RP-55 VOL. 1 in association with IJE IIIE Resettlement Action Plan Project Co-ordinating Consultancy Services (PCC) for the Kamataka State Highways Improvement Project IBRD LoanlCredit No. LN-4114 J;~idar Belgau Karwar]3W g Mangalor X_X_galore Prepared for: Govt of KarnataKa Public Works Dept. (Natiwoal Highways) November 2000 in association with IIIE Resettlement Action Plan Project Co-ordinating Consultancy Services (PCC) for the Karnataka State Highways Improvement Project IBRD Loan/Credit No. LN-4114 ~~~id a~~dr Belggad Karwar, J fg P Mangalor -ga__lore Prepared tor: Govt of Karnataka Public Works Dept. (National Highways) November 2000 ir.vroem Proe i.. ::. -l TABLE OF CONTENTS EXECUTIVE SUNINIARY 1. INTRODUCTION AND METHODOLOGY . ................................... I 1.1 INTRODUCTION .................................... I 1.2 . OBJECTIVES . 1.3I . . PROJECT OVERVIE . 1.4 . SOCIAL ASSESSMENT . 1.5. RIGHT OF WAY.AND CORRIDOR OF IMPACT5.. 1.6. NEED FOR RESETTLEMENT AND REHABILITATION IN THE PROJECT ...................................... .....................3 1.7. MAGNITUDE OF IMPACTS. 4 1.8. MINIMISING RESETTLEMENT. 1.9. PROJECT DESIGN CONTEXT . 1.10. LAND ACQUISITION AND STRIP PLANS .6 1.11. DESIGN CROSS- SECTIONS ..........................-.------.----.....-..........6 1.12. URBANVILLAGE AREAS .6 1.13. MITIGATION OF ADVERSE IMPACTS .7 1.14. ROAD SAFETY CONCERNS .7 1.15. INTEGRATION OF SOCIAL ASSESSMENT AND PROJECT DESIGN ........... .............................. S 1.16. CULTURAL PROPERTIES ......................................... 0 1.17. COMMUNITY ASSETS ...........................10...... .. I 0 2. RESETTLEMENT POLICY FRAMEWORK . 1 2.1. BACKGROUND................... . I 1 2.2. PRINCIPLES . ..................11.. . . . . . . . .. . . . ................ ......... I I 2.3. IMPACTS AND ENTITLEMENTS ................... I I 2.4. DEFINNITIONS ................... 12 2.5 ENTITLEMENT MATRIX ................... 13 2.6. SUPPORT PRINCIPLES FOR CATEGORIES OF IMPACTS .......................................................... 13 3. SOCIAL IMPACT ASSESSMENT .14 3.1. INTRODUCTION .......................................................... 14 3.2. METHODOLOGY AND DATA BASE .......................................................... 1 5 3.3. CUT-OFF DATE ............................................................ 15 3.4. GUIDELINES FOR CENSUS AND SOCIO-ECONOMIC SURVEY .......................................................... 16 3.5. SOURCES OF DATA .......................................................... 16 3.6. METHODS OF DATA COLLECTION .......................................................... 17 3.7. DEMOGRAPHIC AND SoCIo-ECONOMIC PROFILE OF PROJECT AREA ....................................................... 17 3.8. CENSUS VERIFICATION AND SoCIo-ECONOMIC SURVEY: RESULTS AND DISCUSSION .................7...... ] 7 3.9. GENDER ISSUES .......................................................... 18 3.10. TRIBAL ISSUES .......................................................... 18 3.11. RELIGIUOUS GROUP ........................................................... I 8 3.12. OCCUPATION AND POVERTY LINE .................................................. . ...... 1 8 3.13. MAJOR AND MINOR IMPACTS .......................................................... 1 9 3.14. OTHER RELEVANT SOCiO-ECONOMIC CHARACTERISTICS .......................................................... 20 3.15. NEED FOR DATA UPDATE AND MECHANISM TO CONDUCT UPDATE .......................................................... 22 .1 6. KEE FINDINGS OF THE CONSULTATIONS .......................................................... 23 3.17. PUBLIC PARTICIPATION AND CONSULTATION IN RAP IMPLEMEN'TATION ............................................... 23 3.18. INFORMATION DISSEMINATION CAMPAIGN ............ .......................... . .......... . ...... 24 4. RESETTLEMENT ACTION PLAN - IMPLEMENTATION PROCEDURES. 25 4.1. INCOME RESTORATION (IR) ......2.................................... 25 4.2. SHORT TERM IR ACTIVITIES ......................................... 25 4.3. LONG TERNM IR ACTIVITIES ......................................... 25 4.4. IMPACT CATEGORIES AND IR SCHEMES ......................................... .......... 25 4.5. ALTERNATIVE INDIVIDUAL INCOME RESTORATION SCHEMES ......................................... 26 Toc- I Scott Wilson / CES / IIIE Kaamataka State Hiehwavs Rsvnucment Action Plap. Improvement Project 4.6. NON LAND-BASED INCOME RESTORATION SCHEMES .................................................................. 26 4.7. TRAINING ..................................................................2 7 4.8. MONITORING OF IR SCHEMES ................................................................. 27 4.9. WITHDRAWA L POLICY ................................................................. 27 4.10. INSTITUTIONAL ARRANGEMENTS ............. .................................................... 27 4.11. IMPLEMENTATION CAPACITY AND INSTITETIONAL COMMITMENT ...................... ..... ............... ....... 28 4.12. NGO PARTNERSHIPS ................................................................. 28 4.13. SDRC STRUCTURE AND STAFFING ................................................................. 28 4.14. TRAINING AND CAPACITY BUILDING ................................................................. 30 4.15. RESETTLEMENT SITES ................................................................. 30 4.16. HOST COMMUNITY SURVEY ................................................................. 3 1 4.17. RESETTLEMENT SITE SELECTION AND FEASIBILITY STUDIES ................................................................. 3 1 4.18. REQUIREMENTS FOR REHABILITATION CENTERS ................................................................. 31 4.19. GRIEVANCE REDRESSAL ................................................................. 32 4.20. GRIEVANCE REDRESSAL CELL .................................................................. 32 4.21. IMPLEMENTATION SCHEDULE ................................................................. 32 4.22. IMPLEMENTATION PROCEDURE .................................................................. 34 4.23. TIMING OF RESETTLEMENT .................................................................. 34 4.24. LAND ACQUISITION ................................................................. 34 4.25. IMPLEMENTATION RESPONSIBILITY ................................................................. 35 4.26. PROJECT AFFECTED PERSONS' IDENTITY CARD ................................................................. 35 4.27. COSTS AND BUDGET ................................................................. 35 4.28. MONITORING AND EVALUATION ................................................................. 37 4.29. MONITORING AND EVALUATION INDICATORS ................................................................. 39 4.30. INTERNAL MONITORING .................................................................. 40 4.31. EXTERNAL IMPACT EVALUATION ................................................................. 40 4.32. CRITERIA FOR DETERMINING COMPLETION OF PROJECT RESETTLEMENT AND REHABILITATION ............ 40 Toc-2 Scott Wilson / CES / IIIE rarnataka State HILhli% a% - \.Ln 1'1. imorovemenl Projec LIST OF TABLES ANI) FIGURES Table 1-1: Total Project - Impact Categories ...............................................m Table 1-2: Impact Cateaor\ - Eligible Project Affected Families ............................................... . Table 3 -1: Cut off Date ............. ...................... ................... ........................ 16 Table 3-2: Demographic Profile of Project Roads by Contract Pack-azes (Census 199]) ............... 17 Table 3-3: Socio-Economic Characteristics of PAPs/PAFs ............... 19 Table 3-4: Families and Persons Affected by the Project by Contract Packages and number settlements ....................................I.............................................................................. .................. ............... .......... 1 Table 3-5: Distribution of PAFs by Major and Minor Impacts ......... 20 Table 3-6: Distribution of PAFs be Income .2........ 1 Table 3-7: Distribution of PAPs by Age and Sex .........2 1 Table 3-8: Distribution of PAPs by levels of Literacy / Education ......... 2 1 Table 3-9: PAPs (Employees) losing livelihood ......... 21 Table 3-10: Core Rapid Appraisal Mechanism .......... Table 4-1: Implementation Schedule ......... 33 Table 4-2: Budget Estimates ..............................3....................... - - .-- 36 Table 4-3: Unit Costs ..............................3.................................... 37 Table 4-4: Monitoring Indicators ......... 39 Figure 4-1: SDRC Organisational Structure ......... 