalising them with entire Phase-IIB of the Project. Theindicators considered for objective and subjective quality of life index are presented inTable 2.

Table 2: Indicators for Assessment of Quality of Life

Objective Subjective% of household below poverty line Income% of SC household below poverty line Household income% of ST household below poverty line Personal income% WHH of household below poverty line Availability of income opportunity% of households squatting Employment% change in employment rate Present employment% change in women employment rate Opportunity for employment% of household squatting Condition for employment% of kuchcha household Security of employment% of household with separate kitchen House% of household with water connection Condition of house% of household with power connection Size of house% of household with toilet facility Location of houseHousehold asset ownership in % Food

Television Quality of foodTape Recorder Nutrition intakeRadio ClothingCycle Share of income spent on clothingCooking gas Satisfaction with Clothes wornTwo wheelers Water SupplyThree wheelers Source of water supplyRefrigerator Quantity of Water available

Quality of available waterSanitation

Sanitary Condition in the Area

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Volume 11J Instiutuonal Arrangements and tegal Framewovk for G.SHP

Objective Subjective

Sanitary Condition in the Vicinity of HouseFuel and Energy

Fuel AvailabilityExpense on FuelAvailability of Regular Electric Supply

Access to MarketAccessibility to MarketMarket condition after Project (Physical)Market condition after Project (business)

TransportationCondition of RoadSafety for pedestrians and other road users

EnvironmentAir QualityNoiseDust

i) Evaluation of Objective ParametersFor the evaluation of objective QoL, certain parameters have been selected uponwhich the impact of the project is being envisaged. The analysis of objective indicatorswill be carried out for conditions before and after the implementation of the project.The base-line objective conditions of PAHs before implementation of project in term ofvalue is assumed to be 'zero'. Any changes in condition/s after the implementation ofproject either positive or negative can be related to the impact of project. However, amargin of ±5 percent change in the conditions of a household is not considered as animpact of the project keeping in rnind from natural growth point of view. Any changesin conditions there after recorded in percentage is considered a resultant of the

project.

A value has been given for percentage of change in the indicators. The score forindicators will fall in the range of -1.0 to +1.0. Table 3 presents the format forevaluation of various objective indicators. An improvement by +1percent or more inan indicator will reflect a significantly improved scenario. In such a case, a score of +1would be assigned to the indicator. Changes in the range of + 5 to + 10 percentwould reflect a marginal improvement in the condition, for which a value of + 0.5 willbe assigned. The change in indicators in the range of ± 5 percent will represent aneutral case or no change. A change in the parameters in the range of -5 to -10percent will reflect deterioration in condition, while a change of -10 percent or morewill represent significant deterioration in the condition, for which the score assignedwill be -0.5 and -1.0 percent respectively. The score against each indicator will besummed up to get the total score for all such indicators. The final objective QoL indexwill be calculated as:

Q The Total Score for all indicatorsTotal number of indicators

ii) Evaluation of Subjective Parameters of QoL (Perception of PAP's)

Since the perceptions are qualitative, an attempt is being made to quantify thesubjective response. This has been done with a purpose to come out with an indexthat would reflect the level of subjectivity on a pre-determined scale.

For calculating the subjective perception of the respondents, a scale of 0.1 to 1.0 has

been considered. Value 1.0 represents the highest level of satisfaction and 0.1 the

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Volume 118. Inst,tutonal Arranemenits and Legal Framewor* Ibr GSHP

lowest level. The value has been presented on a five-point scale, viz. 1.0 - highlysatisfactory, 0.8 - satisfactory, 0.6 - neutral, 0.4 - unsatisfactory and 0.2 - highlyunsatisfactory. For subjective evaluation, a sample size from the PAPs will be chosenby the external agency and the respondents will be asked about their satisfactionlevel. However, the evaluating agency would justify that the size of sample chosenactually represents the total PAPs. The equation for calculating the subjective aspectsof Quality of Life is:

QoL Subjective = ZwipNM

i Respondent 1, 2, 3.p = Individual factorw = Satisfacton level of the ilh respondent for pr factorwip = Total satisfaction level of i respondents for pth factorN = Total number of respondentsM = Total number of factors

wip = ,Total weight of all factors

This evaluation can be helpful in identifying such areas in policy and programmes,which need necessary modification in order to improvise the strategy in achieving theobjectives of RAP. The indicators and sub-indicators considered for calculation of thesubjective elements of QoL are presented in Table 2.

iii) Over-all Quality of LifeThe over-all Quality of Life of PAPs can be assessed through the following formula -

Objective QoL + Subjective QoL

2

The final Qr!e from quantification of subjective indicators and that from objective evaluationwill be summed up and divided by two to arrive at the over-all QoL of PAPs. This would helpin establishing the level of improvement or deterioration in the quality of life of PAPs as aresult of the project. This assessment will prove to be helpful in identifying the lacuna thatexists at the policy level as well as at the level of implementation of a project.

Reporting

The external evaluation agency is expected to submit a report to EMU within a month of datacollection. The report should contain all the data collected and as well as critical analysis ofthe same. It is expected from the agency to come out with a comparative analysis withreference to before the project and after the project scenario in the socio-economicconditions of the projected affected persons. If the external agency found some shortcomingor flaws in the existing plan of action, the agency should include the suggestive measureswith implementation procedures. The EMU after receiving report from external agency wouldreview the same with in 15 days. Within a week after review, the EMU will submit a report toPIU with suggested measures provided by the external agency plus its own comments. ThePIU is ultimate authority to take decision regarding any change in the existing programme.

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Volume ll8 Inshtubonal Arrangements and Legal Framework for GSHP

Table 3: Format for Evaluation of Objective Indicators of QoL

Before After Significantly Improved No D SignificantlyParticulars Implementation Implementation Improved +(5°/O Change Deteorated Deteriorated Score

of Project of Project in % (>+10%) 10%) (±5%) -( 5 -10%) (> -10%)percentage ______ ______

VALUE +1 +.5 0 -. 5 - .1INDICATORS

%/o of household below poverty line

% of SC household below poverty line% of ST household below poverty line

% of WHH household below poverty line

% change in employment rate% change in women employment rate% of households squatting . .% of kuchcha household

% of household with separate kitrchen .% of household with water connection% of household with power connection

% of household with toiletHousehold Asset Ownership in %

* Television

* Tape Recorder

* Radio

* Cyde ._._.

