Resettlement Framework Document Stage: Draft Project Number: 52196-001 August2019

India: Scaling Up Demand-Side Energy Efficiency (Sector) Project Prepared by Energy Efficiency Services Limited, Government of India for the Asian Development Bank.

CURRENCY EQUIVALENTS (as of 18 August 2019)

Currency unit – Indian Rupee (INR)

INR 1.00 = $71.14 $1.00 = INR 0.014

ABBREVIATIONS

ADB : Asian Development Bank APs : Affected Persons Agri DSM : Agriculture Demand Side Management DSM : Demand Side Management DISCOM : Distribution Companies DC : District Collector EA : Executing Agency EE : Energy Efficiency EESL : Energy Efficiency Services Limited ESCO : Energy services company ESMU : Environment and Social Management Unit FGDs : Focus Group Discussions GOI : Government of India GEF : Global Environment Facility GRM : Grievance Redress Mechanism IP : Indigenous People IR : Involuntary Resettlement LED : Light-emitting diode EA : Executing Agencies LAO : Land Acquisition Officer MRM : Management Review Meeting NGOs : Non-Government Organizations PIU : Project Implementation Unit PCP : Public Communication Policy RF : Resettlement Framework RFCT in LARR : Right to Fair Compensation and Transparency in Land

Acquisition, Rehabilitation and Resettlement Act (RFCT in LARR), 2013

RP : Resettlement Plan SCs : Scheduled Castes SDU : Sustainable Development Unit SPCB : State Pollution Control Board RF : Resettlement Framework SMS : Social Management System SIA : Social Impact Assessment SPS : Safeguard Policy Statement, 2009 STs : Scheduled Tribes ULB : Urban Local Body

NOTES

(i) The fiscal year (FY) of the Government of India and its agencies begins on 1 April. “FY” before a calendar year denotes the year in which the fiscal year starts, e.g., FY2019begins on 1 April 2019and ends on 31 March 2020.

(ii) In this report, "$" refers to US dollars.

This resettlement framework is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature. Your attention is directed to the “terms of use” section of this website. In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

Table of Contents

1. INTRODUCTION ................................................................................................................................... 1

2. SOCIAL IMPACTS ............................................................................................................................... 2

2.1 SMART METERS .............................................................................................................................. 2 2.2 SOLAR INFRASTRUCTURE ................................................................................................................. 2 2.3 ELECTRIC VEHICLES AND CHARGING STATIONS ................................................................................ 3

3. DUE DILLIGENCE & SCREENING PROCEDURES ........................................................................... 3

3.1 PROCEDURES FOR SOCIAL SAFEGUARD COMPLIANCE ....................................................................... 4

4. POLICY FRAMEWORK ........................................................................................................................ 4

4.1 GOVERNMENT OF INDIA .................................................................................................................... 4 4.2 ADB SAFEGUARD POLICY ................................................................................................................ 5 4.3 GAPS BETWEEN SPS AND THE REGULATORY FRAMEWORK ............................................................... 5

5. ENTITLEMENT, ASSISTANCE AND BENEFITS ................................................................................ 6

6. INSTITUTIONAL ARRANGEMENTS ................................................................................................... 8

7. CONSULTATION, DISCLOSURE AND GRIEVANCE......................................................................... 9

7.1 CONSULTATION ............................................................................................................................... 9 7.2 DISCLOSURE ................................................................................................................................... 9 7.3 GRIEVANCE REDRESS MECHANISM .................................................................................................. 9

8. RESETTLEMENT BUDGET AND FUND FLOW MECHANISM ........................................................ 11

9. IMPLEMENTATION SCHEDULE ....................................................................................................... 11

10. MONITORING AND REPORTING.................................................................................................. 11

ANNEXURE 1: IR AND IP CATEGORIZATION CHECKLISTS ................................................................ 12

ANNEXURE 2: FORM FOR GRIEVANCE REDRESS MECHANISM ....................................................... 15

ANNEXURE3: DUE DILIGENCE REPORT ............................................................................................... 16

1. INTRODUCTION

1. This document is a Resettlement Framework (RF) for the Scaling Up Demand-Side Energy Efficiency Project. The Executing Agency (EA) and Implementing Agency (IA) is Energy Efficiency Services Limited1 (EESL). There is an on-going project supported by ADB (IND L3436: Demand Side Energy Efficiency Sector Project) and declared effective on 16 June 2017 with sub project components centering on municipal street lighting; efficient domestic lighting and agriculture demand side management2. The proposed new project will help scale up and accelerate deployment of energy efficient technologies and replicate success achieved by the first ongoing ADB project to EESL. This RF has been drafted for the proposed new project. 2. The proposed project will have two output which are i) energy-efficient technologies promoted and deployed in eligible states and ii) end-user energy efficiency awareness increased. The second output does not have any physical component, while the first output includes the following physical components:

a) Smart meters and other intelligent energy management elements installed in eligible states;

b) Solar photovoltaic installed in eligible states; and c) E-vehicles deployed in eligible states;

3. Table 1 outlines the identified and proposed locations for the three components. The scope may include additional activities in other states as identified during project processing and implementation.

