Government of Uttar Pradesh E505 vol 7Public Works DepartmentLucknow, India DRAFT October 2001

EXECUTIVE SUM MARY-SOCIAL ANDENVIRONMENT (PHASE I)FINAL REPORT

October 2001

CUriarkashi > Project Co-ordinaHing Consultants (PCC) Services(Loan No, 4114-IN)

Consultancy Services for UffarC-' < WPradesh State Roads Project

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EXECUTIVE SUMMARY

Executive Summnary-Socili and Environncnmt D)l IV C(iMulants I IV

1 Overview

1.1 Uttar Pradesh State Roads Project-l1

The Uttar Pradesh Public Works Department (UPPWD) is carrying out the Uttar Pradesh State RoadsProject (UPSRP-1I) under World Bank assistance through loan 4114-IN. The project preparation activitiesincluding the project planning and design is being carried out by the UPPWD through Project Co-coordinating Consultants (PCC). The project envisages the major augmentation of capacity as well asstructural upgradation n of the important highway network in the state of UP.

The UPSRP-II envisages the upgrading approximately 1000 km and carrying out major maintenance ofanother 2500km of roads within Uttar Pradesh. As part of the project preparation, feasibility study for 18corridors (slightly modified from 15 corridors identified by the SOS) was carried out. The prioritization forthe selection of candidate routes for the project has been based on various criteria including internal rates ofreturn, environmental attributes of the area of influence, the likely social impacts of the proposedimprovements etc.

Care was taken during screening exercise to select roads, which are passing through underdeveloped andmoderately developed districts, yet with minimum negative social impact under phase I and II. In order toidentify level of development of the study districts, apart from 18 indicators (refer annex 1), the RelativeDevelopment Index (RDI) has been used. Values of the indicators against each district were weighedagainst the state average and accordingly have been given a score. Districts having maximum score havebeen considered as poorest district and district having least score has been considered as developed districtas shown in table IA below:

Based on the above analysis, districts falling under the State Roads Project have been classified in threecategories as Developed, Moderately Developed and Least Developed, as presented in table below.

Table 1A Classification of all Districts coming under Project

Developed Districts i Moderately Developed Districts I Least Developed Districts

Lucknow, Pilibhit | Bareilly, Shahjahanpur, Kanpur, Etah, Badaun, Hardoi, Unnao, Sitapur,Gorakhpur, Moradabad, Rampur, i Baharaich, Gonda, Faizabad, Azanigarh,Mirzapur, Varanasi, Mahamaya Nagar, Balrampur, Ballia, Pratapgarh,Mau Allahabad, Jaunpur, Fatehpur, Rae

Bareili, Deoria, Shravasti, AmbedkarNagar, Sultanpur

Development categorisation of project districtsAnalysis of project roads shows that nearly three quarters (74%) of the districts through which the proposedroads pass fall under the least developed category and nearly one fourth (23%) under moderately developed

category. Lucknow and Pilibhit are the only two districts, which can be placed in the developed category.

Table IB Development categorisation of project districts

No. of districts falling under development

Route Total no. of I categories______No. districts i Least Moderate Higb

i Developmlent development Development

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3 2 '

4A 4 i2 2 -

4B 2 1 1

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6 2 2 -

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Government of Uttar Pradesh, Public Works Department, Lucknow, India

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| No. of districts falling under development

Route 1 Total no. of: categoriesNo. i districts Least Moderate | High

Development development Development

7B 3 2 .I . .

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From the above table it can be seen that routes 5, 6, 7, 8, 10C, 16 and 18 serve exclusively least developed

districts. Routes 1, 4A, 7B, IOA, 12, 14 and 17 serve both least developed and moderate developeddistricts. Routes 4B, 11, 13 and 15 serve high-developed districts in combination with either least

developed or moderate developed districts.

To maximise the positive impact of the project on least developed and moderately developed districts theproposed works programme should therefore include some or all of routes 5, 6, 7, 8, 10C, 16 and 18.

Analysis of project districts under Phase I show that little over one fifth (22%) of the district falls undermoderately developed districts and rest all are least developed districts.

The routes selected as part of the UPSRP-II are spread all over the state. They include State Highways,Major District Roads and Other District Roads of varying lengths and cross-sections. The project has beendivided into two phases to facilitate implementation. The detailed break-up of routes selected for the

upgradation and maintenance is given in tables 2 through 5.

Table 2: Upgradation routes in Phase I

RouteName and Number Present Status of roads included Length (km) BypassKaira-Bilhaur(4) MDR 5W, SH 29, MDR 256, SH 38, SH 40 148.435 1.851Bahraich-Faizabad (7) SH 30 109.350Bhoganipur-Chaudgra Mode (I14) SH 46, MDR & ODR 06 82.296Moharnmadpur-launpur (I 8) MDR 69 33.872 6.342Total 373.953 8,193

Table 3: Upgradation routes in Phase 11

Route Narne and Number Present break-up of roads included Length (km) BPilibhit-Khutar (3) SH 26 72.40Lucknow-Bangarmau (4B) SH 40 72.50Sitapur-Bahraich (6) SH 30 94.05Azamgarh-Phephna SH 34 100.30Gorakhpur-Shahganj MDR 49, ODR, MDR 97, SH 34 103.95 1 1680Moradabad-Bazpur MDR 65, MDR 49, MDR 1o 42 15Deoria-Ballia SH 01, SH OI/ODR 109.60Total 594.95 1 .68

Thus, a total length of 980.6km of roads will be upgraded as part of the UPSRI'-II, including tha

construction of three bypasses, totaling to a length of 19.873 km. All the four bypasses are to be

implemented in the phase 11 of the project.

Government of Uttar Pradesh, Public Works DearanmenL Lucknow. India 2

Public Works Department

Government of Uttar Pradesh

N I > ! Uttar Pradesh State Roads ProjectI Project Co-ordinating Consultants (PCC)

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Executive Summary-Social and Environment DHV Consultants BV

Table 4: Routes Identified for major maintenance in Phase IS. No. Description Existing roads Length (km)I UP Border near Kairana-Muzaffarnagar SH 12 55.5742 Muzaffarnagar-Junction with SH 47 via Zansath MDR 14W 30.6623 Muzuffarnagar-Saharanpur SH 59 52.625

4 Mcerut-Bi nor SH 47 65.005 Bijnor-Najibabad SH 47 53.006 Barailley-Badaun SH 33 45.007 Kashipur-Moradabad SH 41 43.5728 Lakhimpur-Sitapur SH 21 45.009 Bachhrawan-Fatehpur SH 13 72.0010 Fai7ahad-Gosaigani SH 30 34.00It Gosaigani-Recd Gani Market SH 30 28.0012 Reed Gang Market-Bans Ganj Bazar SH 30 43.0013 Bans Ganj Bazar-Azamgarh SH 30 33.0014 Azamgarh-Ghazipur SH 67 53.8015 Mohammadpur-Azamgarh MDR 69 15.9016 Bilgram-Madhoganj SH 38 23.0017 Azamgarh - Dohrighat SH 66 39.5018 Jaunpur (Jn Of NH 56) to Jaunpur (In OF MDR 69) MDR 69 5.5022 Varanasi-Mohammadpur MDR 85 69.60Total length for major maintenance in Phase I 807.73

Table 5: Routes for major maintenance in Phase 11S. No. Description Existing roads Length (km)I Faizabad-Rai Barcily SH 15 108.602 Jagdishpur-Pratapgarh (Bela) MDR 154D 78.503 Dhakwa-Patti-Plratapgarh (Bela) MDR 98E 45.004 Basti-Mehandawal-Kaptanganj-Tamkui SH 64 168.605 Khutar-Golagokarnnath-Laakhmipur-Bahraich SH 26 191.806 Kannauj-Orai SH 21 144.407 Jalaun-Bhind (upto UP Border) SH 70 31.008 Badaun-Sikandra Rao SH 33 97.009 Etah-Shikohabad MDR 73 53.0010 Meerut-Garh/Mukteshwar SlI 14 42.00I I Chatta-Gomat MDR 139W 42.0012 Sikandra Rao-Mathura SH 33 72.0013 Mathura-Bharatpur (upto UP Border) SH 33 19.0014 Mathura-Vrindawan-Naujheel MDR 123 45.3015 Barabanki-Haidergarh SH 13 50.2516 Haidergarh-Bachhrawan SH 13 28.0017 Fatehpur-Banda SH 13 76.5018 Lucknow-Allahabad SH 36, SH 36A 185.00

and SH 3819 Bulandshahar-Sainagarh SH 65 50.5020 Ramsanehighat-1-aidergarh MDR IC 17.2521 Shajahanpur-Farukhabad SH 29 52.4022 Mccrtit-Btilnndshahnr SHI 18 76.00

23 Bulandshahar-Narora SH 18 59.00Total length for major maintenance in Phase 11 1733.1

The total length of roads selected for major maintenance works out to 2540.833km.

1.2 The Existing Scenario - Roads in UP 0Most of the road network taken up for the study fall in the fertile Indo-Gangetic plains, which accounts for30% of the agricultural produce of the country and support 25% of the population of India. The lack ofmaintenance over time has resulted in the existing poor road conditions in the state. The following sectionsdiscuss the salient features of the road network in the state.

Right of Way

The RoW available along most of routes is nc!rly 20-22m, which is sufficient to accommodate theproposed cross-section. However, there are certain locations where the RoW varies from as much as 30m(in rural stretches) to as little as 9m (within the settlements). Along these constricted locations,accommodating the proposed improvements within the RoW would call in for certain additional designmeasures. At locations where even this may not be feasible, bypasses have been proposed. Also,encroachments into the RoW are quite common and the proposed scheme will impact a number ofsquatters and encroachers, many of whom may be displaced from their present locations to accommodatethe proposed improvements.

Givcrnmeni orl Ittr l'rndesh. iuiblic Works Dcnartmcnt, lucknow. India 3

Exccutivc Summnary-Social and Environincnt _ _ _. . 1)1 IV (uIl(I5 ItV

Roadside DevelopmentsMost routes in the project pass through the vast alluvial Indo-Gangetic plain which dominates the landscapeof UP. The fertile areas developed by the deposition of alluvium from the Himalayas have resulted inextremely high population densities in many parts of the state (in excess of 1000 persons/sq. km) with mostof the land under private ownership. The routes pass through several urban and semi-urban areas. Theroadside land use is almost exclusively agricultural except for these stretches. There are no major industriesalong any of the upgradation routes in phasc I and the overall environmental quality is quite pristine.

TrafficThe present (base year 2000A.D.) average daily traffic varies from a maximum of 12046 PCU for one link(Jalalabad to Allahganj) of Route 4 (Katra-Bilhaur) to a minimum of 2097 (Bangarmau to Bilhaur) for

another link within the same route. The average traffic along the upgradation routes is approximately 6200PCU/day. The minimum traffic is recorded along Route 18 (Jaunpur-Mohammadpur) and the maximumalong Route 4 (Katra-Bilhaur).

Road Inventory and PavementThe bituminous carriageway width along the routes varies between 3.75m and 7.00m.Long stretches with3.75m original pavements widened on one side as per availability of funds have resulted in 5.5m widepavements in most routes. The stretches with 3.75mwide pavement are normally edged with bricks.However, wherever the 5.5m wide pavement is observed, the brick edging has been removed, Im to 2.5mwide soft shoulders exist for all the stretches.

The riding quality along the routes being upgraded in phase I varies from good to poor. The roughnessindex (IRI) for various links varies from 5.73 for a link in Route 14 to as high as 8.0 in Route 18(1 IRi =

750mm per km).

There are a total of 499 culverts, 43 minor bridges and 4 major bridges along the routes selected forupgradation in phase 1.

1.3 Improvement Proposals

Upgradation WorksThe proposed improvements to be carried out as part of the upgradation component of the UPSRP-11involves the widening of the existing carriageway to 7m width and provision of hard and soft shoulders toserve the traffic volumes projected for the next decade and beyond. Even 4-laning has been envisagedwhere the traffic volumes or locations (e.g. Intersections with National Highways) so require.

The proposed upgradation scheme can be summarized as below:

* widening of the existing road (carriage way width varying from 3.75m to 7.Om including shoulderwidth) to 7.Om with 1.5m hard shoulders and 1.0m soft shoulder on either side;.

* providing profile of corrective course, Asphaltic Concrete Bituminous(AC)wearing course andBituminous Macadam (BM) on paved shoulder;

e providing embankment slopes at 1:2 and storm water pits 0.5m deep and 0.5m wide with 1:1 sideslopes in rural areas;constructing pucca side drains in built-up areas:widening and reconstructing the damaged drainage structures;improving sight lines and radius of curvature at sharp bends; and

* improving pavement by profile correction, strengthening and providing adequate camber.

Major Maintenance Works

The major maintenance component is far more limited in its scope. It does not involve any major earthworkand does not envisage any road construction beyond the clear space now available along the roads selected.The improvements that have been proposed as part of the major maintenance programme are:* Potholes filling through patch work. i

* Repair to structures along the road (parapet of culverts and bridges, km stones, etc.).i Profile correction with proper camber.* Crack sealing.* Overlay of B.M. (40-70mm).* New wearing course (25mm).

Government ofiUttar Pradesh, Public Works Department, Lucknow, India 4

Executive Summary-Social and Environmcnt 1)1 IV (otisullants 1V

Provision of 1.5m wide hard shoulders where the pavement width is between 3.5and 4.0m, 0.6miiwide shoulder of concrete interlocking blocks for pavement widths between 4.0 and 6.Om and2.5m wide soft shoulders for pavement widths between 6.0 and 7.0m.Temporary diversions to facilitate maintenance.

1.4 Social and Environmental BenefitsThe project is expected to bring forward major positive impacts (while potentially causing some negativesociaV environmental impacts, most of which have been proposed to mitigated) for the road users and thecommunities along the project routes.

Socio-Economic BenefitsThis project, with poverty alleviation of the backward state of UP, will play a major role as a generator ofeconomic momentum. The project will provide much needed connectivity to the vast rural areas of UttarPradesh and the improved connectivity will undoubtedly bring prosperity to these economically under-developed regions. This will translate into better business opportunities and increased competitivenesswithin the area. Increased mobility of the population will mean far more integration of the region ineconomic, social and political terms.

The direct and measurable benefits of the project arise from the reduced Vehicle Operating Costs andTravel time costs. The other direct benefits include the improved access of the local produce to the regionalmarkets & industrial products to the vast untapped rural markets, speedier access to educational and healthfacilities. Construction related jobs would be created during the implementation stage of the project. Therewill be an increase in the safety and comfort of the road users - whether pedestrian or vehicle-user. In fact,poverty alleviation has been one of the main objectives of the project, which has led to selection of severalroads in eastern UP for upgradation.

Environmental BenefitsEnvironmental benefits from the project will include improved road aesthetics, creation of low noise zones,increased safety, enhancement of sites important to the local residents. One important benefit is the reuse ofan industrial waste-ash from thermal power plants, which is otherwise an environmental hazard. Improvedlocal drainage, preservation and beautification of water bodies are other ancillary benefits from the project.Landscaping of the RoW has been proposed using appropriate tree species for all the project routes (inaddition to the compensatory afforestation required by law). Introduction of an environmentally sensitisedconstruction (plants, machinery, techniques and scheduling of activities) has been an important objective ofthe entire project preparation stage.

Apart from these environmental benefits, there would nonetheless, potential for certain negative social andenvironmental impacts on the environmental components due to the project. The most commonly identifiedof these would be increased air and noise pollution and the eviction or removal of properties adjacent to orwithin the RoW to make space for the proposed improvements. The EA/SA process has recognized thissince the start of the project and has sought to address these issues prior to the finalisation of the design.Wherever the avoidance of these impacts. The Environmnental Management Plans and Resettlement ActionPlan for the upgradation routes and the Environmental and Social Management Plan for major maintenanceroutes are will form the basis of mitigation/compensatory measures in this regard. The UPPWD iscommitted to the complete and comprehensive implementation of all measures designed during the projectpreparation stage to reduce these negative impacts and enhance the benefits of the project.

1.5 Environmental Assessment in UPSRP-11As per the WB Operational Directives / Policies /Guidelines, given the potential magnitude ofenvironmental and social impacts, the project attracts the provisions of:

OP/BP/GP 4.01: Environmental Assessment,OP/BP/GP 4.04: Natural Habitats,OP/BP/GP 4.1 1: Cultural properties,OD 4.20: Indigenous Population,OD 4.30: Involuntary Resettlement,BP 17.50: Disclosure of Operational Information.

The UPSRP-II, Phase I, including the upgradation and maintenance corridors, is not subject to MoEFclearance, (vide MoEF notification I0 ,h April 1997). However, a No-objection Certificate from the MoEFhas been obtained after submission of the relevant EA documents.

Government of Uttar Pradesh, Public Works Department, Lucknow, India 5

Fxceciuivc S1ii ni,arv-Social nild 111viril,lilucu 1)I IV ( uiiuilNls,l,th IIV

In view of the anticipated adverse impacts on the Environmental and Social components, the World Bankhas classified the UPSRP-1l as a category"A" project. As part of the project preparation, environmental andsocial assessments have already been carried out to ensure that the project complies with all therequirements of the World Bank's OP 4.01 and all the other World Bank policies and good practicesapplicable to it.

During the feasibility stage, an environmental and social screening of the project routes was carried out.During the detailed design stage, a Sectoral Environmental Assessment (SEA) for the entire project and anEnvironmental (Impact) Assessment (EIA) for the phase I upgradation routes have been prepared.Simultaneously, for the socio economic environment, a Social Assessment has been carried out which hasresulted in the preparation of a Resettlement Action Plan (RAP). These have resulted in the preparation of aSEA report, an EIA report, a RAP report and stand-alone Environmental Management Plans (EMPs)for each of the phase I upgradation routes. Since the impacts of the proposed major maintenance activitiesare not expected to be as severe as those of upgradation, the level of treatnent for the major maintenanceroutes has been restricted to preparation of a gepieric Environmental and Social Management plan ratherthan a full Environmental Impact Assessment. The emphasis in the project was in the integration of themitigation measures into the project design and mainstreaming environmental and social concerns in allstages of planning, construction and operation of the project.

The SEA, EIA, EMPs and the RAP have been subjected to an independent environmental review' to ensurethat the project proponents or the PCC has not unduly influenced the environmental assessment. Theindependent review identified the scope, and proposed for augmentations and modifications. The draftdocuments have been updated in light of the comments and findings of that review. This documentsummarizes the outputs of the environmental and social assessments carried out for phase 1.

