Resettlement Plan

July 2015

IND: Uttar Pradesh Major District Road Improvement

Project
Mohanlalganj-Morowan-Unnao Road

Prepared by Uttar Pradesh Public Works Department, Government of India for the Asian
Development Bank.
 CURRENCY EQUIVALENTS
(as of 19 March 2015)
Current unit - Indian rupee (Rs.)
Rs1.00 = $0.0181438810
$1.00 = Rs.62.41

ABBREVIATIONS
ADB – Asian Development Bank
AE – Assistant Engineer
ASF -- Assistant Safeguards Focal
APs - Affected Persons
BPL – below poverty line
BSR – Basic Schedule of Rates
CPR – common property resources
CSC – construction supervision consultant
DC – district collector
DPR – detailed project report
EA – executing agency
EE – executive engineer
FGD – focus group discussion
GOI – Government of India
GRC – Grievance Redress Committee
IA – implementing agency
IP – indigenous peoples
IR – involuntary resettlement
LAA – Land Acquisition Act
LAP – land acquisition plan
NGO – nongovernment organization
RFCT in – Right to Fair Compensation and Transparency in Land
LARR Acquisition, Rehabilitation and Resettlement Act
RFCT in – Right to Fair Compensation and Transparency in Land
LARR Acquisition, Rehabilitation and Resettlement (Amendment)
(Ordinance) Ordinance. 2014
OBC – other backward castes
RP - Resettlement Plan
PD Resettl – Project Director
ement Plan
PAP Project Affected Person
PAF Project Affected Family
PDF Project Displaced Family
PDP Project Displaced Person
PIU – project implementation unit
R&R – resettlement and rehabilitation
RF – resettlement framework
ROW – right-of-way
RP – resettlement plan
SC – scheduled caste
SPS – ADB Safeguard Policy Statement, 2009
ST – scheduled tribe
TOR – Terms of Reference
UPPWD Uttar Pradesh Public Works Department
 VLC – Village Level Committee

This resettlement plan is a document of the borrower. The views expressed herein do
not necessarily represent those of ADB's Board of Directors, Management, or staff, and
may be preliminary in nature. Your attention is directed to the “terms of use” section of this
website.

In preparing any country program or strategy, financing any project, or by making any
designation of or reference to a particular territory or geographic area in this document,
the Asian Development Bank does not intend to make any judgments as to the legal or other
status of any territory or area.
 CONTENTS
EXECUTIVE SUMMARY i
A. Project Description i
B. Efforts to Minimize Resettlement Impacts i
C. Scope of Land Acquisition and Resettlement ii
D. Consultation, Participation and Disclosure ii
E. Policy and Legal Framework ii
F. Entitlements, Assistance and Benefits iii
G. Relocation of Housing and Settlement iii
H. Income Restoration and Rehabilitation iii
I. Resettlement Budget and Financing Plan iii
J. Grievance Redress Mechanism iii
K. Institutional Arrangement iv
L. Implementation Schedule iv
M. Monitoring and Reporting iv
I. PROJECT DESCRIPTION 1
A. Introduction 1
B. Existing Road Description 1
C. Proposed improvements 2
D. Minimizing Resettlement 2
E. Methodology for Impact Assessment 3
II. SCOPE OF LAND ACQUISITION AND RESETTLEMENT 5
A. Ownership of Right of Way and Corridor of Impact 5
B. Eligibility Criteria 5
C. Impacts on Structure in the project 5
D. Impacts on Private Structures 6
E. Severity of Impact on Households losing structures 6
F. Type of Construction and Affected Areas of Private Structures 7
G. Loss of Livelihoods 7
H. Loss of CPRs and government 7
I. Loss of crops and Trees 8
III. SOCIO-ECONOMIC INFORMATION AND PROFILE 9
A. General Socio-economic Profile of Project Districts 9
B. Social Categories of the APs 9
C. Number of APs 9
D. Annual Income Level of the Affected Households 9
E. Impact on Indigenous and Vulnerable Households 10
F. Severely Affected Households 10
G. Educational Status of APs 11
H. Occupational Status of APs 11
IV. STAKEHOLDERS CONSULTATION AND PARTICIPATION 12
A. Key stakeholders consulted 12
B. Scope of Consultation 12
C. Consultations Findings 13
D. Plan for information disclosure and dissemination and consultation during
implementation 13
V. GENDER ASSESSMENT 15
VI. LEGAL FRAMEWORK 16
A. The Right to Fair Compensation and Transparence in Land Acquisition, Rehabilitation
 and Resettlement Act, 2013 16
B. Government of Uttar Pradesh (GoUP) Direct Land Purchase Policy 2015 16
C. ADB’s Safeguard Policy Statement (SPS), 2009 17
D. Comparison of National with ADB Policy 17
VII. RELOCATION OF HOUSING AND SETTLEMENTS 19
A. Provisions for Relocation 19
B. Households experiencing physical relocation as a result of the project 19
C. Relocation Option by Displaced Persons (DPs) 19
D. Compensation Option by Displaced Persons (DPs) 19
E. Relocation Strategy 20
VIII. COMPENSATIONS, RESETTLEMENT ASSISTANCE AND ENTITLEMENT MATRIX
21
A. Eligibility and key principles 21
B. Compensations and resettlement assistance 21
C. Livelihood Improvement and Skills Development Program 21
IX. RESETTLEMENT BUDGET AND FINANCING PLAN 26
A. Introduction 26
B. Compensation for loss of land 26
C. Compensation for partial loss of structures 26
D. Resettlement & Rehabilitation (R&R) assistance 26
E. Assistance for Loss of Income 26
F. Assistance to Vulnerable Households and Skills Development Program 27
G. Compensation for Community and Government Property 27
H. Cost towards implementation arrangement: 27
I. Source of Funding and Fund Flow Management 27
J. Budget 28
X. GRIEVANCE REDRESS MECHANISM 31
XI. INSTITUTIONAL ARRANGEMENT AND IMPLEMENTATION 33
XII. IMPLEMENTATION SCHEDULE 35
XIII. MONITORING AND EVALUATION 37
A. Internal Monitoring 37
B. External Monitoring 37
C. Independent Monitor 37
ANNEX 1 - LIST OF PROJECT ROADS 38
ANNEX 2 - WIDENING SCHEME MOHANLALGANJ-UNNAO ROAD 39
ANNEX 3 - HOT SPOTS AND SUGGESTED ADDITIONAL MITIGATION MEASURES 40
ANNEX 4 - DESCRIPTION OF METHODOLOGY TO ASSESS THE RIGHT OF WAY (ROW) 43
ANNEX 6 - LIST OF AFFECTED PERSONS (STRUCTURE OWNER/ TENANTS) 46
ANNEX 7 - EXTENT OF IMPACTS ON THE PRIVATE STRUCTURES 47
ANNEX 8 - LIST OF AFFECTED CPRS/ GOVT. PROPERTIES 48
ANNEX 9 - DESCRIPTION OF THE CONSULTATION PROCESS 50
ANNEX 10 - TEMPLATE PUBLIC CONSULTATION AND DISCLOSURE PLAN 55
ANNEX 11 - DETAILS ON GENDER ANALYSIS DURING THE CENSUS SURVEY 56
ANNEX 12: COMPLETE ENTITLEMENT MATRIX OF RESETTLEMENT FRAMEWORK 60
ANNEX 13 - INDICATIVE TERMS OF REFERENCE (TOR) FOR THE RP IMPLEMENTATION
AGENCY 63
ANNEX 14- IMPLEMENTATION AGENCIES AND KEY RESPONSIBILITIES 70
ANNEX 15 - INDICATIVE MONITORING INDICATORS 73
 i

EXECUTIVE SUMMARY

A. Project Description

1. Uttar Pradesh is India’s most populous state with population of about 200 million. The
state also has the largest rural population in the country. While the dependence on agriculture is
high, the road network is not very well developed: the state has a road network density of about
72 km per 100 sq. km, as against the national average of 107. Uttar Pradesh Major District
Roads Improvement Project (UPMDRP) seeks to upgrade and rehabilitate about eight (8) major
district roads (MDR) for a total of 431 km, thereby improving connectivity and fostering inclusive
economic growth. The estimated cost of the project is about $428 million, of which $300 million
would be financed by ADB as a project loan. The list of project roads and widening option has
been outlined in Annex 1. The project’s Executing Agency (EA) is Uttar Pradesh Public Works
Department (UPPWD). The project is expected to improve connectivity, which in turn will
contribute towards economic growth and reduce interstate disparities within India.

2. The project is categorized as 'A' for involuntary resettlement (IR). The project will mainly
remain confined within the existing right of way (RoW) that is owned by UPPWD. The Right of
Way (RoW) ownership of UPPWD for all road corridors has been verified with the local Land
Revenue Records Department and the project does not require private land acquisition. Within
the RoW, the corridor of impact (CoI) has been adjusted to ensure that resettlement impacts are
minimized. However, the project will still trigger resettlement impacts, mainly resulting from the
demolition of external sections of structures (residential and commercial), as well as auxiliary
structures. The improvements will be conducted on the current road alignment, accommodating
in the process the standard designs to fit civil works within the existing width, and there will be
very limited impact on permanent structures (i.e. pucca) other than external features (i.e.
verandahs, stairs and balconies) without affecting the latter’s viability. It is estimated that 976
non-titled households will be affected by the project, for a total number of 7103 affected
persons. Only 27 private structures will be fully affected, leading to the physical relocation of its
owners. The owners will receive appropriate compensation and relocation assistance as per the
standard entitlement matrix prepared for UPMDRIP. A total of 8 social safeguards documents
were prepared during the processing of UPMDRIP, including 7 Resettlement Plans and 1 Due
Diligence Report (DDR).

