world bank document€¦ · karwar]3w g mangalor x_x_galore prepared for: govt of karnataka public...

RP-55VOL. 1

in association with

IJEIIIE

Resettlement Action PlanProject Co-ordinating Consultancy Services (PCC)for the Kamataka State Highways Improvement ProjectIBRD LoanlCredit No. LN-4114

J;~idar

Belgau

Karwar]3W g

Mangalor X_X_galore

Prepared for:

Govt of KarnataKaPublic Works Dept.(Natiwoal Highways)

November 2000

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in association with

IIIE

Resettlement Action PlanProject Co-ordinating Consultancy Services (PCC)for the Karnataka State Highways Improvement ProjectIBRD Loan/Credit No. LN-4114

~~~id a~~dr

Belggad

Karwar, J fg P

Mangalor -ga__lore

Prepared tor:

Govt of KarnatakaPublic Works Dept.(National Highways)

November 2000

ir.vroem Proe i.. ::. -l

TABLE OF CONTENTS

EXECUTIVE SUNINIARY

1. INTRODUCTION AND METHODOLOGY . ................................... I

1.1 INTRODUCTION .................................... I

1.2 . OBJECTIVES .1.3I .. PROJECT OVERVIE .1.4 . SOCIAL ASSESSMENT .1.5. RIGHT OF WAY.AND CORRIDOR OF IMPACT5..1.6. NEED FOR RESETTLEMENT AND REHABILITATION IN THE PROJECT ...................................... ..................... 3

1.7. MAGNITUDE OF IMPACTS. 41.8. MINIMISING RESETTLEMENT. 1.9. PROJECT DESIGN CONTEXT .1.10. LAND ACQUISITION AND STRIP PLANS .61.11. DESIGN CROSS- SECTIONS ..........................-.------.----.....-.......... 61.12. URBANVILLAGE AREAS .61.13. MITIGATION OF ADVERSE IMPACTS .71.14. ROAD SAFETY CONCERNS .71.15. INTEGRATION OF SOCIAL ASSESSMENT AND PROJECT DESIGN ........... .............................. S1.16. CULTURAL PROPERTIES ......................................... 01.17. COMMUNITY ASSETS ........................... 10...... .. I 0

2. RESETTLEMENT POLICY FRAMEWORK . 1

2.1. BACKGROUND................... . I 12.2. PRINCIPLES . .................. 11.. . . . . . . . .. . . . ................ ......... I I2.3. IMPACTS AND ENTITLEMENTS ................... I I2.4. DEFINNITIONS ................... 122.5 ENTITLEMENT MATRIX ................... 132.6. SUPPORT PRINCIPLES FOR CATEGORIES OF IMPACTS .......................................................... 13

3. SOCIAL IMPACT ASSESSMENT .14

3.1. INTRODUCTION .......................................................... 143.2. METHODOLOGY AND DATA BASE .......................................................... 1 5

3.3. CUT-OFF DATE ............................................................ 153.4. GUIDELINES FOR CENSUS AND SOCIO-ECONOMIC SURVEY .......................................................... 163.5. SOURCES OF DATA .......................................................... 163.6. METHODS OF DATA COLLECTION .......................................................... 173.7. DEMOGRAPHIC AND SoCIo-ECONOMIC PROFILE OF PROJECT AREA ....................................................... 173.8. CENSUS VERIFICATION AND SoCIo-ECONOMIC SURVEY: RESULTS AND DISCUSSION ................. 7...... ] 73.9. GENDER ISSUES .......................................................... 183.10. TRIBAL ISSUES .......................................................... 18

3.11. RELIGIUOUS GROUP ........................................................... I 83.12. OCCUPATION AND POVERTY LINE .................................................. . ...... 1 83.13. MAJOR AND MINOR IMPACTS .......................................................... 1 93.14. OTHER RELEVANT SOCiO-ECONOMIC CHARACTERISTICS .......................................................... 203.15. NEED FOR DATA UPDATE AND MECHANISM TO CONDUCT UPDATE .......................................................... 22.1 6. KEE FINDINGS OF THE CONSULTATIONS .......................................................... 23

3.17. PUBLIC PARTICIPATION AND CONSULTATION IN RAP IMPLEMEN'TATION ............................................... 233.18. INFORMATION DISSEMINATION CAMPAIGN ............ .......................... . .......... . ...... 24

4. RESETTLEMENT ACTION PLAN - IMPLEMENTATION PROCEDURES. 25

4.1. INCOME RESTORATION (IR) ...... 2.................................... 254.2. SHORT TERM IR ACTIVITIES ......................................... 254.3. LONG TERNM IR ACTIVITIES ......................................... 254.4. IMPACT CATEGORIES AND IR SCHEMES ......................................... .......... 254.5. ALTERNATIVE INDIVIDUAL INCOME RESTORATION SCHEMES ......................................... 26

Toc- I Scott Wilson / CES / IIIE

Kaamataka State Hiehwavs Rsvnucment Action Plap.Improvement Project

4.6. NON LAND-BASED INCOME RESTORATION SCHEMES .................................................................. 264.7. TRAINING .................................................................. 2 74.8. MONITORING OF IR SCHEMES ................................................................. 274.9. WITHDRAWA L POLICY ................................................................. 274.10. INSTITUTIONAL ARRANGEMENTS ............. .................................................... 274.11. IMPLEMENTATION CAPACITY AND INSTITETIONAL COMMITMENT ...................... ..... ............... ....... 284.12. NGO PARTNERSHIPS ................................................................. 284.13. SDRC STRUCTURE AND STAFFING ................................................................. 284.14. TRAINING AND CAPACITY BUILDING ................................................................. 304.15. RESETTLEMENT SITES ................................................................. 304.16. HOST COMMUNITY SURVEY ................................................................. 3 14.17. RESETTLEMENT SITE SELECTION AND FEASIBILITY STUDIES ................................................................. 3 14.18. REQUIREMENTS FOR REHABILITATION CENTERS ................................................................. 314.19. GRIEVANCE REDRESSAL ................................................................. 324.20. GRIEVANCE REDRESSAL CELL .................................................................. 324.21. IMPLEMENTATION SCHEDULE ................................................................. 324.22. IMPLEMENTATION PROCEDURE .................................................................. 344.23. TIMING OF RESETTLEMENT .................................................................. 344.24. LAND ACQUISITION ................................................................. 344.25. IMPLEMENTATION RESPONSIBILITY ................................................................. 354.26. PROJECT AFFECTED PERSONS' IDENTITY CARD ................................................................. 354.27. COSTS AND BUDGET ................................................................. 354.28. MONITORING AND EVALUATION ................................................................. 374.29. MONITORING AND EVALUATION INDICATORS ................................................................. 394.30. INTERNAL MONITORING .................................................................. 404.31. EXTERNAL IMPACT EVALUATION ................................................................. 404.32. CRITERIA FOR DETERMINING COMPLETION OF PROJECT RESETTLEMENT AND REHABILITATION ............ 40

Toc-2 Scott Wilson / CES / IIIE

rarnataka State HILhli% a% - \.Ln 1'1.imorovemenl Projec

LIST OF TABLES ANI) FIGURES

Table 1-1: Total Project - Impact Categories ...............................................mTable 1-2: Impact Cateaor\ - Eligible Project Affected Families ............................................... .Table 3 -1: Cut off Date ............. ...................... ................... ........................ 16Table 3-2: Demographic Profile of Project Roads by Contract Pack-azes (Census 199]) ............... 17Table 3-3: Socio-Economic Characteristics of PAPs/PAFs ............... 19Table 3-4: Families and Persons Affected by the Project by Contract Packages and number settlements.................................... I.............................................................................. .................. ............... .......... 1

Table 3-5: Distribution of PAFs by Major and Minor Impacts ......... 20Table 3-6: Distribution of PAFs be Income .2........ 1Table 3-7: Distribution of PAPs by Age and Sex ......... 2 1Table 3-8: Distribution of PAPs by levels of Literacy / Education ......... 2 1Table 3-9: PAPs (Employees) losing livelihood ......... 21Table 3-10: Core Rapid Appraisal Mechanism ..........

Table 4-1: Implementation Schedule ......... 33Table 4-2: Budget Estimates .............................. 3....................... - - .-- 36Table 4-3: Unit Costs .............................. 3.................................... 37Table 4-4: Monitoring Indicators ......... 39

Figure 4-1: SDRC Organisational Structure ......... 29

ANNEXURES:ANNEXURE IANNEXURE 2STRIP PLANS

Toc-3 Scott Wilson / CES / IIIE

Karnataka State Highways Resettlement Action Plan

Improvement ProjectAbbreviations

ABBREVIATIONS

ACLA Assistant Commissioner Land AcquisitionAPL Above Poverty LineBPL Below Poverty LineCBO Community Based OrganisationCEO Chief Executive OfficerCOI Corridor of ImpactDRDA District Rural Development AgencyEIA Environmental Impact AssessmentEIRR Economic Internal Rate of ReturnEWS Economically Weaker SectionGOI Government of IndiaGOK Government of KarnatakaID Cards Identification CardsIG Income GeneratingIR Income RestorationITI Industrial training InstituteKHDC Karnataka handloom Development CorporationKPCC Karnataka Project Co-ordinating ConsultantsKPTCL Karnataka Power Transmission Corporation LimitedKSCDC Kamataka State Coir Development CorporationKSHIP Karnataka State Highways Improvement ProjectKVIB Khadi and Village Industries BoardLAA Land Acquisition ActLIDKAR Leather Industries Department of KarnatakaLIG Lower Income GroupsM&E Monitoring and EvaluationMOEF Ministry of Environment and ForestsNGO Non-Governmental OrganisationNOC No Objection CertificateOD Operational DirectivePAF Project Affected FamilyPAG Project Affected GroupPAP Project Affected PersonPCC Project Co-ordinating ConsultantsPHED Public Health and Engineering DepartmentPIU Project Implementation UnitPWD Public Works DepartmentR & R Resettlement and RehabilitationRAP Resettlement Action PlanRC Resettlement CentersROW Right of WaySC Scheduled CasteSDO Social Development OfficerSDRC Social Development and Resettlement CellSR Schedule of RatesST Scheduled TribesTOR Terms of ReferenceZP Zilla Parishad

Scott Wilson/CES/IIIE

Executive Summary

Kamatak-a State Hi-hwaNs Resetti-m-ni A-\Ctc-. P._Improvement ProjectExecutive Summarn

Executive Summarn

i. The Government of Kamataka (GOK) is preparina the Kamataka State HighwaysImprovement Project (KSHIP) with assistance from the Worid Bank. The Project Co-ordinating Consultants (PCC) have identified from the feasibilitv studv 960 kms of roads forupgradation and 1098 kms of roads for major maintenance to be taken up for construction intwo phases. In Phase 1, 397 kms of road has been identified for upgradation and 1043 kms formajor maintenance. The GOK has adopted a Resettlement and Rehabilitation Policy for KSHIPto address the adverse impacts arising out of this project.

ii. Socio- economic surveys were conducted on the upgradation roads, for a Corridor of Impactbetween 13.6m and 26m keeping in view the design requirements. These surveys Avereconducted during March, April and May 2000. The survey revealed that there are 753 ProjectAffected Families (PAFs). Adversely affected families are 342 (i.e. those losing total house'total livelihood or both). PAFs incurring minor impacts are 411. The extent of land acquisitionnecessary for road widening and other improvements is 4.67 ha. The total government land tobe transferred to PWD is 4.71 ha.

iii. There was a concerted effort to reduce impact on the number of families being affected. Theintegration of the social survey results with the final designs has resulted in reducing thenumber of affected families substantially from 1345 families to 753 families. The totalresettlement and rehabilitation budget for Phase I is Rs. 4.51 crores.

iv. There are no archaeological impacts in Phase I and 11. The cultural properties getting affectedare worship places, which are not archeologically important, but will be replaced bv the projectauthorities before demolition.

v. The tribal population identified have been integrated with the main stream population. Thereare 41 tribal families spread over 400 kms of Phase I roads. In Phase 11 roads, in terms ofabsolute number the tribal population will be marginally higher.

vi. In Phase 1I the number of PAFs are estimated 2000; land acquisition is estimated at 238.87 ha.and the R & R costs are estimated at Rs. 27.47 crores.

vii. Local level public consultations were conducted in 6 villages covering all the links and a State-level Stakeholders Workshop was held in May 2000, to address and discuss the R&R Policyand issues related to project affected persons. The RAP is available, in Kannada and English atall the project district and taluk offices for public information.

viii. The Resettlement Action Plan has been prepared on the basis of provisions contained in theGOKs, Resettlement and Rehabilitation: - Principles and Policy Framework for the KamatakaState Highways Improvement Project.

ix. The RAP describes the institutional and organizational mechanisms required for theresettlement program. The RAP will be implemented by Karnataka PWD-PIU SocialDevelopment Resettlement Cell with support from other government agencies. non-governmental organisations/community-based organizations and limited assistance from PCC.The grievance redressal process specifies procedures for registering and addressing complaintsincluding appeal mechanisms and recourse to civil courts.

x. The RAP provides a detailed implementation schedule listing the chronological steps that w illbe taken to effect resettlement, rehabilitation, and mitigation. The RAP will be implementedover a period of 4 years from the date of commencement of work. It also describes thelinkages between resettlement implementation and initiation of civil works. Implementationactivities include land acquisition process, relocation and rehabilitation and monitoring.Various income restoration schemes have been identified during the course of social surveyand the public consultations, which have been integrated for income restoration. Since the scale

Scott Wilson / CES / IIIE

karnata- ma3t. ln2 .. ;an- .Improx mtni ProlclLxczutixe Summar-

of displacement is iess than 20 tamiiies at an\ onc location tiicre arc' no rcsettiemrniteSll il.Phase I of the project.

xi. Internal monitoring and external evaluation mechanisms. methodologN. and indicators areprovided. The associated institutional. financial. and reporting arrangements are specified.including processes for assuring integration of feedback into RAP impiementation.

xii. Social strip plans for 400 kms haxe been designed. based on the superimposiTion of the fieldsurvev information on the final engineering drawings.

xiii. The Annexures are given in Volume 11. It includes the complete socio-economic database.design cross sections, State and village level consultation minutes. media coverage of theStakholders Workshop and RAP implementation guidelines. Other documentation includesX ideographv for 400 kms of upgradation roads and the State and village level consultations.


Chapter 1Introduction and Methodology

KWTIaLaka SlalJ lii,n%\a;- iccl-n> \,

lmrro%ement Prowic:

lntroCuction and N1etnodoloC,

1. INTRODUCTION AND AIETHODOLO"GY

1.1 Introductioni. The Kamataka State Highways Improvement Project is in two phases. Phase I consists of

397 kms of upzradation and 1043 kms of major maintenanlce. Phase 11 has 560kms fo.upgradation and 57 kms of major maintenance.

ii. This Resettlement Action Plan (RAP) is a project specific RAP. which outlines the extentof impacts due to road improvements on communities and the mitigation of the potentialimpacts. Further, it details necessary implementation procedures for resettlemenl andrehabilitation. This RAP is prepared in accordance with the stipulations and guide-linesprovided in Government of Karnataka's document entitled: Resettlement andRehabilitation: - Principles and Policy Framework for the Karnataka State HichlxavsImprovement Project (GO No. PWD 21 CRM Dt. 01.07.1999) and The lWorld BankOperational Directive 4.30.

iii. This RAP consists of four chapters. Chapter 1. Introduction and Methodology outlinesthe objectives of RAP and the Methodology adopted in the preparation of RAP alonpwith measures taken to minimise adverse social impacts. Chapter 2. ResettlementPolicy provides the policy frame work for provision of compensation. assistance andunder taking Resettlement and Rehabilitation activities for project affected persons.families and groups. Chapter 3. Social Impact Assessment, provides an analysis of thesocio-economic data collected through the census and sample socio-economic survey. tomeasure the magnitude of social impacts on project affected persons and families. Theanalysis identifies severe and minor impacted categories and helps in estimating theextent of costs involved for mitigating the social impacts. In addition to analvsinc thecensus and sample survey data, the Chapter also contains the outcome of vill'age-levelpublic consultations and the state-level stakeholders workshop, including how theoutcome of these consultations provided inputs in the framing of the Resettlement Policv.The process of disclosure of the Policy document and the RAP is also highligllted.Finally, Chapter 4. Resettlement Action Plan - Implementation Procedures outlinesthe implementation procedures for resettlement and rehabilitation. It takes into accountincome restoration activities, institutional arrangements, implementation schedule.grievance redressal mechanism, costs and budget implications and monitoring andevaluation of the resettlement components. The important Annexures are included withthis report, while Volume II includes Annexures on implementation.

1.2. Objectivesa. To present the adverse impacts associated with land acquisition and loss of other assets

with the implementation of Karnataka State Highways Improvement Project;

b. To present the entitlements for the affected persons for payment of compensation andassistance for establishing the livelihoods and;

c. To present an action plan for the delivery of compensation and assistance in accordancewith the policy adopted for the project.

1.3. Project Overviewi. The initial task *was to conduct a feasibility study of the technical. environmental and

social aspects of the 2505 km of roads prioritised by the Client. The Highway DesignModule Manager programme (a version of HDM-I1l) was used to establish which roadswould offer the best economic prospects for upgradation and major maintenance. Resultsare presented in the First Interim Report. A list of the 12 Corridors' studied forupgradation and major maintenance for Phase I and II is given in Tables 1-1 to 1-4 anddetailed in the Map given in the Annexure 1, of this report.

Corridor 7 has been excluded frorn the studv by the Client.

Scott Wilson / CES / lIIE

Karnataka State Highwavs Resertieme:t ActLIo PuImprovement Project Cnarte.Introduction and Methodologe

ii. Social and environmental mitigation measures will be incorporated into the constructionworks contracts for the selected roads. for Phase 1. The Civil works will begin after theimplementation of resettlement and rehabilitation work. which is to be implemented over aperiod of four years. Construction works wvill be implemented over a period 48 months forPhase I upgradation roads.

iii. Roads selected under upgradation would primarily involve widening the existing roadformation to a 12m wide new formation and strengthening certain weaker sections ofroads. Incase of major maintenance, a design overlay is being provided by correcting theexisting profile to improve the existing condition of road.

iv. Improvements proposed under the project are mainly along existing roads and most of theimprovement works will be confined to the existing Right-of-Way (ROW). In instances,of insufficient ROW to accommodate proposed improvements. additional ROW will needto be acquired through acquisition of private and other lands. In a number of cases,realignments will also require land acquisition. This land acquisition will also entailacquisition/displacement of other assets and structures. The losses may be temporary orpermanent and the impact may be individual or community based.

v. The three main tasks involved in the preparation of RAP, based on the Phase I upgradationRoads are:

a. To provide information on social impacts as part of the preliminary screening of roadsections;

b. To verify the legal boundaries of the ROW along with concerned PWD and revenueofficials, documenting existing structures, land plots and other physical assets withinthe ROW to establish the cut-off date for entitlements in accordance with the policy tobe developed: and

c. To provide the socio-economic baseline information required for preparation of theentitlement framework.