1.6 Institutional and Legal Setting

The UPPWD is the implementing agency for UPSRP-II. It is the mandate of the UPPWD to ensure smoothand speedy implementation of the project. The overall responsibility of the implementation has been vestedin a specially-created Project Cell headed by a Superintending Engineer.

To assist the Project Director on the Environmental /Social aspects, a dedicated Social and EnvironmentalCell has been created within the PWD to ensure that the project fulfils all its environmental obligations. Itis currently staffed by two assistant engineers- one responsible for the biophysical environment and theother responsible for the social component including Land Acquisition and R&R measures. In addition,these engineers will be assisted by the environmental specialist of the Supervision Consultant (SC), Non-Governmental Organisation (NGO) contracted to ensure the implementation of the RAP, and the districtlevel committees for ensuring the effective implementation of the EIA and RAP provisions during theconstruction period.

Legal Framework

Table 6 summarises the principal features of the laws, regulations and guidelines that govern the planning,construction and operation of the project in relation to the natural environment.

Table 6: The Legal Framework - Natural EnvironmentLegal/Regulafion/Guidelines RelevanceThe Forest (Conservotion) Act, Applies to natural forest Authority to issue clearance: (i) if area of forest1980 >20ha (10ha in hilly area)-* Central Government; (ii) 5ha-20ha-- Regional

Office of Chief Conservator of Forests; (iii) <=5ha-4 State Govemment; (iv) iftree density >40%, pernission for any work must come from the CentralGovernment, regardless of area of forest to be cleared.Protected Forests Realising the significance and importance of the Roadsideplantations, the roadside trees in the state of UP have been categorised asprotected forests.The project does not envisage the clearance of any natural forests. However,cicarance of protected forests rcquires clearanc from the [orcst Departmcnt.

The Environment (Protection) The various aspects'of the Environmental (Protection) Act and Rules apply toAct, 1986, and the road construction projects. The various rules establish the standard forThe Environmental (Protection) discharge of noise in the atmosphere. These standards are directed primarily atRules, 1987-76 (Various) the industrial pollution but are also applicable to road construction activity.The Environmental Impact Identifies highway (Item 21 of schedule 1) as one of the projects requiring priorAssessment Notification, 1994 clearance form the Gol, MoEF.

Trhe Gol, MoEF Notilication ol 10 April 1997 provides that environmental

Lea Associates South Asia Pvt. Ltd., New Delhi, carried out the independent review for the UPSRP-II.

Government of Uttar Pradesh, Public Works Department, Lucknow, India 6

Excuotive Summary-Social and Environmcnt DI IV Consultants BV

clearance need not be obtained form the MoEF for.Highway projects relating to improvement work including widening andstrengthening 6f roads with marginal land acquisition along with existingalignments provided the highways do not pass through ecologically sensitivearcas such as National Park, Sanctuaries, Tiger Reservec, Rcscrve Forest. etc.The project is exempt from Environmental Clearance from MoEF vide I o'bApril 1997 notification.

The Wildlife (Protection) Act, 1972 Provides for the creation, conservation and protection of National Parks andSanctuaries.UPSRP-11 does not impact directly nor any of the project routes fall within theinfluence area of the National Parks. Sanctuaries etc

The Water (Prevention and Control of Central and State Pollution Control Board to establish/enforce water quality andPollution) Act, 1974 affluent standards, monitor water quality, prosecute offenders, and issue

licenses for construction/operation of certain facilities.NOCs obtained from the LIP State Pollution Control Board

The Air (Prcvcntion ,anid Control of' Empowcrs SPCF3 to set and monitor sir qtuality standards and to proseciltePollution) Act, 1981 ofTenders, excluding vehicular air and noise emission.

NOCs obtained from the UP State Pollution Control BoardThe Motor Vehicular Act. 1988 Empowters State Transport Authority to enforce standards for vehicular

pollution. In August 1997 the 'Pollution Under Central Certificate" waslaunched to reduce vehicular emissions.

The Environmental Guidelines for Rail, Issued by the MoEF and the MOST, not binding. However, serves the purposeRoad and Highways Projects, 1989 of'a useful framework for reporting.

Table 7 summarises the principal relevant features of the laws that form the basis of planning, constructionand operation of the project in relation to the social and cultural environment.

Table 7: The Legal Framework - Social and Cultural Environment

LegaURegulation/Guidelines RelevanceThe Land Acquisition Act (amended up to Governs acquisition of land under eminent domain for defincd public1984) purposes and compensation thereof

The Environmental Impact Assessment Makes the preparation of a project-specific RAP mandatory. The RAP must

Notification, 1994 address, among other things; protection against loss of livelihood; communitysupport systems and infrastructure; loss of productive resources andminimization of displacernett.

The Ancient Monuments and Area within 100m of protected property is protected and within 300m is aArchaeological Sites and Remains Act, zone of controlled development; any development within suci areas requires1958 prior authorization of the ASI.

Government of Uttar Pradesh, Public Works Department, Lucknow, India 7

Exccutivc Summary-Social Dnd Environment 1) IV CoIsltlants 13V

2 Environmental and Social Baseline

2.1 Natural and Biophysical Environment

The routes selected in phase I of the UPSRP-1I do not pass through any ecologically sensitive area. Thenearest a route comes to a declared protected area is in Route 7 (Bahraich-Faizabad) where the edge of theRoW forms the boundary of iltc Parvati-Araga Sanctuary'. Otlhcr sensitive rcceptors in (he area arc a fewlocally important water bodies and other community property resources, which might be lost due to theproposed widening. The presence of several schools and hospitals at the edge of the RoW is also cause ofconcern because of the increased levels of pollution, especially noise levels, anticipated during theoperation stage of the project.

Meteorological Conditions

The routes selected in phase I are located in areas with sub-tropical climate with marked monsoon effects.The summers (March-June) are dry and very hot with the temperature rising to as high as 47°C. Thewinters (November-February) are cool with temperature dipping as low as 4°C. The monsoon is activebetween July and September with rainfall ranging from 825mm in the southern parts of the state to1300mm in the Terai belt.

Air

All the major pollutant parameters of concern from vehicular emissions are within the limits specified bythe Central Pollution Control Board (CPCB).

A uniform distance of the sampling location from the edge of the pavement and constant level differencebetween the pavement and the sampler were maintained at all locations to facilitate comparison of results.The concentration of Suspended Particulate Matter (SPM) is higher than permissible limits of 200 pig/m 3 inall the settlements except for one day in Gaura Badshahpur along Route 18. The other parameter ofinterest from vehicular exhaust, Carbon Monoxide (CO) was below the limit set for residential areas in allthe locations. The other ambient air quality parameters, which can be attributed to vehicular, exhausts viz.

air-borne Pb, SO2 and NO, were all within the acceptable limits.

Water

Surface WaterThe project routes traverse the vast alluvial plains of the Ganga and its tributaries, which are all snow-fed

and perennial. The major rivers as the Ganga and Kalyani are the major source of irrigation and are alsoused for drinking purposes. The other rivers of the project area are: Sangur, Beso, Ton, etc.

Apart from these major rivers, there are several ponds on the roadside. There are a total of 47 ponds within15m on either side of the centerline along the project routes The most important of these is the extension of

the Parvati lake (within the Parvati Araga bird sanctuary) which crosses project Route 7.

GroundwaterThe groundwater table in the areas of the project routes is quite high. The dependence of the people on the

groundwater sources, especially for drinking water supply can be gauged from the fact that there are 901groundwater sources, including wells, tube wells and bore wells within 1rSm on either side of the project

routes.

Water QualityThe water quality monitoring carried out for all the routes indicates that the quality of groundwater is quitegood. The surface water sources, especially roadside pords, show contamination by fecal discharges,making the water unsuitable for human consumption. Samples from the larger rivers such as the Kalyaniindicate that the water quality is by-and-large acceptable for human use.

1 The Parvati-Araga Bird Sanctuary comprises the Parvati and Araga lakes, which were declared a birdsanctuary in 1990 to provide refuge to migratory birds in the winter (November-February).

Government of Uttar Pradesh, Public Works Department, Lucknow, India 8

Executive Summary-SociaI and Environnent 1)1 IV (ConsultaniLs IIV

LandAll routes selected for upgradation in Phase-I pass through plain terrain of the Indo-Gangetic plains. Only ashort stretch of the Bhoganipur-Chaudgra Mode route traverses over ravines of tributaries of the Yamuna.The terrain is generally flat with slopes < 1%. The general altitude along the corridors varies from 120 m to250 m. Since northern UP is mountainous, higher altitudes are encountered near Baharaich and Katra,while the altitude falls to about 120 m in Bhoganipur in the south.

Geology and Seism cityThe soil in the area is generally alluvial, except for the Terai region in the northern belt through whichRoute 7 passes. The alluvium cover varies from 400 to 1500mm. According to the seismic zoning, theroutes lie in Zones III and IV as defined by the India Meteorological Department, which is not veryvulnerable in terms of earthquake intensity and magnitude.

SoilsThe soils along the project routes are mainly alluvial. They are transported by the river Ganga and itstributaries as they flow down from the continuously rising Himalayas and sluggishly deposit their loads inthe plains. The soils along Route 7 are typical terai soils. These soils are rich in humus with clay, silt andfine sand. They are saturated with groundwater and support water intensive crops like sugarcane and rice.

Soil QualityThe monitoring carried out for phase I of UPSRP-II indicates that the soil quality along the project routesis not a cause for immediate concern since the concentrations of Pb recorded are well below the thresholdsestablished. However, the soil quality in the vicinity of the routes can become a cause of concern due to thepresence of Pb and other heavy metals in the soil from vehicular exhaust.

Quarries and CrushersThe UPPWD has identified quarries that already have the requisite permissions and supply material forroad construction. The project recommends the use of metal obtained from these existing quarries andcrushers only, and no new quarries will be opened. The transportation of the material is a cause of concernfor routes other than Route 14, which lies close to the quarries in Hamirpur, because of the long distancesinvolved.

Borrow PitsThe total earthwork requirement for the phase I upgradation routes has been calculated and borrow pitswere identified within a lead distance of 100m. A total of 22 borrow areas have been identified. Theseincluded elevated lands, which the owners want to be leveled with the surrounding lands.

Availability of Fly ashThe Panki Thermal Power Station lies within 50km of two routes (4 and 14). Since the-government hasdecided to deliver fly ash free of cost within a radius of 50km of thermal power plants, the use of fly ash asan embankment fill material has been proposed. The testing of the fly ash already carried out by theCentral Road Research Institute indicates that PTPS fly ash is suitable for use as an embankment fillmaterial.

NoiseThe noise levels along the project routes show little direct influence of traffic-related noise with noiselevels dropping off at night, with the cessation of activities in settlements. The sampling was carried out tocover all the project routes in phase 1. For ease of comparison, the distance between the noise recorder andthe pavement was maintained almost constant. The day time noise levels in all settlements is far in excessof the 55 dB (A), maximum value specified by CPCB, with the maximum levels exceeding even the 75 dB(A) limit set for industrial areas during day time. However, in' most settlements, the night time values areclose to the 45 dB (A) level, which is specified for residential areas during night hours.

Flora

All roadside plantation in UP is designated as Protected Forests and therefore requires clearance from theForest Department before cutting.

Government of Uttar Pradesh, Public Works Department, Lucknow, India 9

Executive Summnary-Social and Envirninciit 11 IV (on%sI1IUIINS I1V

Within the RoW, there are total of over 93,000 trccs. Most of these are the indigenous species like Mango(Mangifera indica), Neem (Azadirachta indica), Shisham (Dalbergia sissoo), etc. Apart from these, exoticspecies such as Eucalyptus and Poplar are also seen lining the roads. The local residents also worshipseveral Banyan and Pipal trees within the RoW.

FaunaThe fauna in the project area is mainly domesticated and no species of endangered wild animals has beenrecorded within the influence area of any of the phase I routes. The only wildlife adjacent to the road is theParvati-Araga Bird Sanctuary (between km 91 and 95) along Route 7. In this lake, migratory birds havebeen recorded during winter, which include the Red headed ducks, several species of storks, egrets andgeese. During the summers, as the lake water reduces, and the area of water diminishes, any resident birdstoo move east with the receding water line. No endangered species were recorded during visits to the route.

The other sanctuary of interest is the Sandi Bird Sanctuary. It is located more than 3km away from Route42

1.1 SOCIO-ECONOMIC ENVIRONMENT

1.1.1 The Project area: The Socio-Economic Profile

The following standard parameters were used to prepare a socio-economic and demographic profile of theState of Uttar Pradesh and the districts traversed by the project roads. The parameters were:

* Area and People* Population Distribution and Density* Population Growth* Occupational Structure by Occupational category* Literacy rate and* Rural Urban Population Growth

Demography

Uttar Pradesh constitutes one of the largest states in India and the state itself represents one of the largestself-governing areas in the world in terms of population. The State of Uttar Pradesh, whilst fourth largest inIndia in geographical land area, has a population that is estimated to be ofthe order of 170 million people, afigure superseded by only six countries in the world.

The 2001 Census recorded a figure of 166 million people, which, with a total land area of 298,000 squarekilometres, represented an average population density of 689 persons per square kilometre. The populationgrowth rate between the 1971 and 1991 census has remained constant at 2.3 percent per annum over thistwenty-year period, whereas between 1991 to 2001 it has increased to 2.6%. Based on this populationgrowth rate, average population density is calculated to have increased by some 22 percent to over 570persons per square kilometre.

Table 8 below shows the regional summary of population and population density, as per the 2001 Census,together with population data for the preceding four Census periods and the corresponding inter-censusgrowth rates. This population spread reflects the fact that most of Uttar Pradesh is characterised by the flat,fertile plains of the sub Terai lowlands, conducive to farming and agriculture. The less densely populatedhills and mountains are confined to the southwestern and northwestern parts of the State respectively.

Table 8: Uttar Pradesh: Population and population growth rates by economic region

Economic I Y ( T , °ecennial Growth Rate, PercentRegion jopulaton byCensus Year( Thousands) erAnnum

2 A road leading to Hardoi from the project route leading to the Sanctuary is being developed like a resortwith watch towers and staying facilities for visitors.

Government of Uttar Pradesh, Public Works Department, Lucknow, India 10

Exccutive Summary-Social and Environment 1)D IV Consultants lIV

1961- 1971- 1981- 1991-1961 1971 1981 1991 ' 2001 1971 1981 1991 001

Hill 31 06 13X822 14,836 5,926 17,876 128 |2.I% t2.4% 2.1% 2.4%I- .J-__ .__ ............. _I.Westem 5,668 31,313 :P9,349 .49,545 712 0% .% 2.6%~~!_ _ _ _ _ + _ _ _ __|---1 --- - _ 3 _._._

Central 13,188 15,743 119,595 j4,187 30,886 631 1.8% 2.2% 12.1% 2.4%

Bundelkhand 3 498 4.290 15, 429 6,29 p731 398 2.1% 12.4% .2% .5%

Eastern 28,281 33,169 41,652 j52,721 64,888 8 11- 6% 2.3% 2.4% 2.7%___ _____ ; ..... ___ _ 1 _ __ .___----- -------r-___ __----!-- ............................................. ........ -------Uttar Pradesh 173,746 t88,341 jl ls0862 139112 166,053 689 1.8% 3%

Uttar Praesh 20 ~~, I I , .3% ~ .6

Note: Differences in totals are due to roundingSource: Uttar Pradesh At A Glance 1998; Census handbook- 2001

The state of Uttar Pradesh is characterized by a relatively large number of small villages with half of theState's population living in villages of less than 2,000 inhabitants in 1981. When settlements with apopulation of less than 5,000 people are ineluided, then as much as 80 percent of the State-wide populationis accounted for. As is the trend in developing countries worldwide, the extent of urbanization is rising.This is evidenced by the increase to 41 (in 1991) of the number of urban areas in Uttar Pradesh having apopulation in excess of 100,000 people (one Lakh persons). Urban growth has registered 3.3 percent perannum over the period 1981-1991 whilst the annual growth rate in the rural population was 2.1 percent.The urban to rural split increased from a ratio of 18:82 to 20:80 during the corresponding ten years themajor urban areas with a population agglomeration in excess of one million people (as of 1991) were theState capital Lucknow, the industrial city of Kanpur in the southwest of the State, and the ancient city ofVaranasi in the east. The regional rural: urban population split for 1991 is shown in Table 9.

Table 9 Uttar Pradesh: Rural and urban population

Population 1991 (Thousands) Rural: Urban UttarPradesbEconomic Region Ratio ensus Year Rural: Urban Ratio

Rural . Urban Rural Urban

Hill 4,638 1,288 1 78:22 1951 86 I 14

Western 36,491 1 13,054 74:26 1961 87 13

Central 18,449 5,738 . 76:24 1971 86 14

Bundelkhand 5,294 i 1,435 79:21 1981 82 18

Eastern 46,624 6,096 88:12 1991 80 20

utar Pradesh 111,496 27,616 80:20

Regional VariationsAs indicated in the Ninth Five Year Plan3 , the State of Uttar Pradesh is broken down into five economicregions, these being the Hill, Western, Central, Eastern and Bundelkhand regions. Purely in terms ofdemography, the Eastern region is relatively disadvantaged in comparison to the other regions in that bothhigher population densities and decennial population growth rates have served to place greater pressures onagricultural productivity and output. The lower rate of urbanisation in the Eastern region (11.6 percent in1991) compared with the Western (26.3 percent) and Central (23.7 percent) regions also reflects the poorerdevelopmental trends in the east. The relative poverty of the eastern region is further evidenced by thepublished data on various socio-economic indicators, infrastructural facilities and per capita output. Asummary of the data across the five main regions is shown, in indexed form as expressed relative to thevalue for Uttar Pradesh, for comparative purposes, in Table below.

3 Government of Uttar Pradesh, State Planning Commission (1997). Ninth FiveYear Plan 1997-2002 and AnnualPlan 1997-98. Vol. I General Profile and Sectoral Reviews. October 1997.

Government of Uttar Pradesh, Public Works Department, Lucknow, India 11

Executivc Summary-Social and Environment DHV Consultants [IV

Table 10 Selected socio-economic indicators by region

i Bundel Hill Mestern. Central BUne lEastern I Uttar PradeshSocio-economic Indicator Hill _aI U _ ran_ s_

Index Index ValuePop. Density (persons/sq.km) (1991) 0.2 1.3 1.1 ! .5 I 13 1.0 473Percentage urban to total pop. (1991) 1.1 1.3 1 1.2 I 1.1 0.6 1.0 j 19.8%

Number of Hospitals and Primary Health 33 09 10 13 09 1.0 I 3.6Centres per 100,000 population (1993/94) ____ .Literacy Percentage (1991) 1 4 10. 1.0 1.0 1 09 1 .10 1 41.6%

NumberofPrimary Schools per I 26 09 11 1.3 09 1.0 55100,000 population (1994/95) I ' iLength ofPWD roads per 100,000 populatiopl 3 4 09 09 1.5 08 1.0 61.0(1997/98)---__ _ _ - _ _ _

Per capita power consumption (kilowatt hours! 1 3 1.2 0.8 06 09 1.0 188.2(1993/94) _ _ _ _ _ _

Percentage of total area Irrigated to total area 1 2 i 0 0 6 0 9 1.0 67.0%sown ( 1993/94) i~~~~~~~~~ ,--...... . .. j........ ....... ... ...