29 ANNEXURES: ANNEXURE I ANNEXURE 2 STRIP PLANS Toc-3 Scott Wilson / CES / IIIE Karnataka State Highways Resettlement Action Plan Improvement Project Abbreviations ABBREVIATIONS ACLA Assistant Commissioner Land Acquisition APL Above Poverty Line BPL Below Poverty Line CBO Community Based Organisation CEO Chief Executive Officer COI Corridor of Impact DRDA District Rural Development Agency EIA Environmental Impact Assessment EIRR Economic Internal Rate of Return EWS Economically Weaker Section GOI Government of India GOK Government of Karnataka ID Cards Identification Cards IG Income Generating IR Income Restoration ITI Industrial training Institute KHDC Karnataka handloom Development Corporation KPCC Karnataka Project Co-ordinating Consultants KPTCL Karnataka Power Transmission Corporation Limited KSCDC Kamataka State Coir Development Corporation KSHIP Karnataka State Highways Improvement Project KVIB Khadi and Village Industries Board LAA Land Acquisition Act LIDKAR Leather Industries Department of Karnataka LIG Lower Income Groups M&E Monitoring and Evaluation MOEF Ministry of Environment and Forests NGO Non-Governmental Organisation NOC No Objection Certificate OD Operational Directive PAF Project Affected Family PAG Project Affected Group PAP Project Affected Person PCC Project Co-ordinating Consultants PHED Public Health and Engineering Department PIU Project Implementation Unit PWD Public Works Department R & R Resettlement and Rehabilitation RAP Resettlement Action Plan RC Resettlement Centers ROW Right of Way SC Scheduled Caste SDO Social Development Officer SDRC Social Development and Resettlement Cell SR Schedule of Rates ST Scheduled Tribes TOR Terms of Reference ZP Zilla Parishad Scott Wilson/CES/IIIE Executive Summary Kamatak-a State Hi-hwaNs Resetti-m-ni A-\Ctc-. P._ Improvement Project Executive Summarn Executive Summarn i. The Government of Kamataka (GOK) is preparina the Kamataka State Highways Improvement Project (KSHIP) with assistance from the Worid Bank. The Project Co- ordinating Consultants (PCC) have identified from the feasibilitv studv 960 kms of roads for upgradation and 1098 kms of roads for major maintenance to be taken up for construction in two phases. In Phase 1, 397 kms of road has been identified for upgradation and 1043 kms for major maintenance. The GOK has adopted a Resettlement and Rehabilitation Policy for KSHIP to address the adverse impacts arising out of this project. ii. Socio- economic surveys were conducted on the upgradation roads, for a Corridor of Impact between 13.6m and 26m keeping in view the design requirements. These surveys Avere conducted during March, April and May 2000. The survey revealed that there are 753 Project Affected Families (PAFs). Adversely affected families are 342 (i.e. those losing total house' total livelihood or both). PAFs incurring minor impacts are 411. The extent of land acquisition necessary for road widening and other improvements is 4.67 ha. The total government land to be transferred to PWD is 4.71 ha. iii. There was a concerted effort to reduce impact on the number of families being affected. The integration of the social survey results with the final designs has resulted in reducing the number of affected families substantially from 1345 families to 753 families. The total resettlement and rehabilitation budget for Phase I is Rs. 4.51 crores. iv. There are no archaeological impacts in Phase I and 11. The cultural properties getting affected are worship places, which are not archeologically important, but will be replaced bv the project authorities before demolition. v. The tribal population identified have been integrated with the main stream population. There are 41 tribal families spread over 400 kms of Phase I roads. In Phase 11 roads, in terms of absolute number the tribal population will be marginally higher. vi. In Phase 1I the number of PAFs are estimated 2000; land acquisition is estimated at 238.87 ha. and the R & R costs are estimated at Rs. 27.47 crores. vii. Local level public consultations were conducted in 6 villages covering all the links and a State- level Stakeholders Workshop was held in May 2000, to address and discuss the R&R Policy and issues related to project affected persons. The RAP is available, in Kannada and English at all the project district and taluk offices for public information. viii. The Resettlement Action Plan has been prepared on the basis of provisions contained in the GOKs, Resettlement and Rehabilitation: - Principles and Policy Framework for the Kamataka State Highways Improvement Project. ix. The RAP describes the institutional and organizational mechanisms required for the resettlement program. The RAP will be implemented by Karnataka PWD-PIU Social Development Resettlement Cell with support from other government agencies. non- governmental organisations/community-based organizations and limited assistance from PCC. The grievance redressal process specifies procedures for registering and addressing complaints including appeal mechanisms and recourse to civil courts. x. The RAP provides a detailed implementation schedule listing the chronological steps that w ill be taken to effect resettlement, rehabilitation, and mitigation. The RAP will be implemented over a period of 4 years from the date of commencement of work. It also describes the linkages between resettlement implementation and initiation of civil works. Implementation activities include land acquisition process, relocation and rehabilitation and monitoring. Various income restoration schemes have been identified during the course of social survey and the public consultations, which have been integrated for income restoration. Since the scale Scott Wilson / CES / IIIE karnata- ma3t. ln2 ..;an- . Improx mtni Prolcl Lxczutixe Summar- of displacement is iess than 20 tamiiies at an\ onc location tiicre arc' no rcsettiemrniteSll il. Phase I of the project. xi. Internal monitoring and external evaluation mechanisms. methodologN. and indicators are provided. The associated institutional. financial. and reporting arrangements are specified. including processes for assuring integration of feedback into RAP impiementation. xii. Social strip plans for 400 kms haxe been designed. based on the superimposiTion of the field survev information on the final engineering drawings. xiii. The Annexures are given in Volume 11. It includes the complete socio-economic database. design cross sections, State and village level consultation minutes. media coverage of the Stakholders Workshop and RAP implementation guidelines. Other documentation includes X ideographv for 400 kms of upgradation roads and the State and village level consultations. Scott Wilson / CES / IIIE Chapter 1 Introduction and Methodology KWTIaLaka SlalJ lii,n%\a;- iccl-n> \, lmrro%ement Prowic: lntroCuction and N1etnodoloC, 1. INTRODUCTION AND AIETHODOLO"GY 1.1 Introduction i. The Kamataka State Highways Improvement Project is in two phases. Phase I consists of 397 kms of upzradation and 1043 kms of major maintenanlce. Phase 11 has 560kms fo. upgradation and 57 kms of major maintenance. ii. This Resettlement Action Plan (RAP) is a project specific RAP. which outlines the extent of impacts due to road improvements on communities and the mitigation of the potential impacts. Further, it details necessary implementation procedures for resettlemenl and rehabilitation. This RAP is prepared in accordance with the stipulations and guide-lines provided in Government of Karnataka's document entitled: Resettlement and Rehabilitation: - Principles and Policy Framework for the Karnataka State Hichlxavs Improvement Project (GO No. PWD 21 CRM Dt. 01.07.1999) and The lWorld Bank Operational Directive 4.30. iii. This RAP consists of four chapters. Chapter 1. Introduction and Methodology outlines the objectives of RAP and the Methodology adopted in the preparation of RAP alonp with measures taken to minimise adverse social impacts. Chapter 2. Resettlement Policy provides the policy frame work for provision of compensation. assistance and under taking Resettlement and Rehabilitation activities for project affected persons. families and groups. Chapter 3. Social Impact Assessment, provides an analysis of the socio-economic data collected through the census and sample socio-economic survey. to measure the magnitude of social impacts on project affected persons and families. The analysis identifies severe and minor impacted categories and helps in estimating the extent of costs involved for mitigating the social impacts. In addition to analvsinc the census and sample survey data, the Chapter also contains the outcome of vill'age-level public consultations and the state-level stakeholders workshop, including how the outcome of these consultations provided inputs in the framing of the Resettlement Policv. The process of disclosure of the Policy document and the RAP is also highligllted. Finally, Chapter 4. Resettlement Action Plan - Implementation Procedures outlines the implementation procedures for resettlement and rehabilitation. It takes into account income restoration activities, institutional arrangements, implementation schedule. grievance redressal mechanism, costs and budget implications and monitoring and evaluation of the resettlement components. The important Annexures are included with this report, while Volume II includes Annexures on implementation. 1.2. Objectives a. To present the adverse impacts associated with land acquisition and loss of other assets with the implementation of Karnataka State Highways Improvement Project; b. To present the entitlements for the affected persons for payment of compensation and assistance for establishing the livelihoods and; c. To present an action plan for the delivery of compensation and assistance in accordance with the policy adopted for the project. 1.3. Project Overview i. The initial task *was to conduct a feasibility study of the technical. environmental and social aspects of the 2505 km of roads prioritised by the Client. The Highway Design Module Manager programme (a version of HDM-I1l) was used to establish which roads would offer the best economic prospects for upgradation and major maintenance. Results are presented in the First Interim Report. A list of the 12 Corridors' studied for upgradation and major maintenance for Phase I and II is given in Tables 1-1 to 1-4 and detailed in the Map given in the Annexure 1, of this report. Corridor 7 has been excluded frorn the studv by the Client. Scott Wilson / CES / lIIE Karnataka State Highwavs Resertieme:t ActLIo Pu Improvement Project Cnarte. Introduction and Methodologe ii. Social and environmental mitigation measures will be incorporated into the construction works contracts for the selected roads. for Phase 1. The Civil works will begin after the implementation of resettlement and rehabilitation work. which is to be implemented over a period of four years. Construction works wvill be implemented over a period 48 months for Phase I upgradation roads. iii. Roads selected under upgradation would primarily involve widening the existing road formation to a 12m wide new formation and strengthening certain weaker sections of roads. Incase of major maintenance, a design overlay is being provided by correcting the existing profile to improve the existing condition of road. iv. Improvements proposed under the project are mainly along existing roads and most of the improvement works will be confined to the existing Right-of-Way (ROW). In instances, of insufficient ROW to accommodate proposed improvements. additional ROW will need to be acquired through acquisition of private and other lands. In a number of cases, realignments will also require land acquisition. This land acquisition will also entail acquisition/displacement of other assets and structures. The losses may be temporary or permanent and the impact may be individual or community based. v. The three main tasks involved in the preparation of RAP, based on the Phase I upgradation Roads are: a. To provide information on social impacts as part of the preliminary screening of road sections; b. To verify the legal boundaries of the ROW along with concerned PWD and revenue officials, documenting existing structures, land plots and other physical assets within the ROW to establish the cut-off date for entitlements in accordance with the policy to be developed: and c. To provide the socio-economic baseline information required for preparation of the entitlement framework. vi. In continuation to the above the Phase II tasks involve: a. Completion of PAP census and survey, Right-of-Way determination, and delineation of project impact corridors; b. Verification of Project Affected Persons and the amount of their compensation and assistance; c. Consultation with Project Affected Persons on their entitlements and; d. Implementation of resettlement, relocation and rehabilitation. Based on Phase II surveys, Addenda will be prepared updating this RAP with the latest information. 