vi. In continuation to the above the Phase II tasks involve:

a. Completion of PAP census and survey, Right-of-Way determination, and delineationof project impact corridors;

b. Verification of Project Affected Persons and the amount of their compensation andassistance;

c. Consultation with Project Affected Persons on their entitlements and;d. Implementation of resettlement, relocation and rehabilitation.

Based on Phase II surveys, Addenda will be prepared updating this RAP with thelatest information.

1.4. Social Assessmenti. The project's social impacts and resettlement component included assessment of social

impacts of the project and development of appropriate mitigation plans as required basedon Phase I upgradation links. To facilitate the preparation of RAP, social assessment iscarried out in close co-ordination with environmental assessment and includedconsultation and participation of project stakeholders, local communities and potentiallyaffected groups. The assessments also contributed to engineering design and in thepreparation of social and environmental action plans governing project implementationand the resettlement and rehabilitation of those who mav be displaced or suffer loss ofassets and/or income as a result of road improvements.

ii. The social impact assessment and resettlement planning component has five mainelements:

a. Early screening and social impact assessment as part of project feasibility studies;b. Preparation of resettlement and rehabilitation entitlements and policy frameworkc. Census and baseline socio-economic survey of the potentially affected population;

2 Scon Wilson I CESI IIIE

Karinawk2st!lle\a

Imorovemren Proici Introduction anJ NMntnodojon

d. Public consultatione. Preparation of a Resettiement Action Plan (RAP)

iii. A full census survey was undertakeni to rezister and document the status of the potentialikaffected population within the project impact area. in terrms of their assets. and sources oflivelihood. This census is complete for the Phase-I upgradation roads. It provides the basisfor establishing a cut-off date for determining who mav be entitled to relocation assistanceor other benefits from the project. In addition to this a socio-economic sample survey of 25per cent of the PAFs covered under the census was also undertaken.

iv. This survey provides a baseline against which mitigation measures and support will bemeasured and includes comprehensive examination of people's assets. incomes. importantcultural or religious netWorks or sites. and other sources of support SUCih as commonproperty resources. Analysis of survey results examined the needs and resources ofdifferent groups and individuals. The survey also provides the baseline for monitorinIg andevaluation. The results of the survey are discussed in Chapter 3.

v. There was no detailed socio-economic survey of the Major Maintenance roads.Encroachment and congestion on these roads were observed during the reconlaissancesurvey. However since the Major Maintenance roads did not have any physical verificationcomponent, no PAPs were identified. However, if people have moved into the maintenancecorridor by the time the civil works start, the PAF/Ps identified will be dealt in accordancewith the R & R Policy and this RAP. An officer who is not directly responsible forimplementation, to ensure objectivity. will certify this. The operationalization of thisactivity has been elaborated in Chapter 4 under institutional arrangements.

1.5. Right of Way and Corridor of Impacti. The Right of Way is the lawfully acquired corridor of public land owned by the State

Government and administered by the PWD for the transit of the existing road. Usingavailable records with the PWD and the Revenue Department. the social team verified theboundaries of right of way as well as boundaries of private properties within and in thevicinity of likely corridor of impact as provided by the design engineers.

ii. For this project, displacement is limited to the corridor of impact. The corridor of impact isthe width required for the actual construction of the road, including carriageway. shoulder,embankments and longitudinal drainage. Within this corridor there should be no structuresor hindrances. The objective of social input to project design was to ensure that the corridorof impact was modulated, within acceptable design principles and standards, to minimisedisplacement and other project impacts.

1.6. Need for resettlement and rehabilitation in the projecti. The detailed studies undertaken in preparation of the project show road-wideningr and the

other improvements proposed, will impact residences, businesses, shrines and places ofworship. agricultural lands, public buildings. and infrastructure. Most of the infrastructurework planned for the project will take place within the established ROW. Before the projectcan be implemented, land must be acquired by PWD whereever ownership rests Xwithprivate individuals.

ii. Resettlement will be required only where residential, commercial andresidential/commercial buildings must either be fully demolished or taken to the extent thatthey are rendered uninhabitable. Displaced residents of these buildings will be resettled.Similarly affected businesses and other public and religious buildings and structures will berelocated. Rehabilitation will be required where project impacts result in lost livelihood orincome. In these cases, it will be necessary to restore the economic status of affectedpersons to at least pre-project levels.

iii. In most cases, the project will not require full demolition or the taking of residential orcommercial structures to the extent that either resettlement or relocation will be necessary.

3 Scort Wilson / CES / IIIE

Kamataka State Htghwaxs keseilemenT Actior P,Improvement Proiect CnaPIc.Imtroduction and Methodoloe

Generally, only a narrow strip of 1-2 meters or less will be affected. Frequent}!. this meansthat only a compound wall or fence, yard. extending awning, or sign must be removed, Insome cases, small portions of roadside dwellincs and businesses will be taklen. Only rarelhwill it be necessary to take entire residential or commercial structures. In all cases.however, compensation and/or assistance will be provided depending on the status andextent of the property taken.

iv. Affected private landowners are entitled. under law. to compensation. While squatters andencroachers are not entitled to legal compensation for land they have occupied, the projectwill give targeted support to ensure that they are able to maintain shelter and livelihood.

v. The project requires additional land to accommodate the proposed highway improvements.In most cases, the land required is immediately adjacent to the current carriageway and isneeded for road widening, side slopes of raised formation levels, and drainage ditches.Improved junctions and intersections, new bridge approaches, and minor alignmentadjustments to improve geometric alignments such as curve straightening also requireadditional land. No new bypasses are being considered in Phase 1. The additional landrequired by the project falls under several classifications:

a. Public land owned by the State Government and administered by other Departmentssuch as Revenue;

b. Public land owned by villages or other local governments; andc. Private land.

vi. Other than PWD, the Revenue Department and local bodies hold public lands. In the eventof the project requiring any of these lands, the PWD will have to take steps to effectnecessary transfer. The estimated extent of government land that needs to be transferred is4.71 ha.

vii. Private lands are those owned by individuals. Generally, ownership of these lands isrecognised by legal title. For agricultural land this record is called the 'Record of Rights,Tenancy and Crops". In Gramthana/urban area ownership of house is recorded in the'Gruhapatra'. Where privately held land is required for the project it must be acquired byPWD on behalf of the GOK under the Land Acquisition Act (LAA) as amended in 1984.

viii. In some cases, there is untitled private lands or common property with traditionalusufructuary rights which may be required by the project; PWD must also acquire themthrough purchase, applying the same principles and provisions provided to title-holders bythe LAA.

ix. Project-affected private landowners are entitled, under law, to compensation. Displacedsquatters and encroachers are entitled, within the RAP, to support and assistance. In caseswhere Government is unable to prove ownership and the residents can demonstrate legaltitle, proper compensation under law will be paid to those losing land or assets. In Link IAat Yermarus Village and Link IB at Askihal village in Contract U5, there is a dispute ofownership of property. In these cases the project-affected persons will not be categorised assquatters and encroachers till the ownership is established. Compensation will be paid tothese displaced or affected persons as per the policy guidelines.

1.7. Magnitude of Impactsi. The Phase II estimates have been made on the basis of the likely characteristic of the

roads. Assuming a 20 m Corridor of Impact the land acquisition estimates are high asthe ROW may not be insufficient. The level of encroachment and squatter developmentis higher in the towns of Phase 11 upgradation in comparison to Phase I towns. Townslike Mudhol, Nargund, and the Semi-urban settlements in link 1K near Belgaum haveconsiderable encroachments.

ii. However if bypasses are to be considered land acquisition estimates will be higher.Assuming a total length of 50 kms, with a 30 m ROW the land acquisition will be about


Irnrro'~m.-:- Prol: cX Irroai.:z.= and NleiodoioT.

149.80 ha. The total project ihpacts considering all categories or squaners. encroaciners.owner and tenants are given belox.

Table 1-1 Total Project - Impact Categories

Impact Categoor Phase I Phase II (Best Bypasses I Totalestimates) (Best

__ _ _ _ _ _ _ _ _ _ _ __ |__ _estim ates)Severe Impacts (no. of Households)Loss of house 109 300 30 439Loss of livelihood 211 500 60 771Loss of house and livelihood 22 100 20 142SUBTOTAL f342 900 t 1101 1352Minor impacts * (No. of households) 411 890 100 1 1401Land acquisition- private (in Ha.) 4.67 89.07 149.80 248.25Land acquisition - government 4.71Proposed road lengths 396 560 50 1006

Minor impacts include loss of pan of assets. w\hich mostly restrict to payment of cash compensation or giving advancenotice. Severe impacts include those who lose their houses or livelihood or both and require assistance in addition tocompensation for loss of assets.

iii. Since the Above Poverty Line squatters and encroachers are not entitled to anyassistance, the PAPs who are entitled to assistance and compensation in total are 255PAPs in Phase 1. The impact categories are as follows:

Table 1-2: Impact Category - Eligible Project Affected Families

Impact Category Phase ISevere Impacts (no. of Households)Loss of house 26Loss of livelihood 60Loss of house and livelihood 7Sub total 93Minor Impacts 162Total Impacts 255

1.8. Minimising Resettlementi. Major efforts have been made to reduce the potential direct negative impacts of the

project on the social environment. Social concems were considered carefullv in projectpreparation along with more conventional technical and economic considerations. Socialconcerns have ranged from slight shifts of an alignment to avoid places of worship topreventing the loss of irrigation bore wells wherever possible. Other inputs includeattention to safety features. such as providing a footpath or railings to protect pedestrians.and measures to minimise social impacts, such as narrowing the corridor of impact toavoid pulling down buildings in built-up areas.

ii. Final desiens reflect collaboration to find the best practical solutions to complex roadsideconditions. Not only have negative impacts, especially displacement. been minimised. butthe project's positive impacts on communities have been extended and increased.

1.9. Project Design Contexti. Project design occurs in multi-leveled context in which focus and emphasis shift over the

project preparation period. Design inputs include economic. technical/engineering.environmental and social- particularly displacement, right of way and land acquisitionconsiderations.

5 Scott Wilson ICES/ I[IE

Karnataka State Highwa%s hk-:utemel ActIOn. Pia;Imrprovement Project ChapterIntroducton and Methodoioev

ii. At the macro level the project is based on the feasibilin studies prepared on the basis ofeconomic, social and environmental factors and conditions. This includes preliminarydesign inputs. At this level links were identified based on their EIRR. At the next level,preliminary engineering designs criteria including cross sections. corridor of impact. anddesign speeds are issues addressed. At the micro level, road-specific issues are taken intoconsideration; for example. a shift in alignment to avoid demolishing a place of worship,or an irrigation point.

iii. Social assessment findings, including insights gained from consultations, played animportant role within the design context at each of these levels. Efforts to minimisedisplacement and to avoid. reduce, or mitigate rehabilitation and other social impactswere concentrated at the level of project design and detailed engineering. Aspects of thisdesign context, including ROW and COI, cross-sections, and other features and theassociated opportunities for minimising adverse project impacts are outlined below.

1.10. Land Acquisition and Strip Plansi. The census survey data has been provided in the Social Strip Plans. The field data has

been superimposed on the engineering drawings. Summary sheets have been attachedwith the strip plans giving details of the surveyed structure/land. The details in thesummary sheet include PAF ID. survey no., type of land /structure, area affected etc.Since the engineering drawings are based on actual topographic survey using TotalStation and the socio economic survey has been carried out manually there is likely tobe a discrepancy (marginal) in the actual areas to be acquired. The land acquisitiondetails have been provided in Annexure I, Table I -I in Volume II.

1.11. Design Cross- Sectionsi. Basically, three types of improved road cross sections are proposed in the project. They

are:

a. The urban cross-sectionb. The rural cross-sectionc. The village cross-section

ii. The urban cross section is similar to the village cross section and consists of a minimumof 3.5 Mts. width paved shoulder and a 10.5 Mts. divided carriageway. The 1.5 Mts.wide raised kerb footpath, which covers the drain below. is proposed at the either endsof the carriageway. In addition, a raised kerb median of 1.2 Mts. width is proposed incase of 4 lane divided carriageway.

iii. The rural cross section consists of 3.5 Mts. carriageway with a 1.0 Mt paved shoulderand 1.5 Mt unpaved shoulder with necessawy drainage facilities.

iv. Finally, the village cross-section, a cross section similar to the rural section of 3.5 Mts.lane is proposed. The paved shoulder is proposed to be 1.5 Mts. wide. The figures onthe three types of cross-sections and details of speed as per IRC norms adopted for thedesigning purpose is detailed Chapter 3 - Detailed Road Design of the Final Report:Detailed Engineering Design. The three typical cross sections adopted have been givenin the Annexure I in Figure I - I of Volume II.

1.12. UrbanNillage Areasi. In urban areas, the social team provided assistance in the design of the highway through

built-up areas. This is done by identifying potentially affected building andcollaborating with designers to avoid them without compromising design andengineering integrity. The alignment was then fixed so that its impact on actualindividuals, families and the community as a whole was minimized.

6 Scon Wilson / CES t HE

tramataka State Hign2ma -ims. ActhN'lm7rovement ProiectIntroduction and Nlelhoaoic''.

ii. The improved highway width was also adjusted to minimize the number of buildingsthat would have to be acquired to accommodate the alignment. In urban areas whierethere is sufficient room, parking areas were prov ided in an effort to reduce congestioni.

iii. The improved highway design has also incorporated safety features that will attempt toreduce the speed of vehicles through the urban areas. Extensiv e signage complementedby speed bumps to reduce speed at the approaches to built-up were incorporated indesigns to provide information to drivers to reduce speeds. A similar design approachwas also adopted in the vicinitv of school and hospitals.

1.13. Mitigation of adverse impactsi. Mitigation measures largely focused on settlement areas along the project roads.

Villages/towns along the road are zones of maximum potential impacts. The mitigationefforts incorporated into designs are focused on minimizing resettlement and safetymeasures. Safety issues and concerns are addressed at all settlements. Accident-proneareas are identified as part of engineering design and corrective measures likerealignments. culverts. bridges. signage etc. were selected as appropriate. As part ofdetailed engineering studies, all accident-prone areas like urban areas and the vicinihy ofschools and hospitals are delineated. Strict speed restrictions are imposed in such areas.

ii. When choosing among design options, through a built-up area. minimization of adversesocial impacts including displacement were major criteria. This practice will continuethroughout the project preparation period.

iii. The social impact mitigation efforts included:

a. At built up/ village sections where the road width is insufficient for expansion, designalternatives include options for realignments and for modifying the proposed roaddesigns, such as reduction of the shoulder widths.

b. Straightening of curves and bends for better geometric design. In case where it affectssettlements, alignment changes were indicated.

c. Minimal impact on residential and commercial structures thus minimizingresettlement and loss of livelihood.

d. Paved shoulders to be maintained as far as possible to facilitate movement of non-motorized traffic.

e. Avoiding unnecessary displacement by modifying project alignments, reducing thewidth of the corridor of impact, or modifying design based on rural and urban crosssections. Where demolition of structures is absolutely necessary, design alignmentwill be such as to effect structures only on one side of the road, thus restrictingimpact to only one side of the road.

f Reducing design speed in built up areas;g. Reducing impacts on existing shrines and worship places;h. Providing suitable safety measures, such as speed reductions near schools and

hospitals:i. Minimizing the raising of roads in urban areas to prevent water seepage to the houses

adjoining the roads and;j. Providing access to businesses and residential units that would be otherwise impacted

bv construction: and minimizing losses of public and private property, such as tubewells. tree plantations and other common property resources within the ROW. byminimizing the width to be cleared.

1.14. Road safetv concernsi. The main concerns of road safety addressed in designs are:

a. The presence of road side trees, poles, ditches., steep slopes and barriers: While theproject is largely confined to existing alignments. the rehabilitation and wideningactivitv will raise, extend and enlarge existing road embankments at some locationsor require new embankment construction, e.g. where drainage structures are added at

7 Scott Wilson i CES / IIIE

karnaaka State Highwavs Klesctiemen: Actiort PNaOImprovement Project Cnan'lr.IntToduction and Methodolon.

points. This called for sensitive drainage designs draininz away water from theembankment vicinity especially if the village was located at a lower elevation.

b. The use of signs. road markings: Road markings. cautionary. mandatory andinformatory signs. delineators and object markers. guard rails. crash barriers. roadhumps and rumble strips, reflective pavement markers. median and footpath markershave been used. Chapter 3 - Detailed Road Design of the Final Report: DetailedEngineering Design. discusses each of these safety measures.

c. Roadside access, parking. bus stop and truck lav-by arrangements: Speeding vehiclescommonly fail to reduce speed or stop when approaching road side access roads,parking and bus stops. In these locations, sufficient space to pull off the roadway wasprovided. Anywhere the shoulders can be used for this purpose. At railway crossingsadditional traffic safety measures, such as, road signs, pavement marking, rumblestrip, flashing signal have been provided. Additional widening and all othergeometrical features are designed to fulfil the requirements of the IRC guidelines.

d. Provision for pedestrians, livestock and non-motorized traffic: In urban areasprovisions for pedestrian walkways are provided in the urban cross section. In therural areas the paved shoulders should be used for this purpose.

1.15. Integration of social assessment and project designi. Road design was based on co-ordination among three teams, viz., the design, the

environment and the social teams. In the final designs, the mitigation measuresincorporated had the following results:

a. Avoiding unnecessarv displacement by modifying project alignments, reducingthe width of the corridor of impact or modifying design

Geometric realignments, which require additional land acquisition, have been designedmainly to straighten out curves and increase safety. Realignments have been modified inContract Ul, U2 and Link 60 in Contract U3, to avoid affecting private property andstructures. The corridor of impact has been reduced through all built up areas, especiallyat Bijapur, Sindhnur, Manvi and Yermarus. In Contract Ul and U2, design was modifiedto accommodate shrines and places of worship in the shoulder. The same has been doneat a number of other sections. In Contract U4 the COI was reduced in the Bijapur Citysection, with providing only a 7m carriage way and covered drains of 2m on either side.This is less than the surveyed COI of 13.6m. The initial alignment suggested atHallikhed village in Link 60 in Contract U3, which affected a large number of structuresis changed back to the existing alignment after discussions with the people of the village.This issue was discussed during the stakeholders workshop, where the project affectedpersons brought to the notice of the project authorities the problems with the changedalignment. Further on this link another realignment was reverted back to the existingcenterline as the design was affecting the water supply for irrigation of the agriculturalland a PAP.

b. Reducing design speed in built up areasThe project roads have been designed for highway speeds of 80-100 kms. per hour.However in all urban/ settlement areas the design speed was limited to 50 kms. per hour.

c. Reducing the width of corridor of impact based on rural and urban crosssections

The Corridor of impact, i.e., the zone including the carriageway, shoulders,embankmrents and drainage in rural areas is 20 mts., in some cases the COI extendsmarginally beyond these structures. The urban cross section has a minimum of 10 mts.Reduced cross sections can be seen at Bijapur, Manvi, Sindhnur. In Link IA in ContractU5, in Yermarus village the COI was reduced to avoid affecting structures on both sidesof the road. At the end of this link near Raichur City the COI was again adjusted to

8 Scott Wilson / CES / IIIE

irnproemern: Proie: t 21introcuciion and Metnodo,o-

prexent affecting a graveyard. In Liik IB at Askihial village the COI %a3 again reducedto avoid impact on the structures on either side of the road.