Averagesizeofholding(hectare)(1990/91) 1.0 1.2 0.9 1.9 0.7 1.0 | 0.9

Gross Value of Agricultural Output per ha. ofX 09 12 ' 10 07 09 1.0 '10117grosscroppedarca(Rs)(1992/93) I ___ 0. 1.2 .0 i 0.7 .9... ......

Per Capita Food grain Production (kg) 1 0 1.1 0.9 1.3 09 1.0 255.4(1993/94)09 13 09 . 254

Gross value of industrial output (Rs /Capita) 13 1. 09 03 05 10 1,5

(1988/89)

Percentage of employed workers to totalpopulation(1991) ~~~~~1.2 1.0 j1.0 1.1 1.0 1.0 29.7%population ( 199 1)i, . l

Percentage of workers engaged in agriculture' 9 09 .0 1.1 10 72.2%to total labour force (1991)Gross value of agricultural produce per rural 0 9 1.4 1.0 1.2 0.7 1.0 2.266population (I(s) (1992/93) I_______ ____________

Sources: Government of Uttar Pradesh, State Planning Commission, Ninth Five Year Plan 1997-2002, Vol 1. (Pages 23 to 26); Public Works Department.

Land useLand use in Uttar Pradesh is predominantly agriculture based. The breakdown of land utilisation in theState is shown in Table I1. The Remote Sensing Centre within the Department of Science and Technologyhas carried out limited aerial photographic surveys of selected urban areas such as Varanasi, but recent landuse mapping for the State as a whole is not yet available. The most recent map based published informationrelating to land use is that contained in a detailed Planning Atlas of Uttar Pradesh4 , which-was published in1987 and largely refers to the position prevailing in the State between 1981 and 1984.

Nonetheless, given that agricultural land holdings will have remained relatively unchanged over the past 1 5to 20 years, such mapping provides a useful indication of the major land use activities in Uttar Pradesh.

Table 11 Land utilisation in Uttar Pradesh 1996/97

Land classification |-iectares '000 Percent

Forest 5,150 17.3%

Barren and uneultivable land 978 3.3%

Land under non-agricultural uses 2,538 8.5%

Waste land 945 ' 3.2%

Permanent pastures and grazing land 296 1.0%

Area under trees and groves 513 1.7%

4 Planning Department, Govemment of Uttar Pradesh. Planning Atlas of Uttar Pradesh published by the GovindBallabh Pant Social Science Institute, Allahabad. December 1987.

Government ofUttar Pradesh. Public Works Department. Lucknow. India 12

E.xccutivc Sumnary.-Socitil mind Fnvironnicnt 1D1 IV (ConIlIIlIaIIntI IIV

Current fasHow land l 1,067 a 3.8%

Other fallow land P 832 w o 2.8%

Net area sown 17,475 ! 58.7%__ _ .~~. .......... .. .... ... ..... _.. . - -------Total Land area i 29,794 i 100.0%

Economic Profile

State Domestic Product

Uttar Pradesh, although the State supporting the highest share of the coun try's population, at approximately16.4 percent, has consistently lagged behind national perforrnance in key economic areas'. On the basis ofper capita State Domestic Product (SDP) growth rateS6, with occasional exceptions in the 1970s and theearly 1990s, Uttar Pradesh has under-performed the all India series. The declining share of State DomesticProduct compared to the National Domestic Product has been reflected in the State's Five YearDevelopment Plan objectives of stemming this decline and endeavouring to keep pace with nationalprojections of economic growth7 . Historical data on SDP is shown in Table 12 and the sectoral breakdown,on the basis of industrial classification, is shown in table 12 for 1996/97 and provisionally estimated for1997/98.

Table 12: Uttar Pradesh State Domestic Product (Constant 1980/81 Prices)

Total (Rs Year on Year Per CapitaYear million) Change (Rs)

1980-1981 140,118 1,278

1981-1982 1 143,480 2.4% 1,276

1982-1983 154,690 7.8% 1.344

1983-1984 160,760 3.9% 1,364

1984-1985 163,312 1 .6% j 1,354

1985-1986 169,710 3.9% 11,3751986-1987 i 177.060 4.3/° 1,402

_ i _ ~~~~~~~~~~~~~~~~~~.. ....... .. _ ._....... .. ___._

1987-1988 j 185,060 4.5% 1,433

1988-1989 209,190 13.0% , 1,584___ _~~~~~~~~~. ._ .. .... ... --- -.- -.- -- -- .,-- -- ----

1989-1990 215,009 2.8% 1 1,593

1990-1991 227,797 5.9% 1.652

1991-1992 228.729 0.4% 1,627

1992-1993 231,192 1.1% 1,615_ __ _._ _ .... ... .. _ ___ ._.._.__ ... __._ ._ ........................ ___ ____.__._._.___.__..__

1993-1994 236,923 2.5% 1.626

1994-1995 _ 243,205 2.7% 1,641

1995-1996 249,382 1 2.5% I !6541996-1997 267,847 7.4% 1,748

__ ._ _ _ _. __.___ ..~..... __....--!..... --1997-1998 274,000 2.3% 1 1,757

Source: Economics and Statistics Division, State Planning Board, Government of Uttar Pradesh

In 1987/88, the percentage of the population officially regarded as falling below the poverty line was 35 percent;(Ninth Plan Vol 1, page 33) making Uttar Pradesh the fourth poore4t State in the nation. Even the Ninth Plan refers toUttar Pradesh as being ' ... rated as one of the most backward states ..." Ninth Five Year Plan 1997-2002, Vol 1, page15 paragraph 71.6 Published data is usually expressed in terms of income. In this report, for purposes of being consistent withinternational feasibility study reporting, this is referred to as State Domestic Product (SDP).7 In constant (1980/81) prices, the gap in per capita incomes had steadily risen from 22 percent in 1980/81 to 33percent in 1994/95. The difference in current price terms was marginally greater. (Uttar Pradesh Annual 1996-97, page89; Ninth Five Year Plan 1997-2002, Vol 1, page 28). Per capita income in Uttar Pradesh in 1997/98, at current prices,was Rs 7,263.

Government of uttar Pradesh. Public Works Department. Lucknow. India 13

Executive Summary-Social and Environment D)I IV Coonsultants IlV

Within the primary and secondary sectors of the economy, the major contributors are understandablyagriculture and manufacturing respectively, whereas in the tertiary sector, the contribution to SDP is morediluted, the key performer being trade and commerce. Table 14 shows the year on year change for theprimary, secondary and tertiary sectors in the four-year period up to 1998. The structure of the labour forceis also a reflection of Uttar Pradesh's relatively poor economic performance vis-a-vis other major Statesand the continued reliance on agriculture to support much of its population. The agricultural sectoraccounts for nearly three quarters of the work force and the share of workers in industry was nine percentaccording to the Census records.

Table 13 Uttar Pradesh: State Domestic Product by economic sector (Rs million)

1996/97 1997/98 l

Economic Sector 1 Constant Conistant [ ] 1997-981980-81 Percent 1980-81 Percent I Pricesprices prices

Agriculture and Livestock 112,246 41.9 105,791 38.7 442,290

Forestry 468 0.2 515 0.2 1,738

Fisheries ! 958 0.4 1,026 0.4 j 3,493

Mining and Quarrying 1760 0.7 1,822 0.7 7,660

Primaq SectorSubtotal 115,432 43.1 109,154 39.9 455,181

Manufacturing 40,839 15.2 42,070 15.4 153,915

Construction 8,038 3.0 j 8,376 3.1 55,453

Electricity, Gas and Water 2,360 0.9 ! 2,402 , 0.9 28,731

Secondary SectorSubtotal 51,237 19.1 1 52,848 193 238,099

Transport and Conmrnunication 7,052]| 2 6 7,712 288 t 46,634

Tradc and Commercc 35952 13.4 37.796 13.8 168,390

Banking and Insurance 15, 102 5.6 16,892 6.2 46,181

lmmovable Properties and Housing 12,933 4.8 13,405 4.9 16,589

Public Administration 11,063 4.1 14,791 5.4 66,547

OtherServices I 19,075 7.1 1 21,057 77 93,427

Tertiary Sector Subtotal 101,177 37.8 111,653 40.8 I 437,768

All Economic Sectors Total 267,846 100.0 273,655 100.0 1,131,048

Note: * provisionalSource: Economics and Statistics Division, State Planning Board, Government of Uttar Pradesh

Table 14 Percentage change in State Domestic Product 1993/94 - 1997/98

Economic Sector | 191994/95 on 1995/96 on 1996/97 on 1997/98 on1993/94 1994/95 1995/96 1996/97

Primary 2.2% ! -0.2% 9.8%-5

Secondary 3.6% 4.4% 6.9% 1 3.1%

Tertiary 2.7% i 4.8% 5.0% 10.4%

All Sectors i 2.7% 2.5% 7.4% 2.2%

Source: Economics and Statistics Division, State Planning Board, Government of Uttar Pradesh

In investment terms, Uttar Pradesh has, relative to its size with regard to being the most populous State inIndia, historically suffered from receiving a disproportionately lower share of both public and private sectorfunding. In the public sector domain, this is in terms of both previous Five Year Plan outlays, the share ofthe State in the total outlay of the country has ranged between five and seven percent. Central governmentnon-departmental undertakings also show the share of Uttar ?tadesh in these investments ranged betweenfive percent in 1980/81 and nine percent in 1992/93. The disproportionately low portion of investment

funds attracted by the State has also been reflected in commercial bank advances and disbursements ofprivate corporate sector loans.

Economic Growth Forecasts

The Ninth Plan targets remain crucially dependent on substantial private sector investment funding,particularly in the power and industry sectors, as well as in the area of agricultural credit. The approved

Government of Uttar Pradesh, Public Works Department, Lucknow, India 14

Executive Summary-Social and Environmcnt Di IV CoItsultaiIs BV

public sector outlay represents just one quarter of the total investment required by the Plan". Whilst UttarPradesh's required share of the total gross investment for India as a whole may only be eight percent9 , itsability to attract private sector investment will depend on its competitiveness vis-a-vis other major States inthe country and the successful implementation of economic reforms within the State'0 i In this context, theWorld Bank led initiative on various sectoral reforms is particularly significant. The Bank has prepared aneconomic and fiscal study in which its multisectoral-lending programme is to be strengthened by an overallfiscal framework and governance reform programme'2. As part of the various objectives to achieve thissupport programme, this Uttar Pradesh State Roads Project feasibility study constitutes one of the elementsfalling under the theme of Restructuring Infrastructure. Besides roads, the power and irrigation sectors, byvirtue of their crucial role in generating economic growth, are the other two key focus areas of the Bank.

Notwithstanding the efforts being directed by the World Bank and other international aid agencies towardsreducing poverty in Uttar Pradesh, one of the main risk areas lies in the limited capacity of the State toabsorb the proposed investment and policy reforms. It is in this context that caution needs to be applied indetermining future growth rates in the economy, particularly as much of the Ninth Plan growth targets aredependent on investment from the private sector. The immediate short-term predictions for the nationaleconomy are for growth in Gross Domestic Product of six percent, slightly down on the 6.8 percentachieved in 1998/99. The uptake of excess industrial capacity in the domestic economy allied with recoveryin East Asian countries and an expansion in the volume of world trade have created an environment morefavourable to robust growth in the short to medium term'3 . Generating private sector investment in thesecondary sector, whether in agro-industry or in manufacturing directly, requires an enabling investorconducive environment to be in place particularly in terms of infrastructure provision in utilities andtransport, and in terms of the free movement of capital inflows and outflows'4 .

Whilst this may be a necessary condition for attracting private sector funding, difficulties may still arise inproject implementation and operation, which lie outside the control of the State Government and the StateDevelopment Corporations. This will be the case where private sector investors experience financialproblems and cash flow difficulties during or after project set up. It should be borne in mind that,notwithstanding potential changes in Uttar Pradesh's investor climate in respect of political and/oreconomic instability, the projected growth rates put forward in the Ninth Five Year Plan are susceptible tothese external influences. They should be seen therefore as optimum growth targets assuming favourableand stable investment conditions, both within Uttar Pradesh itself and externally in the investing companyenvironments.

For the short to medium term, Table 15 sets out the different assumptions that have been made for threealternative growth scenarios.

8 Rs 186,000 Crore in 1996/97 prices. (Ninth Five Year Plan 1997-2002, Volume 1, page 68).9 As envisaged by the Planning Commission's Approach Paper on the Ninth Plan.'0 Like Uttar Pradesh, the state of Gujarat has a 70:30 private: public sector investment ratio for its planned financialoutlay. The major initiative created by the Gujarat Govermnent has been the Gujarat Infrastructure Agenda - Vision2010, with its emphasis on augmenting infrastructure facilities as well as the commercialisation of infrastructureprojects in the transport and power sectors. Of critical importance towards realising its ten year proposed investmentprogramme (Rs 117,000 Crore in 1999/2000 prices), the Gujarat Government has legally set up an InfrastructureDevelopment Act to protect investors' interests. (Times of India, sponsored feature on Gujarat, "Stability leads toProgress", 26 January 2000). i" The forthcoming budget session of the Uttar Pradesh State Assembly proposes the setting up of an infrastructuraldevelopment find to "create an atmosphere conducive to the growth of industries in the state." (Times of India, 24February 2000).12 India: Uttar Pradesh State Assistance Strategy, Revitalizing Government to Reduce Poverty, October 1999.3 Times of India: I February 2000; 4 February 2000.

'4 The Government of India recently decided to further open the Indian economy to foreign investment by allowing thefree flow of foreign direct investment (FDI) in all economic sectors excepting a small negative list comprising sixcategories. (Times of India, 2 February 2000).

Governrment of Uttar Pradesh, Public Works Department, Lucknow, India 15

Executive Summary-Social and Environment 1)1 IV Co sultaluis UV

Table 15 Uttar Pradesh: Economic growth scenarios 2001-2010

Growth Scenario Assumptions

High Optimum Stable political and economic macro environment;growth | Successful implementation of World Bank fiscal and governance reform programme

I | Successful implementation of privatisation initiatives in infrastructure and otherI policy and institutional reforms in health and education

Mediwm rositive growt Fluctuations in the national economy;

I | Upward growth outlook in the national economy;

Positive measures being taken to promote inward investment in U.P.;

Continued dependence on agriculture as important contributor to SDP and associatevulnerability to extemal forces

Low Trend growth Limited private, sector investment;

Greater macroeconomic instability compared with other major States in India.

Source: Consultants' analysis

The annual State Domestic Product growth estimates for Uttar Pradesh, by principal economic sector, andby economic region are given in Table 16 and Table 17.

Table 16: Annual SDP economic growth estimated by major sector 2001-2010

Growth ScenarioEconomic Sector

-. Low Medium J High_. ._ .... . _ . _ ...... ... .~~~~~~~~~.... .. .......... ....-...... _ ._. __............ .. ._.. .. ..... .. .........

Primary 2.9% 4.0% ! 5 1%__ _ __ _ __ _ __ _ __ _ ___- _ _ , i _

Secondary 1 3.9% 7.8% 12.0%

Tertiary 5.2% 1 6.0% 6.8%

Growth expected per year in all sectors 1 4.0% 5.5% 7.0%

Source: Consultants' analysis

Tablel7 Annual growth estimated by economic sector and region 2001-2010

Medium Growth Scenario

Xconomic Economic Region _

Economic ' }Utta rSector F Hill Western Central 1 BkUndel Eastern Pradesh

khand -

Primary 4.0/ 40s 440% 4.0% 4.0% 4.0%

Secondary , 01. 8l1 80% 8.0%1 8.1% - 7.8%

Tertiary j6.0% 6.0%1 6.0% 6.0% 6.0% 6.0%

All sectors 1 4.2% I 5.6% 1 5.6% 5.6% 5.6% i 5.5%

Note: The sectors have been weighted by contribution to SDP and the regions weighted bypopulation.

Source: Consultants' estimates

Whilst primary and tertiary sector activities are largely evenly distributed throughout Uttar Pradesh, thegreat variation in growth rate estimated for the secondary sector reflects the expected impact of theindustrial development corridor and growth area initiatives tha,t have been identified in the State's industrialpolicy. Because of the inherent unpredictability in medium to longer term forecasting, forecasts of futuregrowth in the economy are usually limited to the very short term, covering the next twelve to eighteenmonth period. Acknowledging these limitations in the forecasting process, estimates of longer term futuregrowth rates have been made with reference to historical trends in State Domestic Product (SDP). The datapresented earlier in Table 2.5 shows that for the eighteen year period between 1980 and 1998, the UttarPradesh ewonomy grew on average at 4 percent per annum. This overall growth masked higher economicoutput in the 1980s, at 4.6 percent per annum, and a slowdown in growth in the 1990s, at 2.8 percent per

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rExccutivc Summarv-Social and Environnicni 111 IV C'nstilants IIV

annum. The last five year period 1993-1998 however saw growth beginning to recover to the earlier highierlevels, at 3.9 percent per annum. For the second half of the twenty year feasibility study evaluation period,2011-2020, a single, conservative estimate of economic growth, offour percent per annum, has beenassumed.

2.2.2 Profile of the affected people

Number of Affected FamiliesA total of 1482 families will be affected due to proposed road project. Route wise break up has beenprovided in table 18.

Sex RatioDuring the census survey, sex of every individual was recorded as it helps in identification of family andvulnerable category as per R&R policy. As the table above shows, over half of the PAPs are male. Thedifference is little higher in route 4, otherwise distribution is more or less same across all the routes. Thesex ratio defined as number of females against 1000 males varies from 773 in route 4 to 818 in route 18.As compared to state figure of 898, sex ratio found in the project routes is much lower.

Family TypeThe survey results shows that, nearly three fifth of the families on route 14, 4 and 7 are joint in nature,whereas in route 18 nuclear family is more preferred. Very few extended families were recorded during thesurvey.