1.4. Social Assessment i. The project's social impacts and resettlement component included assessment of social impacts of the project and development of appropriate mitigation plans as required based on Phase I upgradation links. To facilitate the preparation of RAP, social assessment is carried out in close co-ordination with environmental assessment and included consultation and participation of project stakeholders, local communities and potentially affected groups. The assessments also contributed to engineering design and in the preparation of social and environmental action plans governing project implementation and the resettlement and rehabilitation of those who mav be displaced or suffer loss of assets and/or income as a result of road improvements. ii. The social impact assessment and resettlement planning component has five main elements: a. Early screening and social impact assessment as part of project feasibility studies; b. Preparation of resettlement and rehabilitation entitlements and policy framework c. Census and baseline socio-economic survey of the potentially affected population; 2 Scon Wilson I CESI IIIE Karinawk2st!lle\a Imorovemren Proici Introduction anJ NMntnodojon d. Public consultation e. Preparation of a Resettiement Action Plan (RAP) iii. A full census survey was undertakeni to rezister and document the status of the potentialik affected population within the project impact area. in terrms of their assets. and sources of livelihood. This census is complete for the Phase-I upgradation roads. It provides the basis for establishing a cut-off date for determining who mav be entitled to relocation assistance or other benefits from the project. In addition to this a socio-economic sample survey of 25 per cent of the PAFs covered under the census was also undertaken. iv. This survey provides a baseline against which mitigation measures and support will be measured and includes comprehensive examination of people's assets. incomes. important cultural or religious netWorks or sites. and other sources of support SUCih as common property resources. Analysis of survey results examined the needs and resources of different groups and individuals. The survey also provides the baseline for monitorinIg and evaluation. The results of the survey are discussed in Chapter 3. v. There was no detailed socio-economic survey of the Major Maintenance roads. Encroachment and congestion on these roads were observed during the reconlaissance survey. However since the Major Maintenance roads did not have any physical verification component, no PAPs were identified. However, if people have moved into the maintenance corridor by the time the civil works start, the PAF/Ps identified will be dealt in accordance with the R & R Policy and this RAP. An officer who is not directly responsible for implementation, to ensure objectivity. will certify this. The operationalization of this activity has been elaborated in Chapter 4 under institutional arrangements. 1.5. Right of Way and Corridor of Impact i. The Right of Way is the lawfully acquired corridor of public land owned by the State Government and administered by the PWD for the transit of the existing road. Using available records with the PWD and the Revenue Department. the social team verified the boundaries of right of way as well as boundaries of private properties within and in the vicinity of likely corridor of impact as provided by the design engineers. ii. For this project, displacement is limited to the corridor of impact. The corridor of impact is the width required for the actual construction of the road, including carriageway. shoulder, embankments and longitudinal drainage. Within this corridor there should be no structures or hindrances. The objective of social input to project design was to ensure that the corridor of impact was modulated, within acceptable design principles and standards, to minimise displacement and other project impacts. 1.6. Need for resettlement and rehabilitation in the project i. The detailed studies undertaken in preparation of the project show road-wideningr and the other improvements proposed, will impact residences, businesses, shrines and places of worship. agricultural lands, public buildings. and infrastructure. Most of the infrastructure work planned for the project will take place within the established ROW. Before the project can be implemented, land must be acquired by PWD whereever ownership rests Xwith private individuals. ii. Resettlement will be required only where residential, commercial and residential/commercial buildings must either be fully demolished or taken to the extent that they are rendered uninhabitable. Displaced residents of these buildings will be resettled. Similarly affected businesses and other public and religious buildings and structures will be relocated. Rehabilitation will be required where project impacts result in lost livelihood or income. In these cases, it will be necessary to restore the economic status of affected persons to at least pre-project levels. iii. In most cases, the project will not require full demolition or the taking of residential or commercial structures to the extent that either resettlement or relocation will be necessary. 3 Scort Wilson / CES / IIIE Kamataka State Htghwaxs keseilemenT Actior P, Improvement Proiect CnaPIc. Imtroduction and Methodoloe Generally, only a narrow strip of 1-2 meters or less will be affected. Frequent}!. this means that only a compound wall or fence, yard. extending awning, or sign must be removed, In some cases, small portions of roadside dwellincs and businesses will be taklen. Only rarelh will it be necessary to take entire residential or commercial structures. In all cases. however, compensation and/or assistance will be provided depending on the status and extent of the property taken. iv. Affected private landowners are entitled. under law. to compensation. While squatters and encroachers are not entitled to legal compensation for land they have occupied, the project will give targeted support to ensure that they are able to maintain shelter and livelihood. v. The project requires additional land to accommodate the proposed highway improvements. In most cases, the land required is immediately adjacent to the current carriageway and is needed for road widening, side slopes of raised formation levels, and drainage ditches. Improved junctions and intersections, new bridge approaches, and minor alignment adjustments to improve geometric alignments such as curve straightening also require additional land. No new bypasses are being considered in Phase 1. The additional land required by the project falls under several classifications: a. Public land owned by the State Government and administered by other Departments such as Revenue; b. Public land owned by villages or other local governments; and c. Private land. vi. Other than PWD, the Revenue Department and local bodies hold public lands. In the event of the project requiring any of these lands, the PWD will have to take steps to effect necessary transfer. The estimated extent of government land that needs to be transferred is 4.71 ha. vii. Private lands are those owned by individuals. Generally, ownership of these lands is recognised by legal title. For agricultural land this record is called the 'Record of Rights, Tenancy and Crops". In Gramthana/urban area ownership of house is recorded in the 'Gruhapatra'. Where privately held land is required for the project it must be acquired by PWD on behalf of the GOK under the Land Acquisition Act (LAA) as amended in 1984. viii. In some cases, there is untitled private lands or common property with traditional usufructuary rights which may be required by the project; PWD must also acquire them through purchase, applying the same principles and provisions provided to title-holders by the LAA. ix. Project-affected private landowners are entitled, under law, to compensation. Displaced squatters and encroachers are entitled, within the RAP, to support and assistance. In cases where Government is unable to prove ownership and the residents can demonstrate legal title, proper compensation under law will be paid to those losing land or assets. In Link IA at Yermarus Village and Link IB at Askihal village in Contract U5, there is a dispute of ownership of property. In these cases the project-affected persons will not be categorised as squatters and encroachers till the ownership is established. Compensation will be paid to these displaced or affected persons as per the policy guidelines. 1.7. Magnitude of Impacts i. The Phase II estimates have been made on the basis of the likely characteristic of the roads. Assuming a 20 m Corridor of Impact the land acquisition estimates are high as the ROW may not be insufficient. The level of encroachment and squatter development is higher in the towns of Phase 11 upgradation in comparison to Phase I towns. Towns like Mudhol, Nargund, and the Semi-urban settlements in link 1K near Belgaum have considerable encroachments. ii. However if bypasses are to be considered land acquisition estimates will be higher. Assuming a total length of 50 kms, with a 30 m ROW the land acquisition will be about Scott Wilson / CES / IIIE Irnrro'~m.