Table 1. Identified and Future Sub-project Locations for the Project

Component Identified States/Locations

Smart Meters • Lot 1: Bihar (Purnia, Katihar, Saran)

• Lot 2: Bihar (Patna Bhagalpur Dharbanga)

• Lot 3: Odisha (Bhubaneswar Cuttack Behrampur)

• Lot 4: Telangana (Medak, Nagarkumool, Nalgonda)

• Lot 5: Telangana (Adilabad Hyderabad Janagaon)

• Lot 6: Andhra Pradesh (Vishakhapatnam, Anantpura, Chittoor, Guntur, Srikakulam)

• Lot 7: Tamil Nadu (Chennai, Trichy, Erode, Madurai, Thiruvarur)

• Lot 8: Jharkhand (Ranchi, Jamshedpur, Palamu, Godda, Bokaro, Dhanbad

• Lot 9: North East (Guwhati, Dibrugarh, Shillong, Imphal, Gangtok, Agartala)

Solar Panels3 • Lot 1: 8 Districts of Amravati, Nagpur, Wardha, Yavatmal, Wahim, Gondia, Chandrapur & Bhndara

1 EESL is a government-owned company that is a joint venture of four public sector utilities under the Ministry of Power

(MOP), established as an implementing arm of the Bureau of Energy Efficiency (BEE). EESL is supporting activities outlined in the National Mission for Enhanced Energy Efficiency (NMEEE) in an advisory and consultancy role and in implementing energy efficiency subprojects of each type proposed under the ADB loan.

2 ADB review mission to EESL in March 2019, it was recognized that one of the outputs of Loan 3436-IND related to Agri-DSM is taking longer and thus proposed to drop. The activity was replaced by i) efficient motors for industrial and SME customers; ii)) efficient air-conditioners for institutions and households; and iii)) setting up of charging stations for electric vehicles.

3 Design, engineering, supply, construction, erection, testing, commissioning and O&M of Solar Power Generating System (SPGS) ranging from 250 kW to 2 MW at various sub-stations in Maharashtra.

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• Lot 2: 8 Districts of Nashik, Dhule, Pune, Nandurbar, Jalgaon, Ratnagiri, Ahmednagar & Thane

• Lot 3: 8 Districts of Beed, Solapur, Osmanabad, Sangli, Kolhapur, Stara, Sindhudurg & Raigad

• Lot 4: 7 Districts of Buldana, Jalna, Parbhani, Hingoli, Nanded, Latur & Akola

Electric Vehicle Charging Stations

• TBD but 5 MoUs have been signed with

• Rajasthan (Jaipur Metro Rail Corporation)

• Tamil Nadu (Chennai Metro Rail Corporation)

• Gujarat (Ahmedabad Municipal Corporation)

• Delhi (New Delhi Municipal Council)

• Uttar Pradesh (New Okhla Industrial Development Authority

2. SOCIAL IMPACTS

4. Given the nature of the project, it is not expected to cause any involuntary resettlement impacts nor any indigenous peoples issues. No private land acquisition and government land transfer is necessary and temporary impacts are unlikely to be envisaged either . 2.1 Smart Meters

5. EESL is helping the power distribution companies to reduce billing inefficiencies by deploying smart meters through the Smart Meter National Programme (SMNP). The project will involve the replacement of 6 million electric meters in selected urban areas with smart meters. EESL will implement the program in partnership with urban local bodies (ULBs) and local electricity boards or power distribution companies (DISCOMs). EESL will appoint a vendor for end-to-end replacement of existing electric meters with smart meters. 6. The smart meter component will not have any negative impact as it is replacing old meters to improve the billing efficiency for energy savings. Both commercial and residential meters will be replaced in urban areas. 2.2 Solar Infrastructure

7. The project includes infrastructure for approximately 160MW solar PV installations. The component includes decentralized solar plants of 0.5 MW to 2 MW capacity – to feed agriculture consumers directly. The component will be undertaken by Maharashtra Power Distribution Company and other eligible states of India union. EESL has entered into power purchase Agreement (PPA) with the Company that the solar panels will be located inside the fenced boundary of existing sub stations located in rural areas. The power evacuation facilities will be established within the available surplus land in the same sub stations. No distribution line facilities are required as the distribution will be done through the available same agricultural feeders. 8. EESL (together with ADB) have conducted due diligence of 4 sample sites4 for the solar in Maharashtra. The due diligence report for these sites is attached in Annexure 3.

4 EESL and MSDCL along with ADB project team visited a site at Lasalgaon located in Nashik district, Maharashtra in

July 2018 and three sites in July 2019 at Pipal Gaon, Supe and Jalgaon located in Pune District, Maharashtra for preliminary due diligence.