Religious GroupsData on religious groups were collected in order to identify religious minorities among the PAPs. As thetable above shows, only two religions are followed in the study area viz., Hinduism and Islam. However,over four fifth of the PAPs following Hinduism makes it a dominating religion. Significant presence ofMuslims was found only in route 7 where over one fourth of the total PAPs are followers of Islam

Social StratificationIn order to identify vulnerable groups, it is important to record the social group affiliation of the PAP. Thesurvey results show that, the caste configuration across all the corridors shows that Other Backward Castes(OBC) is the dominating force followed by upper caste. It is only in route 7 where number of upper castePAPs is more than OBCs. Though a small percentage of scheduled castes were found, presence of tribes isalmost negligible.

Marital StatusAccording to survey results, except for route 18, percentage of unmarried PAPs are higher than marriedones. Data for divorced, separated, widow and deserted was specifically analysed as they all form separatefamily as per R&R policy and are eligible for R&R assistance. However, very few women members undersuch categories were found during the survey.

Distribution of PAPs by Age Group ClassificationAs per R&R policy, all males above the age of 18 years, irrespective ofmarital status will be considered asseparate family and all women PAPs, above the age of 18 but unmarried will be considered as separatefamily. All old and retired PAPs, as per the policy, will come under vulnerable group and hence are eligible-for R&R assistance as defined under such category. Age group classification also helps in assessingdependent and economically independent population.

In light of the above, PAPs were distributed in 7 age group categories as shown in Table 5.1 8B. As thetable shows, over one third of the total PAPs in all the routes fall under the age category of below 14 years(Children). This shows large family size ofthe PAPs. Percentage of old and retired PAPs (60 or more than60 years) is much less than 10% across all the routes. This clearly indicates that average life span of thePAPs in the study area is quite low.Since the definition of child labour restricts the age of child labour at 14 years, all those above the age of 14and below the age of 60 has been considered under the category of "economically independent group" or"worker's group". Nearly three fifth of the total PAPs are under this category.

Literacy LevelLiteracy level is a quantifiable indicator to assess the development status of any area/region. Higher theliteracy rate, more developed the area would be. Secondly, in displacement induced development project,

Government of Uttar Pradesh, Public Works Department, Lucknow, India 17

Fxccutivc Sunjnrary-Social antd tFinvit(uInniCt 1)1 IV olvisultalitN IIV

data on literacy level of PAPs helps in formulating alternative income restoration schemes. Keeping this inmind, literacy level of PAPs was recorded during the Census Survey.

For recording literacy level, completed years of education have been taken. For e.g., respondent who failedto clear 10' standard has been considered as middle literate. Similarly respondent who failed to clear 12'standard has been considered as secondary literate. However, those who have attended school but failed toclear 5th standard, still have been considered as primary.

One fourth of the total PAPs are illiterate indicating the backwardness of the area. Even among the literatePAPs, over one fifth have never attended any formal schools and have attained some level of literacythrough non-formal education. Such PAPs can only put their signature or can read simple lines in locallanguage. Even among the formally educated PAPs, majority has dropped out for some or the other reasonafter reaching 8th standard. Percentage of professionals (doctors/engineers/lawyers) is negligible.

Usual Activity 0It is important to record usual activity so as to assess whether PAP is gainfully employed or not. Theactivity the PAP is engaged in helps in formulating alternative income generation schemes. Accordinglyactivity where a person spends 8 or more than 8 hours in a day has been considered as usual activity for therespondent. Such activities may be directly economically gainful or may not be. Accordingly, PAPs havebeen classified into 8 categories as defined in Census of India.

Over one fourth of the total PAPs are engaged in some or the other kind of economically gainful activityand hence are in the category of workers. In rural areas, generally some kind of economically gainfulactivities are always available either in cultivation or non-agriculture labour activities run under variousgovernment poverty alleviation schemes. Still a small percentage of PAPs are reportedly non-workers orunemployed. Hence, such section of PAPs will require special attention during implementation phase ofRAP. Over one fifth of the total PAPs reportedly are engaged in household chores and such PAPs areprimarily women. Details about the household activities carried out by women PAPs are presented inchapter eleven on vulnerable groups.

Occupational PatternOccupational pattern of the PAPs are recorded to assess their skill so that they can be imparted training inthe same trade for alternative income generating scheme. Secondly, occupational pattern helps inidentifying dominating economic activity in the area.

As the survey results shows, trade and business (primarily petty shops) is the most common occupationfound among the PAPs settled along the road. This stands true for any state or national highway. However,on two routes viz., 4 and 18 agriculture has also emerged as a most followed occupation primarily due tothe proposed bypasses. These bypasses will be completely new alignment passing through villages situatedaway from the road, where like any other rural area agriculture remains the main occupation. Althoughsmall but still a significant percentage of PAPs are also government servants.

Land DetailsThe table above indicates that on an average a family holds less than two acres of irrigated land in theproject corridors except in route 18 where average holding is more than 4 acres. Secondly, unirrigated landholding is more than irrigated in the project corridors again except in route 18, where a major canal passesthrough the agriculture fields.

The average size of homestead land varies from 179 sq. m in route 7 to 212 sq. m. in route 14.Average Annual HH Income and ExpenditureAnnual income helps in identifying families below poverty line. During the survey income of a householdthrough all possible sources was recorded. While calculating the average income, certain householdshaving income in lakhs were omitted from the data base as such PAPs, though are having a small propertyon the project roads, they stay in the cities and runs other business. Accordingly, the average annualhousehold income, varies from approximately Rs 27,000 to PAs 32,000. The various sources asked duringthe survey for calculating household income includes agriculture; allied agriculture activities; forestry;agriculture labour; non-agriculture labour; household industries; services; trade and business; profession;etc. Income from these sources was added up and weighted average was taken to arrive at average annualincome figure.

The average annual expenditure is also more or less the same as income and this is one reason why PAPsdo not have many saving. The various heads of expenditure asked during the survey included food; fuel;

Government of uttar Pradesh, Public Works Department, Lucknow, India 18

Exceutive Summary-Social and Environmcnt 1)1 IV Consultantl4 IIV

clothing; health; education; communication; social functions; etc. Like income, in calculating averageexpenditure per family, expenses made against each head was added up and weighted average was taken upto arrive at average annual expenditure.

PAPs Below Poverty LinePoverty line for the purpose of the project has been considered at annual income of Rs 24,000 per family.The survey result shows that percentage of BPL families varies from 36% in route 18 to 45% in route 8. Ifall the four project corridors are considered, two fifth of the total families are below poverty line

Table 18 Profile of Project Affected PersonsRoutes

Particulars 4 - T 14 i 18 Total

Road UpgradationAffected Households 346 230 2181 1041 898

Affected Persons 1 1572 1083 1049 623 4327Affected Families 541 360 386 195[ 1482Estimated Numbers for BypassesAffected Households 49 - _ _ 6___Affected Persons 242 - 5171 759~~~~~~~~~~~~~~~~~~~~~~___ ._ _ ._......__ ____ _ _ _75

Affected Families 84 1561 240Demographic Analysis of Upgradation Roads

Percent male 56.40 i 55.96 i 55.29, 54.88_________~~~~__. _ __.-- ..-. }.- --.- --~ --- -- ....... ,

Percent female 43.6 44.04 1 44.71' 45.12Percent Hindus 87.71 73.26 1 85.551 86.61

Percent Muslims _ 12.29 26.74 14.451 13.39Percent SC population 6.811 12.831 10.98 6.75Percent ST population 1.70 0.00l 1.16 1.59:Percent OBC population 56.60 38.50 54.91 78.57Percent illiterate 27.43 27.85. 25.55 22.14

Percent Workers j 27.22 j 26.55 29.08 24.05iPercent BPL families i 40.07 | 39.6 j 45.11 36.2

2.2.3 Distribution of Affected and Displaced Families by type of effect

Table 19. Distribution of PAFs and PDPs by Type of Effect

RoutesRoute j 4 __ ! 7 14 18

PAFs PDFsI PAFs PDFs PAFs PDFs PAFs | PDFs

Residential 144 ! 83 137 95 106 68 i 88 1 61

Commercial 343 i 189 211 149 268 163 182 ! 54

Resi + Comm 53 53 j 12 8 1 0 9 1 6Irrigation units/Trees/ rSource of income - _ 14

Total, 541 1 325 1 360 252 386 I 240 1 195 121

PAF: Project Affected Families; PDF: Project Displaced Families

As the table above shows, impact is quite high on commercial properties as over three fifth (67%) of thetotal affected families are losing commercial structures including residential cum commercial structures.Less than one third of the total families are losing residential structures. Route wise analysis shows that onroute 18 (Jaunpur to Mohammadpur) impact is slightly higher on residential structures as compared tocommercial. Though one percent of the total families are losing irrigation units (primarily wells), sourceof income and trees, none is losing agriculture land.

Government of Uttar Pradesh, Public Works Depanment, Lucknow, India 19

Executive Summary-Social and Environment DlIV Consultants i3V

2.2.4 Cultural Environment

UP has been inhabited for millennia. Therefore, it is only'natural that the roadside should be replete withcultural properties dating back hundreds of years. The most important of the cultural properties lie alongRoute 14, which is also known as the 'Mughal' road.

Archaeological Monuments and SitesOnly one protected monument exists within 1km of any of the project routes. The Mata MukteshwariTemple Complex located 500m from the pavement in km 17-18 of Route 14 is protected by the UPDirectorate of Archaeology. There are no other monuments listed in the protected monuments along any ofthe routes.

Other Cultural PropertiesSeveral other locally important structures are located close to the road. There is a fort in km 14 said to havebeen built by Aurangzeb and a mansion built by-the Tuler of Datia, now in Madhya Pradesh, along Route14. In addtion, there are several 'sarais' erstwhile rest houses, which are now in dilapidated condition.Locally important shrines, temples, mazars and dargahs dot all corridors. There are a total of 253 templesand shrines, 16 mosques, 20 dargahs and mazars and 8 ruins located within 15 on either side of the projectroutes. However, due to design modifications only 17 religious structures are getting affected as shown intable 20.

Table.20 Chainage wise list of Affected Cultural Properties

Distance FrorrChainage Left Right Centre Line Remarks

_______. (in) __ - - ---_- - - ---

ROUTE 7

670 Temple 6.0 , Relocation in consultation with community

31020 , Temple 5.9 Relocation and enhancement

46900 SH 5.4 Relocation in consultation with community

47707 SH 5. 6 Relocation in consultation with community

51727 Si- 4.2 Relocation in consultation with community

51787 SH 5 2 Relocation in consultation with community

59870 Temple 5.6 Relocation in consultation with community

64830 Temple 5.5 Relocation and enhancement

82350 Temple | J 5.3 Relocation in consultation with community

10109248 Mosque Relocation in consultation with community

ROUTE 18

15200 Temple I Edge of blaci Relocation in consultation with community__________ _ I _ X top _

37392 Temple 3.00 Relocation in consultation with community

ROUTE 4

30633 SH j 5.6 Relocation in consultation with community… _ _ _ ___R_ in conulttio w commun-It

32200 Temple Temple _ Relocation in consultation with community

322100 Temple | |_____ Relocated in consultation with community

ROUTE 14

25989 | SH 5.0 Relocation in consultation with community

47346 Orayr 5.6 Only boundary wall getting affected, will b

Covernment of__ UtrPas,PbcWrseamnLukoIdi2replaced-

7778 Temple 5.2 Relocation and enhancement

Govcrnment of Uttar Pradesh, Public Works Department, Lucknow, India 20

Public Works Department

Government of Uttar Pradesh

N Uttar Pradesh State Roads Project

NS ^ ~ r Project Co-ordinating Consultants (PCC)

Services. (World Bank Loan No. 4114 -IN)

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2.2.5 Highway Amenities and Public/Semi-public FacilitiesThere are numerous schools, hospitals, Dhabas (roadside restaurants) along the routes. Their location is anissue of concern not only from the pollution point of view, but also from safety point of view, once thehighway is improved and design speeds are increased.

2.2.6 Follow Up Consultations:PWD as part of the continued community consultation programme in UPSRP conducted the Follow -upPublic Consultation during September 2001. During the follow-up consultations, it was ensured that allnecessary facts, figures and decisions made in the project is revealed to the people in order to make themaware of all positive and negative aspects of the project.

The follow-up public consultation was carried out in the project with the following objectives:

> To disclose the details of the project, including discussing the actions/measures taken inthe project on issues raised by the communities earlier (during the feasibility study anddetailed engineering stages of the project preparation);

> To assure the public that adequate care has been taken in the project to minimise probablenegative impacts and to maximize the overall and specific benefits of the project;

> To ascertain that people appreciate the relevant (local) components of the project,including that they are happy with the solutions (mitigation and J or managementmeasures) provided vis-a-vis the issues earlier raised by the communities;

> To identify the issues, which remain unresolved, or the issues, which have not been takencare during project preparation, if any, or to identify where further action is necessaryfrom people's perspective; and

> To call upon the people, including the stakeholders to contribute positively to the project.

Plan for continued participation

Table 21 Core Rapid Appraisal: Mechanism for Continued Participation

Project Stage PAPs NGOs Hosts Project & Local._ . . .. .. . ._ _ _ ......... . _ _ _ . _ ._._... .... '._- . _____________ 4 Officials

Planning Participate in I Assist in impact | Provide information I Provide information- public meetings assessment or various aspects on PAP skills etc.

Identify olternatives Assist in census and of host Suggest ways toto avoid or SE survey i communities minimise impactsminimise Participate in 'Assist in data Indicate local staffdisplacement ! coordination collection and and budgetAssist in developing committee Idesign capacity torand chosing Participate in group iProvide inputs to relocafion.altercntive options meetings site selection.. Assist NGO infor relocation and Design and Identify possible informationincome generation implement an conflict areas with disseminationHelp to choose information PAPs Participate inresettlement sites. campaign Identify social and consultotionsParticipote in Support group cultural faclities Examine thesurvey formation, problem needed at feasibility of IGParticipate in identification and resetilement sites schemes andmeeting with host planning forPAPs Assist in discuss with PAPs.population and hosts, idenfification of IG Help documentProvide inputs to Design and schemes and consultations.entitlement Participatory Provide inputs forprovisions process design of IGAssist in preparation Suggest schemesof action plan mechanism for Help develop aSuggest grievance redressal process of Imechanism for of conflict consultationgrievance redressal resoultion. between hosts andconflict resoultion i Assist in preparation PAPs.and participate in o ft action Plan Suggst mechanismgrievance redressal for grievanceParticipate in i redressal andcoordination Iconflict resolution.committees I

Government of Uttar Pradesh, Public Works Department, Lucknow, India 21

Executive Summary-Social and Envirunmcnt Dl IV Consultants 13V

Proct Sta v PAPs | NGOs Hosts Project & LocalI __ _ _ _ _ _ _ _ ___ ~~~~~~~~~~~~~OfficialsImplementation jParticipate in Provide ongoing Assist APO in Process IG

implementation information for PAPs relocaoion proposalssupport activitives and hosts Manage common Participate in

I Participation in Provide support in property at site grievance redressalilocal decision group Participate in local Provide assistancermaking activities. management committees. l under localDecide on Monitor entitlement Assist PAPs in schemes.

imanagement of provision by integration with Participate ascommon properties implementation of Hosts. I member of I

! Participate in IG schemes. Assist PAPs in useof mplementationgrieviance Assist implemnenting new production i committee.

iredressal rive deptts. systerrn.mechanism. Provide support to Use establshed

iMonitor provision of RAP implementtion mechanisms for ientitlements ! grievance lLabour and other Training to eligible I redressal.

iinputs of site t PAPsLabour and other Support toinputs at site vulnerbile groupsCredit and other Evaluate lgroup scheme community process

I management and socialO&M of sites and preparationproject inputs Provide advice onMembers of grievanceimplementation redressal.committee I __

M&E Participate in l Provide information Provide inputs to Ongoinggrievance tribunals to project staff on l M&E of R&R interaction withReport to project i vulnerable groups PAPs to identityon IG schemes IACt as M&E agency problems in IGReport on service i for project programme.quality of sites Act as external i Participants in

monitors for project icorrectional(where not strategies.previously involved)

2.2.7 Minimising ResettlementRoad design has been based on co-ordination between the design and the R&R team. Numerousdiscussions were held between Social and Highway design teaam to avoid or minimise the negative impactsand specially the displacement wherever possible. In the design phase, mitigation measures incorporatedinclude:

I1. Bypasses at dense urban areas viz., Gaura Badshahpur on route 18 and Bangarmau on route 4. Inorder to avoid land acquisition on route 18, majority section o f the bypass has been aligned with theexisting canal system. Social team has finalised alignment of the bypasses in such a way thatagriculture fields are not bifurcated from the middle and making it agriculturally and economicallyunviable. Care has been taken to ensure that only a side strip of the agriculture land is acquired.

2. Concentric widening.3. Keeping the carriageway width to the minimum (i.e., within the available clear space) in order to

avoid displacement. -

4. No new realignment has been proposed which entails land acquisition, thus minimising negativesocial impact.

5. Reducing design speed in built up areas - The project roads have been designed for highway speedsof 80-100 km. per hour. However in all urban/ settlement areas, instead of widening the existingroad, the design speed has been reduced to 40-50 km. per hour, thus reducing the required radii andeventual curve widening.

6. Reducing impacts on existing shrines and religious structures - In many cases the design crosssection has been reduced or redesigned to protect shrines.

Government of Uttar Pradesh, Public Works Department, Lucknow, India 22

Executive Sumnary-Social and Environment 1)1 IV Consultants 1V

3.0 COMMUNITY CONSULTATION

Public participation and community consultation has been taken up as an integral part of social andenvironmental assessment process of the project. Consultation was used as a tool to inform and educatestakeholders about the proposed action both before and after the development decisions were made. Itassisted in the identification of the problems associated with the project as well as the needs of thepopulation likely to be impacted.

The public consultation carried out at the Feasibility and Social/Environment Assessment stages of theproject has been conducted through various means. These different means included door-to-door personalinterviews (conducted throughout the project corridors), village meetings, focus group discussions, andconsultation with experts and NGOs working in the area. At all these consultation sessions, various issueswere raised with regard to environmental conservation and protection, as well as social impact dimensionsof the project.

Objectives for the community consultation included the following:

> To explore the values of and community association with the natural resources existing on thevicinity of the project corridor;

> To promote public awareness, especially among the potentially affected population/communities,including disclosing information on project alternatives, and the proposed course of action;

> To solicit views and design solutions from the communities, especially the affectedpopulation/communities; to gather inputs from the affected communities/individuals in crucialdecisions regarding mitigation of potential adverse impacts;

> To simulate community self evaluation and analysis;

> To inform the potentially affected individuals/communities about the entitlement framework and theRAP, and to incorporate their suggestions in the RAP;

> To provide the people a platform in the decision-making process to achieve the participatoryobjectives of the project.