d. Reducing impacts on existing shrines and religious structuresIn many cases the design cross section has been reduced or redesigned to protect shrines.In the intial survev there were 42 shrines. 30 places of worship and I samadiii survevedwithin the COI. Reductions in cross sections have been made to accommodate thesereligious structures. These have been done throughout all the contracts. Onl afterdiscussions with the local people regarding reiocation of the structLre a decision wasmade and the alignment fixed. In certain locations alternative alignments were proposedkeeping in view either the design speed or minimum deviation from thle existingcenterline. In the final designs onlv the following are getting totally affected - 14 placesof worship and 27 shrines. This is assuming that if more than one third of the structure isgetting affected it is considered as totally affected.

e. Providing suitable safetv measures, such as speed reductions near schools andhospitals

Engineering team has designed pedestrian crossing designs near schools. with sguard railson the pavements outside the school. signage and speed reductions in city and villaaelimits. In contract U4 the boundary wall of a college and school on the right side of thealignment was getting affected. The extent of loss for the college boundary wall has beenreduced from 9100 sqm., during the initial survey to 629.42 sqm. in the final design. Inlink 5B, in Contract U2, alignment adjustments were made to avoid going through thecompound of the Govemment Hospital at Sindhnur town. The new- design alignmentkeeps to the existing road with no part of the hospital getting affected.

f. Minimizing loss of public propertv, bv minimizing the COIWells/ pumps within the proposed construction zone were avoided wherever possible byshiftinz the alignment; or. if this was not possible, by relocating the structure. In caseswhere these facilities or features are to be relocated, temporary alternative Xwater sources(new wells. trucked potable water) will be provided to ensure daily access to potablewater. The following common resources were identified during the survey: 38 busshelters.l grazing land, 56 hand pumps and 7 wells. In the final designs 14 aralikattesPraver Platform built around a sacred tree, some times some Hindu deities are installed

on the platforn under the sacred tree), 23 bus shelters, 40 handpumps and I well whichare getting totally affected.

g. Provision of rest areas, midwavs, bus bays, truck lay bves and other amenitiesto road users:

Rest areas have been incorporated in the engineering designs. Rest areas will be locatedat a distance of every 100 kJm. The rest areas will be formed subject to the availability ofland. Contracts Ul, U2 and U5 have been taken as one contiguous section. Raichur citvwill provide facilities for the road users. Starting at Raichur the next rest area is to bebetween Sindhnur and Gangavathi at around chainage 24+00 in Link 5B. Beyond thisthe road passes through Gangavathi town upto Budugumpa Cross where the road meetsNH 13. Contract U4 is between Bijapur and Tikota and covers only a distance of 20 km.This is too small a link to recommend rest areas, with Bijapur City serving as a nodalpoint. In contract U5 on links 6L, 6M. 6N, 60 and 6P, starting at Hattigudur. close to thefirst 100 km will be the City of Gulbarga, which will provide rest facilities to the roadusers. The next point of rest would be at Bidar City. where midwav/restaurant facilitiesexist. To improve safety, bus lay-byes with shelters were incorporated in desizn at theidentified locations. Their specific positioning took into consideration town and villagelocations and important road junctions where bus routes meet.

Truck lav-bys have been identified in Contract U5 in Link IA at chainage 1+628, inContract U3 in Link 6N at chainage 1+300 and in Link 60 at chainage 4+050.

9 Scon \Viison / CES I IIE

Karnataka SEate High%%a)s kcscnlemcL: Acnic- P.zImprovement Project Cn2n:.Introduction and MethocoIoz'

1.16. Cultural propertiesi. There are no sites of archaeological importance or sacred groves within the COI for

both Phase I and II. The project authorities. before demolition will replace culturalproperties such as places of worship which are getting totally affected. Theidentification of alternative site will be done bv the NGO in consultation with the localuser population of that particular cultural property. The alternative site for constructionwill be provided by the GOK. In case government land is not available, the projectauthorities will have to buy land to replace the cultural property. The AssistantCommissioner Land Acquisition will be responsible for the acquisition of land. Thetotal area required for the relocation of places of worship (those getting totally affected)is 390.995 sqm and for shrines is 394.61 sqm.

ii. In cases where the cultural properties are partially affected the project authorities willcompensate only the affected portion if outside the ROW. The design section hasmaintained cultural properties in the shoulders as far as it is technically possible. Onlythose cultural properties getting totallv affected will be replaced. These include 14places of worship and 27 shrines.

iii. The design team,has avoided disturbing graveyards. There is an existing graveyard inLink IA near Raichur town. Here only the boundary wall of the graveyard is gettingaffected. In link 2A there is a proposed graveyard, which does not fall within the COI.Table 1-2 in Annexurel of Volume 11 provides the list of cultural properties gettingaffected by project design. The table provides contract wise details along with the totalarea and the area getting affected.

1.17. Community Assetsi. The project authorities will replace all community assets getting affected. The location

of such facilities will be in consultation with potential users in co-ordination with theimplementing NGO. All community assets getting affected need to be replaced beforecommencement of civil works. The timetable for replacement of community assets isgiven in the implementation schedule in Chapter 4. The replacement of the communityassets will be undertaken simultaneously in all the contract packages, as the civil worksis expected to start simultaneously in all the packages. The project authorities will beresponsible for the construction of the affected community assets. After construction thecommunity assets will be handed over to the Zilla Parishad for maintenance.

ii. All hand pumps getting affected will be located depending on availability and depth ofwater table. Water points, public taps and wells getting affected will also be similarlyreplaced. All affected aralikattes, will be built by the project authorities, and in sitesidentified by the project-affected groups and the co-ordinating NGO.

iii. The project authorities will replace the 23 bus shelters getting affected by widening ofthe road. The location of the bus shelter has been decided on the basis of the frequencyof usage and design requirements. There are 16 bus bays, which have been located inthe vicinity of the existing bus shelters getting affected. The project authorities willconstruct bus shelters at all the bus bays. In the remaining 7 locations where there are noproposal for bus bays but the bus shelters are getting affected the project authorities willhave to replaced at the nearest location possible depending on the availability of land.The cost of replacing the bus shelters is provided in Chapter 4.

iv. There are a number of community assets, which fall into the 'others' category. Theseassets are either private or owned by the government. Some of the assets identified aretraffic islands, police check posts, railway crossing cabin, sign posts/boards on aconcrete platform etc. A majority of these are found in Contract U3. The projectauthorities will replace all project-affected assets. Tables 1-2 and 1-3 in Annexure I,Volume II provides the list of community assets getting affected by project design. Thetable provides contract wise details along with the total area and the area gettingaffected.

10 Scon Wilson / CES / IIE

Chapter 2R&R Policy Framework

Kamnataka State Hi2hwavs Rcscit;menn Aciion PianImprovement Project Chapter 2Resettlement Policv Framework

2. RESETTLEMENT POLICY FRAMEWORK

2.1. Backgroundi. The resettlement policy for the project is prepared according to the principles of the

R&R policy of the KSHIP, GOK. the World Bank's Operational Directive -O.D. 4.30for Involuntary Resettlement. The policy also takes into consideration the GOK, R & RPolicy for Project Sea Bird. at Karwar and the Upper Krishna Project at Almatti. Thepolicies of other World Bank-assisted State Highway projects in India. have also beenreferred to.

2.2. Principlesi. The R & R policy is based on the principle that the population affected bv the project

will be assisted to improve their former living standards. The policy emphasizes thatinvoluntary resettlement will be avoided or minimized where possible by exploringother alternative project designs. Where displacement is unavoidable, people loosingassets, livelihood or other resources shall be assisted in improving their former livingstandards.

ii. The policy document describes the details of entitlements and type of assistance to beextended to the affected persons, which will become the basis for preparing theResettlement Action Plan (RAP). The RAP will contain the implementation details onhow to ensure that principles and provisions of this policy can be implemented.

iii. The policy identifies categories of expected project impacts, including loss of propertyand assets, loss of livelihood, and other social and economic impacts on groups androadside communities. All people, households and groups adversely affected by theproject would be registered and support will be given in accordance with these policyprovisions.

2.3. Impacts and entitlementsi. The policy addresses the direct and the indirect impacts of project construction and

operation on affected persons, families, households, communities, and groups. The mostdirect and immediate impacts are those associated with project construction, mainlyland acquisition. Other losses include loss of shelter, and other assets within theproject's corridor of impact; as well as roadside structure, business establishments andpublic facilities. Mitigation is provided through compensation and assistance to project-affected persons, families, households, and groups. These social units are entitled tocompensation and assistance on the basis of this policy framework adopted by theproject. The policy provides mitigation for:

* loss of assets, including land and house or work place;loss of livelihood or income opportunities; and

* Collective impacts on groups, such as loss of community assets, commonproperty resources, and others.

ii. Loss of assets and livelihood are impact categories that represent direct project impactson an identified population. The people likely to be affected will be surveyed andregistered, and project monitoring and evaluation will compare long-term impactagainst baseline socio-economic data.

iii. Collective impacts on groups represent direct and indirect impacts, where groupmembers need not be individually registered. Group-oriented gains and losses in thiscategory are less quantifiable in terms of impacts on the individual. Mitigation andsupport mechanisms are collectively oriented, and the monitoring of these efforts willexamine the impact and benefits for the groups involved.


Kamazakai Staw tiJfjL\nN\ knS-t Amlr.: PcUC _

improN ement P'roiec:Resettlement Polic% Frames or.,

2.4. Definitionsi. JUnder the resettlement policx adopted for the project. several categories of projeci-

affected persons are recognized with varying eligibilit\ for the compensationi andassistance packages. The project affected persons would be entitled to eitnercompensation or assistance or both. The relevant considerations are described below:

a. Private Property Owners: Are those who have legal title to iand. structure andother assets.

b. Squatters: Are those who have illegally occupied government lands for residemrial.business and or other purposes. They are not eligible for compensation but wouldqualify for assistance and targeted support if they are below\ poverty line.

c. Encroachers: Encroachers are persons who have extended their building.agricultural lands, business premises or work places into government lands. As arule. the\ are not eligible for either compensation or assistance. The assistance tothese persons will be on case to case basis provided that they are below the povertiline.

d. Tenants: Tenants are those persons having bouafiade tenancv agreements. writtenor unwrinen. with a private property owner with clear property titles, to occupy astructure or land for residence, business or other purposes. Thev are elioible forcertain compensation or assistance as per the existing norms and practice.

e. Project-Affected Families (PAFs), are defined to include each adult displacedperson his/her spouse. minor children and other dependents who habitually reside inone household.

f. Project-Affected Persons (PAPs) are persons who have economic interests orresidence within the project impact corridor and who may be adverselv affecteddirectly by the project. Project-affected persons include those displaced, those losingcommercial or residential structures in whole or part. those losing agricultural land orhomesteads in whole or part, and those losing income sources as a result of projectaction.

g. Project Affected Groups (PAGs) are groups or communities outside the immediateimpact corridor that may be affected by the project with a focus on the more vulnerableor weaker groups in society.

h. Cut-off Date: The date of Notification under Section 4 (1), will be the cut-off datewhere land acquisition will be required. In the case of squatters and encroachers andunauthorized occupants the date of the Project Co-ordinating Consultants socio-economic survey will be considered as the cut-off date for entitlements under theproject. For the purpose of recognizing adults (above 18 years) for economicrehabilitation. the date of extending assistance or payment of compensation will beused for determining economic rehabilitation. This applies in case the payment ofcompensation or relocation if delayed beyond two vears. For the purpose of identifvingbelow poverty line famiiies, the cut off date is the date of census survey.

i. Povert Line based on the Planning Commission norm for GOK and 20% above thisline.

j. Vulnerable groups are those groups such as women-headed households.handicapped/disabled and landless families, who will be dealt with on a case to casebasis. The specific assistance for these groups will be reflected in the RAP.

k. Compensation refers to the amount paid under the Land Acquisition Act for privateproperty. structures and other assets acquired for the project. In this context.compensation refers to payments made by the government when Eminent Domain isexercised and title of a property is transferred from a private entity to the government.

12 Scott Wilson / CES, IIE

Karnataka State Highways Resettlemcnt Actio.. Pia-.Improvement Project Chapter 2Resettlement Policv Framework

1. Consent Award is the amount that the PAP negotiates with the project authorities. forthe loss incurred. on a willing buyer-seller basis. Once the amount is agreed upon thePAP cannot move to court for enhancement of the amount. This amount is negotiatedbetween the GOK and the land /structure owner on a mutuallv agreed price withoutany preconditions.

m. Replacement Cost of the acquired assets and property, is the amount required for theaffected household to replace/reconstruct the lost assets through purchase in the openmarket. Replacement cost will be calculated at PWDs current Schedule of Rateswithout depreciation.

u. Assistance refers to the support provided to PAPs in the form of ex-gratia payments,loans, asset services. etc. in order to improve the standard of living and reduce thenegative impacts of the project.

o. Gramtbana refers to non agricultural land within the village built up area.

p. Any other unidentified category not yet identified, shall be documented andmitigated based on the principles agreed upon in the KSHIP social impacts andresettlement policy.

2.5. Entitlement Matrixi. The entitlement matrix will guide to offer compensation and assistance to persons

affected by the project. The detailed entitlement matrix is provided in the Annexure 2 ofthis report.

2.6. Support Principles For Categories Of Impactsi. The entitlement unit for assistance is the family unit (PAF). If a household asset is to be

taken, the family, as a collective unit, will be "entitled". Compensation will be given tothe head of the household and, when new land or structures are given both the husbandand wife's names will be placed on the title. Entitlements provided to project-affectedfamilies also include a shifting allowance, subsistence allowance, rights to salvagebuilding materials and counselling on alternative assistance.

ii. The project will ensure that new housing is made available before people are required torelocate. The project approach will be to minimize relocation distance and thedisruption of local support networks. Resettlement sites will be provided as an optionand households may' still elect self-relocation. In such cases, compensation and othersupport will be provided to self-relocating households and project will assist andfacilitate their resettlement process. If resettlement sites are developed as part of theproject, the local host population will also be consulted about their views and needs, andbe given appropriate support to reduce any negative impact caused by an influx of newpeople.

iii. Early census survey will identify all potentially affected people, whether inside theROW or outside and also in cases of realignment or ROW extension. A cut-off date willbe determined for each of the project roads. Opportunistic encroachments and squattingtaking place after this date will not be considered eligible for support under this project.Wherever Government land is available beyond the corridor of impact, project affectedfamilies will be shifted there to continue their business.

iv. The project may generate unskilled labour for construction, operation and maintenance.These jobs will be offered to PAPs and other local people. A clause will be incorporatedin project construction documents requiring contractors to give a small percent of theemployment opportunities to eligible unskilled and semi-skilled PAPs and local peoplewhen they possess necessary qualifications and ability. The complete R & R policy isenclosed in the Annexure 2 of this report. The monetary implications of the provisionsin the R & R Policy and the details of the entitlements are given in Chapter 4, in thecosts and budget section.


Chapter 3Social Impact Assessment

Kamataka State High wa\s Resetnicenient .AnIon fPanImprovement Project Ch3pt.Social Impact Assessment

3. SOCIAL IMPACT ASSESSMENT3.1. Introduction

i. This chapter has two sections. In Section One. main findings of the census and the socio-economic survey of Project Affected Families \Persons (PAFs and PAPs) are presentedand in Section Two, the outcome of Public Consultations held during the census isdiscussed. While the findings of the census and the socio-economic survev helped inmeasuring the magnitude of social impacts on the PAFs and PAPs, the publicconsultation exercises facilitated in seeking necessary feed back on the expected levels ofcompensation/compensation packages as perceived by the representative stake-holders(PAFs/PAPs) in the project area. This section also contains a summary of observationsand comments of various participants who attended a State-level Stakeholders Workshopon the mitigation measures contemplated in the R & R Policy of Govemment ofKarnataka.

Section 1: Census and Socio-Economic Surveyi. This section discusses the results of census and socio-economic survey undertaken for

Phase-I of the project based on the final engineering designs of the roads proposed forupgradation. Further, it fumishes guidelines for census and socio-economic survey to becarried out for subsequent project phases and analyses the findings of the census andsocio-economic survey conducted by KPCC team. The census and the socio-economicsurvey were required in order to generate necessary data/input for preparing theRehabilitation Action Plan. Successful implementation of the RAP depends onappropriate and accurate census and socio-economic surveys of PAFslPAPs. The survevsprovide a baseline measurement of potential impacts on affected families/persons thatform the eligibility criteria for entitlement spelt out in the R & R Policy of the KSHIP.Two kinds of surveys were undertaken during project preparation:

a. Census verificationb. Sample socio-economic survey

ii. The objectives of the census verification were:

a. Provide information regarding project impacts in order to facilitate designing ofvarious components of the RAP, especially R&R entitlement;

b. Minimise the influx of outsiders to the affected area;c. Identification of PAPs by effect categories;d. Enumeration of PAPs assets and land holdings;

iii. The cut off date for legal title holders is the date of Notification under Section 4 (1) ofLand Acquisition Act. The date of census survey is the cut-off date for those who do nothave legal standing (like squatters and encroachers). The cut off date will be used toestablish whether a person located in the corridor qualifies as a PAP during theimplementation of the various phases of the project. However, persons not enumeratedduring the census, but are able to prove their stay in the project corridor, will beconsidered for entitlement.

iv. The objectives of the sample socio-economic survey were:a. To attach actual values to key indicators of the PAFs\PAPs social and economic

status and their vulnerability to socio-economic change due to the project.b. To assess use / dependence on common property resourcec. To provide a baseline needed to monitor and evaluate entitled persons in the

future; andd. To provide further inputs in the preparation of RAP.

14 Scott Wilson / CES I IIIE

KaMr.ataka State Hb1)t Ra.::cmero: :AcIoUlal

lmrroe emen: Protect Cnat.Social Impact Assessment

3.2. M1ethodology and Data Basea) Census of Project Affected Persons

i. Census of households and individuals located within the project s Corridor of Impact(COl) was undertaken to register and document the status of tihe poientiallh affectedpopulation within the project impact area of Phase-]. It provides a demographic overviewof the population served by the RAP and profiles household assets and main sources oflivelihood. It covers 100%Xo of the potentialiv affected population w ithin the likely COI.

ii. During the conduct of the census, legal boundaries of affected properties and the ROW!were verified. The census registered all household members and individuals within thepotential CO] their assets and income. and demographic and social information todetermine whether project affected persons were to be categorised as vulnerable groupswith special entitlements under the project. Private land owners. tenants. squatters andencroachers within the ROW were covered.

iii. Using available records, the project verified the boundaries of the legal ROW as well asthe boundaries of private properties within and in the vicinity of the likely Corridor ofImpact. Structures. trees and other assets were also recorded. The survey information hasbeen jointly verified and certified by the PWD and Revenue Departments. The surveyinformation has been stored and analysed using MS-Access'97. The survev data has thenbeen transferred on to MX Road Ver 2.4 (Highway Design Software). for the strip maps.The superimposition of the survey data on the final engineering designs provided theactual number of PAPs. Only these PAPs within the final COI will be considered eligiblefor support under the project. This final number of project affected persons. within theactual corridor of impact is substantially lower in number than those initially covered inthe census.