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9. For the remaining 27 sites, which will be identified after loan approval, selection and screening criteria is presented in this RF and it will be observed by EESL to ensure that there is no land acquisition, physical and/or economic displacement and also there is no temporary impact expected under the project. 10. Adverse social impacts of distributed Solar PV sub-projects are expected to be nil due to their small size and location within existing substation areas. 2.3 Electric Vehicles and Charging Stations

11. The project will support introduction of 10,000 electric vehicles in various cities in selected states in India. EESL will implement the program in partnership with Government agencies and ULBs. EESL will appoint an equipment manufacturer for production and end-to-end services for supply and maintenance of e-vehicles. Infrastructure for charger kiosk will be developed by DISCOMs. 12. The procurements of electric vehicles and establishing charging station kiosks will not have any negative impact in terms of resettlement. The charging stations will be established within the premises or the parking areas of the government building. No extra land procurements/acquisition are required. 13. EESL has already begun entered MOUs with public agencies. Five MOUs have been established in Rajasthan(Jaipur Metro Rail Corporation),Tamil Nadu(Chennai Metro Rail Corporation),Gujarat(Ahmedabad Municipal Corporation),Delhi(New Delhi Municipal Council) and Uttar Pradesh(New Okhla Industrial Development Authority) as of August 2019, with an anticipated 10 MOUs with other cities to be developed for this subproject in next three months. EESL will be responsible to confirm future MOUs stipulate the use of available parking lots free of encumbrances and verification of these sites once selected. Procedures are outlined in this RF.

3. DUE DILLIGENCE &SCREENING PROCEDURES 14. EESL and ADB have conducted due diligence of sample project sites in distributed smart meters, solar PV and electric vehicles in various states including Maharashtra and others.5 EESL will ensure that all subprojects contributing to the sector development plan are appraised, selected, and approved following the subproject selection criteria and approval procedures in the RF to the satisfaction of ADB. 15. To be eligible for inclusion in the investment project, each candidate subproject site will need to meet category C of ADB’s Safeguard Policy Statement 2009 for involuntary resettlement (IR)and indigenous people (IP). 16. Based on this RF, EESL will undertake adequate due diligence and impacts avoidance measures in accordance with Indian law and regulations and ADB’s Safeguard Policy Statement (SPS), 2009 throughout the sector project cycle. The legal ownership of solar plants land parcels is verified and there are no legacy issues. Also, the assessment ascertains any livelihood impacts to the local communities living close by and any access restrictions.

5 Subprojects from other eligible states may also be included during implementation subject to further due diligence

and acceptance by ADB qualifying its eligibility requirements.

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3.1 Procedures for Social Safeguard Compliance

17. EESL will take responsibility to ensure safeguard compliance. The Social Specialist in the Sustainable Development Unit (SDU) will undertake the following procedures for the proposed project, as follows:

a) Solar PV. Screen each solar PV and prepare IR and IP checklists (Annexure 1) for each

site ensuring each location is in existing substations premises only and free of

encumbrances and informal users. Maintain a central record of the completed checklists

for each site.

b) E-Charing Station. Review all MOUs established for eclectic vehicle charging stations to

ensure these are installed in parking place of operational government building only.

Collate land ownership records and evidence the location is free of encumbrances for

each chosen site.

18. In the event of unanticipated or temporary impacts, ensure this RF is followed with regards

to entitlements. If there are any unexpected temporary economic impacts during installation, the

losses shall be compensated as per the entitlement matrix of this RF.

4. POLICY FRAMEWORK 4.1 Government of India

19. The Government of India has adopted the Right to Fair Compensation and Transparency in Land Acquisition, Rehabilitation and Resettlement Act, 2013 (RFCTLARR-2013). Its scope includes tribal areas, scheduled areas, ‘non-cadastral' lands in scheduled tribal areas. The Act has consolidated various laws, regulations, guidelines, and international best practices pertaining to involuntary resettlement and indigenous peoples. The aims and objectives of the Act include: (i) to ensure, in consultation with institutions of local self-government and Gram Sabhas established under the constitution of India, a humane, participative, informed and transparent process for land acquisition for industrialization, development of essential infrastructural facilities and urbanization with the least disturbance to the owners of the land and other affected families; (ii) provide just and fair compensation to the affected families whose land has been acquired or proposed to be acquired or are affected by such acquisition; (iii) make adequate provisions for such affected persons for their rehabilitation and resettlement; (iv) ensure that the cumulative outcome of compulsory acquisition should be that affected persons become partners in development leading to an improvement in their post-acquisition social and economic status and for matters connected therewith or incidental thereto. 20. However, there is no involuntary land acquisition anticipated under the project (including loan two) a solar infrastructure will be placed within existing substations and connect to existing distribution feeders; car charging stations will be in public car parks belonging to municipal agencies; and smart meters will not have any displacement impacts. In the event there are unanticipated impacts, RFTCLARR- 2013, state laws and ADBs SPS 2009 will apply to the subprojects.