3. This document is the Resettlement Plan (RP) for one of these project roads, the
Mohanlalganj-Unnao Marg (MDR-52C), of a total length of 54 km. The sub-project road will
have minor resettlement impact on 33 households, representing 223 persons, among whom 3
household will be physically relocated.

B. Efforts to Minimize Resettlement Impacts

4. Technical and engineering constraints as well as social impacts were major concerns
during the exploration of various alternative alignments. Overall, the project is designed to limit
civil works in congested areas to pavement improvement and avoid impacting sensitive sites
altogether. In some sections, the road passes through narrow and congested urban markets,
where any alignment improvement would have involved significant resettlement impacts on
structures and likely entailed private land acquisition. In these cases, the Executing Agency has
opted for limiting the works to improvement of pavement and drains on an as-is land width, in
order to minimize impacts. As a result, private land acquisition has been avoided and impacts
on assets minimized to a great extent.
ii

C. Scope of Land Acquisition and Resettlement

5. The Right of Way (RoW) is owned by the State Government and administered by
UPPWD. Overall, the RoW varies from 12 mtrs to 38.39 mtrs (for details see Annex-3). The
confirmation of the ownership of the ROW was obtained by verifying the boundaries of the legal
RoW and private properties within and in the vicinity of the Corridor of Impact (CoI) with
UPPWD’s records and the land revenue’s department’s maps. The census survey and land
records verification confirm that the project does not involve private land acquisition. However,
there will be impacts on 33 households (23 non-titleholder owner and 10 tenants), representing
a total of 223 persons. Structure owners have been identified as both encroachers and
squatters.1 A summary of the impacts from the survey carried out from 1st June to 4th June
2015 is provided in Table 1 below.

Table 1: Summary of key impacts

Type of Impact No.
Total Persons Affected 223
Total Households Affected including Tenants 33
Vulnerable Households Affected 13
Severely Affected Households 3
Households Affected by Land Acquisition 0
Households Affected by Impact on Structures 23
Households Fully Displaced 3
Households Affected by loss of income 27
Households losing trees/crops 0
Temporary disruption of Business 24
Structures partially affected (private/public) 20
CPRs affected 16
Religious structures affected 6

D. Consultation, Participation and Disclosure

6. During the RP preparation, consultations were held with affected household and
commercial establishment owners along the project corridor, as well as other members of the
community. Moreover, officials of the district administration, Land Revenue department and
elected members of the local panchayat were consulted. Between 1st June 2015 to 4th June
2015, 3 public consultation meetings and 6 Focus Group Discussions (FGDs) were conducted
involving the participation of more than 132 people. The discussions focused on the
presentation of the project’s features, risks and perceived benefits. The views of the consulted
groups were integrated into the project design to the extent possible.

7. The resettlement principles and entitlements matrix and a summary of the RP will be
translated in Hindi and both the versions will be made available to the public and in particular to
the affected people by the Executing Agency (EA). Electronic version of the RPs will be
disclosed on the respective State Government and ADB official websites. A summarized version
of the RP will be distributed in a leaflet format upon the start of RP implementation.

E. Policy and Legal Framework

1
Encroachers are those who build a structure which is in whole or is part of an adjacent property to which he/she has
no title. Squatters are those who have no recognizable rights on the land that they are occupying.
 iii

8. The resettlement principles adopted for this project is in line with the Right to Fair
Compensation and Transparency in Land Acquisition Rehabilitation and Resettlement Act,
2013, Uttar Pradesh’s Policy on Direct Land Negotiation 2015, UPPWD/ADB’s Resettlement
Framework (2015), and the Asian Development Bank’s Safeguards Policy Statement, 2009.

F. Entitlements, Assistance and Benefits

9. All Affected and displaced households are entitled to receive compensation for all losses
and assets affected, on the principle of replacement value. All compensation and assistance will
be paid as per the entitlement matrix included in the RP. Special assistance will be provided to
vulnerable and severely affected households. Reconstruction assistance has also been
provided to the affected households in the entitlement matrix. Compensation and other
assistances will be paid to APs prior to any physical or economic impacts on assets of affected
households and commencement of civil work. There are no titleholders in the RP, so the cut-off-
date will be the date of the completion of the census survey (4th June 2015).

G. Relocation of Housing and Settlement

10. In the sub-project, 3 non-titleholder households will be physically displaced due to loss
of their commercial structures. The affected households, who will be displaced, are scattered all
along the project road in a stretch of 54 kilometers. In a response to relocation option during
the focused group discussion, people opted for self relocation close to the original
location of their impacted structures to maintain the same clientele. There is ample
space further away from the road to relocate. In that perspective, cash compensation at market
rate and assistance under the entitlement matrix is the AP’s preferred option.

H. Income Restoration and Rehabilitation

11. The 3 displaced households will lose livelihood income as a result impact on their
commercial structures. The entitlement matrix has adequate provisions for livelihood restoration
and improvement, including cash assistance for loss of income and the participation to a
livelihood restoration program. In addition, the project will temporarily impact the livelihood of 24
households, as their commercial establishment will be partially damaged. They will be eligible to
livelihood compensation equivalent to 3 weeks’ income.

I. Resettlement Budget and Financing Plan

12. The resettlement cost estimate for this RP includes compensation for structure at
replacement cost without depreciation, compensation for livelihood loss, resettlement
assistances and cost of RP implementation. The total resettlement cost for the project is INR
0.64 Crores or USD 0.11 million. The EA for this sub-project will provide the necessary funds for
compensation for land and structure. The EA will ensure timely availability of funds for the
smooth implementation of the RP.

J. Grievance Redress Mechanism

13. The EA will establish a mechanism to receive and facilitate the resolution of affected
persons’ concerns and grievances. The grievance redress mechanism will address APs
concerns and complaints promptly and be readily accessible to the affected persons at no costs.
This mechanism will include a grievance officer at PIU level (the Assistant Safeguards Focal,
Lucknow) who will be easily accessible to concerned individuals. The phone number and
iv

location of the grievance officer will be put on signboards in strategic places along the corridor.
The Grievance Redress Committee will be established as a soon as the project is approved by
the government.

K. Institutional Arrangement

14. Uttar Pradesh Public Works Department (UPPWD) will be the Executing Agency for this
Project. A Chief Engineer (CE) at UPPWD headquarters based in Lucknow will be designated
as person in charge for project implementation. A full-time seconded Social Safeguards Project
Officer (SPO), reporting to the CE, will be responsible for ensuring compliance with social
safeguards of project roads. The SPO will be allocated by the EA and supported by a
Resettlement Consultant outsourced for the implementation of the UPMDRIP. The project
implementation unit (PIU) will be UPPWD Aligarh Division responsible for RP implementation at
the project road level. The PIU will be headed by a Divisional Manager (Tech.) and will have
one Assistant Safeguards Focal (ASF). The RP will be implemented by an experienced firm or
NGO and monitored by the Construction Supervision Consultant (CSC).

L. Implementation Schedule

15. The RP implementation is divided into three sets of activities which are project
preparation activities, RP implementation activities, and monitoring and reporting activities. The
RP will be implemented over a period of 12-18 months.

M. Monitoring and Reporting

16. The monitoring mechanism for the RP shall comprise of both internal and external
monitoring. While internal monitoring will be carried out by the NGO and PIU, external
monitoring will be carried out by the CSC.

17. Semi-annual social monitoring reports describing the implementation of the RP will be
disclosed on ADB’s website as well as on the EA’s.
 1

I. PROJECT DESCRIPTION

A. Introduction

1. UPMDRIP is categorized as 'A' for involuntary resettlement (IR). The project will mainly
remain confined within the existing right of way (RoW) that is owned by UPPWD. The Right of
Way (RoW) ownership of UPPWD for all road corridors has been verified with the local Land
Revenue Records Department and the project does not require private land acquisition. Within
the RoW, the corridor of impact (CoI) has been adjusted to ensure that resettlement impacts are
minimized. However, the project will still trigger resettlement impacts, mainly resulting from the
demolition of external sections of structures (residential and commercial), as well as auxiliary
structures. The improvements will be conducted on the current road alignment, accommodating
in the process the standard designs to fit civil works within the existing width, and there will be
very limited impact on permanent structures (i.e. pucca) other than external features (i.e.
verandahs, stairs and balconies) without affecting the latter’s viability. It is estimated that 976
non-titled households will be affected by UPMDRIP, for a total number of 7103 affected
persons. Only 27 private structures will be fully affected, leading to the physical relocation of its
owners. As for the Mohalanlganj-Morowan subproject road which is the object of this
Resettlement Plan, it is estimated that 33 households will be affected.

2. This resettlement plan (RP) has been prepared for the Mohanlalganj-Unnao Marg which
will be financed under the project loan Uttar Pradesh Major District Road Improvement Project
(UPMDRIP). It is based on the Resettlement Framework that has been approved by ADB and
the Uttar Pradesh Public Works Department (UPPWD) to guide the resettlement rehabilitation
and assistance process during the implementation of UPMDRIP. This RP is a live document
and will be updated as and when necessary.