b) Baseline Socio-Economic Survey (Sample)i. A socio-economic survey (sample) was conducted in conjunction with the census of the

project-affected population for a COI between 13.6m and 26m keeping in view the designrequirements. This has provided a baseline against which mitigation measures have beenworked out. For this purpose, comprehensive information related to people's assets,incomes and other relevant socio-economic information has been collected. The analvsishas covered the needs and resources of different groups and individuals, including intra-household analysis and gender analysis.

ii. Survey results are summarised in sections that follow. Survey schedules namely theCensus Schedule, the Sample Survey Schedule and the Community Asset Schedule aredocumented in Annexure 3-1, 3-2 and 3-3 in Volume 11. The RAP includes provisionsand specifications for survey of the potentially affected population of subsequent projectphases.

3.3. Cut-Off Datei. As mentioned above the cut off date for those who have legal title is the date of

Notification under Section 4 (1) of LA Act. The date of census is the cut-off date for thosewho do not have legal standing for eligibility of assistance under the project. Peoplemoving into the COI after this cut-off date will not be entitled to support.

ii. It is recognised that there will be a margin of error in the census, and any person who wasnot enumerated but can show documentation or evidence that he/she is rightfully anentitled person will also be included. The Project Implementation Unit is responsible forsuch verification.

iii. The cut off date for non-legal title-holders, is the date of the start of the census survey ona particular link. The cut-off dates for the links are:

15 Scon Wilson J CES llIE

Kamataka State Highways Re-sCInment ACtion PlanImprovement Project Chapter 3Social Impact Assessment

Table 3-1 - Cut off Date

LINK CUT OFF DATEIA 21 April 2000IB 26 April 20002A 2 March 20005A 3 Mav 20005B 2 4 April 20005C I 10 May 20006L I 17 March6M 22 March 20006N 29 March 200060 3 April 20006P 15 April 2000

3.4. Guidelines for Census and Socio-economic surveyi. During the conduct of these surveys, the KPCC team has followed the stipulated

guidelines as given in the Terms of Reference (TOR), so that the preparation of RAP willrecognise that, involuntary displacement gives rise to economic, social and environmentalproblems. The R&R Policy of the KSHIP also mentions the requirement of conductingthe census and the socio economic surveys. The RAP is prepared to minimise suchproblems and to ensure that the people displaced either improve or at least regain theirprevious standard of living. For this, information about the magnitude of displacement ofthe inhabitants in the corridor of impact and the impact of the project on the socio-economic aspects of the persons affected thereby should be obtained.

ii- According to the TOR guidelines, the following procedure is adopted in the surveys:

a. Preliminary screening to provide minimum information on social impacts;

b. Verification of legal boundaries of project area, to document existing structures,land plots, and others physical assets. This involves:

* Identification of suitable resettlement sites, in close proximity to the affectedarea if required;

- All encroachments, private land holdings and others assets in the project areto be documented;

* Assets, structures, land holdings, trees, wells shall be recorded on stripmaps;

* All information to be computerised. Photography/video recordings to beused to document existing structures.

c. Conduct sample socio-economic baseline survey. The survey shall gatherinformation on the various categories of losses and other adverse impacts likelyunder the project.

d. Sample socio-economic survey shall identify potentiallv affected populations withspecial attention to vulnerable groups

e. Assessment shall also be made on the value of various assets

f. Full baseline survey on the basis of sample socio-economic survey.

3.5. Sources of Datai. As a pre-requisite for conducting the primary household surveys, relevant information

was collected from the following secondary sources:

* Revenue records maintained at local/village level - with regard to land particularsfor facilitating acquisition of properties and resettlement of oustees.

* Census records for demographic information.


Kamnataka S1aic fiizn%%,! i9;s:i:m:r! _ll. }Improvement Projec: C nlar::.-Social Impact Assessmen:

* Projec; authorities (PUNDj to find ou: thc RO\W COI. estimates ol thc cos- c:infrastructure development etc.

* Development agencies to get information cn various developmental programs totspecific sections of population like those living below poverl\ line (landiess.marginal and small farmers etc.) tribal. SCs etc.

* Local orcanisations including NGO's in order to involve thenm and integrate theiractivities in the economic development programs of the displaced population.

3.6. Methods of Data collectioni. Household level contacts and interviews with each affected family for completing the

household socio-economic profile. Each of the hlouseholds surveyed and thestructure/agricultural land likely to be affected b\ the project has been numbered.documented and photographed. At the end of the survey for each link. the entire lilik hasbeen videographed.

ii. Village level public consultation exercises in different road links were conducted with theinvolvement of affected persons and village elders which considered a number of issuesconcerning identification of the infrastructure required. development of common propemiresources and the like were undertaken. In these exercises. women of the affectedfamilies were involved to elicit their views and opinions on the over all planning of theresettlement activities. In other words, discussions with a cross section of affectedpopulation in particular helped in understanding their problems and preferences.

3.7. Demographic and Socio-Economic Profile of Project Areai. The distribution of population in various contract packages is closely related to various

factors pertaining to climatic conditions, fertility of soils. availability and development ofmeans of transport and communication, growth of trade and other secondary and tertiaryactivities (vide Chapter 8: KPCC Feasibilitr Report. 1999). Given the generaldemographic background, it is necessary to understand the pattem of socio-economiccharacteristics of the Project Affected Families/Persons (PAFs/PAPs) and assess thesocial impacts. As per 1991 Census, literacy rates are much lower in all the contractpackages than the state average (Table 3-2). However the survey data of householdsaffected by the project roads show better levels of literacy in the contract packages (SeeTable 3-7). Further, the proposed project under KSHIP is expected to help in expandingthe educational opportunities the population residing in and around the project roads. Inthe project area the percentage of SC and ST PAFs work out to 9.09 and 5.7 respectively.

Table 3-2: Demographic Profile of Project Roads by Contract Packages (Census 1991)

Demographic details Karnataka State Ul U2 U3 U4 U | TotalPopulation 44.977.201 24.452 49,107 53.211 16.286 9.431 1.46.487

Population Densit! 235 172 451 217 106 139 213(Sq.km .)Sex ratio 960 978 966 1121 929 992 ! 997Literacy rate (%) 46.7 25.8 33.1 34.3 37.7 31 2 32.8

Source: Census of India, 1991

3.8. Census V-erification and Socio-Economic Survev: Results and Discussioni. This section gives a description of the demographic and socio-economic characteristics of

the PAPs of Phase-I roads based on Census and Socio-Economic Sample Survey.

ii. The base-line socio-economic survey revealed that in the five Contract Packages thenumber of PAFs and PAPs are 753 and 4534 respectively (Table 3-3). The PAFs areclassified into following categories for purposes of providing suitable compensation toovercome the social adverse impacts:

* Oswners of land* Ovwners of residential structures

1 7 Scott Wilson /CES /! IIE

Kamataka State Highwa\s Resetticment Aciion Piar,Improvement Project Chanter ISocial Impact Assessment

* Owners of commercial structures* Tenants of residential structures* Tenants of commercial structures* Squatters* Encroachers* Those losing total livelihood such as employees* Other impacts* Community/Group affected by loss of community asset.

3.9. Gender Issuesi. There are 87 households with females as heads, refer Annexure 3, Table 3-3 in Volume II

on Social Impact on Women Headed Households. Among them 21 households belong toBPL category. Of these 21 women headed families 3 are encroachers and rest aresquatters. On certain specific needs of women like providing separate transport facilitiesfor their movement, neither the public authorities nor any private organisation consideredit as essential. However certain proportion of seats are kept exclusively for womenpassengers in all the State Government buses. The transport needs of the population areassessed and provided on the basis of total volume of passenger movement, withoutspecific reference to the transport needs of women. The proposed upgradation of roadsunder KSHIP is expected to open up new economic opportunities for women to upgradetheir skills and also better accessibility to educational and health facilities. Women as asegregated class are not involved in any economic activity, which demands attention fortheir special transport needs.

3.10. Tribal Issuesi. The number of people belonging to tribal groups affected by the project is low. Moreover,

few found in the project area no longer live in forests/hills. They have migrated to plainlands and most of the time working as agricultural labourers or as small and marginalfarmers. The tribal population has been integrated with the main stream population. Asmost of them fall within the category of BPL population, compensation packagesprovided in the Entitlement Matrix would sufficiently take care of their R&R needs.There are also a large number of govemment schemes targeted at this population andannually about 6 percent of budget allocation is made to finance special programmes fortribal development.

3.11. Religious groupi. Among religious groups, Hindus dominate with 75.34 per cent, Muslims were 15.6 per

cent and the rest were in other category.

3.12. Occupation and Poverty Linei. Distribution of PAPs by occupation reveals that agriculture occupies a significant place

for 12.21 per cent of PAFs who are farmers and 9 per cent, who are agriculturallabourers. The other sector, which supports a large section of PAFs, is service sectorrepresented by trade/commerce and other service activities with 8.47 per cent and 5.9 percent respectively. Inspite of difficulties in getting reliable data on householdincome/expenditure, efforts were made to persuade the respondents to report as accuratedata as possible. However, reported data on household income/expenditure does providecertain clues about the extent of economic disparities between two groups, namely, thebelow poverty line (BPL) income group and the above poverty line (APL) income group.Of the total PAFs (753), 18 per cent reported their income to be below the poverty line(with cut-off income at Rs. 14,400). According to the sample survey the reported averageannual income of APL families works out to Rs. 72,370. The average income works outto Rs.10,810 for a BPL family. The gap in the reported average income between the APLand the BPL families is wide indicating the depressing state of families belonging to BPLcategory.


Kamataka Stai. Wil'lwp - 1>..x..'i.!

lmnro%ement Proiecl

Social Impact Assessrmen:

Table 3-3 Socio-Economic Characteristics of PAPs/PAFs

Si. Particulars MagnitudeNo. l

1. 1Affected families/Persons (no.): li a) Total number of families 5 -,

b) Women headed families S_c) Below Povert Line families 133d) Total number of PAPs 4543

r______ ]e) PAFs not available* 8(2 Sex (%) I

(i)Male .ii)Femnale 47

_2 Religious Stratification:(a)Religious Groups (%):

I Hindu _78.'

Muslim I 5. 94Others 5 .73(b)Social Stratirication (no. & %):SC 77 I00°,o)ST 41 (5.6%)Others (General) 635 (84.32%)Sub-total of 3( b) 753 (100.0%)

4 Occupation (%)Agriculture 12.2

Aericultural Labourers 9.0Commerce/Trade 8.4Others 5_.9Average annual income of APL Rs.79,274familiesAverage annual income (BPL Rs.10.810families)BPL cut-off income (Annual) (GOK) Rs.14.400No. and %age of BPL families 133 (18%/o)

Source: KPCC Census and Socio Economic SurveyAote * During census. these respondents could not be traced in person. But physicalassets like land. structure (door locked) have been identified through survey recordsand 2iven numbers by enumerators.

ii. To get a desegregated picture, Contract Package-wise distribution of PAFs\PAPs by

number of settlements indicate that, compared to U4 and U5, the number of affected

PAFs and PAPs are more in U 1, U2 and U3 (Table 3-4). In other words. 81.9 per cent

of the PAFs and 81.8 per cent of PAPs are located in the contract packages U 1. U2. andU3 and the R& R work- of PIU will be more concentrated in these three packages as

compared to U4 and U5.

Table 3-4: Families and Persons Affected by the Project by Contract Packages and numbersettlements

Package No. of Settlements PAFs PAPs

Ul 24 205 1313U2 1 29 255 1491U3 36 167 9>5U4 6 92 56l

US 7 34 217Total 102 753 4543

Source: KPCC Census & Socio-Economic Survey

3.13. Major And Minor Impactsi. The Census and the socio-economic survey revealed that 753 families are affected by the

Project. refer Table 3-4. Of these, major impact is on 342 families whose loss is total

19 Scott Wilson! CES i IIIE

Karnataka State Hi ghN a!s Reseniemen: Acm:o P.anImprovement Project ChaoD:eb 3Social Impact Assessment

which takes seven different forms. The remaining 41 1 PAFs suffer from minor impacts.whose loss of assets is partial and it takes four different forms. Details of APL and BPLfamilies who are experiencing major and minor impacts is given in Annexure 3. Table 3-4 and Table 3-5 respectively in Volume 11. The entitlement matrix, given in Annexure 2this report indicates necessary guidelines for providing suitable compensation to thePAFs of different categories. There are 89 PAFs. who could not be traced, but the likelyloss and structures to be acquired have been identified and identification numbers havebeen assigned (Annexure 3, Table - 3-2 in Volume II). The PIU will undertakeverification exercise before proceeding further for acquiring these assets.

Table 3-5: Distribution of PAFs by Major and Minor Impacts

No. Extent of Loss Owner Tenant Squatter Encroacher TotalMajor Impact

I Losing Total Land I 12 Losing Total House 2 4 103 1093 Losing Total Com. Struc. 5 10 189 6 2104 Losing House and Total Com. Struc. 13 135 Losing House and part of Land 1 1 26 Losing House and part of of Com. Struc I 1 27 Losing Total com. Struc. & part of House 3 2 5

Total 9 14 310 9 342_____ Minor Impact

I Losing Part of Land 80 4 186 2702 Losing Only part of House 7 1 6 11 253 Losingpart of Com. Struc. l 17 14 37 694 Losing part of House and part of Com. Struc. I I I 1 4

5 Others 15 4 7 17 43Total 104 27 28 252 411Grand Total 753

Source: KPCC Census and Socio-Economic Survey

3.14. Other Relevant Socio-Economic Characteristicsi. In addition the socio-economic characteristics elaborated above, in the following a few

more variables have been analysed to highlight the socio-economic status of the PAFsand PAPs. The three variables considered are literacy levels, age distribution and incomestatus of families.

Table 3-6: Distribution of PAFs by Income

(Income in Rs.)

Contract Income Income > 14400 Income > 20000 Income 50000 Income > Income not Total< 14400 & < 20000 & >50000 &A < 00000 100000 reported

UI 29 36 83 26 19 12 205U2 45 33 103 26 33 15 255U3 44 23 55 22 3 20 161

U4 9 6 27 20 26 4 92U5 6 3 11 9 2 3 34

Total 133 101 279 103 83 54 753Source: KPCC Census & Socio-Economic Survey

ii. There are 753 PAFs in the project area and those Below Poverty Line (BPL) worked outto 18 per cent. It is important to note here, that, for defining the BPL income. Rs.14,400 has been taken as the income per family per annum (at 1999 prices). 54 PAFshave not fumished their income details. There is need to verify the income status ofsuch PAFs by PIU during subsequent verification rounds. The Table provides a broad


Karnataka State H!ih\a! s::men. ACtllll 1ial

irntro\ement Proiec:'Sczial Impact Assessmen:

idea about the extent of PAFs whio need special consideration as PAFs beiongimn toBPL group Annexure 3. Table 3-5 provides descriptive information abou, tiledistribution of the PAFs b\ income class.

Table 3-7 : Distribution of PAPs by Age and Sex_________ I Age in Years

Contract Sex < 15 >15 & <59 [ 59- Total

Ul Male 279 349 48 676

Female 266 325 46 637

U2 Male 299 448 62 809

Female 249 390 43 682U3 Male 147 334 35 516

Female 154 257 28 439

U4 Male 79 186 22 287Female 81 174 25 280

U5 Male 38 62 8 108Female 42 61 6 109

Total 1634 2586 323 4543Source: KPCC Census & Socio-Economic Survey

iii. 64 per cent of the total PAPs fall in the age group of 15-59. Since this happens to be theworking age-group the mitigation measures as given in the entitlement matrix need tobe carefully implemented with reference to 15-59 age group. Sex ratio in the projectarea is 903 females per 1000 males

Table 3-8: Distribution of PAPs bv levels of Literacv / EducationLevels of Literacv/Education

Contract Total Illiterate Literate Primary Secondary Higher________ __________ (%) _____Education (%) Education (%) Education (%)

U] 1313 61.39 38.61 17.97 18.74 1.90U2 1491 55.13 44.87 15.02 23.41 6.44U3 955 32.77 67.22 18.22 14.24 34.76U4 567 33.86 66.14 26.81 26.10 13.23U5 _ 217 38.71 61.28 18.89 35.02 7.37

________ 4543 48.80 51.2 18.20 21.02 11.97Source: KPCC Census & Socio-Economic Survey

iv. Among PAPS. there are more illiterates (48.80 per cent) than literate persons. Amongthe literates, those with primary education account for 18.20 per cent and those withsecondary level education account for 21.02 per cent and the rest are with higher leveleducation.

Table 3-9: PAPs (Employees) losing livelihood

EmployeesContract Full Time Part Time Total

U2 1 3 4U3 2 2 2 _

U4 4 1 5

Total 7 4 11Source: KPCC Census & Socio-Economic Survey

V. There are 7 full-time and 4 part-time employees who will be affected by theimplementation of the project. Relief assistance for such cases has been provided in theEntitlement Matrix.

21 Scott Wilson / CES/ IIIE

Karnataka State Highways R-eseiement Aclion PlarImprovement Project Chapter 3Social Impact Assessment

3.15. Need for data update and mechanism to conduct updatei. Since the census and socio-economic survev was conducted during March 2000 to Max'

2000 and Land Acquisition procedure will take at least one year. it implies that actualphysical relocation of PAPs will be delaved by a year. Therefore. it is suggested thatNGOs/CBOs responsible for implementation of RAP along with PRU. should conduct aRapid Appraisal and the mechanism to conduct update is given below:

Table 3-10: Core Rapid Appraisal Mechanism

Sl. No. Technique Method Group size Staff required Time

I Key Interview selected local 10-25 per group 3 (linterviewer, I Selection plusInformant with special knowledge oT observer and 1 3 hoursinterview experience moderator) interview per

village2 Focus group Specific topic discussed in 8- 12 per group 3 (I interviewer. 1 2 hours per

open-ended group observer and I group persessions moderator) village

3 Community Open public meeting with Large number Atleast 2 1 day perInterview prepared questionnaire (more than 20) village

4 Structured Observation of people and Large or small Team of 4 or 5 Several daysdirect things plus individual or numbersobservation group interviews if desired

5 Informnal Non probability sampling Sample size of Team of 4 or 5 One day persurveys with open ended 40-50 village

questionnaires respondents

Section 2 :Public Consultation And Participation

i. Participation is a process through which stakeholders influence and share control overdevelopment initiatives and the decisions and resources which effect them. Theeffectiveness of R&R programs is directly related to the degree of continuinginvolvement of those affected by the project. Comprehensive planning is required toassure that local government, NGOs, host population and project staff interact regularlyand purposefully in all stages of the project. Participation of persons directly affected byprojects is a prerequisite of R&R policy, if its programs are to be suited to the needs ofthe resettled population. PAP involvement increases the probability of successfulresettlement and rehabilitation. Consultation and public participation will continue overRAP implementation and the remainder of project preparation for Phase 2.

ii. This RAP provides detailed information regarding the consultation process anddocuments the consultation process to date. It also describes information disclosure atdifferent stages. The consultation process established for the project has employed arange of formal and informal consultative methods including in-depth interviews withkey informants, focus group discussions, meetings, and workshops.