* Hand Cart .* Animal Cart _ __* Three Wheeler

* Two Wheelers

* Cooking Gas . ______TOTAL SCORE

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VolImeo lle Inshlut,onal Arrangements and Legal FrameworA

APPENDIX C

GRIEVANCE REDRESSAL PROCEDURE

We recommend that the grievance redressal procedure prepared herein be field-tested by theEMU, and that any required modification be made before it is implemented on a large scale.

The text is drafted in the form of a by-law or regulation that might be adopted by the ProjectImplementation Unit ("PIU") to constitute each District GRC. Should the PIU decide toconstitute the GRCs using another vehicle, the text can easily be modified.

1. DEFINITIONS

Unless the context clearly requires otherwise, the following words and expressions mean ordesignate:

. "Claimant" means a person who files a grievance with the Grievance RedressalCommittee in his own behalf or in the behalf of a household or a group of which he is theauthorised representative, or a person who, not being an Entitled Person, submits a claimto the Grievance Redressal Committee to be recognised as an Entitled Person.

• "Corridor" means one of the corridors, numbered respectively 01, 02, 03, 05, 06, 08, 09,10, 12, 13, 15, 17, 18, 21,22,26,27, and 28, into which the Gujarat State HighwaysProject has been divided;

* "District" means the District of ;

* "Entitled Person" or "EP" means an individual, household or group recognised by the EMUas being entitled to benefits pursuant to the Entitlement Policy;

* "Entitlement Policy" means the Entitlement Policy approved by the Government of Gujaratby [specify instrument] on [date];

* "Environmental Management Unit" or "EMU" means the body created by [specifyinstrument];

* "Market Value Assessment Committee" or "MVAC" means the body created by [specifyinstrument; [the reference must be to the MVAC for the District];

"Project Implementation Unit" or "PIU" means the body created by [specify instrument].

2. ESTABLISHMENT

There is hereby constituted a committee bearing the name of [District] Grievance RedressalCommittee (hereinafter the "GRC")

3. MEMBERSHIP

The following persons are members of the GRC:

* The District Collector or his designated representative, who must hold at least the rank ofAssistant District Collector (hereinafter the "DM");

• The District Development Officer of the Department of Revenue (hereinafter the "DDO");

* The Executive Engineer, State Road Project (hereinafter the "EESRP");

* The Special Land Acquisition Officer of the Department of Revenue for the District(hereinafter the SLAO");

• The Executive Engineer responsible for the Corridor that traverses the District(hereinafter the "EEC");

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Volume 118 institultonal Arrangements and Legal Framework

* The Project Manager of the Scheduled Tribes Development Corporation for the District inthe case of a District that falls within a Tribal Sub-plan Area (hereinafter the "PMSTDC");

* A representative of a non-government organisation a'ppointed in writing by the Secretaryof the Roads and Buildings Department (hereinafter the "NGO Member");

* The Social Sciences Technical Specialist of the EMU (hereinafter the "SSTS").

4. OFFICERS

The DM shall be the Chairman of the GRC, and the EESRP shall be its Secretary andConvenor. The GRC may appoint such other officers as it sees fit from among its members.

5. TERM OF OFFICE OF MEMBERS

Subject to Article 20, with the exception of the NGO Member, the members shall hold officefor as long as they occupy the position in virtue of which they qualify to be a member of theGRC.

Subject to Article 20, the NGO Member shall hold office until replaced in writing by theSecretary of the Roads and Buildings Department.

6. TERRITORIAL JU RISDICTIbN

The territorial jurisdiction of the GRC shall be the District.

7. FUNCTIONS

The functions of the GRC are:

(1) to publicize within the District the list of EPs and the functioning of the grievanceredressal procedure established hereby;

(2) to evaluate grievances from EPs concerning the application to them of theEntitlement Policy, including decisions of the MVAC;

(3) to recommend to the EMU or the PIU, as the case may be, solutions to suchgrievances from EPs;

(4) to communicate the decisions of the EMU or the PIU, as the case may be, toClaimants and, where applicable, to the MVAC;

(5) to hear appeals from persons, households or groups who, not being EPs, believe thatthey are qualified to be recognised as EPs, to recommend to the EMU whether suchpersons should be recognised as EPs, and to communicate the decision of the EMU inthat regard to the Claimants;

(6) to ensure that all notices, forms, and other documentation required by Claimants aremade available Gujarati.

8. ELIGIBILITY TO FILE A GRIEVANCE

In the case of an individual, the grievance must be filed by said individual in person. In thecase of a household, the grievance may be filed only by the head of that household. In thecase of a group, the grievance may be filed only by the head of the village panchayat. TheGRC may request proof that a person filling a claim on behalf of a household or group isrecognised by the members of said household or group as being its head.

9. PUBLICIZING OF PROCEDURE AND GRC

Upon its establishment, the GRC shall: (1) cause to be distributed to each EP a noticesubstantially in the form appended hereto as Notice 1; (2) cause to be displayed in the officeof the EMU in the District, the office of the Zilla Panchayat, the office of each Gram Panchayatin the District, and at such other public places in the District as it determines the list of EPswithin the District prepared by the EMU, accompanied by a notice substantially in the form

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Volume 118 Instdulonal Arrangements and Legat Framework

appended hereto as Notice 2; (3) take such other steps as it considers useful to publicize theexistence and operation of the GRC and the grievance redressal procedure.

10. PROCEDURE FOR HEARING COMPLAINTS

10.1 Grievances from Entitled Persons

10.1.1 The Claimant shall present himself at the District office of the EMU and shallcomplete Part One of Form 1.

10.1.2 The representative of the EMU shall thereupon give a copy of Form 2, to the Claimantand shall sign the attestation at Part Two of Form 1.

10.1.3 If the Claimant indicated on Form 1 that he requests the assistance of the NGOMember to complete Form 2, the representative of the EMU shall deliver a copy ofsaid Form 1 to the NGO Member and shall sign the attestation at Part Three of saidForm 1.

10.1.4 Upon receipt of said Form 1, the NGO Member shall meet with the Claimant and shallassist him to complete Part One of Form 2. The NGO Member shall then sign theattestation at Part Four of Form 2. The NGO Member shall give one signed copy ofForm 2 to the Claimant and shall keep one signed copy.

10.1.5 Claimants who do not request the assistance of the NGO Member to complete Form 2shall complete and sign Part One of Form 2 and shall return it to the District office ofthe EMU. Upon receipt thereof, the representative of the EMU shall sign theattestation at Part Two of Form 2 and shall give a signed copy of said Form 2 to theClaimant in person.