3.1 Issues Raised and Their Addressal

Following issues werc raised during consultations at various stages:

Road Safety

Road safety was raised as one of the major issues in all the consultations. There are number of settlementsalong the project corridors, which are sensitive to safety hazards due to narrow congested roads andhighway traffic viz., Jalalabad, Bangarmau and Madar nagar on route 4, Ghatampur, Bakewar andChaudgra mode on route 14, Gonda bypass, Nawabganj, Wazirganj on route 7 and Gambhirpur,Gaurabadshahpur and Thekma on route 18. Various measures have been taken for the Addressal of theissue viz., footpath and guardrails in all built up areas, signages, speed breakers, etc.

Cultural Properties

The local community expressed their concern for minimum disturbance and proper relocation of thecultural properties along the project corridor. Among the cultural properties 17 shrines (2 on route 14, 3 onroute 4, 10 on route 7 and 2 on route 18) and one graveyard (on route 14) will be affected which fallswithin the corridor of impact. Such shrines and graveyards will be shifted in consultation with the people ofthe area. Design options like incorporation of properties in soft shoulder, restricting the width of the road;

Government of Uttar Pradesh, Public Works Department, Lucknow, India 23

LEGENDN * District Headquarters

* Sattlement< R~Phase 1 routesz~.z Major district roadszx State highway*' I. National highway

* Location of Districtlevel Consultation

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Executivc Suimmary-Social andi Fnvironment 1)1 IV Consultants IIV

etc was discussed for avoidance of structure. Religious structures those identified by the community willalso be enhanced by the project.

Road side Drainage

During consultation, water logging was raised as a major concern along the project corridors. This problemis morc prominent along thc scttlement area. Disposal ofwater in habitations, water logging on the surface,etc is considered in the design, at various locations, where a drainage schemes is provided and necessarychanges incorporated.

Encroachment and Displacement

All those who will be displaced are either squatters or encroachers. Given their status, PAPs wereconcerned about their fate once implementation of the project starts. They were however, explained aboutthe provisions made in the policy for squatters and encroachers.

Employment

Permanent employment in PWD was demanded more by the PAPs than temporary employment duringconstruction stage. PAPs were informed about the policy, which states that contractors preferably recruitlocal population for labour requirement. At many places PAPs asked for linkages with poverty alleviationschemes run by Central Government.

Traffic Congestion

At a number of places traffic bottlenecks exists, which results in low speed, delays and traffic jams. Onsuch locations, despite having sufficient width, traffic congestions takes place because of large scaleencroachment on either side of the road primarily to carry out commercial activities. Widening andupgradation of roads apart from relocation of these commercial establishments (Gumii) on a site identifiedby them and not very far from the current location would definitely help in decongestion of traffic.

Air and Noise Pollution

Due to plying of HTV on project routes there is considerable emissions of gaseous pollutants such as SO2,Nox, respirable particulate matter, suspended particulate matter, hydro-carbons and carbon mono oxide.This is mainly because of low operative speeds due to restrictive width of the corridors. After theupgradation of roads operative speeds of all vehicles will increase and as a result emissions will be reducedconsiderably.

All project corridors pass through major human settlements and cause increased vehicular noise levels tohabitants residing along the routes. Due to reduced operative speeds at present the exposure time of noiselevels to the residents is more which will reduced after upgradation due to increased operative speeds.Further at sensitive noise receptors (schools and health facilities) noise protective measures have beensuggested in the EMP.

Water Bodies

The project routes cross many perennial rivers, ponds and irrigation channels. At many places dueformation level of the pavement there is run off from the road containing oily waste. In the postupgradation due to proper formation level of the road and proper embankments at water bodies, thecontamination will be minimised.

The main objectives of the consultation program were to minimise negative impact in the project corridorsand to make people aware of the road rehabilitation project. During the process efforts were made toascertain the views and preferences of the people. The 'aims of community consultation were:

Government of Uttar Pradesh, Public Works Department, Lucknow, India 24

Executive Summary-Social and Environment DHV Consultants BV

> To understand views of the people affected w.r.t to the impacts of the road

> To identify and assess all major economic and sociological characteristics of the village to enableeffective planning and implementation and,

> To resolve the issues relating to affect on community property.

3.2 Minimising Impacts through Community Consultations

Community Consultations influenced a great deal while finalizing the alignment. For e.g.,I. In route 18 (Jaunpur to Mohammadpur) at two locations viz., Thekma and Gambhirpur,

available clear distance between building to building was only gm and hence road width wasrestricted to 8m only.

2. In route 4( Katra - Bilhaur) at Madarnagar road with was restricted to 8m as clear availablewidth was only 9m.

3. Several cultural properties were saved after consultation by accommodating them into softshoulder.

4. Bypasses suggested at Gaurabadshahpur and Bangarmau to avoid large scale displacementwere result of community consultations at these two locations.

5. Even central widening adopted as design approach was suggested by respondents during locallevel consultations.

Government of Uttar Pradesh, Public Works Department, Lucknow, India 25

Executive Summary-Social and Environrnent DHV Consultants BV

4 Analysis of AlternativesAs part of the Strategic Options Study (1996), an evaluation of the road network in the state of UP has beencarried out to identify candidates to be taken up for the Feasibility study. The road network identified bythe SOS was based on preliminary assessment of the traffic, economic, environmental and socialconsiderations. The feasibility study carried out a further detailed assessment of the road network identifyto prioritised project routes for upgradation as part of the UPSRP-II. This prioritization has been workedout by a careful consideration of engineering, economic, social and environmental concerns.

The analysis of alternatives at the EIA stage has considered realistic options for widening the existingsections, alignments of bypasses, pavement structures possible and the overall 'with' and 'without' projectscenarios.

4.1 'With' and 'Without' Project ScenariosThe project will upgrade vital road infrastructure within UP. The routes selected for upgradation willprovide the linkages needed for the overall improved development in this relatively underdeveloped state.Accounting just for the savings in the Vehicle Operating Costs makes the project viable. If the otherbenefits due to better connectivity were also quantified, the project would become more attractive as aninvestment proposal.

Without the project, the UPPWD is unlikely to find enough financial resources to upgrade these roads atone time. Roadside safety situation is likely to be exacerbated, especially within settlernents, if the projectis not implemented. Though there would be an increase in the roadside air and noise pollution due to theincreased traffic volumes, and some of the roadside properties will be impacted, the advantages of animproved road network far outweigh these drawbacks.

In any case, the project preparation has been sensitised to these possible losses and incorporates severalmeasures to mitigate/compensate the impacts on the environmental components and the community to theextent possible within the project.

4.2 Cross-section alternatives in UPSRP-IIIn accordance to the project requirements, the design team has worked out four alternative cross-sectionsfor the proposed upgradation programme, presented in table 22 below.

Table22: Cross-section alternatives for upgradation routes

Carriageway Shoulder Width Median FormationOption Width Hard Shoulder Soft Shoulder Width Widtb

WI 6.Om (2x3m) 1.5 m 1 m 11 m

W2 7.0m (2x3.5m) - 2.5 m 12 m

W3 7.Om (2x3.5m) 1.5 m I m 12 m

W4 2m x 7.25m 1.5 m I m Varies Varies

IRC specifies a minimum lane width of 3.5 m for a two-lane two-way road. Therefore, WI section cannotbe adopted. W2 and W3 require equal width at the top of the formation. However, using W3 would beadvantageous since the carrying capacity increases even though the space utilised is the same as W2. Evenwhen W2 section is adopted, the clear zone required, from safety point of view, is the same 12 m, thoughthe carrying capacity of the road decreases. Therefore, the project would preferably construct the W3section wherever space is available. Along the routes selected in phase 1, all the routes will be upgraded toW3 levels since the anticipated tree-loss does not involve any large trees or green tunnels of significance.

Government of Uttar Pradesh. Public Works Department, Lucknow, India 26

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Executive Sunmmary-Social and Environment DHV Consultants BV

4.3 Widening OptionsAs part of the project preparation, both eccentric and concentric widening options have been evaluated.Also, the implication of widening was discussed with the community and their views obtained. The localresidents believe that concentric widening treats the residents on both sides of the road as equal. Theconsiderations of stablisation of the newly constructed embankment and geometry have also favouredconcentric widening. The advantage of continuous traffic flow offered by the eccentric widening and thechance of saving important trees and/or at least parts of green tunnels on one side have been outweighed bythe project's responsiveness to public opinion- A blanket decision has therefore been taken to effectconcentric widening along all routes in phase I upgradation programme.

4.4 Bypass AlignmentsThere are two routes (Routes 4 and 18) in phase I where bypasses have been proposed for congestedsettlements. Two alternative alignments have been considered in addition to the option of widening alongthe existing alignment for Bangarmau (in Route 4) and Gaura Badshahpur (in Route 18). The summary ofthe analysis is given below in Table 23. It is important to note that though the options are being analysedduring the phase I, the construction of bypasses will be carried out as part of phase II.

Table 23: Comparison of bypass alternatives along routes included in phase I

Bangarmau Bypass Gaura BadshahpurCriteria (Route 4) Bypass

(Route 18)

C)~~~~~~~~C

0 -

- QO~~~~~~~~~~-

- CCoC)~ 0 0 C )- _ U

U) U0 - -)mom o X~. D: C o

Minimising R&R activity P F G P E FReduce tree cutting E G F E G GReduce loss of arable land E F F E F PMinimise Vehicle Operating Costs and F G G F G Ftravel timneReduce conflicts between through traffic P E P E Fand local activityCHOSEN OPTION . 4

E:Excellent; G:Good;F:Fair: P:Poor

The Process followed for deciding alternative alignment for bypasses

Following steps were followed for finalisation of bypass routes:

Step I Procurement of Revenue mapsRevenue maps were collected from the office of Lekhpal (Revenue Clerk) for the villagesgetting affected due to the alignment proposed bypass. Revenue maps were collected forthe following villages:

Bypass Name Name of the villages

Gaurabadshahpur 1 Chorsund, Gaurabadshahpur, Jewli

Bangarmnau 'Bangarmau (Safipur)

Government of Utar Pradesh, Public Works Department, Lucknow, India 27

Executive SummaTy-Social and Environment DHV Consultants BV

Step 2 Tentative Centreline of the Proposed BypassApproximate centreline of proposed bypasses was plotted on the scale matching the scaleof revenue maps (1:4000). Certain identification marks were also plotted for e.g., OnBangarmau bypass the locations marked were bridge on Kalyani river, distance of majarfrom the centreline, etc and similarly on Garurabadshahpur bypass.

Step 3 Superimposition of centreline on Revenue mapsThe tentative centreline was then superimposed on the revenue maps and plots within45 m corridor (22.5 m on either side of the centre line) were recorded.

Step 4 Information from LekhpalOnce the plots were identified, Lekhpal was approached to gather information on thefollowings:(1) Name of the land holder(2) Address of the land holder(3) Size of the plot(4) Caste of the land holder

It was important to collect last two details because:(1) If the plot size comes under small or marginal category, even a strip can severe the land and

rendering it economically unviable.(2) Person belonging to scheduled category comes under vulnerable category as per R&R

policy.(3) Efforts were made to avoid the plots under last two categories wherever it was feasible from

the engineering point of view.

4.5 Route FinalisationThe options available at the time of detailed design are limited as far as the route finalisation is concernedbecause of the decisions already made at the SOS and feasibility stages. The decisions taken during thesepreceding stages did consider environmental attributes of the routes being evaluated, as a social andenvironmental screening was affected during feasibility analysis. Therefore, the analysis during theEnvironmental Impact Assessment did not consider route finalisation in much greater detail.

Government of Uttar Pradesh, Public Works Department, Lucknow, I ndia 28

Executive Sumnimary-Social and Environrnent D11V Consultants IIV

5 Impacts - Avoidance, Mitigation & Enhancements

The impacts due to the project on the environmental and social components have been evaluated for the differentstages of the project. The UPSRP-11 has actively sought to reduce negative impacts and maximize positive impacts ofthe project by incorporation of remedial measures as part of the design itself.Avoidance and mitigation involves decisions and strategies formulated during the entire study and project period tominimize the negative impacts and enhance the positive impacts ofthe project in its influence area. Enhancements referto the additional specific measures taken or to be taken up during the project for the benefit of the road users and theresidents of areas adjacent to the project routes.

5.1 Standard Avoidance

Certain impacts have been actually avoided (or minimised) during project preparation. Examples of total avoidanceinclude avoiding impacting water bodies and cultural assets by realignment or bypassing. Examples of minimising

impacts include minimising felling of roadside tree plantation, minimising land acquisition and impacts on people andproperties. Such minimisation has been possible by earmarking a corridor of impact, and restricting all proposed

project activity within such Col.

5.1.1 Corridor of Impact

The Col for the proposed W3 treatment proposed for all phase I routes in UPSRP-II is approximately 14m at the top ofthe formtation. This Col includes the width required for the actual construction of the road including the carriageway,shoulder, embankments, longitudinal drainage, wayside amenities like bus stops, passenger sheds etc. and necessarysafety zones. UPSRP-HI will not displace any person or directly impact any environmental resource outside the corridorof impact, even if within the public RoW. This has resulted in a significant reduction in the number of Project AffectedPersons (PAPs) as can be seen Table 24 below:

Table 24: Minimisation of impacts by using a Col approach

Number of Affected Families

Route Residential Commercial Residential+Commercial Total

Before* After** Before* After** Before* After"* Before* After**

4 969 144 2309 343 357 53 3635 541

7 1504 137 2316 211 132 12 3951 360

14 1026 106 2594 268 97 10 3716 386

18 2548 88 2374 82 318 11 5241 195

Total 6047 475 9593 904 904 86 16543 1482

Source: RAP Report, UPSRP-II

Note: * Before integrating social aspects; ** After integrating social aspects: # Residential-cum-commercialstructures are included in the commercial structures.

A prime objective during design of the project has been to ameliorate the Col without compromising the safety needsof the road design and the restriction of construction activities. The main measures taken to modify the Col include:

* Optimising the Col width by provision of retaining walls in environmental hot spot areas;

* Evolving constricted cross-sections in the settlement stretches and designing for a lower design speed

* Protecting community giant trees and cultural properties by the construction of retaining walls and the installationof road-side barriers and appropriate signage;

* Providing closed drains (where applicable) in urban areas to ensure proper drainage and minimisc thc possibilityof the drains becoming open sewers or clogged with garbage.

5.2 Natural and Biophysical Environment

The assessed negative impacts on natural environmental resources and values have bcen idcntilied for all Projectroutes. However, many components of the environment are unlikely to be adversely impacted, or even if impacted, the

Govemment of Uttar Pradesh, Public Works Department, Lucknow, India 29

Exccutivc Sumfafy-Soycial and Fnvironcnl DI IV ('onsulianis IIV

impacts can be considered minimal. The following sub-sections discuss the impacts and their mitigation in a

descending order of significance.

Fauna

Impacts

The most significant impacts may occur along route 7, near the Parvati-Araga Bird Sanctuary, if measures are not

taken to avoid impacting the area where the sanctuary is closest to the road. These may include disturbance to theresident and visiting birds due to vehicular noise. These impacts will occur during the construction and operation

stages of the project. Poaching by construction crew is also a possibility. Already fishing has been banned in theParvati Lake to avoid disturbance to the birds. It is also possible that the rehabilitatiorn ol tlhc culvert 92/1 whichiactually allows the Parvati lake to overflQw to the west of the road may degrade water quality during construction

period.Excepting this short stretch, the other impacts on fauna along all routes include the increased accidental deaths of cattle

crossing the road, though there is no evidence of such occurrence at present.

Mitigation and Management for the stretch abutting the sanctuaryTo address the impacts on the bird sanctuary along Route 7, additional management measures have been suggested in

addition to the regular monitoring being carried out by the Forest Department. These include:

Construction during summer: The sanctuary being a haven for migratory birds, the construction will be so scheduledthat the stretch of 2 km on either side of the culvert 92/1 where the sanctuary is closest to the road, is restricted tosummer months only. This should prevent disturbance to the visiting species, some of which arc rare and/orendangered.

Widening only within RoW: Since the sanctuary ends at the edge of the RoW, any widening within the RoW is

within UPPWD land. To prevent any encroachment of the corridor onto the sanctuary, it has been proposed that there

will be no additional land take for widening in the sanctuary, and the widening of the carriageway and the culverts

shall be restricted to within the existing RoW.

Temporary Detour on the Western side: During the rehabilitation of the culvert 9211, the temporary detour requiredshall be provided only on the western side. This will ensure that the construction does not affcct the sanctuary area. Itwill also be an advantage that the vehicles will move further away from sanctuary, reducing the chances of accidentalspills and consequent degradation of water quality within the sanctuary.

Siting of Construction Camps: The contractor will not be allowed to use any site within Ikm of culvert 92/1 forhousing the construction crew in order to prevent poaching of birds or illegal fishing. The workers will also be

sensitised to the importance of the habitat for the birds.

Signage: Sign boards will be erected to alert the road users of the presence of the sanctuary close to the project route.These will be erected at Wazirganj in km 91 and near km95.000.

Flora

Impacts

A total of 7,790 trees' will havc to be cut along the routes selectcd ibr upgradation in phasc 1. The cutting of' thescroadside trees may have manifold impacts, most visible of which is the loss of shade. The removal of these trees will

reduce comfort levels for slow moving traffic and pedestrians, The felling of these roadside trees may lead to

temporary increase in erosions. Marginal impacts would also arise with respect to air quality and ambient noise, as

trees attenuate air pollutants and noise at varying degrees. Other impacts on the flora include the accidental removal of'

trees apart from those marked for felling, the compaction of soil leading to loss of vegetative cover near the edge ofconstruction line.

' This loss is particularly important in UP as all the roadside plantation ofthe state is classified as 'Protected Forest',and the forest cover of the state has dipped to a mere 4.46%.

Government of Uttar Pradesh, Public Works Department, Lucknow, India 30

Executive Summary-Social and Environment 11 IV Consultants 13V

Mitigation and EnhancementAs compensatory afforestation, two saplings need to be planted for each tree felled. Therefore, 15,580 new saplingswill be planted. Therefore, it can be reasonably assumed that the present density of the trees will be attained once thetrees mature, in about 6-10 years, depending on the species used for the compensatory afforestation.