-:- Prol: cX Irroai.:z.= and NleiodoioT. 149.80 ha. The total project ihpacts considering all categories or squaners. encroaciners. owner and tenants are given belox. Table 1-1 Total Project - Impact Categories Impact Categoor Phase I Phase II (Best Bypasses I Total estimates) (Best __ _ _ _ _ _ _ _ _ _ _ __ |__ _estim ates) Severe Impacts (no. of Households) Loss of house 109 300 30 439 Loss of livelihood 211 500 60 771 Loss of house and livelihood 22 100 20 142 SUBTOTAL f342 900 t 1101 1352 Minor impacts * (No. of households) 411 890 100 1 1401 Land acquisition- private (in Ha.) 4.67 89.07 149.80 248.25 Land acquisition - government 4.71 Proposed road lengths 396 560 50 1006 Minor impacts include loss of pan of assets. w\hich mostly restrict to payment of cash compensation or giving advance notice. Severe impacts include those who lose their houses or livelihood or both and require assistance in addition to compensation for loss of assets. iii. Since the Above Poverty Line squatters and encroachers are not entitled to any assistance, the PAPs who are entitled to assistance and compensation in total are 255 PAPs in Phase 1. The impact categories are as follows: Table 1-2: Impact Category - Eligible Project Affected Families Impact Category Phase I Severe Impacts (no. of Households) Loss of house 26 Loss of livelihood 60 Loss of house and livelihood 7 Sub total 93 Minor Impacts 162 Total Impacts 255 1.8. Minimising Resettlement i. Major efforts have been made to reduce the potential direct negative impacts of the project on the social environment. Social concems were considered carefullv in project preparation along with more conventional technical and economic considerations. Social concerns have ranged from slight shifts of an alignment to avoid places of worship to preventing the loss of irrigation bore wells wherever possible. Other inputs include attention to safety features. such as providing a footpath or railings to protect pedestrians. and measures to minimise social impacts, such as narrowing the corridor of impact to avoid pulling down buildings in built-up areas. ii. Final desiens reflect collaboration to find the best practical solutions to complex roadside conditions. Not only have negative impacts, especially displacement. been minimised. but the project's positive impacts on communities have been extended and increased. 1.9. Project Design Context i. Project design occurs in multi-leveled context in which focus and emphasis shift over the project preparation period. Design inputs include economic. technical/engineering. environmental and social- particularly displacement, right of way and land acquisition considerations. 5 Scott Wilson ICES/ I[IE Karnataka State Highwa%s hk-:utemel ActIOn. Pia; Imrprovement Project Chapter Introducton and Methodoioev ii. At the macro level the project is based on the feasibilin studies prepared on the basis of economic, social and environmental factors and conditions. This includes preliminary design inputs. At this level links were identified based on their EIRR. At the next level, preliminary engineering designs criteria including cross sections. corridor of impact. and design speeds are issues addressed. At the micro level, road-specific issues are taken into consideration; for example. a shift in alignment to avoid demolishing a place of worship, or an irrigation point. iii. Social assessment findings, including insights gained from consultations, played an important role within the design context at each of these levels. Efforts to minimise displacement and to avoid. reduce, or mitigate rehabilitation and other social impacts were concentrated at the level of project design and detailed engineering. Aspects of this design context, including ROW and COI, cross-sections, and other features and the associated opportunities for minimising adverse project impacts are outlined below. 1.10. Land Acquisition and Strip Plans i. The census survey data has been provided in the Social Strip Plans. The field data has been superimposed on the engineering drawings. Summary sheets have been attached with the strip plans giving details of the surveyed structure/land. The details in the summary sheet include PAF ID. survey no., type of land /structure, area affected etc. Since the engineering drawings are based on actual topographic survey using Total Station and the socio economic survey has been carried out manually there is likely to be a discrepancy (marginal) in the actual areas to be acquired. The land acquisition details have been provided in Annexure I, Table I -I in Volume II. 1.11. Design Cross- Sections i. Basically, three types of improved road cross sections are proposed in the project. They are: a. The urban cross-section b. The rural cross-section c. The village cross-section ii. The urban cross section is similar to the village cross section and consists of a minimum of 3.5 Mts. width paved shoulder and a 10.5 Mts. divided carriageway. The 1.5 Mts. wide raised kerb footpath, which covers the drain below. is proposed at the either ends of the carriageway. In addition, a raised kerb median of 1.2 Mts. width is proposed in case of 4 lane divided carriageway. iii. The rural cross section consists of 3.5 Mts. carriageway with a 1.0 Mt paved shoulder and 1.5 Mt unpaved shoulder with necessawy drainage facilities. iv. Finally, the village cross-section, a cross section similar to the rural section of 3.5 Mts. lane is proposed. The paved shoulder is proposed to be 1.5 Mts. wide. The figures on the three types of cross-sections and details of speed as per IRC norms adopted for the designing purpose is detailed Chapter 3 - Detailed Road Design of the Final Report: Detailed Engineering Design. The three typical cross sections adopted have been given in the Annexure I in Figure I - I of Volume II. 1.12. UrbanNillage Areas i. In urban areas, the social team provided assistance in the design of the highway through built-up areas. This is done by identifying potentially affected building and collaborating with designers to avoid them without compromising design and engineering integrity. The alignment was then fixed so that its impact on actual individuals, families and the community as a whole was minimized. 6 Scon Wilson / CES t HE tramataka State Hign2ma -ims. ActhN' lm7rovement Proiect Introduction and Nlelhoaoic''. ii. The improved highway width was also adjusted to minimize the number of buildings that would have to be acquired to accommodate the alignment. In urban areas whiere there is sufficient room, parking areas were prov ided in an effort to reduce congestioni. iii. The improved highway design has also incorporated safety features that will attempt to reduce the speed of vehicles through the urban areas. Extensiv e signage complemented by speed bumps to reduce speed at the approaches to built-up were incorporated in designs to provide information to drivers to reduce speeds. A similar design approach was also adopted in the vicinitv of school and hospitals. 1.13. Mitigation of adverse impacts i. Mitigation measures largely focused on settlement areas along the project roads. Villages/towns along the road are zones of maximum potential impacts. The mitigation efforts incorporated into designs are focused on minimizing resettlement and safety measures. Safety issues and concerns are addressed at all settlements. Accident-prone areas are identified as part of engineering design and corrective measures like realignments. culverts. bridges. signage etc. were selected as appropriate. As part of detailed engineering studies, all accident-prone areas like urban areas and the vicinihy of schools and hospitals are delineated. Strict speed restrictions are imposed in such areas. ii. When choosing among design options, through a built-up area. minimization of adverse social impacts including displacement were major criteria. This practice will continue throughout the project preparation period. iii. The social impact mitigation efforts included: a. At built up/ village sections where the road width is insufficient for expansion, design alternatives include options for realignments and for modifying the proposed road designs, such as reduction of the shoulder widths. b. Straightening of curves and bends for better geometric design. In case where it affects settlements, alignment changes were indicated. c. Minimal impact on residential and commercial structures thus minimizing resettlement and loss of livelihood. d. Paved shoulders to be maintained as far as possible to facilitate movement of non- motorized traffic. e. Avoiding unnecessary displacement by modifying project alignments, reducing the width of the corridor of impact, or modifying design based on rural and urban cross sections. Where demolition of structures is absolutely necessary, design alignment will be such as to effect structures only on one side of the road, thus restricting impact to only one side of the road. f Reducing design speed in built up areas; g. Reducing impacts on existing shrines and worship places; h. Providing suitable safety measures, such as speed reductions near schools and hospitals: i. Minimizing the raising of roads in urban areas to prevent water seepage to the houses adjoining the roads and; j. Providing access to businesses and residential units that would be otherwise impacted bv construction: and minimizing losses of public and private property, such as tube wells. tree plantations and other common property resources within the ROW. by minimizing the width to be cleared. 