10.1.6 Upon receipt of the completed Form 2 from the Claimant, the representative of theEMU shall mail or give in person a copy thereof to the NGO Member and shall signthe attestation at Part Three thereof.

10.1.7 Upon receipt of a completed Form 2 from the representative of the EMU, the NGOMember shall check whether Part One has been correctly filled out. If it has not beencorrectly filled out, the NGO Member shall, as soon as possible after receipt thereof,meet with the Claimant and shall ensure that any errors or omissions are rectified.The NGO Member shall then sign the attestation at Part Four-of Form 2. The NGOMember shall give a signed copy of Form 2 to the Claimant and shall keep a signedcopy.

10.1.8 The NGO Member shall number the Applications for Redressal of Grievance in thechronological order in which they are correctly filled out by inserting the appropriatenumber at Line 9 of Form 2.

10.1.9 The NGO Member shall check that the information in Part One of Form 2 is correctand shall draft a resolution reflecting his recommended redressal of the grievance,which he shall insert at Line 10 of Form 2. He shall thereupon sign Part Five of Form2 and shall forward Form 2 to the Secretary/Convenor of the GRC.

10.1.10 The Secretary/Convenor shall aidd a discussion of the said grievance and theredressal recommended by the NGO Member to the agenda of the next meeting ofthe GRC. If, however, the next meeting of the GRC is to be held within six (6) days ofthe receipt by the Secretary/Convenor of the relevant Form 2, theSecretary/Convenor shall add the discussioh to the agenda of the next followingmeeting of the GRC.

10.1.11 The NGO Member shall advise the Claimant of the time and place at which the GRCwill meet to consider his grievance and shall inform the Claimant of his right to bepresent and to make representations at that part of said meeting at which his

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Volume IIB Instdulional Arrangements and Legal Framework

grievance is considered. To that effect, the Secretary/Convenor shall complete PartOne of Form 3, and the NGO Member shall personally deliver it to the Claimant atleast three (3) days prior to the date of the meeting at which the said grievance andrecommended redressal are scheduled to be considered by the GRC. The Claimantshall sign the acknowledgment of receipt at Part Two of said Form 3.

10.1.12 If the Claimant is not present at the meeting at which his grievance is to beconsidered, consideration of his grievance shall be deferred to the next followingmeeting of the GRC. If the Claimant is not present at said next following meeting ofthe GRC, he shall forfeit his right to make representations with respect to hisgrievance, and the GRC shall be free consider his grievance at its next followingmeeting.

10.1.13 The GRC shall agree upon a recommendation to the EMU respecting the dispositionof each grievance using the voting procedure established at Articles 13 and 14hereof. Said recommendation shall be recorded at Part Six of Form 2, which shall besigned by the DM.

10.1.14 The NGO Member shall personally deliver said Form to the District office of the EMUas soon as possible after the date of the recommendation and shall cause therepresentative of the EMU to sign the acknowledgement of receipt at Part Seventhereof.

10.1.15 If, within seven (7) days of the date indicated in the acknowledgement of receipt atPart Seven of Form 2, the EMU accepts the recommendation of the GRC, it shall soinform the GRC by completing Part Eight of Form 2 and submitting it to the GRC.

10.1.16 The GRC shall so inform the Claimant by completing Form 4. The NGO Member shallpersonally deliver a copy of said Form 4 to the Claimant as soon as possible and shallcause the Claimant to sign the acknowledgement of receipt thereon. TheSecretary/Convenor shall send a copy of said Form 4 signed by the Claimant to theEMU for execution of said decision. In the case of a grievance concerning a decisionof the MVAC, the Secretary/Convenor shall also send a copy of said Form 4 signed bythe Claimant to the MVAC for purposes of information.

10.1.17 If, within seven (7) days of the date indicated on the acknowledgement of receipt atPart Seven of Form 2, the EMU so directs by completing and signing Part Eight ofForm 2, the GRC shall, forthwith upon receipt of the EMU's decision, request the PIUto dispose of the grievance by completing Part Nine of Form 2. The NGO Membershall personally deliver said Form 2 to the PIU and shall cause the representative ofthe PIU to sign the acknowledgement of receipt at Part Nine thereof.

10.1.18 If, upon the expiration of seven (7) days following the date indicated on theacknowledgement of receipt at Part Seven of Form 2, the EMU has notcommunicated its decision to the GRC by completing Part Eight of Form 2, the EMUshall be deemed to have endorsed the recommendation of the GRC. The GRC shall soinform the Claimant by completing Form 4. The NGO Member shall personally delivera copy of said Form 4 to the Claimant as soon as possible after the date of thedecision and shall cause the Claimant to sign the acknowledgement of receiptthereon. The Secretary/Convenor shall send a copy of said Form 4 signed by theClaimant to the EMU for execution of said decision. In the case of a grievanceconcerning a decision of the MVAC, a copy of said Form 4 shall be sent to the MVACfor purposes of information.

10.1.19 If, within fifteen (15) days of the date indicated in the acknowledgement of receipt atPart Nine of Form 2, the PIU communicates its decision to the GRC by completingPart Ten of Form 2, the GRC shall so inform the Claimant by completing Form 4. TheNGO Member shall personally deliver a copy of said Form 4 to the Claimant and shall

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Volume It8 lnstllulhonal Arrangements and Legal Framework

cause the Claimant to sign the acknowledgment of receipt thereon. TheSecretary/Convenor shall send a copy of said Form 4 signed by the Claimant to theEMU for execution of said decision. In the case of a grievance concerning a decisionof the MVAC, a copy of said Form 4 shall be sent to the MVAC for purposes ofinformation.

10.1.20 If, upon the expiration of fifteen (15) days of the date indicated in theacknowledgement of receipt at Part Nine of Form 2, the PIU has not communicatedits decision to the GRC, the PIU shall be deemed to have endorsed therecommendation of the GRC. The GRC shall so inform the Claimant by completingForm 4. The NGO Member shall personally deliver a copy of said Form 4 to theClaimant as soon as possible after the date of the decision and shall cause theClaimant to sign the acknowledgment of receipt thereon. The Secretary/Convenorshall send a copy of said Form 4 signed by the Claimant to the EMU for execution ofsaid decision. In the case of a grievance concerning a decision of the MVAC, theSecretary/Convenor shall also send a copy of said Form 4 signed by the Claimant tothe MVAC for purposes of information.