B. Existing Road Description

3. The project road (figure -1) Mohanlalganj-Unnao section of MDR52C starts near
Mohanlalganj town forming a T intersection of NH-24B at Km. 0.000 and end at Km. 54.00 near
Taura village. The project passes through the districts of Lucknow and Unnao for a total length
of 54.000 Kms.

Figure 1 – Mohanlalganj-Unnao Road (MDR-52C) Project Location Map

2

4. The entire length of the project road passes through plain/rolling terrain cutting across
several agricultural land, villages and towns. The land use along the corridor road is
predominantly agricultural comprising of a variety of crops.

5. The existing carriageway configuration is double lane with earthen shoulders having the
width of carriageway varies between 5 m and 7.00 m in the entire length of the project road. The
road geometry and existing pavement condition is satisfactory.

6. The major settlements/ towns along the project road are Mohanlalganj, Uttar Gaon,
Dhanwara, Shisendi in Lucknow district and Jabrella, Kanchanpur, Kalukheda, Bhawaniganj,
Maurwan, Purva and Mangatkhera in the district of Unnao. Out of these Mohanlalganj,
Kalukheda, Morwan, Purva are the major towns.

C. Proposed improvements

7. The upgrading and rehabilitating works will consist of raising the formation level,
widening to a full two lanes from the existing single and intermediate lane widths, and pavement
rehabilitation/strengthening. Road sections with high volumes of non-motorized traffic will be
widened to 2-lane black top carriageway of 7.0 m width with 1.5m shoulders on either side
covering a total width of 10m.

8. More specifically, the following major components are proposed for the project.

(i) Lane Width: The width of a basic traffic lane is proposed to be 3.50m. Thus,
for 2-lane the carriageway, the width will be 7.0m. in both settlement (urban)
and rural road sections.
(ii) Earthen Shoulders: Earthen shoulders are proposed to be 1.5m wide on
either side of the proposed main carriageway in rural or open road sections and
no shoulders has been proposed in urban area.
(iii) Drainage: 1.0m clear opening RCC drain is proposed on both side of the
carriageway. Moreover; the urban area will have covered drainage, while rural
area will have earthen drainage.

D. Minimizing Resettlement

9. Detailed studies undertaken to prepare this RP show extensive occupancy along the
corridor, including densely settled village and urban communities containing numerous
residential and commercial structures, businesses, and public facilities. Road widening and the
other improvements proposed will impact roadside residences, businesses, religious shrines
and structures, public buildings, and infrastructure.

10. Technical and engineering constraints as well as social impacts were major concerns
during the exploration of various alternative alignments. Overall, the project is designed to limit
civil works in congested areas to pavement improvement and avoid impacting sensitive sites
altogether. In some sections, the road passes through narrow and congested urban markets,
where any alignment improvement would have involved significant resettlement impacts on
structures and likely entailed private land acquisition. In these cases, the Executing Agency has
 3

opted for limiting the works to improvement of pavement and drains on an as-is land width, in
order to minimize impacts. As a result, private land acquisition has been avoided and impacts
on assets minimized to a great extent. More specifically, the methodology used to minimize
impacts was to:

(i) Follow the existing alignment as much as feasible from an engineering design
point of view.
(ii) Narrow the RoW to the Corridor of Impact (CoI).
(iii) Avoid impact on religious/sensitive structures to the extent possible.
(iv) Make changes to the alignment to avoid impacts.

11. In order to minimize resettlement impacts, the COI has been minimized to the corridor of
impact of 12 in urban and 14 meters in rural areas. Given that the work proposed requires an
average of 10 meters width, it is believed that the proposed COI provides a sufficient width to
ensure overlaps for construction activities and safety buffers. The widening scheme was revised
further in some congested areas to 9 meters to minimize resettlement impacts. The final
widening scheme after all minimization of resettlement impacts is presented in Annex 2 and a
narrative of the impact minimization process is presented in Annex 3. The social impact survey
initially covered all affected persons within a 14 meter COI, but was updated according to the
various COIs mentioned above.

12. The project will require the demolition of 3 commercial structures in the form of Khokha
(non-shiftable kiosks). The commercial structures are small and used as barber shops. These
are likely to be fully affected by the road improvements. The structures’ owners have been
consulted and are willing to relocate in the vicinity to the present location. There is ample space
in and outside the RoW for these structures to relocate. These structures’ owners will be
encouraged to relocate outside the RoW by the incentive of getting an additional Rs. 50,000 if
they decide to do so, as per the entitlement matrix.

13. In some instance, the alignment has been modified to avoid certain sensitive structures.
Some key examples are the Dhanwara (Km. 4.200) and Shisendi (Km. 9.300) temples as well
as the Sagouli (Km. 26.500) madrassa, which initially would have been impacted by the project.
However, by shifting the alignment to the right side, these impacts were avoided were avoided.

E. METHODOLOGY FOR IMPACT ASSESSMENT

14. The project followed both quantitative and qualitative approach for data collection. The
Detailed Project Report (DPR) Consultant included a social team, who carried the social impact
assessment, which was supported and reviewed by the Project Preparation Technical
Assistance (PPTA) consultant. The key activities undertaken during the social impact
assessment are detailed below:

(1) Resettlement Screening: A social screening exercise was performed through

a reconnaissance survey to gather first-hand information on impact on land
acquisition and resettlement with specific attention on land use, presence of
legal and/or illegal housing, traffic patterns, cultural resources, urban
settlements and other sensitive areas. The aim of the reconnaissance survey
was to assess the scope of land acquisition and resettlement study for the
preparation of the resettlement plan.
4

(2) Confirmation of the ownership of the RoW (RoW): Once the alignment was
finalized in the detailed engineering design, the DPR consultant validated
UPPWD’s Right of Way (ROW) ownership with the Land Revenue department
and affected people. The survey was carried and confirmed that no Land
Acquisition Plan (LAP) was required for this particular project. More information
about this is provided in section-A in Chapter II and Annexes- 4.

(3) Census Survey and Inventory of Assets: Following the finalization of the road
alignment, cross-sections design and land acquisition requirements, a census of
affected persons (APs) was carried on a 12-14 meter CoI (restricted to 12 mtrs
in congested area). The objective was to identify all APs and to make an
inventory of the assets that are likely to be affected by the project, as well as
project-related losses of income. These would be the basis for the calculation of
compensation and assistance budget. The census included data on household
characteristics, including social, economic and demographic profile.

(4) Consultation with Stakeholders : To ensure peoples ‘participation in the

planning phase and public understanding of the project and associated
developmental problems (i.e. local needs of road users, problem and prospects
of resettlement), various sections of affected persons (APs) and other
stakeholders were consulted through focus group discussions, individual
interviews and public meetings between 1st June-4th June 2015. Vulnerable and
women members of the community were also included in this process.
 5

II. SCOPE OF LAND ACQUISITION AND RESETTLEMENT

A. Ownership of Right of Way and Corridor of Impact

15. The Right of Way (RoW) is owned by the State Government and administered by
UPPWD. Overall, This was verified through the following steps:

(i) Verification by detailed project report (DPR) consultant with the Land Revenue
Record: The boundaries of the legal right of way and private properties within and in
the vicinity of the CoI were confirmed with UPPWD’s records and the Land Revenue
Department’s maps. More information on the methodology and a sample of cadastral
maps both signed and stamped by the Revenue Department and UPPWD are
provided in Annex 5. From this verification process, it was determined that
UPPWD’s RoW ownership varies between 12 meters to 47.60 meters along the
corridor. The details of the RoW width per 500 meter chainage along the entire
corridor are presented in a Table in Annex 4.

(ii) Verification with Affected Persons: The findings from the Land Revenue Records
were confirmed during the census survey process, where affected persons accepted
the ROW ownership with PWD, while others are not having title documents of
affected part.

16. The verification process confirms that the project does not involve private land
acquisition. However, there will impact on 33 non-titleholder households including 10 tenants,
representing 223 affected persons. Structure owners have been identified as both encroachers
and squatters.2 The census survey and inventory of lost assets was initially based on a 14 meter
Corridor of Impact but revised to 12 meters in congested areas, considering the option of
minimizing impacts to the extent possible (see Annex 3). This exercise was carried out from 1st
June - 4th June 2015. The findings are discussed in the following sections.

B. Eligibility Criteria

17. Affected Persons considered eligible to resettlement compensation and assistance are
(i) APs who lose land, structures, trees, crops and livelihood with title to the land; (ii) APs who
lose land, structures, trees, crops and livelihood without title to the land (squatters and
encroachers) who have been surveyed prior to the cut-off date. Non titled-holders will not be
eligible for compensation for land.

18. In the case of this project road, given that there is no land acquisition, the cut-off date
has been set as the completion date of the survey, or June 4, 2015. This was communicated to
the affected people during the survey and public consultation processes. People moving into the
project area after the cut-off date will not be entitled to assistance. However, concessions
should be made for enumerator errors and omissions on a case-by-case basis. Moreover, if
there is a significant time lag between the completion of the census and implementation of the
RP, resettlement planners should make provision for population movements as well as natural
population increase and expansion of households, which may include a repeat census.