1.14. Road safetv concerns i. The main concerns of road safety addressed in designs are: a. The presence of road side trees, poles, ditches., steep slopes and barriers: While the project is largely confined to existing alignments. the rehabilitation and widening activitv will raise, extend and enlarge existing road embankments at some locations or require new embankment construction, e.g. where drainage structures are added at 7 Scott Wilson i CES / IIIE karnaaka State Highwavs Klesctiemen: Actiort PNaO Improvement Project Cnan'lr. IntToduction and Methodolon. points. This called for sensitive drainage designs draininz away water from the embankment vicinity especially if the village was located at a lower elevation. b. The use of signs. road markings: Road markings. cautionary. mandatory and informatory signs. delineators and object markers. guard rails. crash barriers. road humps and rumble strips, reflective pavement markers. median and footpath markers have been used. Chapter 3 - Detailed Road Design of the Final Report: Detailed Engineering Design. discusses each of these safety measures. c. Roadside access, parking. bus stop and truck lav-by arrangements: Speeding vehicles commonly fail to reduce speed or stop when approaching road side access roads, parking and bus stops. In these locations, sufficient space to pull off the roadway was provided. Anywhere the shoulders can be used for this purpose. At railway crossings additional traffic safety measures, such as, road signs, pavement marking, rumble strip, flashing signal have been provided. Additional widening and all other geometrical features are designed to fulfil the requirements of the IRC guidelines. d. Provision for pedestrians, livestock and non-motorized traffic: In urban areas provisions for pedestrian walkways are provided in the urban cross section. In the rural areas the paved shoulders should be used for this purpose. 1.15. Integration of social assessment and project design i. Road design was based on co-ordination among three teams, viz., the design, the environment and the social teams. In the final designs, the mitigation measures incorporated had the following results: a. Avoiding unnecessarv displacement by modifying project alignments, reducing the width of the corridor of impact or modifying design Geometric realignments, which require additional land acquisition, have been designed mainly to straighten out curves and increase safety. Realignments have been modified in Contract Ul, U2 and Link 60 in Contract U3, to avoid affecting private property and structures. The corridor of impact has been reduced through all built up areas, especially at Bijapur, Sindhnur, Manvi and Yermarus. In Contract Ul and U2, design was modified to accommodate shrines and places of worship in the shoulder. The same has been done at a number of other sections. In Contract U4 the COI was reduced in the Bijapur City section, with providing only a 7m carriage way and covered drains of 2m on either side. This is less than the surveyed COI of 13.6m. The initial alignment suggested at Hallikhed village in Link 60 in Contract U3, which affected a large number of structures is changed back to the existing alignment after discussions with the people of the village. This issue was discussed during the stakeholders workshop, where the project affected persons brought to the notice of the project authorities the problems with the changed alignment. Further on this link another realignment was reverted back to the existing centerline as the design was affecting the water supply for irrigation of the agricultural land a PAP. b. Reducing design speed in built up areas The project roads have been designed for highway speeds of 80-100 kms. per hour. However in all urban/ settlement areas the design speed was limited to 50 kms. per hour. c. Reducing the width of corridor of impact based on rural and urban cross sections The Corridor of impact, i.e., the zone including the carriageway, shoulders, embankmrents and drainage in rural areas is 20 mts., in some cases the COI extends marginally beyond these structures. The urban cross section has a minimum of 10 mts. Reduced cross sections can be seen at Bijapur, Manvi, Sindhnur. In Link IA in Contract U5, in Yermarus village the COI was reduced to avoid affecting structures on both sides of the road. At the end of this link near Raichur City the COI was again adjusted to 8 Scott Wilson / CES / IIIE irnproemern: Proie: t 21 introcuciion and Metnodo,o- prexent affecting a graveyard. In Liik IB at Askihial village the COI %a3 again reduced to avoid impact on the structures on either side of the road. d. Reducing impacts on existing shrines and religious structures In many cases the design cross section has been reduced or redesigned to protect shrines. In the intial survev there were 42 shrines. 30 places of worship and I samadiii surveved within the COI. Reductions in cross sections have been made to accommodate these religious structures. These have been done throughout all the contracts. Onl after discussions with the local people regarding reiocation of the structLre a decision was made and the alignment fixed. In certain locations alternative alignments were proposed keeping in view either the design speed or minimum deviation from thle existing centerline. In the final designs onlv the following are getting totally affected - 14 places of worship and 27 shrines. This is assuming that if more than one third of the structure is getting affected it is considered as totally affected. e. Providing suitable safetv measures, such as speed reductions near schools and hospitals Engineering team has designed pedestrian crossing designs near schools. with sguard rails on the pavements outside the school. signage and speed reductions in city and villaae limits. In contract U4 the boundary wall of a college and school on the right side of the alignment was getting affected. The extent of loss for the college boundary wall has been reduced from 9100 sqm., during the initial survey to 629.42 sqm. in the final design. In link 5B, in Contract U2, alignment adjustments were made to avoid going through the compound of the Govemment Hospital at Sindhnur town. The new- design alignment keeps to the existing road with no part of the hospital getting affected. f. Minimizing loss of public propertv, bv minimizing the COI Wells/ pumps within the proposed construction zone were avoided wherever possible by shiftinz the alignment; or. if this was not possible, by relocating the structure. In cases where these facilities or features are to be relocated, temporary alternative Xwater sources (new wells. trucked potable water) will be provided to ensure daily access to potable water. The following common resources were identified during the survey: 38 bus shelters.l grazing land, 56 hand pumps and 7 wells. In the final designs 14 aralikattes Praver Platform built around a sacred tree, some times some Hindu deities are installed on the platforn under the sacred tree), 23 bus shelters, 40 handpumps and I well which are getting totally affected. g. Provision of rest areas, midwavs, bus bays, truck lay bves and other amenities to road users: Rest areas have been incorporated in the engineering designs. Rest areas will be located at a distance of every 100 kJm. The rest areas will be formed subject to the availability of land. Contracts Ul, U2 and U5 have been taken as one contiguous section. Raichur citv will provide facilities for the road users. Starting at Raichur the next rest area is to be between Sindhnur and Gangavathi at around chainage 24+00 in Link 5B. Beyond this the road passes through Gangavathi town upto Budugumpa Cross where the road meets NH 13. Contract U4 is between Bijapur and Tikota and covers only a distance of 20 km. This is too small a link to recommend rest areas, with Bijapur City serving as a nodal point. In contract U5 on links 6L, 6M. 6N, 60 and 6P, starting at Hattigudur. close to the first 100 km will be the City of Gulbarga, which will provide rest facilities to the road users. The next point of rest would be at Bidar City. where midwav/restaurant facilities exist. To improve safety, bus lay-byes with shelters were incorporated in desizn at the identified locations. Their specific positioning took into consideration town and village locations and important road junctions where bus routes meet. Truck lav-bys have been identified in Contract U5 in Link IA at chainage 1+628, in Contract U3 in Link 6N at chainage 1+300 and in Link 60 at chainage 4+050. 9 Scon \Viison / CES I IIE Karnataka SEate High%%a)s kcscnlemcL: Acnic- P.z Improvement Project Cn2n:. Introduction and MethocoIoz' 1.16. Cultural properties i. There are no sites of archaeological importance or sacred groves within the COI for both Phase I and II. The project authorities. before demolition will replace cultural properties such as places of worship which are getting totally affected. The identification of alternative site will be done bv the NGO in consultation with the local user population of that particular cultural property. The alternative site for construction will be provided by the GOK. In case government land is not available, the project authorities will have to buy land to replace the cultural property. The Assistant Commissioner Land Acquisition will be responsible for the acquisition of land. The total area required for the relocation of places of worship (those getting totally affected) is 390.995 sqm and for shrines is 394.61 sqm. ii. In cases where the cultural properties are partially affected the project authorities will compensate only the affected portion if outside the ROW. The design section has maintained cultural properties in the shoulders as far as it is technically possible. Only those cultural properties getting totallv affected will be replaced. These include 14 places of worship and 27 shrines. iii. The design team,has avoided disturbing graveyards. There is an existing graveyard in Link IA near Raichur town. Here only the boundary wall of the graveyard is getting affected. In link 2A there is a proposed graveyard, which does not fall within the COI. Table 1-2 in Annexurel of Volume 11 provides the list of cultural properties getting affected by project design. The table provides contract wise details along with the total area and the area getting affected. 