10.2 Grievances from Other Persons

10.2.1 A person whose name does not appear on the list of EPs displayed pursuant to Article9.1 and who believes that he should be recognised as an EP shall present himself atthe District office of the EMU and shall complete Part One of Form 5.

10.2.2 The representative of the EMU shall thereupon give a copy of Form 6 to the Claimantand shall sign the attestation at Part Two of Form 5.

10.2.3 If the Claimant indicated on Form 5 that he requests the assistance of the NGOMember to complete Form 6, the representative of the EMU shall, at the earliestpossible opportunity, deliver a copy of said Form 5 to the NGO Member and shall signthe attestation at Part Three of said Form 5.

10.2.4 As soon as possible after receipt of said Form 5, the NGO Member shall meet with theClaimant and shall assist him to complete Part One of Form 6. The NGO Member shallgive one signed copy of Form 6 to the Claimant and shall keep one signed copy.

10.2.5 Claimants who do not request the assistance of the NGO Member to complete Form 6shall complete and sign Part One of Form 6 and shall return it to the District office ofthe EMU. Upon receipt thereof, the representative of the EMU shall sign theattestation at Part Two of Form 6 and shall give a signed copy of said Form 6 to theClaimant in person.

10.2.6 Upon receipt of the completed Form 6 from the Claimant, the representative of theEMU shall mail or give in person a copy thereof to the NGO Member and shall signthe attestation at Part Three of Form 6.

10.2.7 As soon as possible after receipt of a completed Form 6 from the representative ofthe EMU, the NGO Member shall check whether Part One has been correctly filledout. If it has not been corred:ly filled out, the NGO Member shall, at the earliestpossible moment following receipt thereof, meet with the Claimant and shall ensurethat any errors or omissions are rectified. The NGO Member shall then sign theattestation at Part Four of Form 6. The NGO Member shall give a signed copy of Form6 to the Claimant and shall keep a signed copy.

10.2.8 The NGO Member shall number the Applications for Recognition as an Entitled Personin the chronological order in which they are correctly filled out by inserting theappropriate number in Part Five of Form 6.

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Volu,me (1B rnstdlutonal Arrangements and Legai Framework

10.2.9 The NGO Member shall check that the information in Part One of Form 6 is correctand shall draft a resolution accepting or rejecting the Claimant's application to berecognised as an EP. If the NGO Member recommends that the Claimant's applicationbe accepted, he shall indicate the category of the Entitlement Policy to which, in hisopinion, the Claimant should be assigned. The NGO Member shall thereupon signPart Five of Form 6 and shall forward Form 6 to the Secretary/ Convenor of the GRC.

10.2.10 The Secretary/Convenor shall add a discussion of said application and the redressalrecommended by the NGO Member to the agenda of the next meeting of the GRC. If,however, the next meeting of the GRC is to be held within six (6) days of the receiptby the Secretary/Convenor of the relevant Form 6, the Secretary/Convenor shall addthe discussion to the agenda of the next following meeting of the GRC.

10.2.11 The NGO Member shall advise the Claimant of the time and place at which the GRCwill meet to consider his application and shall inform the Claimant of his right to bepresent and to make representations at that part of said meeting at which hisapplication is considered. To that effect, the Secretary/Convenor shall complete Form3, and the NGO Member shall personally deliver it to the Claimant at least three (3)days prior to the date of the meeting at which' the said application and recommendedredressal are scheduled to be considered by the GRC. The Claimant shall sign theacknowledgement of receipt on said Form 3.

10.2.12 If the Claimant is not present at the meeting at which his application is to beconsidered, consideration of his application shall be deferred to the next followingmeeting of the GRC. If the Claimant is not present at said next following meeting ofthe GRC, he shall forfeit his right to make representatfios with respect to hisapplication, and the GRC shall be free consider his application at its next followingmeeting.

10.2.13 The GRC shall agree upon a recommendation to the EMU respecting the dispositionof each application using the voting procedure established at Articles 13 and 14hereof. Said recommendation shall be recorded at Part Six of Form 6, which shall besigned by the DM.

10.2.14 The NGO Member shall personally deliver said Form 6 to the District office of theEMU as soon as possible-after the date of the recommendation and shall cause therepresentative of the EMU to sign the acknowledgement of receipt at Part Seventhereof.

10.2.15 If, within seven (7) days of the date indicated in the acknowledgement of receipt atPart Seven of Form 6, the EMU accepts the recommendation of the GRC, it shall soinform the GRC by completing Part Eight of Form 6 and submitting it to the GRC.

10.2.16 The GRC shall so inform the Claimant by completing Form 4. The NGO Member shallpersonally deliver a copy of said Form 4 to the Claimant as soon as possible after thedate of the decision and shall cause the Claimant to sign the acknowledgement ofreceipt thereon. The Secretary/Convenor shall send a copy of said Form 4 signed bythe Claimant to the EMU for execution of said decision.

10.2.17 If, within seven (7) days of the date indicated on the acknowledgement of receipt atPart Seven of Form 6, the EMU so directs by completing and signing Part Eight ofForm 6, the GRC shall immediately request the PIU to dispose of the application bycompleting Part Nine of Form 6. The NGO Member shall personally deliver said Form6 to the PIU and shall cause the representative of the PIU to sign theacknowledgement of receipt at Part Nine thereof.

10.2.18 If, upon the expiration of seven (7) days following the date indicated on theacknowledgement of receipt at Part Seven of Form 6, the EMU has not

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Volume 11 Inshlutonal Arrangements and Legal Framework

communicated its decision to the GRC by completing Part Eight of Form 6, the EMUshall be deemed to have endorsed the recommendation of the GRC. The GRC shall soinform the Claimant by completing Form 4. The NGO Member shall personally delivera copy of said Form 4 to the Claimant as soon as possible after the date of thedecision and shall cause the Claimant to sign the acknowledgement of receiptthereon. The Secretary/Convenor shall send a copy of said Form 4 signed by theClaimant to the EMU for execution of said decision.

10.2.19 If, within fifteen (15) days of the date indicated in the acknowledgement of receipt atPart Nine of Form 6, the PIU communicates its decision to the GRC by completingPart Ten of Form 6, the GRC shall so inform the Claimant by completing Form 4. TheNGO Member shall personally deliver a copy of said Form 4 to the Claimant and shallcause the Claimant to sign the acknowledgment of receipt thereon. TheSecretary/Convenor shall send a copy of said Form 4 signed by the Claimant to theEMU for execution of said decision.