C. Impacts on Structure in the project

2
Encroachers are those who build a structure which is in whole or is part of an adjacent property to which he/she has
no title. Squatters are those who have no recognizable rights on the land that they are occupying.
6

19. After considering the mitigation measures, 45 assets including CPRs are to be affected,
which exists within the existing ROW of 12 mtrs. Out of 45 affected properties, 23 (51.11%) are
private structures owned by 23 non-titleholder households, while 21 structures are community
property resources (CPRs), most of which (13) are hand pumps (see Section H below) and 1
structure is government properties, The details of loss of properties are presented in the Table 2
below.
Table 2: Loss of Structure
Number of Number of
Sl. Structure/ properties in the
affected Households %
No. Affected Area
properties (including Tenants)
1 Private Structures 23 33 51.11
2 Government Structures 1 0 2.22
3 Community Structures ( CPRs) 21 0 46.67
Total 45 33 100

D. Impacts on Private Structures

20. As per census survey, out of total 23 private structures, 3 private structures are fully
affected and rest 20 private structures will be partially affected and all will remain viable for use.
Both partially and fully affected structures are all owned by non-titled holders. These 3 displaced
non-titleholders are commercial households in the form of non-shiftable kiosks (i.e. “Khoka”
structures) and doing petty business. Details on the loss of private assets are given in Table 3
below.

Table 3: Impact on Private Structure

Total No. No. of Affected No. of
Sl. Type of Private Non-Titled
of HHs (including Affected %
No. Property Holders
Structures Tenants) Persons
1 Residential 6 6 6 52 23.32
2 Commercial 14 14 24 142 63.68
Res-cum-
3 3 3 3 29 13.00
commercial
Total 23 23 33 223 100

E. Severity of Impact on Households losing structures

21. The intensity of impacts is further clearfied in the Table. 4 below. The analysis of impact
on the scale of severity reveals that out of 23 private structures, 20 structures are partially
affected (up to 20%), while 3 commercial structures (Khoka) are severly affected, leading to
physical displacement. Partial impacts are defined in this RP as impacts that do not affect a
permanent structure’s main walls, thus the quality of the structure remains intact. When main
walls are affected, the structure is considered fully affected. Moreover, during the survey it has
been assessed that impact of 20% or less of the structure does not result in 10% or more of
productive assets.

Table 4: Intensity of Impact on Structures

Severity of No. of
Sl. No. Scale of Impact Percentage
Impact % Household
1 Physical Displacement (More than 20%) 3 13.04
 7

2 Partial Impacts (Less than 20%) 20 86.96

Total 23 100

F. Type of Construction and Affected Areas of Private Structures

22. The private structures affected are of various types, mainly made out of permanent,
semi-permanent and temporary materials. The details of type of constructions of the affected
properties are summarized in Table 5.
Table 5: Type of Construction of Affected Structure
No. of affected
Sl. Type of Area
properties Percentage
No. Construction (in sq. mtrs)
Private
1 Permanent 16 69.57 102.08
2 Semi-Permanent 2 8.70 15.02
3 Temporary 2 8.70 7.25
4 Kiosk 3 13.04 0
Total 23 100% 124.35

G. Loss of Livelihoods

23. A total of 3 households will have to relocate their commercial establishment. These will
be compensated as per the Entitlement Matrix, being eligible to compensation for livelihood loss
and participation to livelihood improvement activities. Moreover, 14 households and 10 tenants,
whose commercial structures are partially affected, will experience temporary disruption of
business during the demolition/reconstruction process of the external section of their
commercial structure. As per the Entitlement Matrix, they will be eligible to three weeks’ income
(see Section E, Chapter VIII). Households who are affected economically are in most part the
owners who are also self-employed and conducting commercial activities in these structures
(63%) but some of them are commercial tenants who have hired the premises for commercial
purposes (37%). The details of economic impact per category of affected household are
presented in Table 6.

Table 6: Loss of Livelihoods in the Sub-project

Sl. No. Loss Households %
1 Fully displaced 03 11.11
2 Partially affected 14 51.85
3 Tenants 10 37.04
Total 27 100

H. Loss of CPRs and government

24. Within 21 CPRs and 1 government properties affected are the following: 13 hand pump,
3 small temples, 2 shrines, 1 temple boundary, 1 well, 1 park boundary, and 1 government
property is partially affected (one school boundary). The list of CPRs affected in the sub-project
is presented in the table below and in Annex 8.

25. It is important to note that originally, as per the initial design, part of the temples in the
villages of Dhanwara, shisendi and Sagouli and also part of the madrassa in the village of
Sagouli would have been demolished. However, after close consulation between community
members and UPPWD, the design was revised to avoid these structures entirely.
8

Table 7: Types of CPRs and Government Properties likely to be affected

Sl.No. Types of Properties Items Total % Age
A. The Other Community Well 1 4.55
1 Properties (CPRs) Park (Boundary wall) 1 4.55
Hand pumps 13 59.09
B. Religious Properties Temple (Boundary Wall) 1 4.55
2 Temple 3 13.64
Shrine 2 9.09
3 C. Government Properties School (Boundary wall) 1 4.55
Total 22 100

I. Loss of crops and Trees

26. The entitlement framework has provisions for the compensation of standing crops and
trees (fruit-bearing or non-fruit-bearing) planted by private individuals - even if these are on the
govt. land. During the Census, and Socio-economic survey, this type of impact was screened
and no impact was identified. The alignment is not entering at any point agricultural fields, which
could have led to such impacts.
 9

III. SOCIO-ECONOMIC INFORMATION AND PROFILE

A. General Socio-economic Profile of Project Districts

27. The project road crosses Lucknow and Unnao districts in Uttar Pradesh. According to
the 2011 census, the total population of Lucknow and Unnao districts is 4.5 and 3.1 million
people respectively. The majority of the population 66.21% of Lucknow district lives in urban
area and 82.90% of Unnao district lives in rural areas. The socio-economic information of APs
has been collected from the census survey of 100% of Affected Persons and the key findings
are presented in this section.

B. Social Categories of the APs

28. As per the census survey of all of the 33 affected households, the social stratification of
the sub-project area shows that 19 households (57.58%) are from other backward caste (OBC),
10 households (30.30) are from general category. The others (12.12%) are from scheduled
caste (SC) category. The detail of social grouping in the sub-project area is presented in Table
8. All the affected households are either Hindu or Muslim.

Table 8: Social Categories of the APs

Sl. No. Description of the Caste3 No. of Households % age
1 General 10 30.30
2 Other Backward Caste 19 57.58
3 Scheduled Caste 4 12.12
Total 33 100

C. Number of APs

29. There are 223 APs in total being affected by the project which includes 115 (51.57%)
males and 108 (48.43%) females. The average household size is 6.7 and the sex ratio among
APs is 939. The details of APs being affected in the project are summarized in Table 9.

Table 9: Number of APs

Sl. No. Categories of APs No. of APs % Age
1 Male 115 51.57
2 Female 108 48.43
Total 223 100

D. Annual Income Level of the Affected Households

30. The census data revealed that 7 affected households (21.21%) are below poverty level.
The State of Uttar Pradesh defines BPL category as INR 39,312 a year. Most households

3
Other Backward Caste Scheduled Caste is a collective term used by the Government of India to classify castes
which are socially and educationally disadvantaged. Among these, Scheduled Caste are considered in orthodox
Hindu scriptures and also known in the latter as “untouchable” or “dalit” as being at the bottom of the caste hierarchy.
They are officially regarded as socially disadvantaged and are now protected by government and object of affirmative
action practices under article 341 of the Indian Constitution.
10

(42.42%) earn above Rs.100000 annually, while 18.18% each households earn between 39312
to 100000 annually. The average income level of households is summarized in Table 10.

Table 10: Annual Income Level of the Affected Households

Sl. No. Annual Income Categories (Rs.) No. of Households % Age
1 Below Poverty Line (Up to 39312) 7 21.21
2 Above 39312 and Below 50000 6 18.18
3 Above 50000 and up to 100000 6 18.18
4 Above 100000 14 42.42
Total 33 100

E. Impact on Indigenous and Vulnerable Households

31. Vulnerable Affected Households: Vulnerable Households are defined as affected

families who are: (i) below the poverty level as defined as Rs. 39312 annual family income by
the state of Uttar Pradesh; (ii) headed by women and below the average income of affected
households; (iii) headed by disabled or elderly and below the average income of affected
households; (iv) scheduled tribes and marginalized scheduled castes.

32. The findings of the social impact assessment indicate that 7 BPL households are
affected by the project. No indigenous households are affected by the project. Moreover, there
are no tribal groups or indigenous people within the area of influence of the project road, and
the project area does not fall within the defined Scheduled Area as defined by the national/ state
legislation.

33. Four (4) scheduled caste (SC) households and seven (7) below poverty line and two (2)
women headed households (WHH) have been identified to be affected by the project. They will
be treated as vulnerable households and special assistance will be provided as per the
provisions of this RP.

Table 11: Categories of APs

Vulnerable
Sl. No. No. of Households % Age
Categories
1 SC Households 4 12.12
2 BPL Households 7 21.21
3 WHH Households 2 6.06
Vulnerable 13 33.33
Non-vulnerable 20 66.67
Total affected Households 33 100

34. As per the 2011 census, Uttar Pradesh stands first with 20.5% of the total scheduled
caste (SC) population of the country's Dalit population. Its share of Scheduled Tribe (ST)
population is significantly lower, with 1.1% of the total ST population of the country. The
peripheral regions of Uttar Pradesh, are home to a number of tribal communities such as
Agaria, Baiga, Bhar, Bhoksa, Bind, Chero, Gond, Kol and Korwa. The project impact zone does
not have any ST population that could fall within the ambit of the IP population.