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4.2 ADB Safeguard Policy

21. The objectives of ADB's Safeguard Policy Statement (SPS 2009) regarding involuntary resettlement are:

• to avoid involuntary resettlement wherever possible;

• to minimize involuntary resettlement by exploring project and design alternatives;

• to enhance, or at least restore, the livelihoods of all displaced persons in real terms

relative to pre-project levels; and

• to improve the standards of living of the displaced poor and other vulnerable

groups.

22. ADB's SPS covers physical displacement (relocation, loss of residential land, or loss of shelter) and economic displacement (loss of land, assets, access to assets, income sources, or means of livelihoods) as a result of; (i) involuntary acquisition of land, or (ii) involuntary restrictions on land use or on access to legally designated parks and protected areas. It covers displaced persons whether such losses and involuntary restrictions are full or partial, permanent or temporary. 23. The three important elements of ADB’s SPS (2009) are: (i) compensation at replacement cost for lost assets, livelihood, and income prior to displacement; (ii) assistance for relocation, including provision of relocation sites with appropriate facilities and services; and (iii) assistance for rehabilitation to achieve at least the same level of well-being with the project as without it. The SPS gives special attention to poor and vulnerable households to ensure their improved well-being as a result of project interventions. 4.3 Gaps between SPS and the Regulatory Framework

24. ADB will not finance the project if it does not comply with its SPS nor will it finance the project if it does not comply with its host country's social and environmental laws. 25. RFCTLARRA 2013 is very comprehensive and in many areas offers equivalence with ADB’s SPS Involuntary Resettlement policy principles. There are however, a few gaps which relate to (i) vulnerable definitions and assistance; (ii) support to the poor; (iii) livelihood restoration; and (iv) treatment of non-titled as per SPS, vulnerable groups include those below the poverty line, the landless, the elderly, women and children, and Indigenous Peoples, and those without legal title to land. Under RFCTLARRA the ‘poor’ (i.e. below the poverty line) are not identified as vulnerable; and there is no extra assistance for those identified as vulnerable (except for Scheduled Castes or Scheduled Tribes). Non-titled households on government land do not get livelihood restoration assistance under RFCTLARRA. ADB requires livelihood restoration for all displaced persons regardless of whether they are titled or non-titled. SPS requires all non-titled be compensated for their non-land assets. 26. Where discrepancies between the ADB and government regulatory framework exists, ADB’s policy will prevail.

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5. ENTITLEMENT, ASSISTANCE AND BENEFITS 27. Based on due diligence, IR and IP issues and impacts are not expected. However, for unexpected impacts, an entitlement matrix has been prepared. A detailed description of each compensation measure and assistance is provided in the entitlement matrix (Table 2). APs will be entitled to a combination of compensation measures and resettlement assistance, depending on the nature of ownership rights of lost assets and scope of the impact, including social and economic vulnerability of the APs.

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Table 2: Entitlement Matrix

S no Type of

Loss Application

Definition of Entitled Person

Entitlement

1

Temporary loss of land

Land temporarily required for installation

Legal titleholders • Compensation for occupation of land at replacement value; or rent for a period of occupation;

• Restoration of land to previous or better quality.

• Additionally, cash compensation will be paid for the damages on the other assets.

2 Temporary Loss of trees and crops

Standing trees and crops

Owners of the trees and crops

• 60 days advance notice to harvest standing seasonal crops prior to damage, fruits, and timber.

• Cash compensation for standing crops based on market value.

• Replantation of trees; or cash compensation for trees based on market value to be determined by the Forest Department for timber trees and the Horticulture Department for other trees/crops.

3 Temporary Loss of livelihood

Livelihood Affected persons • One-time financial assistance for the temporary interference of businesses as perRFTCLARR- 2013

4 Unanticipated impacts

- Affected persons • Unforeseen impacts will be documented and mitigated based on the legal and policy framework outlined in this RF and incompliance with ADBs SPS 2009.

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6. INSTITUTIONAL ARRANGEMENTS 28. EESL has an existing PMU setup under IND L3436. This PMU will also be responsible to administer, coordinate, monitor, and report on the progress of project implementation to ADB and the GoI for this loan as well. The PMU consist of technical, financial, and procurement staff. Safeguards compliance is being administered and monitored by the Sustainable Development Unit (SDU) of EESL. EESL has placed SDU and assigned staff responsible in dealing with environment, health, safety and social concerns and/or compliance to environment and social safeguards requirements of ADB. The SDU will function as PMU for all social safeguard compliance and due diligence matters. 29. At present, EESL at their corporate office have an environment and social safeguards officer along with support staff trained to deal with the issues pertaining to safeguards and in implementation of impacts mitigation measures in the externally funded projects. At the program level, EESL has designated project implementation staff one for each project component (i.e.solar PV, e-Vehicle and smart meter) and any other technology projects proposed during the course of implementation. 30. As the EA, EESL will be responsible for appraising, processing and implementing the respective projects under the sector loan. EESL will be responsible for preparing the technical reports, which may include feasibility studies, preliminary design reports, detailed design reports, and special conditions on social safeguard compliance in the bid documents. Capacity building is to be provide to EESL as needed 6. Given this responsibility, capacity building is to be provided to EESL as needed. will help EESL in the effective implementation of the sector loan. 31. The SDU started in December 2018 with two staff. The SDU team is support by consultants to ensure compliance to the relevant national and state environmental and other regulations including the requirements of ADB’s SPS 2009. Additional support staff have been designated to ensure compliance to the requirements of ADB’s SPS 2009. Further details on agencies responsible for social safeguard compliance activities are in Table 3.