10.2.20 If, upon the expiration of fifteen (15) days of the date indicated in theacknowledgement of receipt at FPart Nine of Form 6, the PIU has not communicatedits decision to the GRC, the PIU shall be deemed to have endorsed therecommendation of the GRC. The GRC shall so inform the Claimant by completingForm 4. The NGO Member shall personally deliver a copy of said Form 4 to theClaimant as soon as possible after the date of the decision and shall cause theClaimant to sign the acknowledgment of receipt thereon: The Secretary/Convenorshall send a copy of said Form 4 signed by the Claimant to the EMU for execution ofsaid decision.

11. PLACE OF MEETINGS

The GRC shall hold its meetings at the District office of the EMU or at such other location inthe District as the members may from time to time agree on.

12. FREQUENCY OF.MEETINGS

The GRC shall meet as often as is reasonably required to process grievances and applications,but in any case no less than once monthly.

13. DECISION MAKING

The GRC shall take decisions by majority vote. Each member shall have one vote, subject toArticle 14. In the case of a tied vote, the NGO Member shall have a second and deciding vote.

14. RIGHT OF VOTE

With the exception of the Project Manager of the Scheduled Tribes Development Corporation,each member shall be entitled to vote on every matter that is put to a vote. The ProjectManager of the Scheduled Tribes Development Corporation shall be entitled to vote only uponmatters of general interest and upon matters relating to a grievance of an application from amember of a Scheduled Tribe.

15. QUORUM

The quorum for meetings of the GRC is four members, or their proxies, physically present,who must include the EESRP and the NGO Member.

16. PROXIES

Any member, except the NGO Member, may be represented by a proxy designated in writing,who shall have all the rights and responsibilities of the member whom he is replacing.

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Volume 118 lnstduteonal Arrangements snd Legal Framework

17. ABSENCE OF QUORUM

In the event that a quorum is not present at a duly convened meeting one (1) hour after thescheduled start of such meeting, the meeting shall be adjourned to the following day. Thequorum for such adjourned meeting shall be the EESRP and the NGO Member.

18. PREPARATION OF MINUTES

The Secretary/Convenor shall prepare minutes of each meeting of the GRC, which shall bedistributed in a timely manner to all of the members of the GRC. The minutes shall reviewedat the next following meeting of the GRC and shall, after any necessary modifications havebeen made, be approved by resolution.

19. DATES AND NOTICE OF MEETINGS

At its first meeting, the GRC shall fix one day of each month as the date of its regularmeeting, and no notice shall be required for such meeting. Additional meetings shall be

convoked by the Secretary/Convenor, who shall inform each member by telephone or inwriting at least three (3) days in advance of such meeting, indicating the time, place andpurpose thereof.

20. REPEATED ABSENCES

Any member who is not present in person or by proxy at three (3) consecutive meetingswithout valid cause shall cease to be a member. The Secretary/Convenor shall ask thehierarchical superior of such person or, in the case of the NGO Member, the Secretary of theRoads and Buildings Department to appoint a replacement of equivalent rank in writing withinfourteen (14) days, failing which the remaining members shall appoint a replacement havinga similar background and expertise, subject, except in the case of the NGO Member, to theapproval of the PIU.

21. REPORTS

The GRC shall prepare monthly reports and a final report. The monthly reports shall containat a minimum the following information for the month in question: the names of themembers; the dates and places of meetings; the names of the members attending eachmeeting; the disposition of each grievance or application, comparing the grievance orapplication, the recommendation of the GRC, and the decision of the EMU or the PIU as thecase may be. The final report shall be a compilation of the monthly reports and shall, inaddition, contain the members' evaluation of the GRC and their recommendation for changesto any future grievance redressal procedure.

22. DISTRIBUTION AND POSTING OF REPORTS

The monthly and final reports shall be sent to the EMU and PIU and to any person whorequests a copy thereof. The NGO Member shall ensure that copies of the monthly and finalreports are posted in the District office of the EMU, the office of the Zilla Panchayat and theoffice of any Gram Panchayat within the District.

23. LANGUAGES OF OPERATION

The spoken languages of the GRC shall be Hindi, Gujarati, and English. Where necessary, theSecretary/Convenor shall enisure that interpretation services are available at the meetings ofthe GRC. All forms used by the GRC and its monthly and final reports shall be made availablein Hindi, Gujarati, Urdu, and English.

24. OTHER RULES OF PROCEDURE

The GRC may adopt such other rules of procedure as it considers necessary, provided thatthey are not inconsistent with the provisions hereof.

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Volume 118 Institutional Arrangements and Legal Framework

25. CONFLICT OF INTEREST

25.1 A member shall disclose to the GRC any pecuniary interest that he has in any matterbefore the GRC and shall not take part in the deliberations of the GRC on that matterand shall not vote on that matter.

25.2 Where a disagreement arises as to whether a member has a pecuniary interest in amatter before the GRC, the members shall decide by vote whether the member hassuch an interest, and the member in question may not take part in that vote.

25.3 Where the members decide that a member has a pecuniary interest in a matterbefore the GRC, the member in question shall not take part in the deliberations of theGRC on that matter or vote on that matter.

25.4 Where the chairperson is prohibited from taking part in the deliberations, he maynevertheless continue to act as chairperson.

26. CONFIDENTIALITY

The GRC in the course of its duties may come into knowledge of confidential information notnormally divulged to members of the public. Upon assuming- his duty as a member, and as acondition of assuming such office, any member who has not already done so in his capacityas an employees of the Government of Gujarat shall swear that he shall keep confidential anyconfidential information divulged to him in his capacity as a member.

27. REMUNERATION

Save for the NGO Member, the members of the GRC shall not be remunerated. The NGOMember shall receive the remuneration determined by the EMU.

28. MISCELLANEOUS

In the case of a grievance concerning a decision by the MVAC, the GRC may, at its soleoption, request the MVAC to reassess a market value that it has already determined. In suchcase, the GRC shall complete Form 7.

A..R' c 9

NOTICE I

GUJARAT STATE HIGHWAYS PROJECT

[DISTRICT NAME] GRIEVANCE REDRESSAL COMMITTEE

NOTICE TO ENTITLED PERSONS

If you are dissatisfied with the way in which the Entitlement Policy for the Gujarat StateHighways Project is being applied to you, you may lodge a complaint with the [District]Grievance Redressal Committee.