iii. The overall goal of the consultation program is to disseminate project information and toincorporate PAPs views in the R&R Policy. The specific aims of the consultations is to:

a. Improve project design and lead to fewer conflicts and delays in implementation.b. Facilitate development of appropriate and acceptable entitlement options.c. Increase long term project sustainability and ownership.d. Reduce problems of institutional coordination.e. Make the R&R process transparent and reduce leakages.f. Increase effectiveness of sustainability of income restoration strategies, and

improve coping mechanisms.

iv. The consultation program is tiered and conducted at several levels that included, amongothers, the following:

22 Scon Wilson / CES / IIE

KarnataKa Staic Hicn%% 2xa\ l kcicXtr, mo Actiw:'Impro% ement ProiecrSocial Impact Asscssmer.:

a. Heads of households/members likeik to be impactedb. Villagers and Villaae Panchavatsc. Local voluntan, organizations. CBOsNGOs. Government agencies and

Departmentsd. Major project stakeholders. such as women. tribal and ethnic communities. roac-

user groups and others.e. Participants of the State Level Stakeholder's Workshop

v. As part of project preparation. a state level workshop was conducted with participationfrom kley stakeliolders including local NGOs. academic institutions, government officials.and others. The purpose of this stake-holder's workshop was to present and discuss theproject content. review the policy framework. The discussion included an elaboration oilthe approach to social impacts and resettlement. and to reach on agreement on theimplementation mechanisms and coordination among different groups and agenicies.

vi. The project wvill continue to document how people's views have been taken intoconsideration in a meaningful way. It will ensure that groups and individuals that areconsulted are informed later about the outcome of the decision-making process. and ho\%their views have been incorporated.

3.16. Key Findings of the Consultationsi. The public consultations have helped in not only achieving the project objectives. but also

assisted in gathering suggestions for improvement in designs and facilitating inputs forthe R&R Policy. The major findings of the consultations are:

a. Improved awareness of the project among the PAPs and the local governmentofficials.

b. Received suggestions for betterment of the alignments where irrigated land.commercial and residential structures were being affected

c. Received suggestions on appropriate calculation of the rate compensation and notallow for any loss to the project affecting persons, as far as possible compensationshould be given in kind (land for land or house for house option).

d. Squatters and encroachers should be addressed appropriately.e. People BPL should be given targeted assistance.

ii. Various suggestions received from PAPs during different levels of public consultationwere carefullv considered and incorporated in the R&R Policy. The public consultationidentified social assessment inputs and guided in the preparation of detailed engineeringdesigns. This has helped in mitigating loss of land and structures on the basis ofdiscussion with PAPs . These issues have been discussed in detail in Chapter I of thisreport.

iii. The Stakeholders Workshop proceedings and the village level consultations have beengiven Annexure 3-5 ,Volume 11, including media reports on the Stakeholders workshop.

3.17. Public Participation and Consultation in RAP Implementationi. Several additional rounds of PAP consultations are also planned during RAP

implementation, measures include PAP representation and participation in RAPimplementation, grievance procedures and RAP monitoring.

ii. As a follow-up of the local-level PAP consultations held during project preparation. afirst. second. and third round of consultations will be conducted by PIU and will occur inconjunction with RAP implementation.

iii. The purpose of the first round of consultations is to disseminate information on RAPentitlement package and options for each impact category to PAPs. This will involveexplaining the Entitlement Framework and resettlement options to the PAPs andsoliciting their support and co-operation. This round will also finalize agreement on thevarious community and group entitlements provided in the entitlement framework.

23 Scott Wilson / CES IIIE

Karnataka State High%aavs Resettlement Action PlanImprovement Project Chapter 3Social Impact Assessment

iv. The second round of consultation involves agreements on compensation and assistanceoptions and entitlements with PAPs and completion of a PAP identity card indicating theaccepted entitlement package.

v. The third and final round of formal PAP consultations will occur when compensation andassistance are provided and actual resettlement begins.

vi. These consultations will be managed and carried out by the SDRC, District R&RCommittees, and assisting NGOs. The procedure of these consultation are given inAnnexure 3-5, Volume II.

3.18. Information Dissemination Campaigni. An intensive information dissemination campaign for PAPs will be conducted at the

outset of RAP implementation. This campaign will be designed by the SDRC andexecuted by District R&R Committees and partnering NGOs.

ii. The objectives of this campaign are:

a. to help counter rumours and prevent distressb. to assist in preparation for relocation to new sitesc. ensure all questions of the PAPs are answered to the best ability. Print and audio-

visual materials will be of secondary use in such areas.

iii. All the comments made by the PAPs will be documented in the project record andsummarized in project monitoring reports. Copies of R&R policy and RAP has beenmade available both in English and Kannada at Taluk and District offices and publiclibraries for reference and study by the public.


Chapter 4RAP - Implementation Procedures

karnatak-a State Highw%ays Rzseniimer.; Action PianImprovement Project Chapter 4

RAP Implementation Procedures

4. RESETTLEMENT ACTION PLAN - IMPLEMENTATION PROCEDURES

i. This chapter outlines implementation procedures for resettlement and rehabilitation. It takes into accountthe income restoration activities, institutional arrangements, implementation schedule. resettlement sites,grievance redressal mechanism. costs and budget and monitoring and evaluation of the resettlementcomponents.

4.1. Income Restoration (IR)i. The basic objective of income restoration activities is that no project-affected person shall be worse off

than before the project. Restoration of pre-project levels of income is an important part of rehabilitatingindividuals, households, and socio-economic and cultural systems in affected communities. Incomerestoration schemes will be designed in consultation with affected persons and they will explicitlyapprove programs designed to benefit them. Based on the information collected on IR activities from thecensus and the socio-economic surveys. IR strategies will be framed and activities planned.

ii. IR activities are of two types: short term and long term. In Phase 1, only eleven (including owners andtenants) PAFs are eligible for economic rehabilitation. Since the number is small, economicrehabilitation process by the SDRC (Social development Resettlement Cell) should be fast and effective.However the numbers in Phase 11 could be much larger.

4.2. Short Term IR activitiesi. Short-term IR activities are intended to restore PAP's income in the periods immediately before and

after relocation focussing on relocation and subsistence allowances, and providing short term allowancessuch as:

a. subsistence allowance;b. shifting assistance;c. promoting PAP access to project-related employment opportunities such as work under the project

construction and maintenance contractors.

4.3. Long Term IR Activitiesi. Long-term options are affected by the scale of resettlement which may affect the feasibility of various

non land-based and land-based IR options. Project officials will coordinate with Zilla Parishads and theDistrict Planning Committees to assure PAP access to all existing government schemes that cancontribute to income restoration. Project-financed programs will include a specific time frame forhanding over the activity to local administrations. at the end of a stipulated period.

4.4. Impact Categories and IR Schemesi. Project-induced displacement may lead to loss or diminished income for Project Affected Person

(PAPs). The main categories of impacts expected as a result of project land and propertm acquisitioninclude:

a. Loss of agriculture land in part or fullb. Loss of commercial establishmentsc. Loss of livelihood as employees

ii. According to the R & R policy those only with legal tenure and are below poverty line are entitled toeconomic rehabilitation.

iii. Project authorities will let PAPs arrange their own replacement structures with the guidance and supportof the PIU/SDRC. The economic rehabilitation assistance money will be deposited in bank accounts tobe released only for the purchase of income generating assets.

iv. Women-headed households will be assisted in identifying alternative space in adjacent areas forcontinuing their trade or vocation. In Phase I all the women headed households losing commercial andresidential structures fall under the squatter category. There are 44 such women headed households.These households will have to be given preference in disbursement of assistance. The SDRC will use its


mrovem.-, Pro:ect Cnnl,cr .1

.1\! Impl-mcniantion Procedure-

good offices with local authorities to facilitate early rehabilitatioin o, thes- \~omen headed houseilolds.See Annexure 3. Table 3-3. Volume 11 for details on these groups.

XV. PAPs losing their livelihood as employees are seven. These are persons \\iio are working in commercialestablishments. which are getting totally affected. There are 3 PAFs. who are agricultural tenants. Thesepersons will be provided only relief assistance. This amount will be calculated for three months based onthe BPL threshold.

4.5. Alternative Individual Income Restoration Schemesi. The SDRC will consider the resource base of PAPs and their socio-economic characteristics and

preferences to tailor individual income restoration schemes when appropriate. Among factors that willbe considered in such cases are:

a. Education level of PAPsb. Skill possessionc. Likely economic activities in the post-displacement periodd. Extent of land lefte. Extent of land purchasedf. Suitability of economic activity to supplement the incomeg. Market potential and marketing facilities

ii. Although, it is widely recognised that the best option is to allow the PAPs to continue their forner occupations.circumstances may not permit this option or PAPs may elect to change activities. A list of possible incomerestoration options that will be explored in consultation with PAPs and considered in light of local conditions andopportunities is as follows:

4.6. Non Land-Based Income Restoration Schemesi. As land in project corridors is scarce and not all PAPs are agriculturists. non-land based IR schemes will

be important entitlement modes. Potential non-land based rehabilitation options are profiled below. TheSDRC will assist PAPs in identifying appropriate alternative economic rehabilitation schemes throughcounselling and consultation. These options include:

a. Pettv TradersUnder this, potentially available options include grocery, vegetable, fruit. and pan shops. stationery,cloth, tea and snacks; ready made garments; etc. PAPs who are already in the trade and business sectorare suitable for these activities. The SDRC will facilitate access to financial institutions to arrange forloans for PAPs.

b. Skill-related SchemesThe options available under this scheme are tailoring, carpentry, masonry, gold smith, black smith,motor-winding, cycle/motor cycle/auto repair, driving (auto/Matador/etc). T.V./tape recorders/watchrepairing, pottery, leather works. etc. PAPs who are in such trades. can undergo training for skillsupgradation to supplement their annual income. Training in skill related activities can be imparted byITI, LIDKAR, KVIB, KHDC and KSCDC.

c. OthersOther options include loans for various agriculture implements to increase productivity viz., pumpsets. dugwell, borewell. bullock cart, etc. PAPs who are engaged in agriculture and do not have anvirrigation facilities can avail of such loans that are given by banks after applications are processed byDRDA.

ii. Implementation of and access to the above mentioned options will be facilitated by SDRC-sponsored creditcamps where feasible. Extending financial credit support is a critical component of non-land based IRschemes and these camps will include participation of local government officials. NGOs and PAPs. Theirpurpose is to promote local financial institutions to inform participants of credit options and how to avoidprocedural delays. With SDRC assistance, formalities related to processing of applications for creditassistance can be completed at these sessions, and the SDRC will coordinate closely with the Lead Bankmanagers and other commercial banks operating in the affected Districts.


,arnataka State HighwasNs Resetilemeni Action Planimprovement Protect Chapter 4RAP Implementation Procedures

4.7. Trainingi. Strategies for promoting economic recover! of PAPs also include assisting them to improve their

production levels or to acquire new or upgraded skills through training. As quite a significant number ofPAPs are dependent on agriculture and many have low skill endowments. training will be an importantcomponent of RAP-delivered IR efforts. For PAPs who opt to diversify economic activity, suitableincome restoration schemes will be identified on an individual basis and training needs will be assessed.Besides training in scheme-specific skills. general entrepreneurship development will also form part ofthe training program to improve the management capabilities of PAPs.

ii. Training will be organized during RAP implementation by the SDRC itself. where warranted, and alsomade available through training programs regularly. SDRC will act as a facilitator and training will beimparted either by the government agencies mentioned earlier or a professional and competent outsideagency. The cost estimate for PAP training for those losing livelihoods is given in the costs and budgetsection.

4.8. Monitoring of IR Schemesi. Monitoring of IR schemes will be carried out along with the monitoring of other components of RAP by

an outside agency contracted for the purpose. The contract will specifically provide for regular (everysix months) monitoring of income restoration of PAPs. The monitoring will be carried out based oneconomic indicators.

ii. IR schemes will also be internallv monitored by the partnering NGO. SDRC will field a team consistingof its representatives, representatives of influential segments of affected villages, educated youths, andrepresentatives of beneficiary PAPs. The SDRC will submit quarterly reports. Based on monitoringcorrective adjustments will be undertaken.

4.9. Withdrawal policyi. Experience has shown that PAPs often completely depend on the project authorities for rehabilitation

and continue to do so even after the completion of the implementation period. For this reason, during theimplementation period, the SDRC will assist PAPs in capacity building to manage resources created as apart of rehabilitation after the project authorities withdraw. The SDRC will identify volunteers fromPAPs' who will receive training in operations and maintenance of assets created. Once PAPs aretrained, project authorities will gradually withdraw and promote PAP resource management. Inconjunction with income restoration schemes. PAPs will be provided training in entrepreneurship andmarketing of produce. Where warranted, SDRC will assist PAP in marketing and conduct actionresearch studies for evolving PAP income restoration and marketing strategies that are sustainable andavoid inducing PAP dependency.

4.10. Institutional Arrangementsi. Institutional assessment and a strategy for developing required implementation capacity has been

elaborated in the following paragraphs. Staffing needs have been worked out and a plan for recruitmentand training of personnel at different levels has been provided. Capacity building and training will becoordinated with the project implementation schedule to ensure that skilled staff is available toimplement the RAP without delay in civil works. The objective is to develop the capacity within the PIUto plan and implement resettlement programs. PIU will focus effort in three critical areas to commenceRAP implementation.

ii. First, establishment of a Social Development and Resettlement Cell within the PIU. The PrU is alreadyfunctioning with staff at the senior levels, for the implementation RAP.

iii. Second, to initiate the process, orientation and awareness seminars/training programmes for RAPimplementors.

iv. Third, NGOs with experience in social development and experience in R & R implementation will beidentified as partners in RAP implementation. Selected NGOs will be engaged to support RAPimplementation and along with PWD- SDRC personnel.

v. The role and composition of the SDRC to be established within the PrU, the instrumental role of non-governmental and communitv-based organizations in RAP implementation, that will be established to


:,,:m,lku Slat: H,Ohsav-s kh:s..ti.c7.i. .... >. '<1-1Fr)\cMePlt Proiect 4I,-'\P Implementation Procedurce

facilitate local coordination. have been looked into. Tihis in.iluaes an auenida ot actions ani con mtinnelttsby G OK and specifications for the SDRC to co-ordinate th. RAP implementation workN.

4.11. Implementation Capacity and Institutional Commitmenti. It is the responsibiliti of the PWD to ensure that the RAP is successfully implemented in a timely

manner. The implementation plan for a specific road corridor Will be prepared by thie PIU"'SDRC. Thespecific aspects of resettlement and rehabilitation and the delivery of entitiements wvill be implementedand managed by a Social Development/Resettlement Cell (SDRC). NGOs and Zilla parishads willsupport implementation. The implementation schedule proposed wN'ill be updated. as more informationbecomes available.

ii. The SDRC wvill be responsible for co-ordination of resettlenment with other project component and othergovemment agencies. It will establish liaison with State and District levels Departments to facilitatePAP access and take advantage of services and programs already in place.

iii. The SDRC is in the process being staffed since September 1999. with some of the key staff in position.The tasks of the SDRC wvill/is be as follows:

a. The SDRC will establish operational links within PWD and with other agencies of governmentinvolved in project-induced resettlement.

b. It will bridee the distance between the project and project-affected persons and communities.c. It will provide the means and mechanisms for coordinating the delivery of the compensation and

assistance to entitled persons.d. It will contribute social development perspectives and inputs to on-going project design and

implementation by working closely with PCC project planners, contractors. and constructionsupervision consultants.

e. It will link the project with state government agencie,. provide liaison with PWD field units andimpacted communities, establish district-level committees to coordinate social development andresettlement operations in the field, mobilize assisting NGO partners, and support the organizationof local community representing PAPs.

f. It will also engage required training services, oversee a grievance redressal process. actively monitorRAP implementation, and cooperate with planned project evaluations.

4.12. NGO Partnershipsi. The PIU will engage the services of NGOs with experience in social development and wvith a track

record in resettlement and rehabilitation to partner RAP implementation in each district and to workclosely with the SDRC. The SDRC will ensure effective internal coordination and maximize transfer ofskills.

ii. NGO partnership will provide the SDRC with the grass-roots skills and capacity for field activities itwill require. It will enhance PAP counseling, encouraging productive utilization of compensation andrehabilitation grants. facilitate PAP access to financial assistance under various subsidy- relateddevelopment programs, and increase the social acceptability and effectiveness of training programsorganized for PAPs electing participation in self employment schemes.

iii. NGO services will be required over the entire project period and provided for in the R&R component ofthe project budget. NGO(s) will be contracted on specified terms and conditions with appropriatelysecured financial accountability. Contract payments will be linked to task performance within an agreed-upon work plan and schedule and released quarterly on certification of progress. The TOR for the NGOsand a list of NGOs contacted is given in the Annexure 4-1, Volume II. The NGOs w ill Work in closecoordination with representatives of the project affected people.

4.13. SDRC Structure and Staffingi. The Social Development/Resettlement Cell (SDRC) to be established within the PIU to implement and

manage the project Resettlement Action Plan will be structured to provide coordination. technicalsupport, and services at several levels of project implementation. SDRC organizational structure andstaffing is as shown alongside in Figure 4 -1.

28 Scott Wilson CES / IIIE

improvctssctit Project Citpter 4RAI, Implcnicnliiatiott_Priocedures

Additional Chief SecretaryPublic Works & llousing

, - s _ i~~~~~~~~~~~~~~~~~~~~~~~roject Finance 4.1 Organisation Structure ror the Social Developme Se-etaa nt Sste

antd Resettlement Cell Dpt ertr

hief Project OMlicerPhi, Kst ll'r

_ t ~~~~~~~~~~~~~~~~~~~~Revenue -

Project Director,PIU, KSIlIP

Administration Wing (AW) Chief Administrative O eer ------ Pnvltnrseotal

|_____________ _D_C is follovied tte -- Management Planfollowing I~~mplemenitationi Urit

A.C Land Acqu ocial DepartmentsI Rehabiliation Orneer

Project Affected Persons=Represenatives J steno / Computer -

l'Rcvrnile ogramer - I E B__ , gXirrerirg Wing

trasedar- _ aluk Social _--- -- [=D1--- X ~~~~~~~~~~First Divisional DSevelomen~~~~~~~~~~~~~ ~~~~~~~~~~~Assistant-orcr-

Revenue First Division Revenue 1 _1_ 71cIspector -21 Assistalt-i Surveyor - 2 J Secondi d Wecil

LSIRI- ~~~~~~DivisionalWlfrr Assistant - I Inspector 5Zila Parisad_ _ __) ~Seconid Division Band Assistants - 2 _ ~AIPrsa

D) Group -2 JAssistant - I

Group D - I_

Stenio I cotnlpute2 ru D-Programmer - I

D_iv2l -___ Ce I J

29 Scott Wilson / CES / illl

: naiaial Stat, Him naN i- sctul."Mci -<\O:'laniinnrr cmment Proiecc C ,naPter 41 AM) implementation ProceGurec

ii. RAP implementation * ill be mediated through th. SDRC. The staff in th. SDRC ;' ill be "orknuu fulltime. The SDRC will provide coordinating nodes for land acquisition and comrpensation. relocation andresettlement. distribution of most project-provided assistance. and PAP access tc nios. governmentprograms in the entitlement package.