Table 3: Institutional Roles and Responsibilities for Resettlement activities

Activity Responsible Agency

Sub-project Initiation Stage

Finalization of locations for sub-project sites EESL Project department

Screen subproject in accordance with the RF EESL/SDU-

Disclosure of proposed sub-project site details by issuing Public Notice

EESL/SDU

Consult with communities, households and affected persons EESL/SDU

Grievances redress EESL/ SDU

Providing compensation in case of temporary damages and losses during installations

EESL/ SDU

Monitoring and record keeping EESL/ SDU

32. EESL has Sustainable Development Unit (SDU) with three dedicated staff. There is a social development specialist in the unit and the team is responsible for due diligence processes outlined in this RF for the project. Also, recruitment process is currently underway to induct more specialists’ manpower in the unit. Also, there will be a national consultant

6 EESL has an in housed consulting agency, Environmental Resource Management (ERM) India for capacity building.

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33.The Social Specialist key tasks are as follows:

• Overseeing and undertaking the screening and selection process for subproject

sites as per the process outline in RF. Prepare quarterly input to be included in the

quarterly progress report.

• Responsible for overseeing implementation of the Gender Action Plan (GAP).

Prepare quarterly input to be included in the quarterly progress report in gender

activities and relevant gender indicators as per the GAP.

• Undertake and update a list of stakeholders. Identify government agencies, NGOs,

community-based organizations, and women’s associations or groups whose work

focuses on social, gender and the specific area of intervention that can be utilized

during project preparation and implementation.

• Conduct consultation and information dissemination and take responsibility or

establishment, coordinating and reporting on the Project Grievance Redressal

Mechanism.

7. CONSULTATION, DISCLOSURE AND GRIEVANCE

7.1 Consultation

34. Stakeholder consultations will be done during the entire project cycle. During the preparatory stages, consultations need to be carried out with various concerned government officials and local communities as part of the social study in order to gather their views on the proposed program. Additionally, focused group discussions are also required at the project influence areas. The EA/IA and project counterparts will ensure that affected persons (APs) and other stakeholders are informed and consulted about the sub-project, its impact, their entitlements and options, and allowed to participate actively in the development of the sub-project. 35. Aside from SPS 20091, SDU-EESL will also ensure that the relevant national requirements in the Right to Information Act 2005 will be complied with. SDU-EESL in collaboration with the public relation (PR) agency of EESL will make a list of the participants of the consultation process including the summary of the concerns/issues they raised and suggestions on project design, mitigation measures and monitoring. Participation of women, if any, will be highlighted as well as the date and location of the consultations. 7.2 Disclosure

36. The EA and the project counterparties will conduct consultations and disseminate information to APs. The project information, its impacts and entitlements will be made publicly available at offices of the: (i) sub project site; (ii) relevant project counterparts; and (iii) EESL/SDU. The Resettlement Framework for the project will be disclosed on EESL as well as ADBs web sites. Copies of the RF will be summarized and made available at EESL’s offices and distributed to stakeholders. 7.3 Grievance Redress Mechanism

37. Grievance redress mechanism is applicable to all the relevant stakeholders of the project like workers, local community, vendor and contractors. Field officers of project counterparts are

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the first window to receive grievances of APs and resolve them. The focal persons contact details are disclosed for complainant to have easy access. Grievances not redressed by the project counterparts (field level) will be brought to the SDU. The main responsibilities of the SDU in terms of grievance redress are to: (i) provide support to complainants on problems arising from land/property acquisition; (ii) record complainants grievances, categorize, and prioritize grievances and resolve them; and (iii) report to complainants on developments regarding their grievances and decisions of the SDU. Records will be kept of all grievances received including contact details of complainant, date the complaint was received, nature of grievance, agreed corrective actions and the date these were affected, and final outcome. The mechanism does not impede access to the country’s judicial or administrative remedies. The stakeholder has the right to refer the grievances to appropriate courts of law at any stage of the process. The grievance redress mechanism functions are managed in following manner and a sample of the format is in the Annexure 2. Any expenses borne by the affected person for grievance redressal shall be borne by the EESL. 38. Receive and Register: A system is already in place (support.eeslindia.org/) to ensure that complaints are resolved in an efficient and timely manner. EESL also receives complaints via EESL app, e-mail, SMS, phone calls, toll free numbers etc. Complainants can also directly reach the regional offices for reporting the complaints. Vendor, contractor, and laborsaving a representative to look at the problems and issues faced by the workers and local community members. There is one representative at each level to receive and address the complaints raised by the workers and local community. It ensured that all the issues raised, registered and resolved in a timely manner. 39. Review and Investigate: Issues registered, reviewed and investigated in detail within the limited period. Management investigate the issue within seven working days. Conduct root cause analysis of the issues and an assessment of the number of people getting impacted by that problem. It also provides an opportunity to conduct assessment of the risk it poses on the project. 40. Resolve the Issue: The issue gets resolved within the limited time period and the recommended solutions is SMART (Specific, Measurable, Attainable, Relevant and Time-bound). The solutions address all the issues raised by complainant and ensure preventive measure to avoid the same issue.