Table 25: Trees to be cut on upgradation routes

Roule tRoute Name tl Irees to be cutNo.4 i Katra-Bangarmau-Bilhaur 5,6407 Bahraich-Faizabad 128

14 Bhognipur- Chaudaghra Mode ,128618 Jaunpur-Mohammadpur 736

Landscaping Strategy for UPSRP-II: In addition to the compensatory afforestation, suggested in accordance to theGoUP requirements, the project has worked out a Lan,dscape Strategy to enhance the visual quality of the routes beingupgraded. The road landscape strategy has been developed envisaging a holistic approach to the entire stretchmaintaining visual characteristics and uniformity. Typical roadside landscape plans have been prepared. Locallysuitable species have been selected for plantation. To ensure survival, it is proposed that only grown-up saplings will beplanted.

This strategy will be implemented in close consultation with the UP State Forestry Development Corporation, whichhas already developed a Roadside Tree Plantation strategy for the state.

Material useImpactsThe project will involve a total of 4,708,300m3 of earthworks for all the four upgradation routes. In addition, thematerials such as crushed metal and sand will be used in large quantities for the construction of the proposed widenedsections. This material will be permanently out of competing uses. These impacts are essentially unavoidable andirreversible, especially if other suitable material is not available for meeting these requirements.

MitigationThere has been a conscious effort, as part of the design preparation to minimise the earthwork for the project, by whichthe quantum of fresh material required has been reduced to the maximum extent possible. The cut and fill volumeshave been equalized for most stretches. Apart from these, there has been an earnest endeavour to use fly ash as analternative cmbankmenl fill material.

Use of fly ash: The project envisages the use of fly ash2 for the bypass alignment around Bangarmau (in Route 4). Theproperties of the fly ash available from the Panki Thermal Power Station have been evaluated and found suitable as fillmaterial for the bypass. The total saving in soil material and the simultaneous disposal of the fly ash will beapproximately 41,996 m3.

Although fly ash is an excellent fill material, it might have adverse health impacts. Therefore, extreme care will betaken during handling and transportation of this material. Fly ash being a very fine material gets air borne easily andcauses dust nuisance. No adverse impact from Fly ash is envisaged during the operation phase, as it will remain withinthe embankment in a compacted form and topped by layer of soil. Further, adequate turfing will prevent any release offly ash in the environment.

Bottom pond ash will be transported to site in gunny bags and the vehicles will be covered with tarpaulin, etc., tominimize ash dust being generated. The surface of the bottom ash stockpile will be covered with tarpaulins or a thinlayer of soil or other granular material not subject to dusting. Traffic movements will be restricted to those areas whichare kept moist, to prevent tyres of passing vehicles dispersing ash into the air.

2 Fly ash is an industrial waste, which has its own problems of safe and secure disposal. The use of fly ash as fillmaterial thus not only saves fresh earth material but also improves the environment by disposing off this potentially -hazardous material securely and forever.

Government of Uttar Pradesh, Public Works Department, Lucknow, India 31

Fxcculivc Siummary-Social and Environmcnt Dl1 IV (Consul1ants IV

Water

ImpactsThe upgradation to be carried out along the Phase I routes has bccn limited to within the existing RoW and no land is

being acquired apart from the bypasses proposed. Therefore, the potential impacts of the project on the surroundingwater resources are limited. The only loss of storage volume will occur at locations, where the embankment needs to bewidened to accommodate the improved section within ponds, which are cut across by the road. It is estimated that thewidening of the pavement will cause an annual increase in run-off of about 1I,1 18,652.5m'.

A total of 17 sources of water supply located within the Col (hand pumps, wells and tube wells) need to be removed fbrthe proposed improvements. The construction activities around the surface bodies can afTect the water quality due tothe disposal of solid and liquid wastes from labour camps, fuel and lubricant spills or leaks fIrom construction vehicles,fuel storage and distribution sites and from bitumen or asphalt storage at hot-mix plants. The spoil heaps around theconstruction sites are also prone to erosion and can contribute to the increased sediment load in the near-by water

bodies.

During rains, previously used borrow areas get filled up and remains water logged due to inadequate local drainage.Such locations are found in Route 14 and along route t8. Several areas are also prone to flooding, especially during themonsoons due to the high water table and the poor drainage in the area

Mitigation, Conservation and Enhancements

Protection of water Bodies: Measures incorporated in the project to protect the water bodies/sources constitute thefollowing:

* Protection of Banks and edges: Release of road run-off directly from the ditchcs can crode edges ol the water

body into which the run-off is let off. To ensure that run-off does not damage the water body it enters, cascading

for scour protection has been proposed.

* Silt Fencing: Silt fencing will be provided to prevent sediments from the construction site entering into the nearby

watercourses. The silt fencing consists of geo-textile (MIRAFI 140N or equal) supported by a wire-mesh mounted

on a panel made of angle frame.

* Oil interceptor: The gravity separation technique for the separation of oil and water has been used to design oiland grease interceptors, for the removal of oil and grease from run-off.

Siting of Activities: The location of all fuel storage and vehicle cleaning areas will be at least 300m from the nearestdrain/ water body. In addition, the maintenance and repairs of vehicles will be carried out in a manner such thatcontamination of water bodies and drainage channels can be avoided. The slopes of embankments leading to waterbodies will be modified and re channelised to prevent entry of contaminants into the water body.

Drainage structures and raising to prevent inundation: Raising the road level has been proposed to avoid futureinundation in the inundated stretches along the project routes. In settlements, as part of the engineering design,provision has been made for 149.1krm of drains along the sides of road. To ensure efficient cross-drainage and toprevent water logging along the sides, adequate size and number of cross-drainage structures (including 16 new ones)have been provided.Restoration of community water supply sources: As part of the design, all sources of community water supply willbe replaced as near to the existing source as practicable, after consultation with the local community.

Enhancement: Enhancements of water bodies include strengthening of embankments, improving water quality andcatchment characteristics, creating informal spaces around the water body, parking facilities and other site specificenhancements. Based on the significance and use values of the water bodies along the project routes, water bodies havebeen identified for enhancement along the project road. A total of 27 water bodies will be enhanced during phase I ofUPSRP-II.

Noise

ImpactsDue to the construction activities, there will be temporary noise impacts in the immediate vicinity ofthe project routes.The construction activities will include the excavation for foundations and grading of the site and the construction ofstructures and facilities. Crushing plants, asphalt production plants, movement of heavy vehicles, loading.transportation and unloading of construction materials produces significant noise during construction stage.

Govemment of Uttar Pradesh, Public Works Department, Lucknow, India 32

Executive Summaiy-Social and Environment DHV Consultants UBV

The noise levels close to the highway is already higher than the permissible levels, and are predicted to remain highduring the operation period. At several locations, the noise levels will increase by as much as 5 to I OdB(A). There existseveral sensitive land uses (sensitive receptors) such as schools and hospitals along the project routes.

Mitigation for noise impacts

Enforcement Measures: Noise standards will be strictly enforced for all vehicles, plants, equipment, and constructionmachinery. All construction equipments used for an 8-hour shift will conform to a standard of less than 9OdB(A). Ifrequired, machinery producing high noise as concrete mixers, generators etc, will be provided with noise shields.

Workers to wear earplugs, helmets and be engaged in diversified activities to prevent prolonged exposure to noiselevels of more than 90dB (A) per 8 hour shift. Construction sites will not be located 300 m from settlement areas. Nohot mix and aggregate crushing plants will be located within 200m of sensitive land uses as schools, hospitals etc.

Double Glazing: The provision of double glazing of openings on the highway side to shield the receptor, has beensuggested along sensitive receptors vulnerable to high noise levels. The double glazing will be carried out on a cost-sharing basis after adequate consultations with the owders/users/occupiers of the premises being protected. This optionhas been selected after due consideration and evaluation of other alternatives such as barriers which may not beeconomical nor acceptable socially in the context of UP.

Air

ImpactsDuring the construction stage, increase in the concentration of air pollutants is likely, especially from the hot-mixplants. During the construction period, temporary impacts are likely to be generated due to the various constructionactivities including.

* Site clearance and use of heavy vehicles and machinery, etc.;

* Procurement and transport of raw materials and quarries to construction sites;

* Stone crushing operations in the crushers;

* Handling and storage of aggregates in the asphalt plants; and,

* In the asphalt plants due to mixing of aggregates with bitumen.

To assess the likely impacts on the Ambient Air Quality in the operation stage due to the project, the prediction ofpollutant concentrations has been carried out using CALINE-3.

Since the SPM levels recorded are above the permissible levels even now, the gaseous pollutants-CO and NO, weremodeled. The results of the modeling indicate that the concentrations of both these pollutants will be within theirpermissible limits even in 201 OA-D. Therefore, the impacts during the operation stage of the project are not consideredto be as significant stage as the construction stage.

Mitigation and ManagementThe asphalt plants and crushers will be sited at least lkm in the downwind direction from the nearest humansettlements. The hot mix plant will be fitted with dust extraction units. To control emissions from the stack, anadequate cyclone/scrubber will need to be provided in the event of the emissions exceeding the UPSPCB norms.

Water will be sprayed in the lime/cement and earth mixing sites, asphalt mixing site and temporary service and accessroads. After compacting the earthwork, water will be sprayed on regularly to prevent dust. To avoid dust emissionslikely to result from transporting crushed rock and earth, the vehicles delivering construction material will be covered.

Several measures have been proposed to be implemented in the long-term by the Government of India to address theissue of vehicular air pollution. The fuel quality programmes are already being implemented. There is a proposal forensuring development control along the highway. These are expected to be implemented in near future. As part of theproject, the landscaping and road improvement proposed would bring down the emission loads3.

3Anyway, the project results in a substantial improvement over the 'no-project' scenario, in the operation phase oftheproject.

Government of Uttar Pradesh, Public Works Department, Lucknow, India 33

Executive Summary-Social and Environment Di IV C'onsultants 1IV

LandImpactsThe phase I of UPSRP-Il does not involve any land acquisition, as the proposed improvements are being plannedwithin the existing RoW. Therefore, the impact on land is quite limited.

Erosion potential exists mostly at high embankment areas of the road, especially at bridge-approaches and at certainisolated patches. Once the trees are removed during pre construction stage and the ground cover is cleared for thewidening, the problem due to erosion could increase. Contamination of soil can take place in sites wherein constructionvehicles are parked and serviced due to leakage or spillage of fuel and lubricants. Pollution of soil can also occur dueto leakage or spillage of asphalt and bitumen and around hot-mix plants, refuse and solid waste generated from labourcamps or due to accidental vehicles spills.

As the borrowing is to be carried out in accordance to the guidelines laid out in IRC-10-1961, no major adverseimpacts are anticipated. Also, productive agricultural areas have been avoided for borrowing. However the borrow areapits, if not treated properly after the borrowing is complete, can form stagnant pools and pose health hazards.

MitigationProtection of Slopes: The following slope protection measures will be undertaken by the project, which already are apart of good engineering practice adopted for road design:* Turfing of slopes: Incorporating appropriate type of treatments of slopes has reduced the potential for erosion of

high embankments and bridge fills. All slopes will be turfed with shrubs and grasses as per recommendations forthe treatment of embankment slopes for erosion control, IRC: 56-1974.

* Brick pitching on slopes: If slope protection is to be provided for slopes gentler than 1:2, brick pitching will beadopted. The advantage of this arrangement is that it allows the growth of vegetation in the empty spaces createdon the face of the slope, while providing bettcr retention.

* Stone pitching: If the slope is steeper than 1:2, stone pitching will be carried out. Stones will be fixed on slopesby gentle hammering. A P.C.C. anchor will be provided which will prevent sliding of stones on slope. The gapsbetween adjacent stones allow grass to grow which will hold the soil firmly together.

* Gabion Structures: Gabion structures will be provided in case the slope ends into a water body. These structuresare made up of wire mesh baskets and boulders. This structure also provides the opportunity or natural soil to getinfiltrated and fill up the voids. The voids in the structure retain water for longer time thus assisting vegetation togrow. This structure will be used on edges of ponds, lakes or water bodies where slope protection is required.

Borrowing measures: Thc sclcetion ot and recommendations for borrow areas to hc used in the IJPSRP-H have beenbased on environmental as well as civil engineering considerations. 'I'he contractual requirements include.

* Non-Cultivable lands Borrowing of earth will be carried out to a depth of 1.5m. The borrowing of earth will notbe done continuously the slope of the edges will be maintained at not more than 1:4. Ridges of not less than 8mwill be left at intervals not exceeding 300 m, small drains will be cut through the ridges, if necessary, to facilitatedrainage.

* Productive lands: Borrowing of earth will not be carried out on productive lands. However, in the event ofborrowing from productive lands or at the contractor has to obtain the prior permission of the SC. At suchlocations, the depth of borrow pits will not exceed 45cm and it may be dug out to a depth of not more than 30cmafter stripping the I5cm top soil aside.

* Elevated lands: At locations where private owners desire their fields to be levelled, the borrowing will be done toa depth of I m or up to the level of surrounding fields.

* Borrow Areas near Settlements: Borrow pit location will be located at least 0.8km from villages andsettlements. If unavoidable, they will not be dug for more than 30cm and will be drained.

5.3 Social Environment

Community ResourcesA total of 50 community properties are within the corridor ol impact. Nearly three filth of such propurties are hiandpumpsand over thirty percent are shrines. Only one graveyard and one well on route 14 is coming within Col.

Government of Uttar Pradesh, Public Works Department, Lucknow, India 34

Fxecutive Sumffary-Social and Environmeni D1 IV Consultants BV

Overall DisplacementOver 1482 families will be affected due to proposed road upgradation, of which on an average little over three fifth will bedisplaced either because of loss of residential property or commercial property. However, those getting affected are eitherencroacher or squatter.

Vulnerable GroupsA total of 839 vulnerable families will be affected due to the proposed road widening. Impact is more on familiesbelow poverty line than on scheduled population or women headed households.

Loss of livelihoodDue to proposed roads project, livelihood of 904 families will be affected due to loss of commercial structures and 86due to loss of residential cum commercial structures. Of the total livelihood at'fected tfmilies 631 iamilies will bedisplaced. This section constitutes over three fifths of the total affected population.

5.4 Resettlement and Rehabilitation Supports

Replacement CostThe compensation amount for the land and properties to be acquired will be paid in accordance with the provisionsmade in LA Act. While determining the replacement value for the land/property project authority will take recourse tothree methods as described below:

Taking into consideration 20 times of the annual value of gross production of the concerned land, averaged overpreceding five years.Taking into account such prescribed rates or the average of the actual transaction rates of similar lands forcontemporary years for which sale deeds are registered.Fixing up market value equal to the minimum land value if so prescribed by the state government under Indian StampAct for the purpose of registration of sale deeds under the Indian Registration Act, 1908.

The replacement value to be fixed by the project authority shall be the amount, which shall be the highest among thethree amounts, arrived at by the aforesaid three alternative methods. In case replacement value is higher thancompensation amount determined by the competent authority the difference shall be paid in the form of assistance.

The value of houses, buildings and other immovable properties ofthe PAPs including PDPs shall be determined forthepurpose of payment of compensation at the relevant SOR without deducting the depreciation value.

Compensation for properties belonging to the community or for common places of worship, which are acquired for theproject, shall be provided to enable construction ofthe same at the new place through the local self-government bodies.

Fixing up replacement value of homestead land will be based on an average of any transaction that may have takenplace over the preceding three years or the value will be fixed as per the value of irrigated land in case of rural areas.

General Assistance to Displaced families

a) The shifted population will be assisted in getting their name included in voter's list of the area of theirdisplacement.

b) PAP falling under vulnerable group will be provided suitable assistance to minimise the adverse impactsthrough various means including implementation of development activities.

c) Provisions will be made for infrastructure facilities at resettlement sites.d) The project will ensure that PDPs get preference in job with the contractors during construction phase.e) New resettlement sites with housing /shopping complexes should be developed, if opted by 25EPs for house

and 15 EPs for shops.f) Plots for houses/shops at the new resettlement sites will be provided to the PDPs free of cost in the joint name

of husband and wife. Cost of registration to that effect would be borne by the project authority.g) 'I'he new resettlement colony, as far us possible, will be close to the original habitation.h) Personal and individual attention will be paid towards assisting affected families during their resettlement.i) Identity cards will be issued to all PAPs in order to establish their bonafide claim.j) Even after payment of compensation, PDPs will be allowed to salvage the materials from their houses, shops,

etc acquired by the project and no charges will be levied upon them from the government. Project authoritieswill give a notice to people to salvage the material within 15 days of the issue of notice.

Government of Uttar Pradesh, Public Works Department, Lucknow, India 35

F.xecutive Summary-Sociil nnd ni nvironniciv 1)1 IV Consiultants lIV

Additional Support for Titleholder Displaced Families

a) Transitional allowance calculated at minimum wages in the form of a grant to cover maximum nine months.b) Rental allowance ( Rs.500 per month for six months.c) Shifting allowance of Rs. 1000 as one time grant.d) The tenants will receive the followings:

i) The amount of deposit or advance (pagri) payment paid by the tenant to the landlord or theremaining,amount at the time of expropriation (this will be deducted from the payment to the landlord).

ii) A sum equal to six months rental in consideration of disruption caused and compensation for anystructure the tenant has erected on the property. This will be deducted from the payment to thelandlord.

Support for Non-titleholder Displaced Families (Encroachers and Squatters)

a) Will be notified a time in which to remove their assetsb) To meet the loss of income they will be entitted to transitional allowance calculated at minimum wages for 6

months.c) Facilitation/access to training, which includes equivalent income generating assistance.d) Shifting assistance of Rs. 1000 and rental allowance of Rs.500 per month for six months.

Additional support for the Vulnerable Group Displaced Families

a) Economic rehabilitation grant calculated one year income level determined by the Planning Commission for theBelow Poverty Line population.

b) Compensation for structures at replacement value to the vulnerable persons.c) Transitional allowance at minimum wage for nine months.

Support to Kiosk owners

a) The assistance for disruption of business calculated at minimum wages for three months.b) Where at least 50 vendors are displaced, provision of a "vendors market", rent free for first six months,

thereafter they would be collectively encouraged to purchase their market site.

Host Community

a) The facilities will be enhanced to meet the increasing demands of the incoming population.b) Compensation / assistance will bc provided in the form of provision of Community recreational, infrastructurc

facilities and help in organizing income -generating schemes, in consultation with the host community.

Assistance for Affected Structures for Squatters and non - vulnerable Encroachers

a) Compensation for structure at replacement value but no compensation for land.

Support Principles for different categories of impacts

The support principles for different categories of impacts are provided below in a matrix form.