1.17. Community Assets i. The project authorities will replace all community assets getting affected. The location of such facilities will be in consultation with potential users in co-ordination with the implementing NGO. All community assets getting affected need to be replaced before commencement of civil works. The timetable for replacement of community assets is given in the implementation schedule in Chapter 4. The replacement of the community assets will be undertaken simultaneously in all the contract packages, as the civil works is expected to start simultaneously in all the packages. The project authorities will be responsible for the construction of the affected community assets. After construction the community assets will be handed over to the Zilla Parishad for maintenance. ii. All hand pumps getting affected will be located depending on availability and depth of water table. Water points, public taps and wells getting affected will also be similarly replaced. All affected aralikattes, will be built by the project authorities, and in sites identified by the project-affected groups and the co-ordinating NGO. iii. The project authorities will replace the 23 bus shelters getting affected by widening of the road. The location of the bus shelter has been decided on the basis of the frequency of usage and design requirements. There are 16 bus bays, which have been located in the vicinity of the existing bus shelters getting affected. The project authorities will construct bus shelters at all the bus bays. In the remaining 7 locations where there are no proposal for bus bays but the bus shelters are getting affected the project authorities will have to replaced at the nearest location possible depending on the availability of land. The cost of replacing the bus shelters is provided in Chapter 4. iv. There are a number of community assets, which fall into the 'others' category. These assets are either private or owned by the government. Some of the assets identified are traffic islands, police check posts, railway crossing cabin, sign posts/boards on a concrete platform etc. A majority of these are found in Contract U3. The project authorities will replace all project-affected assets. Tables 1-2 and 1-3 in Annexure I, Volume II provides the list of community assets getting affected by project design. The table provides contract wise details along with the total area and the area getting affected. 10 Scon Wilson / CES / IIE Chapter 2 R&R Policy Framework Kamnataka State Hi2hwavs Rcscit;menn Aciion Pian Improvement Project Chapter 2 Resettlement Policv Framework 2. RESETTLEMENT POLICY FRAMEWORK 2.1. Background i. The resettlement policy for the project is prepared according to the principles of the R&R policy of the KSHIP, GOK. the World Bank's Operational Directive -O.D. 4.30 for Involuntary Resettlement. The policy also takes into consideration the GOK, R & R Policy for Project Sea Bird. at Karwar and the Upper Krishna Project at Almatti. The policies of other World Bank-assisted State Highway projects in India. have also been referred to. 2.2. Principles i. The R & R policy is based on the principle that the population affected bv the project will be assisted to improve their former living standards. The policy emphasizes that involuntary resettlement will be avoided or minimized where possible by exploring other alternative project designs. Where displacement is unavoidable, people loosing assets, livelihood or other resources shall be assisted in improving their former living standards. ii. The policy document describes the details of entitlements and type of assistance to be extended to the affected persons, which will become the basis for preparing the Resettlement Action Plan (RAP). The RAP will contain the implementation details on how to ensure that principles and provisions of this policy can be implemented. iii. The policy identifies categories of expected project impacts, including loss of property and assets, loss of livelihood, and other social and economic impacts on groups and roadside communities. All people, households and groups adversely affected by the project would be registered and support will be given in accordance with these policy provisions. 2.3. Impacts and entitlements i. The policy addresses the direct and the indirect impacts of project construction and operation on affected persons, families, households, communities, and groups. The most direct and immediate impacts are those associated with project construction, mainly land acquisition. Other losses include loss of shelter, and other assets within the project's corridor of impact; as well as roadside structure, business establishments and public facilities. Mitigation is provided through compensation and assistance to project- affected persons, families, households, and groups. These social units are entitled to compensation and assistance on the basis of this policy framework adopted by the project. The policy provides mitigation for: * loss of assets, including land and house or work place; loss of livelihood or income opportunities; and * Collective impacts on groups, such as loss of community assets, common property resources, and others. ii. Loss of assets and livelihood are impact categories that represent direct project impacts on an identified population. The people likely to be affected will be surveyed and registered, and project monitoring and evaluation will compare long-term impact against baseline socio-economic data. iii. Collective impacts on groups represent direct and indirect impacts, where group members need not be individually registered. Group-oriented gains and losses in this category are less quantifiable in terms of impacts on the individual. Mitigation and support mechanisms are collectively oriented, and the monitoring of these efforts will examine the impact and benefits for the groups involved. 11 Scott Wilson / CES / IIIE Kamazakai Staw tiJfjL\nN\ knS-t Amlr.: PcUC _ improN ement P'roiec: Resettlement Polic% Frames or., 2.4. Definitions i. JUnder the resettlement policx adopted for the project. several categories of projeci- affected persons are recognized with varying eligibilit\ for the compensationi and assistance packages. The project affected persons would be entitled to eitner compensation or assistance or both. The relevant considerations are described below: a. Private Property Owners: Are those who have legal title to iand. structure and other assets. b. Squatters: Are those who have illegally occupied government lands for residemrial. business and or other purposes. They are not eligible for compensation but would qualify for assistance and targeted support if they are below\ poverty line. c. Encroachers: Encroachers are persons who have extended their building. agricultural lands, business premises or work places into government lands. As a rule. the\ are not eligible for either compensation or assistance. The assistance to these persons will be on case to case basis provided that they are below the poverti line. d. Tenants: Tenants are those persons having bouafiade tenancv agreements. written or unwrinen. with a private property owner with clear property titles, to occupy a structure or land for residence, business or other purposes. Thev are elioible for certain compensation or assistance as per the existing norms and practice. e. Project-Affected Families (PAFs), are defined to include each adult displaced person his/her spouse. minor children and other dependents who habitually reside in one household. f. Project-Affected Persons (PAPs) are persons who have economic interests or residence within the project impact corridor and who may be adverselv affected directly by the project. Project-affected persons include those displaced, those losing commercial or residential structures in whole or part. those losing agricultural land or homesteads in whole or part, and those losing income sources as a result of project action. g. Project Affected Groups (PAGs) are groups or communities outside the immediate impact corridor that may be affected by the project with a focus on the more vulnerable or weaker groups in society. h. Cut-off Date: The date of Notification under Section 4 (1), will be the cut-off date where land acquisition will be required. In the case of squatters and encroachers and unauthorized occupants the date of the Project Co-ordinating Consultants socio- economic survey will be considered as the cut-off date for entitlements under the project. For the purpose of recognizing adults (above 18 years) for economic rehabilitation. the date of extending assistance or payment of compensation will be used for determining economic rehabilitation. This applies in case the payment of compensation or relocation if delayed beyond two vears. For the purpose of identifving below poverty line famiiies, the cut off date is the date of census survey. i. Povert Line based on the Planning Commission norm for GOK and 20% above this line. j. Vulnerable groups are those groups such as women-headed households. handicapped/disabled and landless families, who will be dealt with on a case to case basis. The specific assistance for these groups will be reflected in the RAP. k. Compensation refers to the amount paid under the Land Acquisition Act for private property. structures and other assets acquired for the project. In this context. compensation refers to payments made by the government when Eminent Domain is exercised and title of a property is transferred from a private entity to the government. 12 Scott Wilson / CES, IIE Karnataka State Highways Resettlemcnt Actio.. Pia-. Improvement Project Chapter 2 Resettlement Policv Framework 1. Consent Award is the amount that the PAP negotiates with the project authorities. for the loss incurred. on a willing buyer-seller basis. Once the amount is agreed upon the PAP cannot move to court for enhancement of the amount. This amount is negotiated between the GOK and the land /structure owner on a mutuallv agreed price without any preconditions. m. Replacement Cost of the acquired assets and property, is the amount required for the affected household to replace/reconstruct the lost assets through purchase in the open market. Replacement cost will be calculated at PWDs current Schedule of Rates without depreciation. u. Assistance refers to the support provided to PAPs in the form of ex-gratia payments, loans, asset services. etc. in order to improve the standard of living and reduce the negative impacts of the project. o. Gramtbana refers to non agricultural land within the village built up area. p. Any other unidentified category not yet identified, shall be documented and mitigated based on the principles agreed upon in the KSHIP social impacts and resettlement policy. 