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Table 4: Roles and Responsibilities in GRM

S. No Roles Responsibilities

1 Labor Contractor Ensure all the grievances raised by the workers or local community

must be registered at site. Work along with contractor and vendors

to resolve the issues raised by the complainant.

2 EHS Coordinator Ensure that concerns raised by the workers and community must be

registered and evaluated as per the required procedure.

3 Contractor Must ensure that all the issues raised must be investigated in details

and timely solution provided to the complainant. Must ensure

continuous monitoring of the issues raised and evaluate the

effectiveness of the solutions.

4 Vendor Ensure that all the issues raised must be evaluated in details and

timely solution must be provided in all the cases. Must ensure that

issue once raised should be monitored continuously to prevent its

reoccurrence. All grievances must be reported to EESL, along with

the corrective action and timeline

5 CMU (Complaint

Management Unit)

Keep track of grievances and monitor their progress carefully. Ideate on newer methods of obtaining grievances from various sources (e.g. setting up SMS/internet messaging-based groups, consolidating list of mobile numbers and sending alerts to stakeholders).

41. Monitor the issues registered on a regular basis. The issues raised in the grievance mechanism shall be assessed monthly for the actions being taken and its closure. These analyses help in the trend analysis of the issues taking place at the workplace and to assess the effectiveness of the solutions provided by the system.

8. RESETTLEMENT BUDGET AND FUND FLOW MECHANISM 42. Detailed budget estimates for compensation of temporary damages and losses will be conducted at each sub-project level if necessary. It will be included in the overall sub-project estimate. The budget will include i) detailed costs of compensation, ii) source of funding, iii) arrangements for approval, and iv) the flow of funds and contingency arrangements.

9. IMPLEMENTATION SCHEDULE 43. All compensation for a sub-project will be completed before any economical displacement. In all cases, there is no physical displacement.

10. MONITORING AND REPORTING 44. At the project level, SDU will be responsible for monitoring the compliance of the project particularly those responsible for the compensation for temporary damages and losses. The progress and information about settlement and indigenous peoples issues will be reported through the Progress Reports submitted to ADB.

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ANNEXURE 1: IR AND IP CATEGORIZATION CHECKLISTS A. SCREENING QUESTIONS FOR INVOLUNTARY RESETTLEMENT CATEGORIZATION

After reviewing the answers above, EESL/SDU confirms that the proposed subproject/component category as follows: [] Category A, Significant IR impact, (the subproject site must be excluded) [] Category B, No significant IR impact, (the subproject site must be excluded) [] Category C, No IR impact, (the subproject site may be included in the project) Attachments (Photos, Land Ownership Records):

Probable Involuntary Resettlement Effects* Yes No Not

known Possible Remarks

Island acquisition likely to be necessary?

Is the site for land acquisition known?

Is the ownership status and current usage of the land known?

Will the assessments be utilized within an existing Right of Way?

Arethereanynon-titledpeoplewholiveorearntheirlivelihoodatthesiteoraffected area?

Will there be loss of housing? If yes, please specify the impact

Will there be loss of agricultural plots? If yes, please specify the impact

Will there be losses of crops, trees, and fixed assets? If yes, please specify the impact

Will there be loss of businesses or enterprises? If yes, please specify the impact

Will there be loss of income and livelihoods? If yes, please specify the impact

Will there be any impact on vulnerable households (e.g poor, female headed, disabled and etc)? If yes, please specify the impact

Will people lose access to facilities, services, or natural resources?

Willanysocialoreconomicactivitiesbeaffectedbylanduse-relatedchanges?

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SCREENING QUESTIONS FOR INDEGINIOUS PEOPLES CATEGORIZATION

KEY CONCERNS (Please provide elaborations on the Remarks

column) YES NO

NOT KNOWN

Remarks

A. Indigenous Peoples Identification

1. Are there socio-cultural groups present in or use the project area who may be considered as "tribes" (hill tribes, schedules tribes, tribal peoples), "minorities" (ethnic or national minorities), or "indigenous communities" in the project area?

2. Are there national or local laws or policies as well as anthropological researches/studies that consider these groups present in or using the project area as belonging to "ethnic minorities", scheduled tribes, tribal peoples, national minorities, or cultural communities?

3. Do such groups self-identify as being part of a distinct social and cultural group?

4. Do such groups maintain collective attachments to distinct habitats or ancestral territories and/or to the natural resources in these habitats and territories?