In order to lodge a complaint, you must complete Form 1 "Application for Redressal ofGrievance". Form 1 can be obtained from the office of the Environmental Management Unitof the Roads and Buildings Department, at:

[Insert address]

If you need assistance to complete Form 1, it will be provided by the NGO Member of the[District] Grievance Redressal Committee.

Date Chairman[District] Grievance Redressal Committee

NOTICE 2

GUJARAT STATE HIGHWAYS PROJECT[DISTRICT] GRIEVANCE REDRESSAL COMMITTEE

LIST OF ELIGIBLE PERSONS FOR THE DISTRICT OF

The attached list shows the names of all the persons in Corridor [name and number]who have been determined to be eligible for benefits under the Entitlement Policy forthe Gujarat State Highways Project endorsed by the Government of Gujarat in April1998.

If your name does not appear on that list and if you believe that you are entitled tobenefits under the Entitlement Policy, you complete from 6 "Application for Recognitionas Entitled person". Form 6 can be obtained from the office of the EnvironmentalManagement Unit of the Roads and Buildings Department located, at:

[Address of EMU Office]

If you need assistance to complete Form 6, it will be provided by the NGO Member ofthe [District] Grievance Redressal Committee.

Completed applications must be received within twenty (20) days of the date of thisNotice.

Date Executive Engineer, [name] District[for] Environmental Management Unit

FORM 1


[DISTRICT] GRIEVANCE REDRESSAL COMMITTEE

REQUEST FOR FORM 2 "APPLICATION FOR REDRESSAL OF GRIEVANCE"

PART ONE

I, ,__________________________ domiciled and residing at

[Name of Applicant]

ID No.

[Full Address of Applicant]

hereby request a copy of Form 2 "Application for Redressal of Grievance".

I hereby request the assistance of the NGO Member to complete Form 2: 0I Yes E No.

[Date] [Signature]

PART TWO

1, ___________________________ ,hereby certify that I gave a copy of Form 2 to the above

[Name of EMU Official]

applicant

[Date] [Signature]

I=@

PART THREE

I, ,hereby certify that

(Name of EMU Official]

I gave a copy of the present Form to the NGO Member of the [District] GRC in person/by mail

(circle applicable entry 3 on [ Date ]_ at ( Time ]

[Date] [Signature]

FORM 2


[DISTRICT] GRIEVANCE REDRESSAL COMMITTEEAPPLICATION FOR REbRESSAL OF GRIEVANCE

(Note: When Part One has been completed and signed by the Claimant without the assistance of the NGO Member. it must be

returned to [ADDRESS OF ZILLA PANCHAYAT1

PART ONE

(1) Claimant Name: (2) ID No.

(3) Claimant Address:

(4) Corridor No.: (5) Corridor Name:

(6) Link No.: (7) Chainage:

(8) Statement of Grievance:

(Use additional pages of necessary)

[Date] [Signature of Claimant]

PART TWO

If . ^ acknowledge receipt of this Form.

lName of EMU-Representative]

[Date] {Signatureof EMU Representative]

PART THREE

I, , certify that I gave in person/by mail [circle applicable description] a

[Name of EMU Official]

copy of this Form to the NGO Member on at

[Date] [Time]

[Date] [Signature of EMU Representative]

PART FOUR

I, , certify that I assisted the Claimant to complete the[Name of NGO Memberl

present Form on[Date ]

[Date] [Signature of-NGO Member]

PART FIVE

(9) Grievance Number: G+ [District Name] + [Corridor Number]

+ [EP ID No.] + [Chronological Number]

(10) Recommendation of NGO Member.

I, _ hereby recommend the following redressal of the[Name of NGO Memberl

grievance described in Part One hereof:

(Use additional pages if necessary)

[Date] [Signature of NGO Member]

2

PART SIX

(11) Recommendation of GRC

I, , certify that the following recommendation was[Name of District Collector]

adopted by the [District] GRC at its meeting of _[Date ]


[Date] [Signature of District Collector]

PART SEVEN

I, . . acknowledge receipt of this Form.[Name of EMU ReDresentativel


PART EIGHT

(12) Decision of EMU

I, , certify that the following decision was taken by the[Name of EMU Reoresentativel

EMU at its meeting of[ Date]

(Use additional pages if necessaty

[Date] [Signature of Co-ordinator]

3

PART NINE

WHEREAS, as appears from Part Six hereof the [District] GRC has made a recommendation for the

disposition of the grievance described in Part One hereof;

WHEREAS, as appears from Part Eight hereof, the EMU has determined that said grievance should be

disposed of by the PIU.

RESOLVED THAT the PIU be, and it is hereby, requested to make a decision respecting said grievance

within fifteen (15) days of receipt of these presents and to communicate its decision to the GRC by

completing and returning Part Ten hereof.


I, acknowledge receipt ot the present Form.[Name of PIU Reoresentativel

[Date] [Signature of PIU Representative]

PART TEN

(13) Decision of PIU

I, , certify that the following decision was taken by theIName of PIU Reoresentativel

PIU at its meeting of[Date ]

(Use additional pages if necessaty)

[Date] [Signature of Project Director]

4

FORM 3


[DISTRICT] GRIEVANCIE REDRESSAL COMMITTEE

NOTICE TO CLAIMANT OF HEARING

(1) Claimant Name:


(3) Claimant ID (if (4) Grievance No.:applicable):

The [District] Grievance Redressal Committee will hold-a meeting onr nqtp 1

at in , at which the( Time 1 [ Precise Location 1

grievance/ application that you lodged will be considered. You have the right to participate in that part

of the meeting at which your grievance/application will be considered. You may be asked to answer

questions about your grievance/application. If you are not present at the meeting, discussion of your

grievance/application will be postponed to the next following meeting of the [District] Grievance

Redressal Committee. If you are not present at that meeting, your grievance/application will be

considered in your absence. You may learn of the time and place of the next following meeting of the

[District] Grievance Redressal Committee by contacting the office of the Environmental Management

Unit of the Roads and Buildings Department at:

Address

Telephone

[Date] [Executive Engineer]

I, , acknowledge receipt of this Notice.[Claimant Namel


RM14 1

FORM 4



NOTICE TO CLAIMANT OF DECISION

(1) Claimant Name: (2) ID No.