2.5. Entitlement Matrix i. The entitlement matrix will guide to offer compensation and assistance to persons affected by the project. The detailed entitlement matrix is provided in the Annexure 2 of this report. 2.6. Support Principles For Categories Of Impacts i. The entitlement unit for assistance is the family unit (PAF). If a household asset is to be taken, the family, as a collective unit, will be "entitled". Compensation will be given to the head of the household and, when new land or structures are given both the husband and wife's names will be placed on the title. Entitlements provided to project-affected families also include a shifting allowance, subsistence allowance, rights to salvage building materials and counselling on alternative assistance. ii. The project will ensure that new housing is made available before people are required to relocate. The project approach will be to minimize relocation distance and the disruption of local support networks. Resettlement sites will be provided as an option and households may' still elect self-relocation. In such cases, compensation and other support will be provided to self-relocating households and project will assist and facilitate their resettlement process. If resettlement sites are developed as part of the project, the local host population will also be consulted about their views and needs, and be given appropriate support to reduce any negative impact caused by an influx of new people. iii. Early census survey will identify all potentially affected people, whether inside the ROW or outside and also in cases of realignment or ROW extension. A cut-off date will be determined for each of the project roads. Opportunistic encroachments and squatting taking place after this date will not be considered eligible for support under this project. Wherever Government land is available beyond the corridor of impact, project affected families will be shifted there to continue their business. iv. The project may generate unskilled labour for construction, operation and maintenance. These jobs will be offered to PAPs and other local people. A clause will be incorporated in project construction documents requiring contractors to give a small percent of the employment opportunities to eligible unskilled and semi-skilled PAPs and local people when they possess necessary qualifications and ability. The complete R & R policy is enclosed in the Annexure 2 of this report. The monetary implications of the provisions in the R & R Policy and the details of the entitlements are given in Chapter 4, in the costs and budget section. 13 Scott Wilson / CES / IIIE Chapter 3 Social Impact Assessment Kamataka State High wa\s Resetnicenient .AnIon fPan Improvement Project Ch3pt. Social Impact Assessment 3. SOCIAL IMPACT ASSESSMENT 3.1. Introduction i. This chapter has two sections. In Section One. main findings of the census and the socio- economic survey of Project Affected Families \Persons (PAFs and PAPs) are presented and in Section Two, the outcome of Public Consultations held during the census is discussed. While the findings of the census and the socio-economic survev helped in measuring the magnitude of social impacts on the PAFs and PAPs, the public consultation exercises facilitated in seeking necessary feed back on the expected levels of compensation/compensation packages as perceived by the representative stake-holders (PAFs/PAPs) in the project area. This section also contains a summary of observations and comments of various participants who attended a State-level Stakeholders Workshop on the mitigation measures contemplated in the R & R Policy of Govemment of Karnataka. Section 1: Census and Socio-Economic Survey i. This section discusses the results of census and socio-economic survey undertaken for Phase-I of the project based on the final engineering designs of the roads proposed for upgradation. Further, it fumishes guidelines for census and socio-economic survey to be carried out for subsequent project phases and analyses the findings of the census and socio-economic survey conducted by KPCC team. The census and the socio-economic survey were required in order to generate necessary data/input for preparing the Rehabilitation Action Plan. Successful implementation of the RAP depends on appropriate and accurate census and socio-economic surveys of PAFslPAPs. The survevs provide a baseline measurement of potential impacts on affected families/persons that form the eligibility criteria for entitlement spelt out in the R & R Policy of the KSHIP. Two kinds of surveys were undertaken during project preparation: a. Census verification b. Sample socio-economic survey ii. The objectives of the census verification were: a. Provide information regarding project impacts in order to facilitate designing of various components of the RAP, especially R&R entitlement; b. Minimise the influx of outsiders to the affected area; c. Identification of PAPs by effect categories; d. Enumeration of PAPs assets and land holdings; iii. The cut off date for legal title holders is the date of Notification under Section 4 (1) of Land Acquisition Act. The date of census survey is the cut-off date for those who do not have legal standing (like squatters and encroachers). The cut off date will be used to establish whether a person located in the corridor qualifies as a PAP during the implementation of the various phases of the project. However, persons not enumerated during the census, but are able to prove their stay in the project corridor, will be considered for entitlement. iv. The objectives of the sample socio-economic survey were: a. To attach actual values to key indicators of the PAFs\PAPs social and economic status and their vulnerability to socio-economic change due to the project. b. To assess use / dependence on common property resource c. To provide a baseline needed to monitor and evaluate entitled persons in the future; and d. To provide further inputs in the preparation of RAP. 14 Scott Wilson / CES I IIIE KaMr.ataka State Hb1)t Ra.::cmero: :AcIoUlal lmrroe emen: Protect Cnat. Social Impact Assessment 3.2. M1ethodology and Data Base a) Census of Project Affected Persons i. Census of households and individuals located within the project s Corridor of Impact (COl) was undertaken to register and document the status of tihe poientiallh affected population within the project impact area of Phase-]. It provides a demographic overview of the population served by the RAP and profiles household assets and main sources of livelihood. It covers 100%Xo of the potentialiv affected population w ithin the likely COI. ii. During the conduct of the census, legal boundaries of affected properties and the ROW! were verified. The census registered all household members and individuals within the potential CO] their assets and income. and demographic and social information to determine whether project affected persons were to be categorised as vulnerable groups with special entitlements under the project. Private land owners. tenants. squatters and encroachers within the ROW were covered. iii. Using available records, the project verified the boundaries of the legal ROW as well as the boundaries of private properties within and in the vicinity of the likely Corridor of Impact. Structures. trees and other assets were also recorded. The survey information has been jointly verified and certified by the PWD and Revenue Departments. The survey information has been stored and analysed using MS-Access'97. The survev data has then been transferred on to MX Road Ver 2.4 (Highway Design Software). for the strip maps. The superimposition of the survey data on the final engineering designs provided the actual number of PAPs. Only these PAPs within the final COI will be considered eligible for support under the project. This final number of project affected persons. within the actual corridor of impact is substantially lower in number than those initially covered in the census. b) Baseline Socio-Economic Survey (Sample) i. A socio-economic survey (sample) was conducted in conjunction with the census of the project-affected population for a COI between 13.6m and 26m keeping in view the design requirements. This has provided a baseline against which mitigation measures have been worked out. For this purpose, comprehensive information related to people's assets, incomes and other relevant socio-economic information has been collected. The analvsis has covered the needs and resources of different groups and individuals, including intra- household analysis and gender analysis. ii. Survey results are summarised in sections that follow. Survey schedules namely the Census Schedule, the Sample Survey Schedule and the Community Asset Schedule are documented in Annexure 3-1, 3-2 and 3-3 in Volume 11. The RAP includes provisions and specifications for survey of the potentially affected population of subsequent project phases. 