iii. There will be a Chief Administrative Officer (CAO) in the cadre of KAS WhiO will be incharne of theoverall co-ordination of the SDRC. the Environmental management Plan Implementation Unit andInformation Svstems. The CAO will also co ordinate with the Engineering W"ing and the ProjectManagement Financial System.

iv. The Assistant Commissioner Land Acquisition and the Social Development Officer will be responsiblefor the implementation of R &R activities. The Assistant Commissioner Land Acquisition/RehabilitationOfficer (ACLA/RO) will be responsible for all activities related to land acquisition. The SocialDevelopment Officer will be responsible for rehabilitation work. Both will have financial as well asadministrative authority. Though the Assistant Commissioners for the various districts disburse thecompensation amounts. the ACLA/RO will be responsible for co-ordination of disbursement of othersfunds related to land acquisition such as shifting allowance, disbursement of NGO funds etc. The SDOwill be responsible for disbursement of funds for income generating programmes. relief assistance. etc.

v. Other staff under the ACLA/RO include the Revenue Sirestadar. Revenue Surveyor. Revenue Inspector,Band Assistants and other First and Second Division Staff. Under the SDO staff include the Taluk SocialDevelopment Officer. Social Welfare Inspector. First and Second Division Assistants and Group D staff.The role and responsibilities of all the SDRC staff are given in Annexure 4-2. Volume II.

vi. In the major maintenance roads if social impacts and PAPs are identified during the time of civil works,the project-affected persons will be dealt in accordance vith the GOK R & R Policy Provisions. Tocertify impacts and the presence of PAPs the Assistant Commissioners of the sub divisions will be givencharge.

4.14. Training and Capacity Buildingi. To enhance capabilities, the SDRC staff including training would need to cover techniques in

conducting participatory rural appraisal for micro-planning, conducting census and socio-economicsurveys, dissemination of information, community consultation and progress monitoring and evaluation.In house training will be periodically carried out by professional identified by the GOK. Local institutessuch as the Indian Institute of Management, Institute for Social and Economic Change and privateconsultants can be identified for training. These will be short 2 day workshops. Participants can also besent to institutes such as the Administrative Training Institute at Mysore. or Administrative Staff Collegeof India, at Hyderabad and workshops on the subject organised by the World Bank.

4.15. Resettlement Sitesi. According to the R & R policy, resettlement sites will be developed where more than 20 or families are

getting displaced in a continuous stretch of 2 km at one given location. The Phase I socio-economicsurveys indicated that resettlement sites are not required as more than 20 families are not gettingdisplaced at any one location. However. in subsequent phases this requirement could arise. In all casesvoluntary resettlement will be encouraged. However, under the project entitlement framework. PAPsmav always elect to be re-settled in a government resettlement centre. The SDRC 'vith the help of NGOswill assist displaced persons to identify land for relocation, assist their transfer to an existingresettlement site, or identify land to develop resettlement colonies and settle displaced persons.Displaced persons will be encouraged to identify and to enter into discussions wvith the landownerswillinc2 to sell.

ii. The SDRC will assist displaced persons in the negotiating process with the private landowner. TheSDRC and NGO representatives along with the displaced persons will visit all potential hostneighbourhoods to encourage landowners to sell their land to PAPs at reasonable prices and to acceptthem as neighbours. Once the land is procured, the SDRC will assist in dovetailing housing schemeprovisions for EWS and LIG to entitled PAPS.


Karnataka State Highways Recs.u;en-ni Azilon PianImprovement Project Chapter 4RAP Implementation Procedures

4.16. Host Communitv Survevi. Although iarge-scale displacement will not occur in Phase-I. such displacement could take place in

Phase-II. In the unlikely event that resettlement sites become necessary. a host communiry survey willbe undertaken during the project preparation period. The objectives of such a host communint survevare:

a. to assess the likely impact on and needs of PAP's hosts.b. to help design appropriate income restoration programs for PAPs;c. assist in identifying areas where they may be problems of integration between two communities and.d. to assess the carrying capacity of existing resources and the potential for intensification in the

receiving settlement.

ii. The host community survey will provide insights to project authorities, on potential resentment of PAPsby members of the host community who may themselves live below the poverty level. Mitigationmeasures may then be considered to overcome potential disparities and promote local acceptance ofresettled households.

iii. It is unlikely that the SDRC will be able to locate 'green field' sites to relocate PAPs. In locating PAPsin an existing settlement, there is a risk that the increase in the population mav increase demands on theenvironment above the carrying capacity of the land and resources available to the hosts and newcomers.This makes host community survey all the more important. The Information checklist for HostCommunity Survey is provided in the Annexure 4-3, in Volume 11.

4.17. Resettlement Site Selection and Feasibility Studiesi. The selection of resettlement sites and the feasibility of the proposed actions and economic packages

constitute important steps for successful implementation. These steps ensure that resettlement sites havebeen selected properly. These include;

a. Site selection - Site selection is to be done based on available land, maps and data available forevaluating potential sites. Site selection should be discussed with the PAPs. their representatives andlocal officials prior to being finalized.

b. Feasibility studies - Detailed studies to determine the technical and economic feasibility of theproposed activities is to be carried out and should include land development and cost estimates. Sitesnot found economically viable or environmentally unsuitable should be rejected.

c. Detailed designs and land purchase - The PAPs final agreement on site development needs to beobtained along with the host community's acceptance of resettlement arrangements. Care should betaken to purchase contiguous plots of land to reduce costs of infrastructure development.

d. Final Design and Constructions - Housing for PAFs and provision of basic infrastructure activitiesare pre-requisites to the movement of PAFs

e. Movement of PAFs - Moving should take place only when the sites are ready with the minimal basicamenities. Food distribution is necessary during the transport period and few days following thearrival at new site.

f. Organization of community life and support services - Initial training of resettlement staff,extension workers and PAP representatives should start prior to the actual movement of the people

4.18. Requirements for Rehabilitation Centersi. The criteria for the Rehabilitation Centers are as follows:

a. Only 50% of the total area is for residential and commercial use. The remaining area is for other use.

b. Approach road to be 60' wide, with internal roads at widths of 40' and 30'.

c. Surface drains and masonry culverts are provided to all roads.

d. Roadsides, parks and open areas for future use to be planted with trees.

e. Commercial and industrial areas to be earmaTked appropriately

f. Sites to be demarcated and numbered


:ai State Hieh%\avs kicsCtlicmncr ACIILVI: P'!-

1 nr'\ o% emen: Prolect L &njIar 4RA.P' Imolementation Procedures

. Provisions to be made for: Primar% School ' High School: Shopping Complex: Samai2 Niandira iAnganawadi: Temple / Nlasjid ̀ Church: WVater supply / open welis ! borewells ' cisterns: RationShops: Burialicremation ground: Primary Health Unit ( depending on the size of thle unit ):Streetlight; Bus shelter: Public toilets

h. As far as possible RC's are to be located close to grazinit lands and main roads.

i. 25% additional sites earmarked for future development.

ii. The construction of all public buildings, internal roads, demarcation of sites will be undertaken by theKamataka Land Army Corporation on a turnkey basis. The PHED will undertake all water supplyworks, distribution of lines construction of storage tanks etc.. The KPTCL wvill execute all electrificationworks. The SDRC will be responsible for the overall co-ordination of the work.

4.19. Grievance Redressali. The project will establish a Grievance Redressal process. with district-level committees. Each District

Grievance Redressal Committee will have representation from the local affected population and theNGOs involved in RAP implementation. These committees will hear complaints and facilitate solutions;and the process, as a whole, will promote dispute settlement throughi mediation to reduce unnecessarylitigation.

ii. Details regarding registering complaints, response times, communication modes, and mechanisms forappeal or approaching civil courts if other provisions fail are provided below:

4.20. Grievance Redressal Celli. The Deputy Commissioner of the respective districts will head the Grievance Redressal Cell. The

committee will comprise of one local NGO, Zilla Panchavat Chief Executive Officer (ZP. CEO) andrepresentatives of affected persons. The ZP CEO will identifv the PAP representatives for tihe grievancecommittee. The functions of the grievance committee shall be:

a. to provide support to PAPs on problems arising out of land acquisition, property acquisition,eligibility for RAP-provided entitlements, compensation and assistance provided;

b. to record the grievances of the PAPs, and categorise, prioritise and solve them within one month:c. to inform PIU of serious cases within an appropriate time frame; andd. to report to the aggrieved parties about the developments regarding their grievance and decisions of

the PIU.

ii. The Grievance Committees will meet regularly (at least once a month) on a pre-fixed date duringimplementation of the RAP. The committees will suggest corrective measures at the field level itself andfix responsibilities for implementation of its decisions. The committees will deliver their decision withina month of case registration. Appeals against the decisions of the Grievance Redressal Committee willbe heard by the Deputv Commissioner.

iii. Decisions of Deputv Commissioners will be final and not contested in any other forum except in thecourts of law. However the NGOs will form the first level of intervention in resolving PAP relatedgrievances and attempt to motivate the PAP to facilitate implementation of the R&R program.

4.21. Implementation Schedulei. During project implementation. the resettlement program will be co-ordinated with the likely timing of

civil works. The required co-ordination has contractual implications. and will be considered inprocurement and bidding schedules, award of contracts, and release of cleared ROW sections to projectcontractors. The project will provide adequate notification, counselling and assistance to affected peopleso that they are able to move or give up their assets without undue hardship before commencement ofcivil works. The RAP implementation schedule indicating this co-ordination is provided is providedalongside Table 4-1. This provides the key benchmarks of implementing the RAP. All other activitiesrelated to implementation and land acquisition will be undertaken simultaneously.


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..:rnataka Sitax IlH2n%axX: yrovement Proicct.iA!' Impiemenration Procedur->

ii. The time taken for the implementation for the RLAP x\ ill be berx,eeii 2 to 4 years. as Contacts b 5 anr U14is expected to be over in 24 months. The maximuni time allotted is for Contract UL xx hicil is exoected tobe complete in 48 months starting from the zero date. The SDRC will provide contac; xx ise detailsbefore civil xvork-s are awarded identifying stretches whiere land acquisition is complete anc free ofencumbrances

iii. Resettlement plannina and updating of studies will be a continuous process throughout the proiect. ThePIU will co-ordinate these efforts to assure that RAP implementation and phasing is appropriatelysequenced with desiens and civil works. It is estimated that the resenlement process inciuding landacquisition can be completed within one vear for Phase I followed by start of Phase 11 implementationwork.

4.22. Implementation Procedurei. The implementation of the RAP will consist of four major stages:

a. Identification of cut-off date and notification

b. Verification of properties of PAPs and estimation of their type and level of losses and distribution ofID Cards. The verification procedure includes checking of recorded addresses. type of property xviththeir survey identification number. and estimation of type and level of losses. This stage alsoinvolves consultations explaining the entitlement framework to the EPs. as well as the process ofpayment of compensation and assistance. the grievance procedures. involvement in implementation.etc. This exercise is the responsibility of the PIU/SDRC along with the NGO. Verification includesidentifying owners of vacant property, additional land that needs to be acquired due to changes indesign and land designated as government land.

c. Preparation of PAPs for relocation. The role of the SDRC partnering NGO in this respect wvill bevery important. Community consultation will continue through out the project. Efforts wvill be madeto restrict all developmental activities with the exception of capital resource funding during the landacquisition and resettlement period for the PAPs. No Physical relocation from agriculture land,residential units. commercial establishments or other immovable properties will begin beforealternate arrangements are made.

d. Relocation and resettlement of the PAPs. During the period of transition, the PAPs will be allowedto have access to their original property and any assets located there until they become unusable oraccess is denied. The new resettlement sites will be regularly visited by the PIU officials. These twosteps will facilitate resettlement and resolve any issues that arise, in case of large influx of PAPs intoan existing neighborhood. This will be applicable only in Phase II.

4.23. Timing of resettlementi. The resettlement process must be completed before the start of civil works. Requisite procedures will be

developed by the PIU to carry out resettlement of PAPs located within the COI. before the civil workstarts on any section of the project road. PAPs will be given at least two months notice to v'acate theirproperty before civil works begin. It is advised that the civil works be first initiated for the packageswhere the land acquisition process is completed, the PAPs are resettled and the COI is free ofencumbrances for the contractor to start work. The implementation schedule for Civil Works needs to beworked out in detail between the Engineering Wing and the SDRC. Any delay in civil works would beexpensive for the GOK, as the contractors could go in for escalation and arbitration.

4.24. Land acquisitioni. The civil works as mentioned are linked with the completion of land acquisition. In Phase I of the

project the estimates for land acquisition has been provided. The indicative land cost estimates havebeen given in the costs and budget section. Since the extent of land acquisition is only 4.67 ha. it isassumed that most of the acquisition process can be done throurh consent awards. There is 4.71 ha. ofgovernment land that needs to be transferred. The verification of the government land has to be done bvthe PIU. Depending on the ownership the PWD needs to negotiate with the relevant department. Refer toAnnexure 1, Volume II, for details on community, private and government land/structure acquisition.Phase 11 land acquisition is estimated at 89.07 ha. for upgradation roads and 149.80 ha. for bypasses. InPhase 11. the land acquisition estimates are high due to the insufficient ROW, and the need for bypasses.

34 Scott 'Wilson I CES i IIIE

K,amataka State Highways Resettiemen! .A\ct.'n:l iarimprovement Project Cnanter 4RAP Implementation Procedures

4.25. Implementation Responsibilitvi. It is the responsibility of the PWD to ensure that thie RAP is successfully implemented in a timely

manner. The implementation schedule proposed will be updated, as more information becomesavailable.

4.26. Project Affected Persons' Identitv Cardi. All eligible project affected families will be issued Identitv Cards, giving details of the type of losses and

type of entitlements. Each PAP will be given an identification code. This card will be verified by PIIU. NGOand the PAP and signed by each of them. Each PAP will be given a copy. In case of household entitlement,both the PAP and his/her spouse will sign the ID card. For individual entitlement conceming the loss oflivelihood, PAP adult who is of 18 years of age on the cut off date will be identified and givendocumentation of their entitlements.

ii. The SDRC needs to issue ID cards to all PAF, at the earliest possible. Issue of ID cards will also facilitateenumerating PAPs who were not available during the initial socio-economic survey. And it is also to ensurethat opportunistic squatters and encroachers are not encouraged. The card will contain the followingparticulars:

a. Name and passport size photograph of head of the household along with his age, sex, caste. whetherbelow poverty line or not, and occupation.

b. Name, age, sex, caste, occupation and relation with the head of the family of other members of thefamily.

c. Type and extent of loss.

d. Compensation and Entitlements as per R&R package

iii. The card will be delivered prior to acquisition of properties and properly acknowledged. Along with theID card a booklet carrying information related to the project and salient features of R&R policy will bedistributed. A copy of the ID card is given in the Annexure 4-4. Volume 11.

4.27. Costs and Budgeti. A consolidated overview of estimated costs of the Resettlement Action Plan is provided below. It

supplies the budget estimate for the entire resettlement implementation, including land and assetacquisition compensation, assistance, administrative expense, monitoring and evaluation, andcontingencies. The cost of resettlement has been included in the overall costs of the project.Values for compensation amounts and other support mechanisms will be adjusted annually based toinflation factors. The project cost for Phase I is estimated at Rs.4.51 crores. The Phase 11 budgetestimates are Rs. 27.47 crores. The detailed budget is given alongside in Table 4-2, for Phase I alongwith the estimated budget for Phase 11. The detailed budget is provided in Annexure 4-5. Volume I.Experience from similar projects in India show that resettlement costs in road projects are low comparedwith overall project costs. R&R costs account for less than 1% of civil costs for Phase-I. Delays orinadequacies in implementing the RAP could however lead to costly delays in overall project implemen-tation, since progress in civil works depends on satisfactory completion of the resettlement program.

ii. The costs used for budget estimates are based on information collected during census and socio-economic surveys of PAPs during Phase-I project preparation. estimates taken from the Upper KrishnaProject and Project Sea Bird. The basis of budget cost estimates for major RAP-provided entitlements isbriefly reviewed.


IKaC yialak;iliatc I lignlvlays I I11LA I i H

Jinplovellielit l'l(ject ,apWr 1

RIAII hiiplemienla.tiomi 1'roceduiies

Table 4-2: Resettlement & Rehabilitation Bu get Estimates for Phase I and Phase IIItems Phase I Total Phase II Est. Project Total

Acquisition of private land 1514350 118000000 119514350Acquisition of private residences 424199 8400000 8824199Acquistion of private businesses structures 1698656.25 5704800 7403456.25Acquisition of residential+ commercial structures 243049.25 364573.875 607623.125Assistance to encroachers 1000 35000 36000Assistance to squatters 867500 2025000 2892500Shifting assistance(owner) 90000 190000 280000Subsistence allowance (owners) 50400 302400 352800Restoring livelihood/income(owner commercial) 80000 1120000 1200000Community Assets Total 8705511 26999984 35705495Relief assistance (employees) 36000 1062000 1098000Other assets 266541.877 4080000 4346541.877GOK cost of commercial site for squatter 5775000 28125000 33900000SUB-TOTAL 19752207.38 196408757.9 216160965.3t1echinical Assistatice (training, NGO, monitoring etc.) 17795000 32500000 50295000TOTAL 37547207.38 228908757.9 266455965.3Contingency @ 20% 7509441.475 45781751.58 53291193.05GRAND TOTAL 45056648.85 274690509.5 319747158.3

36 Scott Wilson / C[ES /111F

Karnataka State Hiehwavs Rs,e:tiemen- Action PianImprovement Project Chapter 4RAP Implementation Procedures

Table 4-3: Unit CostsNo. Category l Unit cost1. Irrigated land Rs. 2,50.000 per acre2. Dry land Rs. 1.00.00 per acre3. Fallow land Rs. 50.000 per acre4. RCC roof, concrete floor. brick masonry (Pucca) Rs. 600 per sqft.5. Dry stone masonry ( Semi Pucca ) I Rs. 400 per sqft.6. Mud mortar house tin /asbestos/thatched (kutcha) Rs. 275 per sqft.7. Construction cost in Resettlement site Rs. 45.000 max.8. Commercial site for BPL squatter R. 750 per sqft. ( Between 50-100 sqft.)9. Worship places, shrines, Rs. 600 per sqft.10. Bus shelter Rs. 1,00,000 per bus shelter (dimension

2.5m*4.5m*3m)11. Aralikatte Rs. 10,000 per aralikatte12. Handpump Rs. 50.000 ( 25-30 m depth)13. Tap Rs.3000/ tap14. Borewell / water points Rs. 1,20.000 (60-1 00m depth)15. Water storage tank Rs. 10,00016. Subsistence allowance (owners) Rs. 1200 for 6 months17. Subsistence allowance squatters & encroachers Rs. 2000 as one time payment18. Shifting allowance for owner pucca & semipucca Rs. 500019. Shifting allowance for owner kutcha Rs. 250020. Shifting allowance squatters & encroachers below Rs. 500

l lpoverty line21. Economic rehabilitation Rs.20.00022. Rental value commercial Rs. 850 for 3 months23. Rental value residential Rs. 100 for 3 months24. Relief assistance Rs. 1200 for 3 months25. Ashrava Housing ( project contribution) Rs. 10,000 per unit26. Training for PAP for income generation schemes Rs. 2000 per PAP

& vocational training27. NGO assistance for implementation Rs. 10,000 per PAP28. Monitoring and evaluation Rs. 5000 per PAP29. SDRC & associated staff training Rs. 5,00,000 per vear30. Group entitlements Rs. 10,000 per km31. Office equipment Rs. 5,00.000 per annum32. Vehicle cost Rs. 4.5 per vehicle

i. Povertv LineThe poverty line is calculated at Rs. 14,400, for this project. The GOK criteria for BPL is Rs.12.000 perannum. For this project 20% above this poverty line will be adopted for identification of PAFs forproject entitlements i.e Rs. 14,400.