5. Do such groups maintain cultural, economic, social, and political institutions distinct from the dominant society and culture?

6. Do such groups speak a distinct language or dialect?

7. Has such groups been historically, socially and economically marginalized, disempowered, excluded, and/or discriminated against?

8. Are such groups represented as "Indigenous Peoples" or as "ethnic minorities" or "scheduled tribes" or "tribal populations" in any formal decision-making bodies at the national or local levels?

B. Identification of Potential Impacts

9. Will the project directly or indirectly benefit or target Indigenous Peoples?

10. Will the project directly or indirectly affect Indigenous Peoples' traditional socio-cultural and belief practices? (e.g. child-rearing, health, education, arts, and governance)

11. Will the project affect the livelihood systems of Indigenous Peoples? (e.g., food production system, natural resource management, crafts and trade, employment status)

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KEY CONCERNS (Please provide elaborations on the Remarks

column) YES NO

NOT KNOWN

Remarks

12. Will the project be in an area (land or territory) occupied, owned, or used by Indigenous Peoples, and/or claimed as ancestral domain?

C. Identification of Special Requirements

Will the project activities include:

13. Commercial development of the cultural resources and knowledge of Indigenous Peoples?

14. Physical displacement from traditional or customary lands?

15. Commercial development of natural resources (such as minerals, hydrocarbons, forests, water, hunting or fishing grounds) within customary lands under use that would impact the livelihoods or the cultural, ceremonial, spiritual uses that define the identity and community of Indigenous Peoples?

16. Establishing legal recognition of rights to lands and territories that are traditionally owned or customarily used, occupied or claimed by indigenous peoples?

17. Acquisition of lands that are traditionally owned or customarily used, occupied or claimed by indigenous peoples?

After reviewing the answers above, EESL/SDU confirms that the proposed subproject/component category as follows:

[] Category A, Significant IP impact, (the subproject site must be excluded)

[] Category B, No significant IP impact, (the subproject site must be excluded)

[] Category C, No IR impact, (the subproject site can be included in the project)

SUB PROJECT SELECTION CRITERIAL (FUNDAMENTAL)

• All subprojects included in the ADB Prohibited Investment Activities List (List provided in Appendix 1) should be excluded from the Project;

• All Involuntary Resettlement Category A and B subprojects should be excluded from the project;

• All Indigenous Peoples Category A and B subprojects shall be excluded from the project;

• No compulsory or involuntary land acquisition and disturbance will be adopted for any proposed solar PV system and E-vehicle charging substations and the land shall be on government or public land free from informal settlers.

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ANNEXURE 2: FORM FOR GRIEVANCE REDRESS MECHANISM

Full Name Contact Information Please identify how you wish to be contacted (mail, telephone, e-mail)

By Post: Please provide mailing address By telephone: By e-mail:

Preferred language of communication? (Circle preferred language)

……………………………………………………………………………………………………………………………………………………

Description of incident or issue (What happened? Where did it happen? Who did it happen to? What is the result or impact of the problem?): Date of incident/issue One-time incident/grievance (date _______________) Happened more than once (how many times? _____) On-going (currently experiencing problem)

What would you like to see to resolve this problem? Internal Use Only Grievance received by: Date: Reference Number:

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ANNEXURE3: DUE DILIGENCE REPORT

India: Scaling Up Demand-Side Energy Efficiency (Sector) Project:Due Diligence Report.

The Due Diligence Report (DDR) is document of the borrower. The views expressed herein do not necessarily represent those of ADB’s Board of Directors, Management, or staff, and may be preliminary in nature. In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

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A. DUE-DIILIGENCE REPORT 1. This report has been prepared for the proposed Scaling Up Demand-Side Energy Efficiency (Sector) Project. The DDR has been prepared based on the Detailed Project Report (DPR), and consultation results with stakeholders like state Government officials, EESL officials, users’ general public, farmers etc. This report includes due diligence results conducted for solar PV infrastructure at four potential sites. B. Proposed Solar PV installation at existing sub stations under Maharashtra State