Uttar Pradesh State Roads Project:Broad Entitlement Framework for Resettlement and Rehabilitation

L Inside Right of Way

Impacts and assistance criteria nd Acquisition Squatters Encroachers=V NV_=lNV V NV=

A. Corridor of Impact: Loss of land and other assetsSupport given to families and households

I Consultation, counseling regarding I !altematives, and assistance in identifying new Y Y Y Y Ysites and opportunities. !_, _! _ ! I I

Government of Uttar Pradesh, Public Works Department, Lucknow, India 36

Executive SurmarY-Social and Environmcnt I) IV Consultants DIV

Inside Right of WayLand Acquisition _ _ ___ _ _ _

Impacts and assistance criteria [q SqUatterEncroachers.________ ____ V NV | V 1 NV ! V F NV

2 Compensation for land at replacement cost, T Y N Nplus allowances for Iccs or other charges i __ -_ N

3 Advance notice to harvest non-perennial Y F Y Y Y Ycrops, or compensation for lost standing crops. l .__i ____

4 Compensation/ R&R assistance for perennial I i Icrops artd trees, calculated as annual produce y Y i Y i Y , Y i Y . Yvalue for three years E _ i '_i__

_ ----- - -__.___. _ ._ ... .............__ . .. .._ I .. .._ ._.._ ..__._ ____

5 Compensation or R&R assistance for Yistructures or other non-land assets _ _ l , N+ __ ,_ ._ _ _t -

6 I Right to salvage material from demolished ,I ~~ ~~~~~~~~~~~~Y i Y

Structures , l , l _

7 r Shifting assistance, transitional allowance,* y y y YY N

8 Option of moving to resettlement sites (ina agroup of minimum 25 families) incorporating Y Y Y Y Y N

_ needs for civic amenities . ____ _.I ___ .. -.B. Corridor of Impact: Lost or diminished livelihood

Support given to adult individuals

vm Rehabilitation and assistance for lost or! , Y Ni diminished livelihood I i I _ l

N I Additional support mechanisms for vulnerable igroups in re-establishing or enhancing Y N Y N Y Nlivelihood i l

Employment opportunities in connection with N_ project to the extent possible and training I . _ _ , :Any other impacts not yet identified, whether i Unforeseen impacts shall be documented and mitigated based on theloss of assets or livelihood principles agreed upon in this policy framework.

C. Indirect, group oriented impacts in the vicinity of the road corridorGroup oriented support will be given to mitigate negative impacts on the community, and to enhance developmentopportunities. Addressing traffic safety needs of pedestrians will target particular support at more vulnerable groups.

The entitlenents will exclude the affected non-vulnerable encroachers but include non-vulnerable squatter.These categories and support mechanisms are described in more detail in the entitlement matrix (vide annex i1 of R&Rpolicy). In case of any ambiguity in provisions of this framework provision of annex II shall govern.

5.5 Cultural PropertiesImpactsThere is only one 'Protected Monument' located within the Project Influence Area 4 of the routes included in phase Iupgradation programme. This MataMukteshwari temple Complex in kml7-18 ofRoute 14 is located at 500m from thehighway and is not directly impacted by the proposed improvements. Though there are no other protected monuments,several locally important structures along the Route 14 such as the Chhapar Ghata fort in kin 14, couple of dilapidatedSarais and an old mansion built by the erstwhile ruler of Datia in km 57 exist along the upgradation routes.

In addition to these ancient structures and protected monuments, there exist several cultural properties, which thoughnot important at the regional or district level are of significance to the local community and are likely to be impacted.Table 26 provides a summary of these properties along the upgradation routes.

Table 26: Summary of cultural properties impacted in Phase-I up-gradation routes

Description Route-14 Route-4 Route-7 Route-18 TotalTemples/Shrines 02 03 10 02 17Graveyard 01_ - -_ 01

4 Project Influence Area of 7km on all sides of the projedt as defined by the Ministry of Environment and Forestsguidelines for highways, has been considered.

Governmcni of Uttar Pradesh. Public Works Dcpartment, t.ucknow, India 37

Executive Summary-Social and Envirojinment 1)1 IV Consultants RV

5.6 Standard Avoidance, Mitigation and Enhancements

Environment

At several locations, the structures have been saved from demolition by incorporating them in the soft shoulder. Atother locations, accesses have been redefined. Some other properties have been relocated. The following measureswere considered for each location before the final decision about the treatment to be given was made:

* Realignment of the Pavement Restriction of Pavement Width

* Provision of Retaining Wall Redefining Access to the Cultural Property

* Protective Barriers * Relocation of the cultural property

• Landscaping Use of Hazard Markers.

In cases of a chance-found cultural property, archaeologcal sites and remains, during construction, the works will stop

immediately and will resume only after advice has been obtained from the specialists of the ASI.

Enhancement: Typical designs have been worked out for the situations observed during the site visits. The designs

will be implemented on a site-specific basis with appropriate modifications to suit the requirements of the locations.

The measures incorporated in the typical design include improved and redefined access, seating spaces and rest area,plantation of locally important tree species, provision of parking, etc. These enhancement measures are now a part ofthe contract through the Environmental Management Plans to ensure their execution.

Social

Apart from quantifiable negative impacts, certain other impacts were also visualized such as fear of

uncertainty about future especially among ambulatory vendors and squatters after removal from COI,

further inducement of squatters in COI during the disbursement of assistance, health hazards posed to

habitants during construction, safety of road users after construction because of enhanced speed of vehicles,

etc. In the table below mitigatory measures have been listed out for such impacts.

Table 27: Avoidance/Mitigation of General Social Impacts

Si.No. General Social Impacts Avoidance/NlitigationI Fear ofUncertainty about the future I.Consultations will be carried out with PAPs at continuous basis, which

will help in removing fears of uncertainty about future.2.Provisions have been made in the policy to ensure that economic statusof every individual PAP either improves or at least the pre-project status isrestored through various R&R assistance.

2 Inducement of squatter influx I.Videography and still photography has been carried out to restrictsquatter influx

3 Public Health I .Noise barriers at the time of construction in habitations2.Use of health facilities of Construction camps by PAPs3.Ear plugs, safety helmets and boots, eye protection sheets, etc forconstruction workers4.Construction activities to be carried out only during day time inhabitations5. Adequate washing and bathing places shall be provide and kept in cleanand drained condition6. Construction camps should have the provision of sanitary latrines andurinals7. Sewerage drains should be provided for the flow of used water outsidethe camp. Drains and ditches filled with water should be treated withbleaching powder on a regular basis.8. Health problems of the workers should be taken care of by providingbasic health care facilities through health centers temporarily set up for theconstruction camp

4 Accidents & Road user safety I .Footpaths and safety railings in habitations2.Speed breakers in habitations3 Safety signages

Government of Uttar Pradesh, Public Works Department, Lucknow, India 38

Executive Summrny-Social and Environmcnt 1IN IV Consultants IIV

6 Environmental Management and Resettlement Action Plans

6.1 Environmental Management Plan (EMP)The EMP is a phase-wise plan of action for avoidance / mitigation / monitoring / management of

anticipated negative impacts of the project and enhancement of the project routes. The measures to beadopted during the construction and operation phase have been described for all the environmentalcomponents, for specific locations where applicable, and the timeframe, implementation and overseeing /supervision responsibilities have been specified. Route-specific plans have been prepared for each of thefour routes included in the upgradation programme. These will be incorporated in the respective biddocuments for construction contracts to ensure implementation. A generic environmental managementplan for the upgradation routes is given in Annex 1. Route specific details can be obtained from thestandalone EMP prepared for each route.

6.2 Resettlement Action Plan (RAP)

6.2.1 Introduction

The overall objective of the RAP is to ensure that all PAPs of UPSRP at least regain their status of livingthey had prior to the project implementation or improve upon that. The specific objectives of this RAP areto:

* Identify the PAPs by the type of loss and extent of damage* Categorise entitled persons (EPs) according to the eligibility criteria of the R&R policy of

UP SRP.* Work out entitlements for each EP based on the criteria as laid down in the R&R policy of

the project* Ensure that all PAPs are aware of their entitlements under the policy and participate actively

in the project.* Identify land for resettlement and the preferences of the PAPs for their relocation* Develop institutional support for implementation of the R&R process.* Evolve a suitable mechanism for monitoring and evaluation of the R&R process and indicate

the parameters for monitoring-- Phase the irnplementation of RAP through NGO, which is described in the subsequent

sections.

While the policy document describes what need to be done, why and how, the action plan describes in moredetail how, when by whom the activities will be carried out.

6.2.2 Implementation Requirements

Cut-off Date

For non-title holder PAPs, the date on which the census survey was carried out will act as a cut off date.The cut off date will be used to establish whether a person located in the corridor qualifies as a PAP duringthe implementation of the various phases of the project. However, a person not enumerated during thecensus, but able to prove their stay in the project corridor, during the census survey will be considered forentitlement. Route wise dates of Census Survey is given below:

(a) Bhoganipur - Chaudgra Mode: ................ March to May 2000(b) Baharaich - Faizabad .......................... May - July 2000(c) Katra - Bilhaur .......................... May - August 2000(d) Jaunpur - Mohammadpur ........................ August - September 2000

Govemment of Uttar Pradesh, Public Works Department, Lucknow, India 39

______________________________ Implementation Schedule

| Year I (October 2001-Octooer 2002) Year lI(November 2002 -November 2003)

Activities Months.1 1 21 31 41 51 61 71 81 911011112113114115116171811912222232

General Activities

Apointnmnt of Staff in PIUAppointment of NGOsSet-up state and district levelcommittees _Training of Staff and NGOs for R&R _Updating of Census DataIdentification and Verification of EPs

Display of verified list of PAPsPrinting and Distribution of ID Cards _ _ _ - - -_ _

Opening of Joint Accounts -

Dessemination of information andawareness campaing about the projectand the policy.

___ _ _ XLE__I __________Land Acquisition - [NOT REQUIRED FOR PHASE I AS 3YPASSES AREoPART OF PHASE i]

*Reloc-ation

identification of alternate plotsDeveloprent of relocation sitesDisbursement of shifting and rentalallowanceSetting up of temporary shelters

* Disbursement of transitional allowanceAllotment of plots to EpsConstruction of houses and shops |rI6ilding/relocating community - -

infrastrucures

Rehabilitation

Disseminate information on IR . . . .

Schemes .Income Restoration Plans jDisbursement of cheques for I Iassistance I I i I I I I I I I I I I -1 T I I I I I I

Training for upgradation of skills iirievance Redress

|Setup cornmittee for redress 4

|Grievance redress_ ... .... *; 1--|-- -1--1-- -1--F -

Monitoring and Evaluaion I

Appointnment of external agency t |Updation of census and socio- | | - *iI

economic datagPhysical andfinancial progress ........... lMid term evalLiation |i HEnd termnevaluation |INote: Dotted lines indicates activities to be continued interminantly through out the year.

Executive Summary-Social and Environment DHV Consultants BV

Co-ordination between Civil Works and Resettlement

Screening and PlanningEffort has been made to reduce potential negative impacts of the project. The project has coordinated thedesign process with the findings from scrccning and studies rclated to socio\cconomuic impacts and thcenvironment, in order to minimise negative and maximize benefits.

When choosing among different design options, such as whether to construct a realigned section or toimprove the road through a built up area, minimization of adverse social impacts was a very majorcriterion. This practice will continue throughout the project implementation project.

ImplementationDuring the project implementation, the resettlement programme will be coordinated with the completion ofdesigns and the likely timing of civil works. The project will provide adequate notification, counseling andassistance to affected people so that they are ableto move or give up their assets without undue hardshipbefore civil works are to start.

The project will ensure that civil works are not started on any road segment before compensation andassistance to the affected population have been provided in accordance with this policy framework.

Resettlement work and updating of studies will be a continuous process throughout the project and shall becoordinated by the PWD project staff. Implementation of the R&R components of the project has directrelevance to the schedule of civil works component of the project, and will be carried out as suggested inthe implementation schedule.

Implementation ArrangementsEffective RAP implementation will require institutional relationships and responsibilities, rapidorganisational development and collaborative efforts by PWD, State Government, partner NGO andaffected population. The Environment, Social and Resettlement Development Cell (ESDRC) should haverepresentation of other line departments viz., revenue, forest, public health, rural engineering, etc. Theresponsibility of co-ordination lies with Social Scientists. The ESRDC will establish operational linkswithin PWD and with other agencies of government involved in project-induced resettlement. It will bridgethe distance between the project and project affected persons and communities. It will provide the meansand mechanisms for co-ordinating the delivery of the compensation and assistance entitled to those whowill suffer loss. ESRDC will link the project with state government agencies, provide liaison with PWDfield units and impacted communities, establish district level committees to co-ordinate social developmentand resettlement operations in the field and also to assist NGO partners It will also engage required trainingservices, oversee a grievance redress process and actively monitor RAP implementation.

On behalf of PWD, the ESDRC will assume the responsibility for representing the social impact andresettlement components of the project for environment clearance. The ESDRC will also be responsible fordisseminating this information to the public and providing additional opportunities for public comment.

Among government agencies, the revenue department will have the most important role. While theresponsibility for land acquisition and&payment of compensation for land acquired (including propertiesthere on) lies with the Revenue Department, the ESDRC has to assume responsibility for co-ordinatingvarious matters with the Revenue Department so that both physical possession of land acquired andpayment of compensation is not unduly delayed. The responsibility for income restoration and replacementof common property resources would fully be with the ESDRC along with the nodal NGO.

The ESDRC will be consist of Project Director, Social Development Expert of PWD (of the rank ofAssistant Engineer) other officers of PWD responsible for implementation of RAP at district level. TheESDRC will have a flat organisational structure with the subject matter specialist working nearlyindependently under the supervision of a location specific co-ordinator. Since the Revenue Department hasdistrict - wise jurisdiction, the co-ordinators can also be. appointed for each district. The structure of thestaffing will be at two levels;

Govcrnment of Uttar Pradesh, Public Works Dcpartment, Lucki,ow. India 40

rxecutive Summary-Social and Envirourment DI IV Consullants lV

(I) ESDRC with three people viz., Revenue Officer as head, Environment and R&R Coordinatorof PWD and his district level counterparts.

(2) In each contract, the Environment and R&R Coordinator of PWD will be assisted by hiscounterparts from districts.

This district-wise separation can be maintained for all issues so that proper co-ordination can be done withthe concerned authorities. Land acquisition details and rehabilitation action plans should also be segregateddistrict-wise for all road stretches. The district ESDRC Co-ordinator can be given the necessary mandatefor proper and adequate coordination with all authorities. It is necessary that the ESDRC be staffed in allconcerned districts upon completion of the census and socio-economic survey so that the ESDRC can beinvolved in the consultation and counselling Phase Itself.

Table 28 ESDRC Staff Responsibilities

ESDRC Staff Responsibilities

PD, UPSRP as Head of ESDRC Co-ordination of all activities of ESDRC with PWD and otheI government agencies. Will be holding review meeting every month

Executive Engineer of P'WD Reports to 1-lead, ESDRC; Acts as a catalyst betwcen social antechnical team. Will act as ears and eyes of Head, PWD.

Non Government Organisation Will be grass root level worker actually dealing with PAP; develorapport with the PAPs; conduct a sample survey among them, helin skill upgradation, facilitate purchase of land for PAPs, help inegotiation, help PAPs in obtaining benefits under entitlemenframework and appropriate government schemes, help in creatinawareness among truckers on highways and design methodsmeasures prevention of same.

District Level Committee Announcement of awards; assistance; negotiation with respect taward, land, etc.; Co-ordinate with local government offices; fieloffice of PWD, line departmnents and other government agenciesprovide venue for dissemination of project information, publiconsultation and public hearings of Government of India.

6.2.3 Institutional ArrangementsThe UPPWD is responsible for the implementation of UPSRP-II, including the provisions made within theEMPs and the RAP. The UPPWD is fully committed to the successful implementation of all the measuresincorporated in these documents to ensure smooth progress of the project.

> The organizational and institutional capacity of the UPPWD will be augmented, to facilitate thisprocess. The proposed augmentation of the capacity of Environment Cell within the PWD is givenin figure 1. It is anticipated that the experience and expertise gained during the implementation ofphase I will be used to advantage in the implementation of phase ll.

RAP has the provision for the following mechanism/committees for proper implementation of action plan:

Grievance redress mechanism:The grievance redress mechanism is an important aspect of R&R. The LA Act provides adequate provisionat different stages of the LA process for the PAPs to object to the proposed acquisition of land and otherproperties, compensation rates, etc. The LA Act allows the affected person to receive compensation underprotest and then refer the case to the court for settlement. However, in the present context, LA wrill be onlyin proposed bypasses and rest allPAPs are either encroachers or squatters who are not entitled for anycompensation for land under LA Act. There is no provision for dealing with grievances of these PAPs intheir resettlement process. Hence, RAP has a provision for constituting Grievance Redress Committee at'district level. The members of the committee would be.District Magistrate as head, representatives of local

Government of Unar Pradesh, Public Works Department, Lucknow, India 41

iExecutive SimrTary-Socinl and Environment 1)1 IV (Consultants [IV

NGOs, representative of people (viz., Member of Parliament, Member of Legislative Assembly, etc),representatives of blocks, districts, line departments & affected persons. At central level, Project Director ofProject Implementation Unit will head the committee.

Effective RAP implementation will require institutional relationships and responsibilities, rapidorganisational development and collaborative efforts by PWD, State Government, partner NGO andaffected population. Therefore, it is suggested that a Environment and Social, Resettlement DevelopmentCell (ESDRC) be formed. The SRDC should have representation of other line departments viz., revenue,forest, public health, rural engineering, etc. The responsibility of co-ordination lies with R&R coordinatorof PWD. The ESRDC will establish operational links within PWD and with other agencies of governmentinvolved in project-induced resettlement. It will bridge the distance between the project and project affectedpersons and communities. It will provide the means and mechanisms for co-ordinating the delivery of thecompensation and assistance entitled to those who will suffer loss. ESRDC will link the project with stategovernment agencies, provide liaison with PWD field units and impacted communities, establish districtlevel committees to co-ordinate social development and resettlement operations in the field and also toassist NGO partners It will also engage required training services, oversee a grievance redress process andactively monitor RAP implementation.

Need for NGO/CBO

The relocation disturbs the present activities of PAPs and therefore there is a need to establish and stabilisetheir economic living. While all tasks relating to Land Acquisition is taken care by the Land AcquisitionOfficer and his staff, the implementation of RAP is the responsibility of the ESDRC under PWD. The NGOwill help in implementing various components of the RAP, particularly the use of compensation andrehabilitation assistance for more productive purposes like purchase of land, self-employment, etc. Itsinvolvement is all the more important since there are no social community organisations among the PAPswhich otherwise could have taken lead in this regard.