4.28. Monitoring and Evaluationi. Monitoring involves periodic checking to ascertain whether activities are going according to the plan.

Monitoring will cover physical and financial components. It provides the feed back necessary for projectmanagement to keep the programs on schedule. By contrast, evaluation is essentially a summing up, theend of the project assessment of whether those activities actually achieved the intended aims.

ii. RAP implementation will be closely monitored to provide PIU and SDRC project managers with aneffective basis for assessing resettlement progress and identifying potential difficulties and problemareas. Monitoring will carried out by appropriate specialists within the SDRC and reported regularly tothe Project Director on a quarterly basis.


;-..1a3' )iale HrenksaxN R.sciiien: . Pim: eme?.i Pro ec: Cn2ricr 4RK" imnplementation Procedures

iii. In implementation. the NI&E system will perform the follo\ ing key tasks:

a. Administrative monitoring to ensure that implementation is on schedule and that problems are dealtwith on a timelv basis;

b. Socio-economic monitoring during and after the relocation process utilizing the baseiine establishedby the PAP socio-economic survey undertaken during project preparation to ensure that peopie aresettled and recovering: and

c. Impact evaluation to determine that recovery has indeed taken place and. in time. succeeded.

iv. The indicators for achievement of the objectives under the resettlement and rehabilitation program are ofthree kinds:

a. Process indicators. indicating project inputs, expenditures. staff deployment. etc.b. Output indicators. indicating results in terms of numbers of affected people compensated and

resettied, training held, credit disbursed, etc.c. Impact indicators. related to the longer term effect of the project on people's lives

v. Data from the baseline socio-economic surveys undertaken for each Phase of the project data providesthe benchmark for measuring and evaluating the success of the RAP. Monitoring will also include:

a. Communications and reactions from PAPs;b. Information from PAPs on entitlements, options, alternative developments and relocation

timetables;c. Visits by PAPs to potential sites;d. Valuation of property;e. Use of the Grievance Procedures;f. Disbursement of compensation. and,g. Trends in the retail and residential land markets in PAPs old and new communities.

vi. Monitoring will also cover the physical progress of project-provided resettlement sites should these berequired. This monitoring will include preparation of the land. construction of community facilities,provision of infrastructure, construction of houses, plantation of wood lots and other necessities beforethe PAPs arrive at the new location. It will also cover the relocation of people and their goods to the newsites as well as the allocation of replacement assets. Quarterly reports will be made to the PIU by theSDRC on the progress of resettlement site provision, in the event that thev are necessary in subsequentphases of the project.

vii. Developing an early warning system to alert PIU/SDRC managers of the RAP to any potential problemsof the PAPs is essential. The monitoring and evaluation indicators are given below. These are onlybroad indicators, additions and deletions to these can be made as per requirements. The targets to beachieved have been indicated. The target helps in assessing the status of each component to identifyslippage's. Individual monitoring schedules and checklists have been provided in the Annexure 4, Table4-6 in Volume 11.


Karnataka State Highways Resettiement Action PianImprovement Project Chapter 4RALP Implementation Procedures

4.29. Monitoring and evaluation indicators

Table 44: MONITORING INDICATORSPHYSICAL INDICATORS

Implementation Revised Progress Cumulative % againstTarget Implementat this progress revised

ion target quarter implementation target

Land Acquired ( acres/ha.) 4.67 ha. Pvt land

No. of HHs provided 33 PAFsalternate housesNo. of Common Property 205Resources re-establishedNo. of SDRC staffin position 31

No. of conmuercial squatters 77provided site

FINANCIAL INDICATORS

Implementation Revised Progress Cumulative % againstTarget Implementat this progress revised

ion target quarter implementation target

No. of consent awards 113 PAFs

No. of HHs paid 113 PAFscompensation .

No. of HHs paid shifting 241egal + 131allowance squatter + 2 EncrNo. of PAFs receiving 11

Economic rehabilitation

No. of HHs paid subsistence 4 legal+131allowance squatter+2 Encr

No. of HHs paid rental 41 PAFsallowance

IMPACT EVALUATION INDICATORS

Pre project Mid term End of projectBaseline

1. Income (Annual Rs.) Rs.10.810 (BPL)l_______________________ Rs.72,370 (APL)

2. Occupation Agriculture : 565(some of the main occupation are Agri. Lab: 405listed ) Comrnerce/trade :388

Services: 66

3. Type of house residential Kutcha - 29(for eligible PAFs) Pucca - 3

Semi pucca - 84. Access to: ( No. of HHs)a. Water supply piped 2b. Electricitv 7


SWil;a tae High%Na N1-.;n.:---.1" I'iain,"nr.cmcnt Proect C1. artcr 4!.A.' imoem-ntation Procedure,

4.30. Internal Monitoringi. Internal monitorinc will track indicators such as the number of families affected. resettle'. assistance

extended. infrastructure facilities provided, financial aspects. such as compensation paid grant extendedetc.

ii. Intemal monitoring will be carried out by the PIU/SDRC. Job charts will be given to the AssistantCommissioner. Land Acquisition and the Social Development Officer. The job charts xNili indicatetargets to be achieved during the month. Monthly progress report shall be prepared and submitted to theChief Administrative Officer, reporting actual achievements against the targets fixed in their respectivejob charts and reasons for shortfalls, if any.

iii. The SDRC will have responsibility for management and maintenance of the extensive PAP databasedocumenting results of the PAP census, asset verification information. and socio-economic sur\ve\ datawhich will be employed as the baseline for assessing impacts of RAP implementation.

iv. For internal monitoring the installation of the Management Information Systems. comprising of thefollowing monitoring modules is recommended:

a. Land Acquisition Moduleb. Structure Acquisition Modulec. Socio-Economic Survey Moduled. Rehabilitation Modulee. Project Planning and Monitoring Module andf. Accountina Module

4.31. External Impact Evaluationi. An external agency will be appointed to evaluate the R&R program at mid term i.e. at the end of Phase I

and at the end of the project. The agency will submit evaluations on the following indicators:

a. Restoration of income levels;b. Changes and shifts in occupation pattem;c. Changes in type of housing of PAFs;d. Assessing PAF access to amenities, such as water, electricity. transportation etc.;

The above points are only indicative, and the SDRC can adopt other relevant indicators for evaluation.

4.32. Criteria for determining completion of Project Resettlement and Rehabilitationi. Resettlement and Rehabilitation is complete only the following criteria are met:

a. All legal compensation must be paid;b. All eligible PAPs must have altemative house and economic rehabilitation must be complete.;c. At least 75% of all eligible PAPs must have improved their standard of living compared to the

baseline survey.d. All project affected common property resources must be replaced and reestablished.

40 Scott Wilson .' CES / IIIE

Annexures

Annexure 1

Karnataka State HighwaysImprovement Procect

Improvement Legend For Phase-li

C D Major Maintenance~Upgradab,on

Improvement Legend For Phase-I

j I Upgradabon-| MaprMajor Mantenance

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Scott WilsonI CES IDIEE

Kamataka State High wavs R0sm-nemcnt Ac11on PlanImprovement ProjectAnnexure I

ANNEXURE 1

DETAILS OF PROJECT ROADS

Table 1-1 :Phase I Upgradation

Contract Link From To Under Upgradation km)U5 IA Raichur Makthal 19.33U5 IB Kalmala Raichur 11.81U4 2A Bijapur Tikota 20.15UI 5A Kalmala Sindhnur 76.66U2 5B Sindhnur Gangawathi 50.56U2 5C Gangawati Munirabad (Budagumpa Cross) 26.96U3 6L Hattigudur Shahpur 11.98U3 6M Shahpur Jevargi 37.78U3 6N Jevargi Gulbarga 37.33U3 60 Gulbarea Homnabad 58.85U3 6P Homnabad Bidar 46.31

TOTAL 397.72

Table 1-2 Phase I Major Maintenance

Contract Link From To Under MajorMaintenance (km)

Ml IE Hungund Mudoal 39.67M2 2Ba Shedbal Badachi 43.00M3 2Bb Badachi Kagwad 49.510M4 2C Kagwad Sankeshwar 34.17M4 2D Sankeshwar Chikodi 21.32M5 6Aa Srirangapatna Chinya 32.00M6 6Ab Chinya Nelligere 30.960M7 6B Nelligere Kibbanahalli 47.01M8 6C Kibbanahalli Huliyur 36.46M9 6D Huliyur Hirivur 48.72Mio 6Ha Bellary Devinaear 83.89Ml] 6Hb Devinagar Sindhnur 42.897M 12 6J Sindhnur Lingsugur 52.16M13 6K Lingsugur Hattigudur 68.38M 14 9A Mariyamnuan Ittigi 41.11

halli

M15 9B Ittigi Harpanhalli 23.27M 195 !c Harihar Harpanahalli 42.52Ml16 9D Harihar Honnali 34.55M17 9E Honnali Shimoga 39.04M18 IIA Belur Chickmagalur 23.91M19 I IIB Chikmagalur Tarikere 56.57M20 12Aa Bijapur River Krishna 40.000M21 12Ab River Krishna Gaddankere 36.477M22 12B Gaddankere Nargund 59.35M23 12C Nargund Hubli 57.12

| TOTAL 1041.17

Scott 'Wilson/ CES / IIJE

Karnataka State Highwa! kei Soiemen: ACtlwi, Pa:-ImDrovemenl Project

Annexure I

Table 1-3 Phase II Upgradation

Link To Under Upgradation(km)1.1. From

IF Bagalkot Hungund __41.53 _!

I H Lokapur Gaddankere 28.171J Yaragatti Lokapur T 44.431K Belgaum Yaragatti 56.503A Bijapur Mudhol 81.463B Mudhol Lokapur 22.484A Hullikati Nareund 20.844C Sankeshwar Yargatti 73.296E Hirivur Challekere 40.876F Challekere Hana2al 49.506G Hanagal Bellary 52.128A Khanapur Alnawar 35.19

TOTAL 546.38

Table 14: Phase II Major Maintenance

Link From To Under MajorMaintenance(km)

8B Alnavar Yellapur 57.09

2 Scon Wilson / CES / IIIE

Annexure 2

Karnataka State Hich%Navs Resettlement Action PlanJmprovement ProjectAnnexure 2

ANNEXURE 2

GOVERNMENT OF KARNATAKA

RESETTLEMENT & REHABILITATION: PRINCIPLES ANDPOLICY FRAMEWORK

1. INTRODUCTION AND OBJECTIVES

1.1 The Government of Karnataka (GOK) is preparing the Karnataka State HighwaysImprovement Project (KSHIP). The aim of the project is to improve the performance of theState's road transport network by improving road conditions and capacity, and to improvethe State's capacity to plan, develop and maintain the Kamataka roads network. Theimprovement works generally consist of widening to two-lane carriage-way with pavedshoulders, pavement strengthening, removal of geometric deficiencies, repairs,rehabilitation and widening of bridges and culverts, addressing traffic safety measures andsimultaneously addressing environmental and social impacts of the project.

1.2 A selection of 960.50-km of roads will be upgraded in the project in two phases.These roads will be improved through raising of formation levels, pavement strengthening,widening and realignment wherever necessarv. A additional 1083.10 kms of roads will beselected for major maintenance. This policy applies to all components described in theproject appraisal document. Upgradation involves widening and strengthening of roads andit necessitates acquisition of private lands or alienation of public land and propertiesresulting in displacement of persons and loss of livelihood. The initial survey hasestablished that implementation of the project will entail acquisition of land, structures andother assets and or cause displacement or loss of assets within government land, Right ofWay (ROW). The losses may be temporary or permanent and concern both individuals andgroups.

2. PRP'CIPLES

2.1 This policy is based on the principle that the population affected by the project willbe assisted to improve their former living standards. The policy emphasizes that involuntarvresettlement will be avoided or minimized where possible by exploring other alternativeproject designs. Where displacement is unavoidable. people loosing assets, livelihood orother resources shall be assisted in improving their former living standards.

2.2 This policy document describes the details of entitlements and type of assistance tobe extended to the affected persons. which will become the basis for preparing a detailedand time bound Resettlement Action Plan (RAP). The RAP will contain the implementationdetails on how to ensure that principles and provisions of this policy can be implemented.The Resettlement Action Plan will describe the approach to be followed in minimizing andmitigating negative social and economic impacts caused by the project, includingdisplacement.

2.3 This policy identifies categories of expected project impacts, including loss ofproperty and assets. loss of livelihood, and other social and economic impacts on groupsand roadside communities. All people, households and groups adversely affected by theproject would be registered and support will be given in accordance with these policyprovisions.

Scott Wilson I CES I IIIE

Karnataka State High,a% s Resettlement Action PlanImprovement ProjectAnnexure 2

3. NEED FOR LAND ACQUSITION AND RESETTLEMENT IN THE PROJECT

3.1 Most of the infrastructure work planned for the Road Sector project will take placewithin the established Right of Way (ROW). and major land acquisition is not foreseen.Land acquisition will take place only where there are new bypasses to be constructed, wherethere are changes in alignment of the existing road, or where for widening there is notenough ROW.

3.2 Studies have revealed that the ROW is not free of encumbrances. Government landis encroached upon by squatters who have erected structures used for residential or businesspurposes, and by people cultivating land within ROW. These squatters and encroachers arenot entitled to legal compensation for the land they have occupied. The project will givetargeted support to below poverty line families to ensure that squatters and encroachers areable to maintain shelter and livelihood, and non-land assets lost are re-established.

4. IlMPACTS AND ENTITLEMENTS

4.1 This policy addresses the direct and indirect impacts of project construction andoperation on affected persons. families. households, communities, and groups. The mostdirect and immediate impacts are those associated with project construction, mainly landacquisition. Other losses include loss of shelter, and other assets within the project'scorridor of impact: as well as roadside structure, business establishments and publicfacilities. Mitigation is provided through compensation and assistance to project-affectedpersons, families, households, and groups. These social units are entitled to compensationand assistance on the basis of this policy framework adopted by the project. The policyprovides mitigation for:

* loss of assets, including land and house or work place;* loss of livelihood or income opportunities; and* Collective impacts on groups, such as loss of community assets, common property

resources, and others.

4.2 Loss of assets and livelihood are impact categories that represent direct projectimpacts on an identified population. The people likely to be affected will be surveyed andregistered. and project monitoring and evaluation will compare long-term impact againstbaseline socio-economic data.

4.3 Collective impacts on groups represent direct and indirect impacts, where groupmembers need not be individually registered. Group-oriented gains and losses in thiscategory are less quantifiable in terms of impacts on the individual. Mitigation and supportmechanisms are collectivelv oriented, and the monitoring of these efforts will examine theimpact and benefits for the groups involved.

5 DEFINITIONS

5.1 Under this resettlement policy adopted for the project, several categories of project-affected persons are recognized with varying eligibility for the compensation and assistancepackages. The project affected persons would be entitled to either compensation or assistanceor both. The relevant considerations are described below:

(a) Private Propertv Owners: Are those who have legal title to land, structure and otherassets.


Kamatak-a State Highways Resettlement Action PlanImprovement Project.Annexure 2

(b) Squatters: Are those who have illegally occupied government lands for residential,business and or other purposes. Thev are not eligible for compensation but would qualify forassistance and targeted support if they are below poverty line.

(c) Encroachers: Encroachers are persons who have extended their building, agriculturallands, business premises or work places into government lands. As a rule. they are not eligiblefor either compensation or assistance. The assistance to these persons will be on case to casebasis provided that they are below the poverty line.

(d) Tenants: Tenants are those persons having bonafide tenancy agreements. written orunwritten, with a private property owner with clear property titles. to occupy a structure or landfor residence, business or other purposes. They are eligible for certain compensation orassistance as per the existing norms and practice.

5.2 The three major categories of units entitled for compensation and assistance include (i)Project Affected Families (PAFs); (ii) Project-Affected Persons (PAPs); and (iii) ProjectAffected Groups (PAGs).

(a) Pro)ect-Affected Families (PAFs), are defined to include each adult displaced personhis/her spouse, minor children and other dependents who habitually reside in onehc6usehold.

(b) Poject-Affected Persons (PAPs) are persons who have economic interests or residencewithin the project impact corridor and who may be adversely affected directly by the project.Project-affected persons include those displaced, those losing commercial or residentialstructures in whole or part, those losing agricultural land or homesteads in whole or part, andthose losing income sources as a result of project action.

(c) ProiectAffected Groups (PA Gs) are groups or communities outside the immediate impactcorridor that may be affected by the project with a focus on the more vulnerable or weakergroups in society.

(d) Cut-off Date: The date of Notification under Section .4 (1), will be the cut-off date whereland acquisition will be required. In the case of squatters and encroachers and unauthorizedoccupants the date of the Project Co-ordinating Consultants socio-economic survey will beconsidered as the cut-off date for entitlements under the project. For the purpose of recognizingadults (above 18 years) for economic rehabilitation. the date of extending assistance orpayment of compensation will be used for determining economic rehabilitation. This applies incase the pavment of compensation or relocation if delayed beyond two years. For the purposeof identifying below poverty line families. the cut offdate is the date of census survey.

(e) Poverty Line Groups are those groups, which have an income upto 20% more than thePoverty Line income as fixed for Karnataka as per Planning Commission norms.

(t) Vulnerable groups are those groups such as women-headed households,handicapped/disabled and landless families, who will be dealt with on a case to case basis. Thespecific assistance for these groups will be reflected in the RAP.

(e) Compensation refers to the amount paid under the Land Acquisition Act for privateproperty, structures and other assets acquired for the project. In this context, compensationrefers to payments made by the govemment when Eminent Domain is exercised and title of aproperty is transferred from a private entity to the government.

(It) Consent Award is the amount that the PAP negotiates with the project authorities, for theloss incurred, on a willing buyer-seller basis. Once the amount is agreed upon the PAP cannot


Karnataka State Highways Resettlement Action PlanImprovement ProjectAnnexure 2

move to court for enhancement of the amnount. This amount is negotiated between the GOKand the land /structure owner on a mutuallv acreed price without any preconditions.

(i)Replacement Cost of the acquired assets and property, is the amount required for theaffected household to replace/reconstruct the lost assets through purchase in the open market.Replacement cost wi!l be calculated at PWDs current Schedule of Rates without depreciation.