F. Severely Affected Households

 11

35. This RP defines as Severely Affected Households any household, who, as a result of the
project loses 10% or more of its productive assets or is physically displaced. The survey
revealed that 3 AHs will be physically displaced as a result of the project and none will lose 10%
or more of total productive asset.

G. Educational Status of APs

36. A significant percentage of the affected persons (27.27 %) are illiterate, 9.09% are up to
middle and graduate, 12.12% are below matric, 15.15% APs are Matric (10th standard), 27.27%
are intermediate.

Table 12: Educational Status of APs

Sl. No. Type of Educational Category No. of Households Percentage
1 Illiterate 9 27.27
2 Up to middle (7th standard) 3 9.09
3 Below Matric ( Below 10th standard) 4 12.12
4 Matric (10th standard) 5 15.15
5 intermediate 9 27.27
6 Graduate 3 9.09
Total 33 100

H. Occupational Status of APs

37. The finding of census survey revealed that out of 33 APs, 87.88% APs (excluding the
non-working sections such as children and students and household workers) are doing
businesses as their main occupation. 6.06% households are engaged and employed in
agriculture and service respectively. The details of occupational status of APs are summarized
in Table 13.

Table 13: Occupational Status of APs

Sl. No. Occupation No. of Household Percentage
1 Business 29 87.88
2 Agriculture 2 6.06
3 Service 2 6.06
Total 33 100
12

IV. STAKEHOLDERS CONSULTATION AND PARTICIPATION

A. Key stakeholders consulted

38. Consultations with various stakeholders were carried out at various levels in the project
area by UPPWD, and the PPTA and DPR Consultants. Key stakeholders consulted included
affected people as well as other community members living along the project road, and
community-based organization and business communities in the area. Moreover, district
magistrates, revenue officials, village heads, head of Gram Panchayat, and village
administrative officers were also consulted. The consultation methods included general public
consultation meetings, focus group discussions (FGDs) with special groups (women,
businessmen and farmers), and one- on–one interviews with a total of 162 community
members. The key activities of the consultation process is summarized in Table 14 below:

Table 14: Village wise Scheduled Public Consultations and FGD

Sl. No. of Types of PC/FGD
Village Name Date District
No. Participants
Dhanwara Farmer Consultation
1 04/06/2015 Lucknow 15
(Km. 4.200) (FGD)
Jabrella Women Group (FGD)
2 04/06/2015 Lucknow 11
(Km. 13.660)
Kalukheda Public Consultation (PC)
3 01/06/2015 Unnao 14
(Km.17.000 )
Bhawaniganj Public Consultation (PC)
4 03/06/2015 Unnao 20+14
(Km.24.000 ) & Women Group (FGD)
Sagouli Public Consultation (PC)
5 02/06/2015 Unnao 20
(Km.26.500 )
Marwana (Km. Business Group (FGD)
6 04/06/2015 Unnao 23
31.000)
Purwa Business Group (FGD)
7 01/06/2015 Unnao 9
(Km.42.500)
Mangatkheda Business Group (FGD)
8 04/06/2015 Unnao 23+13
(Km. 52.100) & SC Community
Note- FGDs- Focus Group Discussions, PC- Public Consultation

39. Overall, male members dominated the whole proceedings of the consultation process.
They tended not to allow women to take part of these undertakings and limit their participation to
public consultation meetings. As a result, hardly any specific issues related to women were
discussed during these activities. In order to ensure their views are incorporated in the project
and RP designs, separate FGDs with women were conducted (see Annex 9 and Gender
Analysis in Chapter V).

B. Scope of Consultation

40. The following objectives were met during the consultation process:

 Ascertain the views of the APs, with reference to the project, road alignment
and resettlement impacts.
 Understand views of the community on resettlement rehabilitation options;
 Identify and assess the major socio-economic characteristics of the villages to
enable effective planning and implementation;
 Obtain opinion of the community on issues related to the impacts on community
 13

property and relocation of the same;

 Examine APs’ opinion on problems and prospects of road related issues;
 Understand concerns and expectations specific to women, vulnerable groups,
the business community and farmers;
 Identify the overall developmental goals and benefits of the project.
 Disseminate the cut-off date

C. Consultations Findings

41. Both affected persons and local residents of the villages participated to the consultations
process.

1. Concerns of community members

42. Overall Some of the key concerns by the community were the following:

 A wider road shall mean more and faster vehicles that could lead to more
accidents.
 Loss of fertile and residual land, residential structures and commercial assets.
 Deforestation and construction work would lead to pollution & ecological
imbalance.
 Dismantling of commercial and residential cum commercial enterprises would
lead to loss of major source of income of not only the owners of the property but
also the employees.

2. Suggestions from community members

43. A few suggestions were provided by the affected community during the time of the
consultation as described below:

 Proper road safety measures

 Adequate support should be provided to the affected households for the
restoration of their livelihood.
 Dismantling of the houses and commercial structures should be minimized.
 Covered drains, bus stops and toilets should be provided

3. Responses to concerns and integration of suggestions from the

community
44. Based on the above suggestions, the following issues have been addressed in this RP
and detailed designs:

 Proper road safety measures have been integrated into the road design.
 Adequate support provisions for livelihood restoration have been integrated into
the RP Entitlement Matrix.
 Covered drains and bus stops has been integrated into the detailed designs

D. Plan for information disclosure and dissemination and consultation during

implementation
14

45. The effectiveness and success of the RP will depend to a large extent on the
consultation and communication measures undertaken during implementation. Several
additional rounds of consultations with APs will form part of project implementation, which will
be conducted by UPPWD and facilitated by the RP implementing Consultant/NGO. These
include but are not limited to the following:

 Translation of the entitlement matrix and a summarized version of the RP into

leaflet format into the local language. Key information to use in the summarized
version includes: key project impacts, eligibility and cut-off date, entitlement
matrix and valuation process, indicative timeline for disbursement of
compensation/assistance and relocation, contact number and location of local
(i.e. field-level) Grievance Committee.
 Disclosure of the RP on ADB and the Executing Agency (EA)’s websites
 Information dissemination, through public meetings, dissemination of leaflets,
public announcements, disclosure in the local media and made RPs made
available in relevant Panchayat, government agencies (including the DC’s
office) in each town, near affected area, and PIU and PMU offices.
 Setting-up posters with contact information of local UPPWD safeguards officer
and local grievance redress in key locations.
 APs will be informed of any change in alignment and consulted to minimize
resettlement impacts.
 Information dissemination sessions will be conducted
 Public meetings will be organized at different stages of implementation to
appraise the communities about the civil works and compensation and
assistance progress.
 Consultation and focus group discussions with vulnerable groups like women,
SC, ST, and OBC’s will be conducted to ensure their needs are taken into
consideration during implementation.

46. A Public Consultation and Disclosure Plan will be prepared by UPPWD/implementing

Consultant/NGO. A template for this is provided in Annex 11.
 15

V. GENDER ASSESSMENT

47. The consultation process included the participation of 25 women.The census survey and
discussion with women in the project area showed that close to 83% of them spends time in
supporting their male partner for the business activities. Most of the women reported that they
look after their reproductive and productive roles simultaneously by working in shops as well as
taking care of household tasks, such as cooking, washing, cleaning, nursing, bearing and
looking after children, fetching water and fuel, etc. Any activity that can generate cash income is
preferred to be done at home, or near home. Details on the data collected during the census
survey can be found in Annex-11.

48. The gender assessment also highlights a lack of basic facility and transportation in the
project area. Accessibility to amenities and facilities affects women’s daily lives. During the
survey process, the accessibility to services and facilities has been assessed, the most
important of which was the finding that it could take 2 to 3 hours to access a health facility. The
FGDs revealed that women reported having limited mobility and therefore expressed preference
to work near their homes.

49. The perceived benefits of the project from were also discussed and included the
following:

 Improved access to social facilities like health, education

 Increase in income generating activities
 Frequent and affordable transport
 Management of emergency situation
 Increased frequency of health workers, extension workers visits
 Improved access to market
 Reduced time spent on firewood collection
 Less flooding
 Side pavements will make walking easy

50. The women consulted perceived little negative impacts of the road improvement besides
for the loss of assets and road safety concerns. Road safety awareness campaigns for road
residents will be conducted by the RP implementing NGO/Consultant. The INGO/Consultant will
also inform residents of the safety designs of the road as well as other road safety capacity-
building interventions financed by the project.

51. Although not specific to the Resettlement Plan for Mohanlalganj-Morowan, UPMDRIP
includes the following gender-sensitive features: (i) constructing 344 bus shelters across the 8
subproject roads; (ii) including safety and elderly-women-children-disabled (EWCD) friendly
features into road design such as proper signage, marked crossings, pedestrian paths and bus
stops; (iii) ensuring and monitoring the participation of women in community awareness
activities and consultations; (vi) monitoring female participation in the construction and
maintenance workforce.
16

VI. LEGAL FRAMEWORK

52. The policy framework and entitlements for the project are based on the national law The
Right to Fair Compensation and Transference in Land Acquisition, Rehabilitation and
Resettlement Act, 2013, (LARR 2013) its 2014 Ordinance and ADB SPS, 2009.