3.3. Cut-Off Date i. As mentioned above the cut off date for those who have legal title is the date of Notification under Section 4 (1) of LA Act. The date of census is the cut-off date for those who do not have legal standing for eligibility of assistance under the project. People moving into the COI after this cut-off date will not be entitled to support. ii. It is recognised that there will be a margin of error in the census, and any person who was not enumerated but can show documentation or evidence that he/she is rightfully an entitled person will also be included. The Project Implementation Unit is responsible for such verification. iii. The cut off date for non-legal title-holders, is the date of the start of the census survey on a particular link. The cut-off dates for the links are: 15 Scon Wilson J CES llIE Kamataka State Highways Re-sCInment ACtion Plan Improvement Project Chapter 3 Social Impact Assessment Table 3-1 - Cut off Date LINK CUT OFF DATE IA 21 April 2000 IB 26 April 2000 2A 2 March 2000 5A 3 Mav 2000 5B 2 4 April 2000 5C I 10 May 2000 6L I 17 March 6M 22 March 2000 6N 29 March 2000 60 3 April 2000 6P 15 April 2000 3.4. Guidelines for Census and Socio-economic survey i. During the conduct of these surveys, the KPCC team has followed the stipulated guidelines as given in the Terms of Reference (TOR), so that the preparation of RAP will recognise that, involuntary displacement gives rise to economic, social and environmental problems. The R&R Policy of the KSHIP also mentions the requirement of conducting the census and the socio economic surveys. The RAP is prepared to minimise such problems and to ensure that the people displaced either improve or at least regain their previous standard of living. For this, information about the magnitude of displacement of the inhabitants in the corridor of impact and the impact of the project on the socio- economic aspects of the persons affected thereby should be obtained. ii- According to the TOR guidelines, the following procedure is adopted in the surveys: a. Preliminary screening to provide minimum information on social impacts; b. Verification of legal boundaries of project area, to document existing structures, land plots, and others physical assets. This involves: * Identification of suitable resettlement sites, in close proximity to the affected area if required; - All encroachments, private land holdings and others assets in the project are to be documented; * Assets, structures, land holdings, trees, wells shall be recorded on strip maps; * All information to be computerised. Photography/video recordings to be used to document existing structures. c. Conduct sample socio-economic baseline survey. The survey shall gather information on the various categories of losses and other adverse impacts likely under the project. d. Sample socio-economic survey shall identify potentiallv affected populations with special attention to vulnerable groups e. Assessment shall also be made on the value of various assets f. Full baseline survey on the basis of sample socio-economic survey. 3.5. Sources of Data i. As a pre-requisite for conducting the primary household surveys, relevant information was collected from the following secondary sources: * Revenue records maintained at local/village level - with regard to land particulars for facilitating acquisition of properties and resettlement of oustees. * Census records for demographic information. 16 Scott Wilson / CES / IIIE Kamnataka S1aic fiizn%%,! i9;s:i:m:r! _ll. } Improvement Projec: C nlar::.- Social Impact Assessmen: * Projec; authorities (PUNDj to find ou: thc RO\W COI. estimates ol thc cos- c: infrastructure development etc. * Development agencies to get information cn various developmental programs tot specific sections of population like those living below poverl\ line (landiess. marginal and small farmers etc.) tribal. SCs etc. * Local orcanisations including NGO's in order to involve thenm and integrate their activities in the economic development programs of the displaced population. 3.6. Methods of Data collection i. Household level contacts and interviews with each affected family for completing the household socio-economic profile. Each of the hlouseholds surveyed and the structure/agricultural land likely to be affected b\ the project has been numbered. documented and photographed. At the end of the survey for each link. the entire lilik has been videographed. ii. Village level public consultation exercises in different road links were conducted with the involvement of affected persons and village elders which considered a number of issues concerning identification of the infrastructure required. development of common propemi resources and the like were undertaken. In these exercises. women of the affected families were involved to elicit their views and opinions on the over all planning of the resettlement activities. In other words, discussions with a cross section of affected population in particular helped in understanding their problems and preferences. 3.7. Demographic and Socio-Economic Profile of Project Area i. The distribution of population in various contract packages is closely related to various factors pertaining to climatic conditions, fertility of soils. availability and development of means of transport and communication, growth of trade and other secondary and tertiary activities (vide Chapter 8: KPCC Feasibilitr Report. 1999). Given the general demographic background, it is necessary to understand the pattem of socio-economic characteristics of the Project Affected Families/Persons (PAFs/PAPs) and assess the social impacts. As per 1991 Census, literacy rates are much lower in all the contract packages than the state average (Table 3-2). However the survey data of households affected by the project roads show better levels of literacy in the contract packages (See Table 3-7). Further, the proposed project under KSHIP is expected to help in expanding the educational opportunities the population residing in and around the project roads. In the project area the percentage of SC and ST PAFs work out to 9.09 and 5.7 respectively. Table 3-2: Demographic Profile of Project Roads by Contract Packages (Census 1991) Demographic details Karnataka State Ul U2 U3 U4 U | Total Population 44.977.201 24.452 49,107 53.211 16.286 9.431 1.46.487 Population Densit! 235 172 451 217 106 139 213 (Sq.km .) Sex ratio 960 978 966 1121 929 992 ! 997 Literacy rate (%) 46.7 25.8 33.1 34.3 37.7 31 2 32.8 Source: Census of India, 1991 3.8. Census V-erification and Socio-Economic Survev: Results and Discussion i. This section gives a description of the demographic and socio-economic characteristics of the PAPs of Phase-I roads based on Census and Socio-Economic Sample Survey. ii. The base-line socio-economic survey revealed that in the five Contract Packages the number of PAFs and PAPs are 753 and 4534 respectively (Table 3-3). The PAFs are classified into following categories for purposes of providing suitable compensation to overcome the social adverse impacts: * Oswners of land * Ovwners of residential structures 1 7 Scott Wilson /CES /! IIE Kamataka State Highwa\s Resetticment Aciion Piar, Improvement Project Chanter I Social Impact Assessment * Owners of commercial structures * Tenants of residential structures * Tenants of commercial structures * Squatters * Encroachers * Those losing total livelihood such as employees * Other impacts * Community/Group affected by loss of community asset. 3.9. Gender Issues i. There are 87 households with females as heads, refer Annexure 3, Table 3-3 in Volume II on Social Impact on Women Headed Households. Among them 21 households belong to BPL category. Of these 21 women headed families 3 are encroachers and rest are squatters. On certain specific needs of women like providing separate transport facilities for their movement, neither the public authorities nor any private organisation considered it as essential. However certain proportion of seats are kept exclusively for women passengers in all the State Government buses. The transport needs of the population are assessed and provided on the basis of total volume of passenger movement, without specific reference to the transport needs of women. The proposed upgradation of roads under KSHIP is expected to open up new economic opportunities for women to upgrade their skills and also better accessibility to educational and health facilities. Women as a segregated class are not involved in any economic activity, which demands attention for their special transport needs. 3.10. Tribal Issues i. The number of people belonging to tribal groups affected by the project is low. Moreover, few found in the project area no longer live in forests/hills. They have migrated to plain lands and most of the time working as agricultural labourers or as small and marginal farmers. The tribal population has been integrated with the main stream population. As most of them fall within the category of BPL population, compensation packages provided in the Entitlement Matrix would sufficiently take care of their R&R needs. There are also a large number of govemment schemes targeted at this population and annually about 6 percent of budget allocation is made to finance special programmes for tribal development. 3.11. Religious group i. Among religious groups, Hindus dominate with 75.34 per cent, Muslims were 15.6 per cent and the rest were in other category. 3.12. Occupation and Poverty Line i. Distribution of PAPs by occupation reveals that agriculture occupies a significant place for 12.21 per cent of PAFs who are farmers and 9 per cent, who are agricultural labourers. The other sector, which supports a large section of PAFs, is service sector represented by trade/commerce and other service activities with 8.47 per cent and 5.9 per cent respectively. Inspite of difficulties in getting reliable data on household income/expenditure, efforts were made to persuade the respondents to report as accurate data as possible. However, reported data on household income/expenditure does provide certain clues about the extent of economic disparities between two groups, namely, the below poverty line (BPL) income group and the above poverty line (APL) income group. Of the total PAFs (753), 18 per cent reported their income to be below the poverty line (with cut-off income at Rs. 14,400). According to the sample survey the reported average annual income of APL families works out to Rs. 72,370. The average income works out to Rs.10,810 for a BPL family. The gap in the reported average income between the APL and the BPL families is wide indicating the depressing state of families belonging to BPL category. 18 Scott Wilson / CES / IIIE Kamataka Stai. Wil'lwp - 1>..x..'i.! lmnro%ement Proiecl Social Impact Assessrmen: Table 3-3 Socio-Economic Characteristics of PAPs/PAFs Si. Particulars Magnitude No. l 1. 1Affected families/Persons (no.): l i a) Total number of families 5 -, b) Women headed families S_ c) Below Povert Line families 133 d) Total number of PAPs 4543 r______ ]e) PAFs not available* 8( 2 Sex (%) I (i)Male . ii)Femnale 47 _2 Religious Stratification: (a)Religious Groups (%): I Hindu _78.' Muslim I 5. 94 Others 5 . 73 (b)Social Stratirication (no. & %): SC 77 I00
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India - Karnataka State Highways Improvement Project : resettlement action plan (Vol. 1 of 5) : Resettlement action plan
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