(i) Assistance refers to the support provided to PAPs in the form of ex-gratia payments, loans,asset services, etc. in order to improve the standard of living and reduce the negative impacts ofthe project.

(k) Gramthana refers to non agricultural land within the village built up area.

(m) Any other unidentified catezon not yet identified, shall be documented and mitigatedbased on the principles agreed upon in the KSHIP social impacts and resettlement policy.

6 Entitlement Matrix6.1 The following entitlement matrix will guide to offer compensation and assistance to

those persons affected by the project.


Kiarna;.tukii SiMe I lighlxiiys Resettle tiuie1 ActioII PlauiImuprovemellClnt Pr'onject

Aainicxurc 2

ENTILEMENT MATRIXNo. Im6p.ct -Type of loss Jilt of Details(Calegory 1 uitil eini Entitlemiient

enll

_ lille holder -(a) loss olf IProject L. Consent Awari OtR * Consent Award, as per delinition.olI P'rivale ILanid Aifccied C omipensa, ion0 in accordance L.AA * Compensallionl will be made as per l.AAproperty Family 2. Assistance for economic rehabilitation * For grianithana land compensation is as above.3. Subsistence allowance * If notice under Section 4 (1) of LAA, Ior stiandinig

seasonal crops cannot be given then cash compensationfor lost localised standing crop will be paid based onthe valuation done by the Department ofAgriculture/Horticulture.

* Compensation for perennial crops to be calculated asannual net product value multiplied by number ofproductive years remaining. For trees it will be basedon the market value of timber in case of timber bearingtrees and replacement cost in case of fruit bearing trees,to be done through the Department ofAgriculture/Forest and lHorticultujre, as per LAA.

* Subsistence allowance for l'AFs, if they are resettledand relocated, will be calculated on the BPI, criteria

* Assistance for purchase of income generating assetsunder economic rehabilitation for BPL families, if theyare resettled and relocated. The assistance value will be

______ _ ._____________________________________________ decided by the G O K.(b) Loss of Project I. Consent Award OR * Consent Award, as per definitionresidential Affected Compensation at replacement value OR housing plot in * Replacement cost to be calculated at PWDs currentstructiure Family resettlement layout Schedule of Rates without depreciation.

2. Shifting assistance * Registration and taxes, associated with the new house,3. Registration and taxes if any will be bome by the project4. Right to salvage material from existing structure * Where loss of structure is partial and the remaining5. Subsistence allowance structure is viable, PAF's will be entitled to only

replacement cost of the affected portion.* Resettlement sites will be developed if more than 20


Karnataka State I ighiways Resettleimieiet Action PlanImprovement lProjcctAnnexure 2

families are getting displaced from a continuous stretchof 2 kms. at one location, if so desired by the PAFs.

* Housing plot will be provided in the resettlement site.* Subsistence allowance for PAFs, if they are resettled

and relocated, will be calculated on the BPI. criteria.

(c) I.oss of Project I. Consent Award OR Compensation at replacement * Consent Award, as per definitioncommercial A ffected valie OR allotment in a shopping complex, if * Replacement cost to be calculated at PWDs curreintstructure Family constructed as provided 'in detail' column Schedule of Rates without depreciation.

2. Economic rehabilitation program. * Subsistence allowance for PAFs, if they are resettled3. Shifting assistance and relocated, will be calculated on the BI'L criteria.4. Subsistence allowance * Assistance for purchase of income generating assets5. Right to salvage material from existing structure. under economic rehabilitation for BPI. families, the

value of which will be decided by the GOK.* Shopping complex will be constructed if 25 or more

commercial structures are affected in a stretch of 2 kmsand 25 PAFS are willing for such construction.

(d) Loss of Project 6. Consent Award OR Compensation at replacement * Consent Award, as per definitionresidential Affected value OR allotment in a shopping complex, if * Replacement cost to be calculated at PWDs currentcum Family constructed as provided 'in detail' column Schedule of Rates without depreciation.commercial 2. Economic rehabilitation program. * Subsistence allowance for PAFs, if they are resettledstructure 3. Shifting assistance and relocated, based on the BPL criteria.

4. Subsistence allowance * Assistance for purchase of income generating assets5. Right to salvage material from existing structure. under economic rehabilitation for BPI, families, the

value of which will be decided by the GOK.* Shopping complex will be constructed if 25 or more

commercial structures are affected in a stretch of 2 kmsand 25 PAFS are willing for such construction.

(e) Loss of Project I. Compensation at replacement value for all assets * Replacement cost to be calculated at PWDs currentother assets Affected acquired. Schedule of Rates without depreciation

Family * Compensation for other assets include loss of boundarywall, wells, cattle shed etc.,


Kirnataka Staie II igvl. ays Rcselllcient Action I'lanIniprovemnent lProjcclAnncxure 2

2. Tenants on (a) Project M. Rental Value * Mutually agreed rental value or amotnt as fixed hy thelegal lanld Residential Affected PWD, ifrented accommodation is vacated within

strmcture Family stipulated period.* BPL families will be given house under weaker section

housing scheme.

(b) Project 1. Rental Value * Mutually agreed rental value or amount as fixed by theCommercial Affected 2. Economic rehabilitation PWD, if rented accommodation is vacated withinstructure Family 3. Shop in a commercial complex stipulated period.

* BPL families will be given preference for a shop in theshopping complex or economic rehabilitation asdecided by GOK

(c) Project I .Rental Valte * Mutually agreed rental value or amount as fixed by theResidential Affected 2. Economic rehabilitation PWD, if rented accommodation is vacated withincum . Family 3. Shop in a commercial complex stipulated period.commercial * BPL families will be given preference for a shop in the

shopping complex or economic rehabilitation asdecided by GOK.

* BPL families will be given house under weaker sectionhousing scheme

3. Squatters (a) Project I . Benefit from Economically Weaker Section * For those BPL families who do not own any assets,Residential Affected Housing Programme for BPL families will be entitled for the EWS housing program andStructure Family 2. Advance intimation shifting allowance.

3. Shifting allowance * Subsistence allowance for BPL families getting4. Subsistence allowance resettled and relocated.

* Above poverty line families will be given an advanceintimation of 60 days to shift from the public land.

(b) Project I. Site will be provided, at a price determined by the * Above poverty line families will be given an advanceCommercial Affected GOK, for BPL families intimation of6O days to shift from the public land.Structure Family 2. Advance intimation * Subsistence allowance for BPL families getting

3. Shifting allowance resettled and relocated.4. Subsistence allowance * Shifting allowance for BPL families only

7 Scott Wilson / CES/ IIIE

Karnataka State Ilighways Resettlement Action PlanImprovement ProjectAnnexure 2

4. Encroacher (a) Project I. Benefit from Economically Weaker Section * For those BPL families who do not own any assets willResidential Affected Housing Programme for BPL families be entitled for the EWS housing program and shiftingStructure Family 2. Advance intimation allowance.(total loss of 3. Shifting allowance * Subsistence allowance for BPL families gettingstructure) 4. Subsistence allowance resettled and relocated

* Above poverty line families will be given an advanceintimation of 60 days to shift from the public land.

b) Project I . Site will be provided, at a price determined by the * Above poverty line families will be given an advanceCommercial Affected GOK, for BPL families intimation of 60 days to shift from the public land.Structure Family 2. Advance intimation * Subsistence allowance for BPL families geting(total loss of 3. Shifting allowance resettled and relocatedlivelihood) 4. Subsistence allowance * Shifting assistance for BPL families only.

5. Those losing Total Loss of Project I . Relief assistance * This amount will be calculated on the basis of the BPI,their total Livelihood Affected criteria.livelihood as Personemployees

6. Other impacts Whether loss PAF or 1. Unforeseen impacts shall be documented andnot identified of assets or PAP mitigated based on the principles provided in this policy

livelihood7. Loss of Group Project 1. Restoration/ replacement and improvement of * Alternative site will be provided by the Government

Community Impacts Affected community assets such as public water pumps, for the restoration of affected community assets.properties Groups sanitation and drainage facilities, schools, hospitals, * The maintenance of common property resources andand Assets temples and shrines, and cultural heritage resources. infrastructure will be handed to the Local authority.

2. Restoration and improvement of common propertyresources, such as access to water, fodder, andfuelwood.

Note: All the costs calculated will be pegged to the Inflation costs after 2 yearsfrom the cut off date.


Karna.aka State HighxNa\s Resettiement Action PlanImprovement ProjectAnnexure 2

7 SUPPORT PRINCIPLES FOR CATEGORIES OF IMPACTS

7.1 The project entitlements for PAFs cover loss of land, structures and other assets. Theentitlement unit for such assistance is the family unit (PAF). If a household asset is to be taken. thefamily, as a collective unit. will be "entitled". Compensation will be given to the head of the householdand, when new land or structures are given both the husband and wife's names will be placed on thetitle. Entitlements provided to project-affected families also include a shifting allowance. subsistenceallowance, rights to salvage building materials and counseling on altemative assistance.

7.2 The project will ensure that new housing is made available before people are required torelocate. The project approach will be to minimize relocation distance and the disruption of localsupport networks. In the event that large population clusters are affected by. the project and must berelocated, the project will provide new housing in a resettlement site approved by the affected people,with adequate infrastructure and utilities. Resettlement sites will be developed in case there are 20 ormore families getting dislocated in one cluster. This will be provided as an option and householdsmay still elect self-relocation. In such cases, compensation and other support will be provided to self-relocating households and project will assist and facilitate their resettlement process. If resettlementsites are developed as part of the project. the local host population will also be consulted about theirviews and needs, and be given appropriate support to reduce any negative impact caused by an influxof new people.

7.3 Early census survey will identify all potentially affected people, whether inside the ROW oroutside and also in cases of realignment or ROW extension. A cut-off date will be determined for eachof the project roads. Opportunistic encroachments and squatting taking place after this date will not beconsidered eligible for support under this project. Wherever Government land is available beyond thecorridor of impact, project affected families will be shifted there to continue their business.

7.4 The project may generate unskilled labour for construction, operation and maintenance. Thesejobs will be offered to PAPs and other local people. A clause will be incorporated in projectconstruction documents requiring contractors to give a small percent of the employment opportunitiesto eligible unskilled and semi-skilled PAPs and local people when they possess necessaryqualifications and ability.

7.5 Where the project affects tribal groups living in the vicinity of the road corridor, the GOK andGOI policies will apply.' Special attention in the project will be directed to developing assistance andsupport mechanisms that are culturally appropriate to the affected tribal groups.

7.6 Any other group-oriented impacts not yet identified, shall be documented and mitigated basedon the principles provided in this policy.

Targeted support to below povertv line groups

7.7 The project will develop target assistance for groups such as women-headed households,children, the elderly, and the disabled. The RAP will address special attention, options and supportmechanisms for these groups. Attention will be given on a case by case basis, with regard to theirhabitation, livelihood, educational opportunities, vocational training, etc. The type of special assistancewill be determined during development of RAP.

Options and choices

7.8 The project will provide options and choices among different entitlements to the affectedpopulation. As part of the project consultation and participation mechanisms, people will be informed

''World Bank's Operational Directive 4.20 apply to Indigenous Peoples,


Kamataka State Highways Res-niement Action PianImprovement ProjectAnnexure 2

and consulted about the project and its impacts. and their entitlements and options. The affectedpopulation will be counseled so that they are able to make informed choices among the optionsprovided. This will be done particularly in the case of below poverty line groups. who will beencouraged to choose those options of low risk.

8. RESETTLEMENT PLANNING APPROACH

Right of Way and Corridor of Impact

8.1 Right of Way is the lawfully acquired corridor of public land owned by the State Governmentand administered by the PWD for the transit of the existing road. Using available records with thePWD and the Revenue Department. the project will verify the boundaries of the legal right of way aswell as boundaries of private properties within and in the vicinity of the likely Corridor of Impact.Displacement under the project will be limited to the corridor required for the road and its safety zone.This corridor is referred to as the Corridor of Impact. Within this corridor, there should be nostructures or other hindrances. The advantage of this approach is that such a corridor is easier tomaintain free of encumbrances than the full Right of Way.

8.2 The project will ensure that those outside the Corridor of Impact but inside the Right of Wayare not displaced during the lifetime of the project. If they are made to move during the lifetime of theproject or within three years after the completion of the project, they will be considered eligible for thesupport mechanisms available to people affected by the project. It is recognized that this approachoffers only a temporary solution, and does not adequately address the longer term needs of maintainingthe Right of Way clear, or of providing the squatters and encroachers with the security of tenure neededto improve their lives.

8.3 By limiting displacement and the need for resettlement to the Corridor of Impact, exactidentification of affected population is not possible until engineering designs have been completed. Ashift in alignment of a meter may mean the difference between whether a person is considered affectedby the project or not.

Census and baseline socio-economic surveys

8.4 A full census survey will be undertaken to register and document the status of the potentiallyaffected population within the project impact area, their assets and sources of livelihood. This censuswill cover 100 % of the potentially affected population within the likely Corridor of Impact and areasonable distance beyond, to ensure that people and assets have been registered in case of a latershift in alignment legal boundaries including the Right of Way will be verified and certified. A limitedsample of the potentially affected population will be studied in more detail to provide the baselineinformation against which project impacts will be measured and evaluated. This sample will berepresentative of the different impact categories identified.

8.5 Following final designs, those within the Corridor of Impact will be considered eligible forsupport under the project. This is likely to be substantially lower in number than those initially coveredin the census.

Screening and Planning

8.6 Every effort will be made to reduce potential negative impacts of the project. both in terms ofenvironment and social issues. The project will therefore carefully coordinate the design process withthe socio-economic impacts, in order to minimize negative impacts and maximize benefits. Whenchoosing among different design options, such as whether to construct a bypass or improve the roadthrough built-up area, environmental and social indicators will be factored into the decision along withtechnical and economic considerations.

1 0 Scott Wilson / CES / IIIE

Kamataka State Highways Resettlement Action PlanImprovement ProjectAnnexure 2

9. IMPLEMENTATION

9.1 During project implementation. the resettlement program will be coordinated with completionof designs and the likely timing of civil works. The project will provide adequate notification.counseling and assistance to affected people so that they are able to move or give up their assets without undue hardship before civil works are to start. The project will ensure that civil works are notstarted on any road segment before compensation and assistance to the affected population has beenprovided in accordance with this policy framework.

Land Acquisition procedures

92 The normal procedures for Land Acquisition under Section 4 (1) will be followed in thisproject. Although the Land Acquisition Act has a provision for emergency acquisition requiringshorter time, this clause will not be invoked unless it is documented that an emergency exists and thatit is not possible to follow the normal procedure for Land Acquisition. The LA procedure outlined is tobe followed in conjunction with the Land Acquisition Act.

Consultation and Participation Process

93 Involuntary resettlement generally gives rise to severe problems for the affected population.These problems may be reduced if, as part of a resettlement program, people are properly informedand consulted about the project, their situation and preferences, and allowed to make meaningfulchoices. This serves to reduce the insecurity and opposition to the project, which other wise is likely tooccur. The project will therefore ensure that the affected population and other stakeholders areinformed, consulted in a meaningful way and allowed to participate actively in the developmentprocess. This will be done throughout the project, during preparation, implementation and monitoringof project results and its impact.

9.4 The consultations will be conducted in a way, which is appropriate for cultural, gender basedand other differences among the stakeholders. Where different groups or individuals have differentviews or opinions, more emphasis will be given to the views and needs of those below poverty line.

Institutional Arrangements

9.5 The RAP will contain detailed information about institutional and organizational mechanismsrequired to implement the plan. The Project Implementation Unit (PIU) will have the responsibility ofimplementation and coordinating the resettlement along with other project components, and will bestaffed with people with experience in resettlement and social development.

9.6 The Project Implementation Unit requires coordination among different agencies, working indifferent districts and jurisdictions. This presents particular challenges, and may pose a risk of delay inimplementation of the resettlement program. An assessment will therefore be made of institutionalcapacity and risks. This assessment will be described in the Resettlement Action Plan, accompanied bya strategy for developing the required capacity and minimize implementation risks. This will includeanalysis of training needs and a plan for training of personnel at different levels. Such capacitybuilding will be coordinated with the overall project implementation schedule, to ensure that skilledstaff are available to implement the Resettlement Action Plan without causing delays to civil works.

9.7 Since much of the work related to resettlement involves social development and communityparticipation, the project will work with agencies experienced in this type of work, such as NGOs.Consideration will also be given to coordinating with other development programmes, such as housingschemes/rural development schemes in order to provide the project affected population with access toservices and programmes already in place.


Kamataka State Highways Resettlement Action PlanImprovement ProjectAnnexure 2

9.8 While consultancy services will be used in preparing and implementing this project, animportant objective is to develop local capacity to plan and implement resettlement programs. Theproject will therefore document how capacity building at different levels is achieved, and how thisproject contributes to improved sector-level or State wide policies and practices related to resettlementin the State.

Costs and Budget

9.9 The Resettlement Action Plan will contain a consolidated overview of estimated costs. Thiswill consist of an item-wise budget estimate for resettlement implementation, monitoring andevaluation and contingencies including administrative expenses. The cost of resettlement will beincluded in the over all costs of the project. Compensation amounts and other support mechanisms willbe adjusted based on inflation factors. The budget will incorporate provisions for this, and theResettlement Action Plan will describe how such adjustments and updates to the budget are to bemade.

Grievance Redressal

9.10 It is expected that through a participatory process and good compensation and supportmechanisms, acceptance of the project will be enhanced and complaints reduced. There maynevertheless be individuals or groups who feel that they are not given adequate support, or that theirneeds are not properly addressed. The project will therefore establish a Grievance Redressal Cell withlocal committees, which will hear complaints and facilitate solutions. This Grievance Redressal Cellwill be used to settle disputes through mediation, and to reduce unnecessary litigation.

9.11 The project will describe the step-by-step process for registering and addressing grievances,and provide details regarding registering complaints, response time, communication modes andmechanisms for appeal or approaching civil courts if other provisions fail. In addition to localGovernment officials and representatives of the project, each Grievance Redressal Committee willhave representation from the local affected population and collaborating agencies.

Monitoring and Evaluation

9.12 The project will develop indicators for achievement of the objectives under the resettlementprogram. These will be of three kinds: Process indicators, Output and Impact indicators,

9.13 The benchmarks and indictors will be identified in the RAP. It will be limited in number, andcombine quantitative and qualitative types of data. The indicators will be related to process andimmediate outputs and results, will be monitored internally by the project. This information will serveto inform project management about progress and results, and to adjust the work program wherenecessary if delays or problems arise. Provision will be made for participatory monitoring involvingthe project-affected people and beneficiaries of the resettlement program in assessing results andimpacts.

9.14 The project will also contract with an external agency such as an academic institute, whichwill undertake independent concurrent evaluations at least twice a year during the first five years of theproject. After which annual evaluations will be done for the next three years, as an input to a mid-terrnreview, and a longer-term impact evaluation as an input to a project completion report. Suchindependent evaluation will focus on assessing whether the overall objectives of the project are beingmet, and will use the defined impact indicators as a basis for evaluation.

9.15 Scope for making amendments in the R & R PolicyThe GOK from time to time will make amendments in this policy as and when required.


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