(4) Corridor No.: (5) Corridor Name:

(6) Link No.: (7) Chainage:

(8) Grievance No./Application No.:

(9) Decision:

(Use more pages if necessary)


*I,I ,_______________________________________ hereby acknowledge receipt of this Notice.

[Name of Claimant]

I understanid that I mav contest the above decision betore the Courts.


0~~~010~~~~

0n

0 ~ B.

FORM 5


[DISTRICT] GRIEVANCE REDRESSAL COMMIrTEE

REQUEST FOR FORM 7"APPLICATION FOR RECOGNITION AS ENTITIED PERSON"

PART ONE

I, ,__________________________________ domiciled and residing at_

[Name of Applicant] [Full Address of Aoolicantl

hereby request a copy of Form 6 "Application for Recognition as Entitled Person".

I hereby request the assistance of the NGO Member to complete Form 6: [ Yes O No.

[Date] [Signature]

PART TWO

I, ________________________________, hereby certify that I gave a copy of Form 6 to the above[Name of EMU Officiall

applicant.

[Date] [Signature]

PART THREE

I, , hereby certify that I gave a copy of the present Form to the NGO

IName of EMU Officiall

Member of the [District] GRC in person/by mail.

[circle applicable entry] on [ Date ] at [ Time ] _

(Date] [Signature]

FORM 6

GUJARAT STATE HIGHWAYS PROJECT[DISTRICT] GRIEVANCE REDRESSAL COMMITTEE

APPLICATION FOR RECOGNITION AS ENTITLED PERSON

PART ONE

I, ,________________________. domiciled and residing at

[Name of Applicant]

[Full Address of Applicant]

hereby apply for recognition as Entitled Person pursuant to the Gujarat State Highways ProjectEntitlement Policy.

I believe that I should be recognised as an Entitled Person for the following reasons:

(Use additional pages if necessary Approved copies of birth certifcates or other supporting document.)


PART TWO

I, . acknowledge receipt of this Form.[Name ofEMUJ. ReOfesentativel


PART THREE

1, , certify that I gave in person / by mail [Circle applicable description] a

(Name of Zilla Panchayat Official]

copy of this Form to the NGO Member dn at

[Date] lTime]

[Date] [Signature of EMU Official]

PART FOUR

1, . certify that I assisted the Claimant to complete the[Name of NGO Memberl

present Form on ._.[Date]


PART FIVE

Application Number: RE+[District Name] + [Corridor Number]+ [Chronological Number]

I, , hereby recommend:[Name of NGO Memberl

That the Claimant not be recognised as an Entitled Person.

That the Claimant be recognised as an Entitled Person falling into the following category

Explanation:



PART SIX

2

1, , certify that the following decision was taken by the

[Name of District Collectorl

[District] GRC at its meeting of

[ Date]



PART SEVEN

I, ________________________________________, acknowledge receipt of this Form.[Name of EMU ReDresentativel


PART EIGHT

I, , certify that the followin( decision was taken by the[Name of EMU ReDresentativel

EMU at its meeting of

[Date ]

(Date] [Signature of Co-ordinator]

PART NINE

WHEREAS, as appears from Part Six hereof the [District] GRC has made a recommendation respecting

the application for recognition as an Entitled Person described in Part One hereof;

N ASI .~~-vo 3

WHEREAS, as appears from Part Eight hereof, the EMU has determined that a decision on said

application should be made by the PIU.

RESOLVED THAT the PIU be, and it is hereby, requested to make a decision respecting said application

within fifteen (15) days of receipt of these presents and to communicate its decision to the [District]

GRC by completing and returning Part Ten hereof.


I, acknowledge receipt of the present Form.[Name of PIU ReDresentativel

[Date] [Signature of PIU Representative]

PART TEN

I, . certify that the following decision was taken by the[Name of PIU ReDresentativel

PIU at its meeting of[ Date ]


[Date] [Signature of Project Director]

lmo 4

FORM 7



APPLICATION FOR RE-ASSESSMENT OF MARKET VALUE

WHEREAS I has contested the assessment of the market value of[Name of Claimant]

made by the [District] Market Value Assessment Committee

[Date]

on

Resolved that the [District] Market Value Assessment Committee be, and it is hereby requested to re-

assess said market value and to inform the [District] Grievance Redressal Committee of the results of such

re-assessment.

[Date] (Signature of District Collector]

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Volume JIB: Inst1ftnal A7aVemenls and Legal Framew,* for GSHIP

APPENDIX D

MARKET VALUE ASSESSMENT PROCEDURE

We recommend that the Market Value Assessment Procedure proposed herein be field-testedby the EMU, and that any required modifications be made before it is implemented on a largescale.

1. DEFINITIONS

Unless the context clearly requires otherwise, the following words and expressions mean ordesignate.

* "Act " or "LAA" means The Land Acquisition Act, 1894, as amended by The LandAcquisition (Amendment) Act, 1984:

* "District" means the District of ;

* "Entitled Person" or "EP" means an individual, household or group recognised by the EMUas being entitled to benefits pursuant to the Gujarat State Highways Project EntitlementPolicy endorsed by the Government of Gujarat in April 1998 by [specify instrument];

* "Environmental Management Unit" or "EMU" means the body created by [specifyinstrument];

* "Grievance Redressal Committee: or "GRC" means the [District] Grievance RedressalCommittee created by [specify instrument];

* "Land" has the definition given to it by the Act namely: "Land" includes beneflts to ariseout of land and things attached to the earth or permanently fastened to anythingattached to the earth.

* "Project" means the Gujarat State Highways Project.

* "Project Implementation Unit" or "PIU" means the body created by [specify instrument].

2. ESTABUSHMENT

There is hereby constituted a committee bearing the name of [District] Market ValueAssessment Committee (hereinafter referred to as the "MVAC")

3. COMPOSITION

The following persons shall be members of the MVAC:

* The District Collector or his designated representative (hereinafter referred to as the',DM");

* The Executive Engineer, State Road Project, (hereinafter referred to as the "EESRP");

* The Land Acquisition Officer of the Department of Revenue (hereinafter referred to as the"LAO");

* The District Agricultural Officer (hereinafter referred to as the "DAO");

* A representative of a NGO familiar with the District, or an eminent Engineer familiar with

the District and licensed to practice therein as a property value-assessor, or an eminent

Value-Assessor familiar with tne Distiric and licensed to practice therein appointed by the

PIU upon the recommendation of the EMU (hereinafter referred to as the "Independent

Member" or the "IM").