A. The Right to Fair Compensation and Transparence in Land Acquisition,

Rehabilitation and Resettlement Act, 2013

53. The Right to Fair Compensation and Transparence in Land Acquisition, Rehabilitation
and Resettlement Act, 2013 has been effective from January 1, 2014 after receiving the assent
of the President of Republic of India. This Act extends to the whole of India except the state of
Jammu and Kashmir. The Act replaced the Land Acquisition Act, 1894. The Act has since late
December 2014 been amended by the 2014 First Amendment Ordinance to make it more
flexible. The Amendment Ordinance, which is yet to be approved by the Parliament, has entered
into force since January 2015 and been re-promulgated twice by executive order. It is
summarized below.

54. The aims and objectives of the Act is to ensure, in consultation with institutions of local
self-government and Gram Sabhas established under the Constitution of India, a humane,
participative, informed and transparent process for land acquisition for industrialization,
development of essential infrastructural facilities and urbanization with the least disturbance to
the owners of the land and other affected families. It provides for compensation and
resettlement assistance to the affected families whose land or other assets are affected by the
project. A few of key features that are revised from the old Act include the recognition of non-
title holders to compensations if they have lived in the area proposed to be acquired in the past
three years as well as compensations for loss of livelihood.

55. Section 26 of the Act defines the method by which market value of the land shall be
computed under the proposed law. Schedule I outlines the proposed minimum compensation
based on a multiple of market value. Schedule II through VI outline the resettlement and
rehabilitation entitlements to land owners and livelihood losers, which shall be in addition to the
minimum compensation per Schedule I.
56. An Amendment Ordinance to the Act was promulgated on December 31, 2014. The
Ordinance provides exemptions for five categories of projects from certain requirements: (i)
Defense; (ii) Rural infrastructure; (iii) Affordable housing; (iv) Industrial corridors; (v)
Infrastructure projects including Public Private Partnership (PPP) projects where the central
government owns the land. These 5 categories of projects are exempted from the requirement
of consent of 80% of land owners to be obtained for private projects and that the consent of
70% of land owners be obtained for PPP projects as well as from conducting the Social Impact
Assessment through a notification.

57. In the context of this project, should it have involved private land acquisition, it would
have fallen in the infrastructure category, which is exempted from the Social Impact
Assessment. An SIA will still be conducted as it is required by the ADB SPS, but without
following the LARR guidelines.

B. Government of Uttar Pradesh (GoUP) Direct Land Purchase Policy 2015

58. The Government of UP has issued a Government Order no. N0. 2/2015/215EK-13-2015-
20(48)/2011, dated March 19, 2015 to allow land purchase directly from the land owners
 17

through private negotiation. According to the Government Order, the land rates and the total
land cost are determined by a valuation committee composed of representatives from the DM,
Stamps and Registration Department and UPPWD. The land rates will be based on the LARR
Act 2013, with a multiplying factor of 2 for land purchased in rural areas. The evaluation
methodology is laid out in the Government Order No 797/1-13-2014-5Ka(25)/2013 T.C. dated
October 22, 2014. A summary of the Government Order translated in English is included in
Annex 4. More information about the Government Order(s) in Hindi can be found on the
following link: http://shasanadesh.up.nic.in.

59. The ADB SPS encourages acquisition of land and other assets through a negotiated
settlement wherever possible, based on meaningful consultation with affected persons,
including those without title to assets. A negotiated settlement will offer adequate and fair price
at market cost for land and/or other assets. All negotiated settlement will be validated by an
independent external part engaged by the IA to document the negotiation processes. If
negotiation fails, the EA will acquire land following the national legislation and ADB SPS.

C. ADB’s Safeguard Policy Statement (SPS), 2009

60. The objectives of ADB's SPS (2009) with regard to involuntary resettlement are: (i) to
avoid involuntary resettlement wherever possible; (ii) to minimize involuntary resettlement by
exploring project and design alternatives; (iii) to enhance, or at least restore, the livelihoods of
all affected persons in real terms relative to pre-project levels; and (iv) to improve the standards
of living of the affected poor and other vulnerable groups. ADB's SPS (2009) covers physical
displacement (relocation, loss of residential land, or loss of shelter) and economic displacement
(loss of land, assets, access to assets, income sources, or means of livelihoods).

61. The three important elements of ADB’s SPS (2009) are: (i) compensation at replacement
cost for lost assets, livelihood, and income prior to displacement; (ii) assistance for relocation,
including provision of relocation sites with appropriate facilities and services; and (iii) assistance
for rehabilitation to enhance, or at least restore, the livelihoods of all affected persons relative to
pre-project levels and to improve the standard of living of affected poor and other vulnerable
groups; and (iv) meaningful consultations with affected persons.

D. Comparison of National with ADB Policy

62. Overall, the new Act now bridges the gaps between the GoI policy and ADB's SPS,
2009. In particular, the Act require social impact assessments for projects involving land
acquisition, although it sets a minimum threshold of people affected for this provision to apply,
while this is not required in the SPS. The Act also expands compensation coverage by a
solatium of 100 percent of all compensation amounts. Overall, the LARR 2013 brings the value
of compensations for land and structures higher than replacement cost, which is the principle on
which compensations are calculated under SPS. The Act furthermore is in line with ADB
requirement that compensation be paid prior to project taking possession of any land.

63. The outstanding differences between the government and ADB policy is the
establishment of a cut-off date for non-titled holders. The RFCT in LARR, 2013 specifies that
only non-titleholders residing on any land for the preceding three years or more will be entitled
for compensation and assistance as per this Act. A comparison of Government polices (RFCT in
LARR, 2013) with ADB’s involuntary resettlement policy is presented in the Resettlement
Framework. To bridge the gap with SPS, the Entitlement Matrix included in this RP and
approved in the Resettlement Framework does not distinguish between non-titled holders being
18

established for three years and longer from others who settled in the project CoI more recently:
all non-titled holders will be compensated for any loss of assets and income besides for loss of
land.

64. Overall, the GoUP’s Direct Land purchase policy is compliant with ADB’s SPS as long as
the titled owners are not forced into selling their land. To ensure due process in these
transactions, when these take place for a specific subproject road under this project, an
independent third party will be hired to verify the process has been taken place without coercion
and following the evaluation methodology stipulated in the Government Order(s) referred to in
paragraph 20.

65. The ADB and UPPWD approved a Resettlement Framework to guide the preparation
process of the Resettlement Plans under the UPMDRIP in April 2015. The RF is currently being
reviewed by UP’s Cabinet. The entitlement matrix, institutional arrangements and grievance
redress mechanism proposed under this RP follow the guidelines of this Resettlement
Framework.
 19

VII. RELOCATION OF HOUSING AND SETTLEMENTS

A. Provisions for Relocation

66. The EA will provide non-title holders cash compensation at full replacement cost for
lost structures and other assets other than land as well as other assistance measureas outlined
in the Entitlement Matrix and described below. This assistance package will be given only if
affected households occupied the land or structures in the project area prior to the cut-off
date. Each physically relocated household will receive:
(i) replacement cost of structure
(ii) Shifting allowance equivalent to 10% of replacement cost of structure
(iii) A 50,000 Rs. Resettlement allowance if NTH relocates outside RoW.
(iv) transitional support in the form of monthly subsistence allowance up to Rs.
36,000 if affected household is losing residence
(v) One time financial grant of Rs. 25,000 or the equivalent of 3 months income
(based on evidence from income tax return) for business owners having to
relocate their commercial premises.
(vi) Resettlement allowance if household demonstrates that it has relocated outside
the RoW.

B. Households experiencing physical relocation as a result of the project

67. In this project road, 33 non-titleholder households with 223 persons will be affected due
to the loss of their residential and commercial structures and activities. Out of 33 affected non-
titleholder households only 3 non-titleholders will lose a significant share of their structure, which
will make it unviable and therefore will have to relocate from their present location of commercial
units. Although they will be physically displaced from the COI, there is ample space along the
road corridor where they can relocate.

C. Relocation Option by Displaced Persons (DPs)

68. To understand and know the relocation options, DPs were consulted during the census
survey and all 3 households are being displaced which includes households suffering economic
displacement. All households opted for cash compensation against their structure loss. Details
of relocation options by displaced households are given in Table 15.

Table 15: Relocation Option by DPs

Sl. No. Relocation Options No. of Households % age
1 Self-relocation 3 100
2 Relocation managed by project 0 0
Total 3 100

D. Compensation Option by Displaced Persons (DPs)

69. The choice of DPs is further supported by their compensation option as all 3 displaced
households have opted for cash compensation against loss of their structure. The
compensation options by displaced households are summarized in the Table 16.
20

Table 16: Compensation Option by DPs

Sl. No. Compensation Options No.of Households % age
1 Structure for Structure Loss 0 0
2 Cash for Structure Loss 3 100
Total 3 100
Source: Census Survey, 2015

E. Relocation Strategy
70. Given the scattered nature of the resettlement impacts (i.e. 3 displaced household
spread over 54 kilometers) and the preferences outlined above, preference has been for cash
compensation and self-relocation. The affected people were very much in favour of relocating
close to the original structure’s location.Therefore cash compensation at replacement cost and
other relocation assistances as per entitlement matrix is a more practical solution for these
types of APs. The project will not provide compensation to finance relocation site as affected
persons are non-titleholders. However, APs who will have to physically relocate will be
encouraged to move outside the ROW through an additional provision of Rs. 50,000 once they
do so.
 21

VIII. COMPENSATIONS, RESETTLEMENT ASSISTANCE AND ENTITLEMENT MATRIX

71. Based on the above analysis of government provisions and ADB policy as well as on the
Resettlement Framework approved between UPPWD and ADB the following key resettlement
principles, definitions and Entitlement Matrix have been adopted for the Project.