Power Distribution Company Ltd (MSDCL) 2. MSDCL has entered a Memorandum of Understanding (MOU) with EESL that EESL will produce MSDCL’s existing rural sub stations and sell solar power to MSDCL. The various clauses as mentioned in the MOU show that the infrastructure will be installed for power generation and evacuation on encumbrance free land available within the premises of the existing sub- stations. 3. A preliminary site visit was carried out by safeguard consultants hired under the TA 9081(Demand side Energy Efficiency Project) accompanied by a team of MSDCL officials on 22nd July 2018for proposed solar PV site (1-2 MW capacity) at Lasalgaon, Nasik district, Maharashtra and the fact finding mission team comprises the team leader ADB , social and environment consultants, procurement consultants of aforementioned TA and officials of MSDCL and EESL visited various sites for due diligence purpose on 24th July 2019 at Pipalgaon, Supe and Jalgaon located in Pune District, Maharashtra. The facilities in the barbed wire fenced premises include staff quarters, control room building and power distribution system/utilities., water supply and bore-well with 3HP pump. An image of the site location of Lasalgaon as example is given in below Figure 1. The site location of Supe sub- station has been presented in annexure 3-2 along with compliance documents. 4. The total available land area is approximately2 ha in all the four sites, accessible through metaled road. Currently the site is being prepared for solar PV and tree cuttings has been done with prior approval for tree felling from concerned local authority/forest department. Sites are almost plain terrain with proper natural drainage of storm water. The surrounding area of proposed site is mainly under agriculture land use with crops of wheat, maze, sugarcane, onion and other seasonal vegetables. 5. Site visit photos are in annexure 3-1. The site due diligence report as prepared jointly by DISCOM/Maharastra and EESL indicating the requirements, site/land hand over including the site dimension for putting the solar panel has been placed in annexure3- 2. The site handing over report clearly indicates that the site is handed over as encumbrance free. The fact finding mission team along with safeguard consultants team visited the 3 sites namely, Pipalgaon,Supe and Jalgaon which is located in Baramati Division of Pune district. The site photographs have also been placed in annexure3- 1. 6. Local communities were consulted in relation to proposed project development in their vicinity to collect information/data in nearby location. The local peoples are aware about proposed projects and considering the proposed development as positive approach to fulfill electricity demand for agriculture feeder. Details of consultations with local communities are summarized in Table 1. Gender based consultations are also undertaken with women agricultural labor, and petty shop owners.

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Table 1: Summary of Discussions with Local Communities

Sl. No.

Name Village/Occupation Point Discussed

1. Mr. Baburam Lasalgaon- Daily wages Labor, residing in hut adjacent to substation boundary

• General perception about the project and awareness about proposed solar PV installation in their vicinity

• Site boundary of proposed solar PV and land ownership

• Details of surrounding land and property to proposed site belonging

• Land use and cropping pattern in the area

• Primary income sources of local community in the area and occupational engagement of peoples

• Current rate of agriculture land

• Main source of electricity supply

• Current status of electricity supply in both domestic and agriculture uses

• Gap in demand and supply of electricity for agriculture uses

• Source of water supply for drinking purpose in the area

• Last natural disaster/climate (i.e. Flood, earthquake, storm etc.) in the area, if any.

• Community is aware about new development in their vicinity. Local peoples positively welcome the proposed project to meet gap in electricity demand and supply for agriculture uses.

• Confirmed the boundary of proposed land and ownership for project development

• In surroundings mainly private land with agriculture uses, crops grown include wheat, maize, onion, sugarcane and vegetables.

• Main occupation of local community is agriculture and daily wages in onion market.

• Revenue rate of agriculture land as per revenue rate is 7 lakh per acre, while market rate is 25-30 lakh per acre.

• Source of electricity supply is government grid

• Electricity for agriculture uses is of limited supply only 6-8 hours per day.

• Drinking water mainly taken from groundwater or supply from government water supply system.

• No flood and earthquake

• There is no protected area, archeological monument, religious

2 Mrs.Mangal Devi.

Khamgaon,Near Substation- Petty Shop owner

3. Mrs.Supri Devi Pipalgaon, Near Substation- Agricultural Labor

4. Mr. Ramesh Pagade

Kotamgaon- Farmer, residing in his own house about 100m from substation boundary

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• Availability of wild animals in the nearby location of the project site

• Any protected/forest area, archeological site near to project site

• Nearest school, hospital and religious place to the proposed project site

• Any critical issue or concern by local community.

place and wildlife near to proposed project site location.

• Nearest government. school and hospital are located at Lasalgaon (Semi-urban)

• Increase in electricity supply for agriculture and domestic uses is required to irrigate crops and sustain income from agriculture.

• Willingness to get work or employment generation from proposed project during installation and operational stage, if any.

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Figure 1: Google map showing site location of proposed solar PV at Lasalgaon, Nasik Maharashtra

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Annexure-3-1 Consultation and Site Visit Photo

Existing substation at Lasangaon,

Maharashtra Transformer at existing substation for power

Evacuation

Area prepared for proposed Solar PV Area for proposed Solar PV

Staff quarter-Lasalgaon Substation Trees cut from site stocked at site

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On site discussion with MSEDCL, EESL, PWC(PMU Consultant of EESL) officials

On site discussion with MSEDCL, substation in-charge

Discussion with local community near Lasalgaon substation location

Discussion with MSEDCL officials at Wavi substation about ongoing Solar PV installation

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Discussion among MSEDCL,EESLofficials and Fact Finding Mission team at Pipalgaon substation about ongoing Solar PV installation

Ongoing Installation work at Supe Substation with Gate and Barbed Fenced

Consultations at Khamgaon

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Jalgaon Substation with available land

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Annexure3-2 Site Due Diligence Report Jointly done by DISCOM/Maharashtra and EESL and Site Handing over report

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29

30

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Approved Site Layout by Competent Authority

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Site Handing Over Report

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