Being new to the area of working with PAPs, the selected NGO will have to work directly under theESDRC Co-ordinator who will be defacto in charge for implementation of RAP. Thus implementationbecomes joint responsibility of PWD and NGO.

Role of NGO

Resettlement relates to hurnan aspects and economic rehabilitation requires human resources developmentconsisting of education, training, awareness generation, etc. In absence of any sociologistlanthropologist,NGO will be involved to assist PWD in implementation of RAP. The NGO will help educating PAPs onthe proper utilisation of compensation and rehabilitation grant and help them in getting financial assistance,if required, under various subsidy related development programmes. It will also organise trainingprogrammes to impart required skill for such PAPs who would prefer to go for self-employment schemes.Specifically, the tasks of the NGO will be to:

* Develop rapport with PAPs and between PAPs and PWD* Assess the level of skills and efficiency in pursuing economic activities, identify needs for

training and organise programmes either to improve the efficiency and/or to impart newskills.

* Assist PAP in receiving rehabilitation entitlement due to them* Motivate and guide PAP for proper utilisation of benefits under R&R policy provisions;* Facilitate purchase of agriculture land in negotiating price and settling at a reasonable price

or expedite the same through Land Purchase Committee.* Assist PAPs in obtaining benefits from the appropriate development programmes.* Help PAPs in increasing their farm income through provision of irrigation facility or

improving farm practices, and* Ensure marketing of produce particularly those under self-employment activities.* Complete the consultation at the community level and provide support by describing the

entitlements to the EPs and assisting them, in their choices* Accompany and represent the EPs at the G0ievance Committee meeting.

Government of Utar Pradesh, Public Works Department, Lucknow. India 42

Exccufivc Sum mry-Social nnd Environment D IV Consultants BV

* Assist the EPs to take advantage of the existing government housing schemes andemployment and training schemes that are selected for use during the project, and

* Carry out other responsibilities as required and identified.'

In the context of implementing of RAP, it is important that NGO, which is genuine and committed to thetask entrusted, is selected. An NGO with local presence is, however, more suitable hence would bepreferred. The NGO may be contracted on specified terms and conditions with proper fixation of financialaccountability. The payment to NGO will be linked to the performance of the task assigned and the timeperiod. The payment will be arranged on quarterly basis to be released on certification of completing theprevious task. The monitoring of R&R programme will also include the performance of NGO. The NGOservices will be required for five years for which provisions have been provided in the plan.

District Level CommitteesRAP will be implemented through District Level Committees that will be established in each district wherethe project is active. These committees will prxvide co-coordinating nodes for land acquisition andcompensation, relocation and rehabilitation, distribution of project provided assistance and PAPs' access tomost government programmes. ESDRC will service district committees with field staff allocated to multi-district construction contracts.

The committee would include; District Magistrate, Tahsildar of concerned tahsil, Pradhans of PanchayatSamitis, Block Development Officers, Sarpanchs of affected villages, representative of revenuedepartments' land acquisition wing, line departments, PWD, R&R Coordinator, people's representatives,NGO and representatives of affected population.

6.2.4 Training

Establishing sufficient implementation capacity to launch and carry out those components of projectresettlement that must be completed before civil works. To enhance capabilities, SDRC staff can be sent onexposure visits to other projects with good resettlement programmes as well as sponsored for trainingcourses in Resettlement and Rehabilitation (R&R). The Administrative Staff College of India (ASCI) inHyderabad along with Economic Development Institute of World Bank conducts a two weeks course inR&R. The training would also cover techniques in conducting participatory rural appraisal for microplanning, conducting census and socio-economic surveys, dissemination of information, communityconsultation and progress monitoring and evaluation. One week training through specialist of the field willbe arranged at PWD level both for ESDRC staff and NGO staff engaged for the job.

> The training to be imparted as part of the UPSRP-II has been selected keeping in view therequirements of the ESRDC of the UPPWD, the NGO, the Contractors' crew and the significanceof the impacts envisaged. The training covers theoretical and practical aspects of environmentalprotection, though the emphasis is very much on the latter. Table 29 details out the environmentaltraining component of the UPSRP-II.

Government of Unar Pradesh, Public Works Department, Lucknow, India 43

Executive Summary-Social and Environment Di IV Consultants BV

Table29: Training Plan (to be imparted during UPSRP-11)

Environmental and SoeialS. No. Training Recipients Mode of Training Aspes to be covered training rraining Conducting Agency

module

* Environmental and Social * Lecture System * Environmental & Social Extemal agencystaff of "Environmental & * Workshops overviewSocial Cell" * Group Discussion EnvironmentalAssociated NGOs in * Short term training course Regulations and Actsimplementation and PWD * EMP and RAPstaff associated with * Environmental pollutionconstruction supervision associated with road

projectsRoad Projects andEnvironmental and SocialissuesEnvironmentally soundconstruction managementPlanning forenvironmental sustainableoperation of roadsLong term environmentaland social issues in roadmanagement

2 * All PWD staff * Seminar * Environmental and Social xtemal Agencyconstruction supervision, * Workshop overviewconsultant and contractors * Lecturers * Environmental and Social

Impact AssessmentEMP and RAPImplementation

* EnvironmentalRegulations and Acts

* Environmental pollutionassociated with roadprojects

* Environmentally soundconstruction managementRoad Projects andEnvironmental and SocialIssues

3 * All Project staff and * Short term training * Environmental and Social Extemal AgencyExecutive Engineers and courses overviewabove PWD officials * Visit to case studies * Environmentalassociated with the project * Scminar Rcgulations and Actsroutes * Environmental Pollution

and Social Impacts* Road projects and

environmental and socialissues

* EMP and RAP for roadprojects

4 Collaborating Govemment * Multimedia presentations * Environmental and Social Extemal Agency and PCCAgencies such as * Information Training Overview ConsultantsPollution Control Board, *Important EnvironmentalTraffic and Transport Regulations and roadDepartments, State Forest transport perspectiveDepartment, Revenue * Pollution and SocialDepartment, Rural Impacts due to roadDevelopment, etc. and all projectsstaff of PWD

Government of Urta Pradesh, Public Works Department, Lucknow, India 44

Executive Summary-Social and Environment DI IV Consultants BV

Environmental and SociaS.No. raining Recipients Mode of Training Aspects to be covered training Training Conducting Agency

.mrodule

5 * All Project staff of PWD * Short term training course * Theoretical course to xternl agency.entrusted with environmental and socialenvironmental and Social impact assessment andrelated matters procedures.

• EnvironmnentalRegulations, Acts andClearance procedures.

* Environmental and socialdata acquisition andm ronitoring analysis.

* Hands on training oncompliance monitoringand operation stagemonitorinlg.

Environmental and Social cell6 * All PWD Project staff * Short term course * Refresher training course fPWDandPCCConsultants.

associated with on monitonng andsupervision of compliances of mitigationconstruction and measures.supervision consultant * EMP and RAP

6.2.5 Income Restoration Plan

Income Restoration of the Affected and Displaced Persons/Families

Basic information on IR activities of PAPs will be available from the census and socio-economic surveys.Information from base line surveys will be available on features of economic activities of PAPs under threecategories, viz.,

o Land based economic activitiesO Non-land economic activitieso Total income of PAPs from various sources

Project induced displacement may lead to loss or diminished income for Project Affected Person (PAPs).The main categories of impacts are as follows:

O Loss of commercial establishments (permanent)o Loss of temporary commercial structure or mobile vendor (Squatters)O Loss of livelihood (Commercial tenants or helping hands)

Projects like road development involve acquiring linear strips of land; as such the impacts are not expectedto be significant. However, mitigation measures need to be planned and implemented however insignificantthe impacts may be. Detailed plan for income restoration has been given in table 30 below.

Government of Uttar Pradesh, Public Works Department, Lucknow, India 45

Executive Summary-Social and Environmcnt DIIV Consultants BV

Table 30: Income Restoration Plan

' 0 T ! t g t g ~~~~~~0 ' > R :1 - I - j -- -- -- t -- I

l~ ,. . 0 01202 20 0 2 202 02 0320

-z' 0 cl~~~ I.. ~ >l >

I IQ _ 0_ _

E 0~~~~.

E~~~~

641 B07, 16 'u - II U

Ef a Indc havc-,o-.- beco wk oI toD w u th p

soilcmoet dniida fpriua sinf canc in afetn h nionel h olwn

6.2.7 ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~~~pi Moiorn andv0l Reportin

~42 50.50 63 4150 i;~ll )t~c2I Nov2 P002 01 0002 2002 002 0202 20020202 003 0O3

To ensure theefectveti20 a ct n ec Jan eb2Ovipril td nov20 uy ec ef Nov57 925 ~~~~ 750 002 001 2002 2002 2002 ~2 ~002 Z002 003 Z003

monitoring plansctv20 bee beaan eb2piilhct teov2 uIYpen ojtune eov172 ~~~~~~~~) 002 ~001 -2002 1 2002 2002 02 200002 02 O03 Z003

6o evaluate 6he ad050acy 14 EnvinPct.20ct Dec an FesOsmnpril tot Nov20i1uly Pec frune Nov

>iosget mrvmns in 'aaemn plan if require

01 2002 2001 2002 2 2002 2002 02 2~002 2002 2003 2~003

641 307 116

6.2.6 Performance IndicatorsPerformance Indicators have been worked out to evaluate the perfornance of the physical, biological andsocial components identified as of particular significance in affecting the environmnent. The followingperformiance indicators have been worked out and their monitoring at critical locations suggested: includingAir Quality (SPM, RSPM and GO), Water Quality (DO, BOD and Coliform count), Noise levels aroundsensitive locations and tree plantation survival rate.

6.2.7 Monitoring and ReportingTo ensure thie effective imiplementation arrangement of the provisions mnade in the END, effectivemonitoring plans have been prepared with the following objectives:

> To evaluate the performance of irmitigation measures proposed in the E sP> To evaluate the adequacy of Envirounmental Impact Assessment to provide, feedback for future

projects> To suggest improvements in management plan, if required)~ To enhance environmental quality> To satisfy the legal and community obligations

Monitoring PlansThe monitoring plans during construction and operation stages have again been prepared for eachupgradation route. For each of the environmental components, the montitoring plan specifies the parametersto be monitored; location of monitoring sites; frequency and duration of monitoring. The monitoring planalso specifies the applicable standards, implementation and supervision responsibilities.

Goverrunent of Uttar Pradesh, Public Works Department, Lucknow, India 46

[Exccutivo Summary-Social and Fnvironmciul 1I IV (ConsulIanis BV

Reporting SystemThe reporting system will operate linearly with the contractor reporting to the Supervision Consultant, whoin turn shall report to the PWD Project Staff. All reporting by the contractor and Supervision Consultantshall be on a quarterly basis. The PWD shall be responsible for preparing targets for each of the identifiedEMP activities. All subsequent reporting by the contractor shall be monitored as per these targets set by thePWD.

> The compliance monitoring and the progress reports on environmental components may be clubbedtogether and reported quarterly during the construction period. Reporting formats for constructionperiod have been prepared for environmental components critical for the successful projectimplementation and attached to individual EMPs.

> The operation stage monitoring reports may be annual or biennial, provided the ProjectEnvironmental Completion Report shows that the implementation was satisfactory. Otherwise, theoperation stage monitoring reports will have to be prepared as specified in the said ProjectEnvironmental Completion Report.

Monitoring and Evaluation (M&E) of Resettlement Action Plan (RAP)Monitoring and Evaluation (M&E) are critical activities in involuntary resettlement. Monitoring involvesperiodic checking to ascertain whether activities are going according to the plan. It provides the feed backnecessary for project management to keep the programmes on schedule. By contrast, evaluation isessentially a summing up, the end of the project assessment of whether those activities actually achievedtheir intended aims. Monitoring exercise will be undertaken both internally and externally. While SocialDevelopment Officer of PWD on monthly basis will carry out the project's internal monitoring, an externalagency will be appointed for third party monitoring. External agency will conduct annual, mid term andend term monitoring in order to evaluate impact of the project.

Indicators, which will be monitored during the project, consist of two broad categories:

a) Process and output indicators or internal monitoringb) Outcome/impact indicators or external monitoring

Internal Monitoring

The objectives of the internal monitoring are:

* Daily Operations Planning (DOP)* Management and Implementation (M&I)* Operational Trouble shooting and Feedback (OTSF)

The periodicity of internal monitoring could be daily or weekly depending on the issues and level.

Information required for internal monitoringFor internal monitoring following information will be required:

* Individual files on each project affected person* Village Proforna* Action Plan and Progress reports

Government of Uttar Pradesh, Public Works Department, Lucknow, India 47

t,xcculivc Summary-Social and I ili vironniill DI) IV ( owaiIllinis IBV

External Monitoring

The objectives of the external monitoring

* To track resettled and host population over time in order to document the restoration of incomesand standard of living.

* Determine remedial action if required.

* If income and standard of living of the PAPs has at least been restored and has not declined.

* In case of host population, whether income and standard of living of host population have notdeclined due to influence of resettlers

* Whether resettlers and host population have re-integrated with each other.

The information required for external monitoring

* Baseline survey data (conducted by PCC)* Sample survey (to be conducted by M&E agency)* Case studies/Thematic studies * Issue based research (to be conducted by M&E agency)* Participatory research (to be carried out by M&E agency)* Target group monitoring (to be carried out by M&E agency)

Indicators for Monitoring

The monitoring indicators have been divided into four primary categories, which would provide insight tothree types of benchmarks viz., process, output and impact. The indicators are:

Table 31: Monitoring Indicators

Physical i Economicextent of land acquired Entitlement of EPs-land/cashnumber of structures demolished number of business re-establishednumber of land users and private structure owners utilization of compensationpaid compensation extent of agricultural land/house sites/business sitesnumber of families affected purchasednumber of government agricultural landidentified for allotmentnumber of EPs allotted agriculture land I Grievanceextent of agriculture land allotted cases of LA referred to court, pending and settlednumber of families approaching Land Purchase number of grievance cell meetingsCommittee for purchaLse of agriculttire land number of village level mectingsNumber of families purchasing land and extent of land' number of field visits by RROpurchased. I number of cases disposed by RRO to the satisfitction ofextent of goverrument land identified for house sites EPs.number of EPs receiving assistance/compensation inumber of EPs provided transport facilities/ shiftingallowance Establishmentnumber of EPs allotted house under EWS/LIG housing Staffing positionscheme Availability and use of office equipmentnumber of EPs granted free plot/house construction U Use of vehicleallowance

Financial i Socialamount of compensation paid for land/structure Area and type of house and facility

Government of Uttar Pradesh, Public Works Department, Lucknow, India 48

Executive Sumffry-Social and Environment DHV Consultants BV

cash grant for shifting oustees Morbidity and mortality ratesamount paid to NGOs . Communal harmonyconsultancy fee paid to M&E agency Dates of consulting Project and District levelEstablishment cost - committeeStaffsalaries number of time Project and District level committeesVehicle maintenance metOperational expense ofoffice number of appeals placed before PWD/grievance

redressal cellwomen time disposition

6.2.8 Budget for the Environmental ComponentThe summary budget for phase I upgradation routes is given in Table 12. This budget does not includecosts of environmental measures which are included in the design as part of good engineering practices(such as pitching and turfing of slopes, drainage improvement by provision of additional drains, etc.) andthe contractual requirements (such as dust suppression along haul roads), which are a part of civil workscomponent. The budget for the implementation ofthe EMP provisions for the upgradation routes in Phase Ihave been worked out to be INR 47.6 million, the breakup of which is presented in Table 32 below.

Table 32: Environmental Budget for the Upgradation routes included in phase I of UPSRP-11

Route Mitigation/ Monitoring Training and Total Budgeted CostsRoute Enhancement Costs Costs Mobilisation (nith 5% contingency)

Costs

Route 4 20,619,300 784,000 469,000 23,000,000Route 7 8,690,300 739,000 485,000 10,500,000Route 14 11,382,900 704,000 465,000 13,200,000Route 18 5,925,300 693,000 431,000 7,500,000TOTAL 46,617,800 2,920,000 1,850,000 54,200,000

R&R Costs and Budget

The total estimated budget for both the phases of R&R program is approximately Rs 50 crores. Budget forPhase I is Rs. 19 crores where as for phase II is Rs.30 crores. The estimated budget includes landacquisition cost, assistance to affected families, measures for HlV/AIDS prevention, communityinfrastructure development, cost for RAP implementation, monitoring and evaluation of RAPimplementation, training for eligible PAPs and PWD field staff.

Table 33: Summary Budget for R&R

Estimated Budget for Phase I RAP Implementation

Items Financed by

World Bank UP PWDAssistance to squatters and 54.279,650 21824400encroachers

Assistance to Tenants 455,064

Assistance to Vulnerable Groups 15,199.800

Other Assets and HIV/AIDS 7.878,950 1.678.950PreventionResettlement Sites 84,246.400

Training ofPWD and NGO Staff 700,000

Fee of M&E Agency 4,500.000

M&E cost for PWD 150,000 .

Government of Uttar Pradesh, Public Works Department, Lucknow, India 49

Executive Summnary-Social and Environment D)i IV Cojisullants UV

NGO Cost 30,00,000

Printing of Icard, policy and 500,000photographs

Project Office establishment of PWD 150,000

Additional Studies 1,000,000

Total Cost for Phase I roads: 169,059,864 23,503,3501

Total Cost for Phase I roads: Rs.192,563,214

Table 34: Estimated Budget for Phase 11

Items Financed by

World Bank UP PWDLand Acquisition * 36,293,506

Assistance to Squatters and Encroachers 101,555,061 39,181,966

Assistance to Tenants 738,117Vulnerable Groups 19,127,498

Other Assets and HIV/AIDS prevention 12642267 2908012

Resettlement Sites 74,916,614

Training of PWD and NGO staff 700,000

Training for PAPs through NGO 1,904,900

Fee of M&E Agency 5,000,000

M&E cost for PWD 200,000

NGO Cost 6,000,000

Restoration of buildings of 1,500,000archaeological value

Printing of Icards, policy and 100,00Photographs

Additional Surveys 2.000,000Total Cost for Phase II roads: 226,384,457 78,383,484

Total Cost for Phase 11 roads: Rs.304,767,941

Government of Uttar Pradesh, Public Works Department, Lucknow, India 50

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E:vnimv ntnl Enhancenteem Refer e to Cont Mi Implemnentation_1 e p acts fMitigation measur L D-curne_ts _ ___i_ Responsibilitics

incc i trffic inditute to irnbibe3spect of road safety indriving.

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K Maintenance of Statutory undertakersroad safety

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Government of Uttar Prodesh. Pubic Works Department, Luckncw. India 8