A. Eligibility and key principles

 All affected persons losing physical and economical assets as a result of the project
and identified prior to the cut-off-date.
 Cut-off dates: For Titled-Holders, the cut-off date will be the date of publication of
preliminary notification for acquisition under Section 4(1) of the RFCT in LARR Act,
2013. For non-titleholders such as squatters, the cut-off date will be the start date of
the project census survey as per the final detailed design or updated census survey
during RP implementation. Given that this RP does not have affected titleholders, the
cut-off date will be the date of the completion of the census of 4 June 2015.
 Affected Persons are eligible to resettlement assistance and compensation, for the
loss of assets at full replacement costs. Non-titled holders (e.g., informal
dwellers/squatters, and encroachers) are eligible to the loss of assets other than
land, such as dwellings, and also for other improvements to the land, at full
replacement cost;
 vulnerable and severely affected households will be provided special assistance;
 Persons losing income as a result of the project will be provided with income
restoration and rehabilitation;
 land acquisition, and other involuntary resettlement impacts will be avoided or
minimized exploring all viable alternative sub-project designs;
 compensation and/or assistance will be paid prior to the contractor taking physical
acquisition of the land and prior to the commencement of any construction
activities;

72. Note: All APs will be given three (3) months notice before any destruction of assets.

B. Compensations and resettlement assistance

73. All persons affected by the project and meeting the cut-off date requirements will be
entitled to a combination of compensation packages and resettlement assistance depending on
the nature of ownership rights on lost assets and scope of the impacts:

a. Compensation for the loss of land, crops/ trees at their replacement cost;
b. Compensation for structures (residential/ commercial) and other immovable
assets at their replacement cost;
c. Restoration grant equivalent to 10% of the replacement grant
d. Assistance in lieu of the loss of business/ wage income and income restoration
assistance; assistance for temporary disruption of economic activities
e. Assistance for shifting and provision for the relocation site (if required), and
f. Rebuilding and/ or restoration of community resources/facilities.
g. Additional Support to Vulnerable and Severely Affected Families

C. Livelihood Improvement and Skills Development Program

22

74. The project is not expected to lead to long-term negative impacts on livelihood. On the
contrary, the improvement of road connectivity will improve opportunities for trade and business
growth. Although the road improvement is expected to lead to the permanent relocation of 3
businesses, there is ample space outside the RoW. Business owners who will lose their
commercial structure will be given the equivalent of 3 month’s income (Rs. 25,000) to
compensate for the loss of income resulting from having to move out and build another
commercial structure. Encroachers will relocate on their existing plot and squatters will be able
to relocate outside the COI where there is ample space along the corridor. The affected
business owners will easily find a new place close to their original location to set up a new
commercial structure.

75. Temporary disruption of business is expected during the demolition and reconstruction
of partially affected structure. In these instances, a temporary economic disruption grant of Rs
9,000 (equivalent to loss of income for 3 weeks) will be provided. On a case by case basis,
affected business owners who can demonstrate that his/her business has suffered losses for
over 3 weeks will be eligible to apply for additional assistance for the length of time he/she
endured business losses (at Rs 3,000/week). Moreover, it is not expected that construction
activities will have a negative impact on business activities as UPPWD has a policy of doing
construction activities at night in commercial and market areas.

76. A livelihood improvement and skill development program will be provided to affected
persons eligible as per the entitlement matrix. A member of any AP belonging to the vulnerable
or severely affected category will be eligible for participating in the training. The training will
consist of skill development training along with a seed grant of Rs. 4,000. A needs assessment
will be conducted by the RP implementing NGO/Consultant to define the type of skills that could
be provided in the training. For this road, only 13 affected households, belonging to the
vulnerable category are eligible to this training.

77. The subproject-specific Entitlement Matrix, outlined in Table 15 summarizes

entitlements. The full entitlement matrix outlined in the Resettlement Framework which includes
provisions for land acquisition is included in Annex 12.

Table 15: Entitlement Matrix

All awards below shall be exempt from income tax, stamp duty and fees.
Type of Loss Definition of Entitled Responsible
Compensation Policy
Person Agency
1 Structures
1.a Loss of residential, Legal titleholders 4
If partially affected : Replacement cost NGO/Consultant
commercial structures Encroachers and of the affected part or assets with right will confirm
and other assets squatters to salvage materials. If remainder of the titleholder’s
structure is unviable, the owner has the eligibility
option to claim compensation for entire
structure (see below). IA/ CSC will
ensure provision
Restoration grant of 10% of replacement of notice.
5
cost of structure.
If Residential / Commercial structure
fully affected:
 Replacement Cost of the structure

4
External to the living/commercial areas (i.e. verandahs, stairs)
5
This have been added given that in the context of this RP, the concentration of impacts relate to structures being partially affected
and as such it is a needed additional assistance measure.
 23

Type of Loss Definition of Entitled Responsible

Compensation Policy
Person Agency
 If relocating outside RoW,
Resettlement Allowance of Rs.
50,000 per family as per LARR
6
Act 2013.
 Monthly Subsistence Allowance of
Rs. 3,000 for one year (total Rs.
36,000) for families having to
relocate their homesteads as per
7
LARR Act 2013.
 Shifting allowance of 10% of
replacement cost of structure up
to a maximum of Rs 50,000, as
per the LARR Act 2013
 Right to salvage materials from
structure and other assets with no
deductions from replacement
cost.
 90 day notice to vacate structure.
1.b Loss of Tenants (without  Replacement cost of part/whole of NGO/Consultant
residential/commercial documentation) and structure – if latter has been will confirm
structure and other leaseholders constructed by the tenants’
assets tenant/leaseholder with right to eligibility
salvage material
 Compensation for rental deposit or IA/ CSC will
unexpired lease (only for AP with ensure provision
legitimate lease documentation). This of notice.
will be deducted from the
compensation amount of the
structure owner.
 Lump-sum equivalent to two month
lease to support search of alternative
housing.
1.c Loss and temporary Titled and non-titled  Replacement or restoration of the IA/ CSC will
impacts on common owners/communities affected community facilities assess how to
property resources  Best efforts need to be made to avoid sensitive
avoid impacts on sensitive sites (i.e. sites
religious, sacred). If these need to be
relocated or rehabilitated additional NGO/Consultant
level of consultation with community will conduct
is required to ensure proper process additional
consultations
2 Loss of crops and trees
2.a Loss of trees and Legal titleholder/  60 days advance notice to harvest NGO/Consultant
crops tenant/lease- standing seasonal crops prior to will confirm
holder/share- damage, fruits and timber affected
cropper/non-titled AP  Compensation for standing crops (or household
share of crop for sharecroppers) eligibility
based on an annual crop cycle at
market value. IA/ CSC will
 Compensation for trees based on ensure notice is
timber value at market price, and provided.
compensation for perennial crops
and fruit trees at annual net product
market value multiplied by remaining
productive years; to be determined in

6
Not cumulative if Resettlement Allowance has been given for loss of land (Entitlement 1.a)
7
Households losing commercial structures are not eligible
24

Type of Loss Definition of Entitled Responsible

Compensation Policy
Person Agency
consultation with the Forest
Department for timber trees and the
Horticulture Department for other
trees/crops.
3 Loss of livelihood
3.1 Loss of livelihood Legal Titleholder/  Loss of business income/wages: NGO/Consultant
tenant/leaseholder/non- One time financial assistance based will confirm
income 9
affected
titled holder of fully on three month income or Rs.
affected commercial 25,000 as per RFCLARRA 2013, household
structure
8 whichever is higher eligibility

Employee of affected
commercial structure.

Farmer/ agricultural
worker of land
acquired.
3.2 Temporary disruption Legal titleholders, non-  90 days advance notice regarding IA/ CSC will
of livelihood titled Ahs, tenants construction activities, including ensure notice is
duration and type of disruption. provided.
 Economic Disruption Grant of Rs.
3,000/week when commercial
structure is partially affected and
owner loses income to rebuild part of
structure or because of construction
activities.
 Assistance
10
to mobile
vendors/hawkers to temporarily shift
for continued economic activity
during construction activities.
4 Special assistance to Vulnerable Households
4.1 Impacts on Vulnerable Households  Participation of one member of NGO/Consultant
Vulnerable Severely Affected household in Livelihood Improvement to confirm
Households (VAHs) Households and Skills Development Training VAH/SAH list
and Severely Affected  Priority of employment under the
11
Households (SAHs) project during construction and NGO/Consultant
implementation for one family to conduct
member to extent possible. assessment of
skills
development
5 Other losses
5.1 Temporary loss of Legal titleholders  Rent at market value for the period of Contractor
land occupation. negotiates
 Restoration of land to previous or amount with
better quality landowner –
 Location of construction camps will supervised by
be fixed by contractors in CSC.
consultation with Government and
local community.
IA/CSC ensures

8
When core commercial space is affected – when external sections of the structures such as verandahs, stairs, balcony are
affected the owner will not be eligible to this entitlement.
9
Based on income tax return
10
Assistance will be provided in accommodating a temporary space for commercial activities during construction, dismantling and
reassembling mobile structure and in physically relocating structure
11
Severely Affected Households (SAHs): defined as losing 10% or more of their total productive assets and/or physical
displacement
 25

Type of Loss Definition of Entitled Responsible

Compensation Policy
Person Agency
compensation
paid prior to
take-over.