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4. TERM OF OFFICE

The members other than the IM shall serve as members for as long they occupy the office invirtue of which they qualify to be members of the MVAC.

The IM shall serve as a member until replaced in writing by the PIU on the recommendationof the EMU.

5. REMUNERATION OF MEMBERS

The members other than the IM shall not receive any supplementary remuneration for theirservice on the MVAC. The IM shall receive the remuneration fixed by the PIU.

6. FUNCTIONS

The functions of the MVAC are:

(1) to explain to EPs both individually and collectively the procedures for assessing themarket value of Land that is to be acquired pursuant to the LAA for the purposes of theProject;

(2) in consultation with its owners and other knowledgeable persons, to establish the.market value of Land that is to be acquired pursuant to the LAA for the purposes of theProject, and to recommend same to the EMU;

(3) to submit monthly progress reports and a final report to the EMU;

(4) at the request of the GRC, to reassess the market value of Land.

7. TERRITORIAL JURISDICTION

The MVAC shall have jurisdiction within the District.

8. OFFICERS

The DM shall be the Chairman of the MVAC, and the EESRP shall be its Secretary/Convenor.The MVAC may appoint such other officers as it sees fit from among its members.

9. START OF OPERATION

Notwithstanding its date of establishment, the MVAC shall not start to operate until theNotification contemplated by Section 4 of the LAA has been published.

10. OPERATING PROCEDURE

10.1 Forthwith upon the start of operation of the MVAC, the EMU shall submit to it drawingsshowing the Land that is to be acquired pursuant to the LAA for the purposes of theProject, together with such other relevant information as may be in the possession ofthe EMU;

10.2 Forthwith upon receipt of the drawings and other information referred to in Article10.1, the MVAC shall hold a meeting at a time and place within the District determinedby the DM. The purposes of that meeting shall be: (1) to decide upon the methodologyto be employed to measure the Land and any structures thereon, to record otherimmoveables, such as trees and wells, and to determine the market value of the land;and (2) to fix the date, time and place of a meeting with the concerned EPs to explainthe market value assessment procedure to them.

The MVAC shall also issue a letter giving the occupier of each building or enclosed courtor garden attached to a dwelling house that is to be acquired pursuant to the LAA forthe purposes of the Project, at least eight days' notice of the MVAC's intention to entertherein for the purpose of assessing its market value, and giving said persons at leastseven days' notice of the date, time and place of the meeting referred to at (2) above.

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10.3 The MVAC shall hold the meeting contemplated in Article 10.2 on the date and at thetime and place indicated in the letter referred to in Article 10.2. It shall record thename and address of each person present thereof and shall prepare a summary of itsproceedings.

10.4 The MVAC shall visit each piece of Land that is to be acquired pursuant to the LAA forthe purposes of the Project and shall take such measurements and collect such otherinformation as it considers necessary to establish the market value thereof.

10.5 Within a reasonable delay following its first meeting, the MVAC shall hold its secondmeeting on the date and at the time and place within the District determined by theDM. The purpose of that meeting shall be to review the progress of the market valueassessment procedure and, if necessary, to make adjustments thereto, and to considersuch other matters as the members consider relevant.

10.6 Within a reasonable delay following its second meeting, the MVAC shall hold its thirdmeeting on the date and at the time and place within the District determined by theDM. The purpose of that meeting shall be to fix the market value of each piece of Landthat is to be acquired pursuant to the LAA for the purposes of the Project. The MVAC'sassessment shall be submitted to the EMU in the form of a recommendation.

10.7 Forthwith upon being requested to do so by the GRC using its Form 7, the MVAC shallre-assess the market value of any piece of Land, or part thereof, that is to be acquiredpursuant to the LAA for the purposes of the Project. If necessary, it shall re-measurethe land and shall confirm its characteristics and those of any immoveable situated onit. The MVAC shall submit its re-assessment to the GRC and shall send a copy thereofto the EMU.

11. PROGRESS AND FINAL REPORTS

After each of the meetings referred to in Article 10, the EESRP shall submit a writtenprogress report to the EMU.

12. DELAY

The MVAC shall make its best efforts to complete its mandate within one hundred(100) days of its start of operation so as to ensure that construction can begin in atimely manner. If at any time the MVAC has reason to believe that it will not be ableto accomplish the tasks contemplated at Articles 10.2 to 10.7 within approximatelyone hundred (100) days, it shall immediately inform the EMU, giving the reason forsuch apprehended delay.

13. QUORUM

The quorum for meetings of the MVAC is three (3) members or, where permitted,their proxies physically present, who must include the EESRP and the IM.

14. PROXIES

All members except the IM may be represented by a proxy, who must be designatedin writing. A proxy has all the rights and responsibilities of the member whom hereplaces.

15. DECISION-MAKING

All decisions shall be made by majority vote. The members present at a meeting shalleach have one vote. A member who abstains from voting on a motion shall bedeemed to have voted in favour of that motion. In the case of a tied vote, the IMshall have a second and deciding vote.

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16. CONFLICTS OF INTEREST

16.1 A member shall disclose to the MVAC any pecuniary interest that he has in anymatter before the MVAC and shall not take part in any deliberations of the MVAC onthat matter and shall not vote on that matter.

16.2 Where a disagreement arises as to whether a member has a pecuniary interest in amatter before the MVAC, the members shall decide by vote whether the member hassuch an interest, and the member in question may not take part in that vote.

16.3 Where the members decide that a member has a pecuniary interest in a matterbefore the MVAC, the member in question shall not take part in the deliberations ofthe MVAC on that matter or vote on that matter.

16.4 Where the chairman is prohibited from taking part in the deliberations of the MVAC,he may nevertheless continue to act as the chairman of the meeting.

17. CONFIDENTIALITY

17.1 The MVAC may in the course of its duties come into knowledge of confidentialinformation not normally divulged to member of the public. Upon assuming office asa member, and as a condition of assuming such office, a member shall swear that hewill keep confidential any confidential information divulged to him in.his capacity as amember, unless a member. has already sworn an oath to that effect as a condition ofthe employment in virtue of which he qualifies to be a member of the MVAC.

18. RULES OF PROCEDURE

The MVAC may establish such rules of procedure for its meetings and functioning asit may decide, provided that they are not inconsistent with the provisions hereof.

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