Contractor
responsible for
site restoration.
5.2 Any other loss not  Unanticipated involuntary impacts NGO/Consultant
identified will be documented and mitigated to identify other
based on ADB’s Safeguard Policy potential losses
(SPS), 2009.
26

IX. RESETTLEMENT BUDGET AND FINANCING PLAN

A. Introduction

78. The budget proposed below gives an overview of the estimated costs for the entire
package of resettlement implementation, including compensation, assistance, administrative
expense, monitoring and evaluation and contingencies. The values for compensation amounts
and other support mechanism will be adjusted, based on annual inflation factor.

B. Compensation for loss of land

79. Given that there is no private land acquisition in this project, there is no budgetary
provision for compensation for land.

C. Compensation for partial loss of structures

80. According to the survey, 20 private structures will be partially affected and 3 structures
will be fully affected by the project. The amount of compensation will be equivalent to the
replacement cost for the structure (see below) and labor costs (i.e. an additional restoration
grant equivalent to 10% of the RC of the affected section of the structure will be provided to
provide for labor cost). It is estimated that 102.08 sqm of permanent structure, 15.02 sqm of
semi-permanent structure, 7.25 sqm of temporary structure will be partially affected by the
project. However, due to this subproject other 3 nos of structures (khokha) will be fully affected,
equivalent to total Rs.15000 for replacement cost.

81. The estimated budget for the compensation of partially affected structures is based on
the rates of various types as described in Basic Schedule Rates (BSR), PWD, Govt. of Uttar
Pradesh, 2014. The rate for permanent structures without land has been designed at Rs.
13,000/m2, semi- permanent structures at Rs. 12,000/m2, and temporary structures at the rate of
Rs. 3,500/m2. The rate for Khokha structures has been calculated after consultation with the
affected Khokha owners. If there is delay in project implementation, the Valuation committee will
determine the replacement cost at the BSR’s updated rate.

D. Resettlement & Rehabilitation (R&R) assistance

82. Given that 3 affected households will be physically displaced by the project and are
eligible to (i) a shifting allowance equivalent to 10% of the RC of their lost structure; (ii) Rs.
50,000 if they relocate outside the RoW,; (iv) 3 households will be eligible to the loss of
business income (see section E below). These provisions have been integrated in the budget.

E. Assistance for Loss of Income

83. The survey findings show that 24 partially affected and 3 fully affected households will
be experiencing disruption of commercial activities related to the impact and reconstruction of
their shop.

84. The 3 business owners having to relocate will be entitled to one time financial assistance
based on three month income12 or Rs. 25,000, whichever is higher.

12
Based on income tax return
 27

85. As per the entitlement matrix, an Economic Disruption Grant will be provided for the
temporary disruption of livelihood to these 24 households. An average grant of Rs. 9,000
(equivalent to Rs. 3,000 for 3 weeks) or Rs. 25,000, whichever is higher will be provided. The
grant can be increased on an individual case basis, should the affected individual demonstrate
to the EA that it is not possible to restore the affected structure within 3 weeks. Any extension of
this assistance will have to be approved by the EA.

F. Assistance to Vulnerable Households and Skills Development Program

86. According to the survey, 13 affected households belong to the vulnerable category.
Among these, 3 households will be physically displaced by the project and thus also belong to
the Severely Affected Household category. One family member of these VAH/SAH will be
eligible to the Skills Development Program as well as to priority employment in construction
activities.

87. The budget for the Skills Development Program for all project roads, requiring a RP
under the ADB-financed Uttar Pradesh Major District Road Improvement Project (UPMDRIP),
will be based on actual impact on vulnerable and severely affected households. A provision of
Rs. 4,000 as seed grant will be provided for each eligible candidate. In the case of this RP, 13
candidates have been identified.

G. Compensation for Community and Government Property

88. The survey indicates that 21 Community Property Resources (CPR) and 1 government
properties will be affected by the project. Of these are 13 are hand pumps, which will be
replaced at Rs. 45,000 per hand pump. The cost of the rest will be calculated according to the
valuation rate mentioned in section-C above.

H. Cost towards implementation arrangement:

89. Similarly to the budget for the Skills Development Program mentioned in section F, the
budget for the implementation arrangement of this RP is estimated as a share of the total
budget of the RP implementing NGO that will be hired to conduct all the resettlement and other
social activities (Skills Development Program, HIV/AIDS, road safety and human trafficking
awareness campaigns to the community, consultations and gender activities) of UPMDRIP. The
buget is estimated at Rs. 2600000.

90. The cost of the independent External Monitor/consultant will be included in CSC cost for
8 sub-project roads for which RP will be required.

91. A 10% contingency has been added in order to adjust any escalation.

92. The cost of External Monitoring is included in the CSC contract.

I. Source of Funding and Fund Flow Management

93. The cost resettlement will be borne by the EA. The EA will initiate the approval for the
R&R budget as per provision of the Resettlement Framework, and will ensure sufficient fund is
allocated for the implementation of this RP. The EA will directly pay the money or any other
assistance as stated in the RP to APs. The implementing NGO will be involved in facilitating the
disbursement process.
28

J. Budget

94. The budget for RP implementation comes to Rs. 0.64 Crores. The detailed budget is
presented below.

Table 16: Estimated Cost of R&R Budget based on R&R Policy

Ref. Quantity
Component Unit Unit Rate (INR) Amount Rs
No. (Sq. Mtrs.)
A Land & Building
1 Land Cost NA 0 0 0
Displaced
Structure
2 Permanent Sq.m 13000 0 0
Semi-
3 Sq.m 12000 0 0
Permanent
4 Temporary Sq.m 3500 0 0
5 Khoka Unit 5000 9.46 47300
Total sum (A) 47300
B Partially Affected Structures
6 Permanent Sq.m 13000 102.08 1327040
Semi-
7 Sq.m 12000 15.02 180240
Permanent
8 Temporary Sq.m 3500 7.25 25375
Total sum (B) 124.35 1532655
C R&R Assistance
Building 10% of total
restoration grant compensation of
1 for partially Sq.m structure (As per 124.35 153265
affected EM of RF in
structures Sl.No. B(2) e)
Rs. 9,000
Economic (equivalent to Rs.
2 Households 24 216000
disruption grant 3,000 for 3
weeks)
Resettlement
3 Households 50000 0 0
Allowances
Subsistence
allowance for
4 Households 0 0 0
residential
owners
Shifting 10% of
5 47300 4730
Allowances replacement Cost
One time financial
Loss of
assistance @ Rs.
6 Livelihood Households 3 75000
25000 based on 3
income
month income
 29

Ref. Quantity
Component Unit Unit Rate (INR) Amount Rs
No. (Sq. Mtrs.)
Special
Assistance for
vulnerable
households
7 (Livelihood Households 4000 13 52000
Improvement
and Skills
Development
Training)
Total sum (C) Total 500995
D Community Assets
1 Well Unit 95000 1 95000
Park Boundary Running 25.8
2 4500 116100
Wall Meter Sq.Mtrs
School Running
3 4500 20 Sq.Mtrs 90000
Boundary Wall Meter
Hand pump
4 Unit 45000 13 585000
(Govt)
Temple Running
5 4500 9.4 Sq.Mt 42300
Boundary wall Meter
6 Temple (small) Unit 50000 3 150000
7 Shrine Unit 20000 2 40000
Total sum (D) Total 1118400
E Implementation Arrangement
RP
1 Implementation Lump sum 2000000 2000000
Agency
As part of
2 External Monitor CSC - - -
contract
Independent
3 evaluation Lump sum 300000 300000
consultant
Administrative
expenses
(GRM, field
4 Lump sum 150000 150000
trips,
arrangement of
meetings etc.)
Dissemination of
5 Entitlement Lump sum 150000 150000
matrix, RP, etc.
Capacity-
Internal
6 building to the Lump sum 0
Arrangement
PIU/EA
Total Sum (E) Total 2600000
TOTAL (A+B+C+D+E) 5799350
30

Ref. Quantity
Component Unit Unit Rate (INR) Amount Rs
No. (Sq. Mtrs.)
Contingency 10% 579935
Grand Total 6379285
In crores 0.64
*The grant can be increased on an individual case basis, if the affected individual demonstrates to the EA that it is not
possible to restore the affected structure within 3 weeks. Any extension of this assistance will have to be approved by
the EA.
 31

X. GRIEVANCE REDRESS MECHANISM

95. A project-specific grievance redress mechanism (GRM) will be established to receive,

evaluate and facilitate the resolution of affected people’s concerns, complaints and grievances
about the social and environmental performance at the level of the Project. The GRM will aim to
provide a time-bound and transparent mechanism to voice and resolve social and
environmental concerns linked to the project. The project-specific GRM is not intended to
bypass the government’s own redress process, rather it is intended to address affected
people's concerns and complaints promptly, making it readily accessible to all segments of the
affected people and is scaled to the risks and impacts of the project. The APs are free to access
the court system at any time.

96. The GRM will consist of 2 levels a Field-level GRC and State-level GRC.

97. The Field level GRC will comprise of the:

(i) Executive Engineer, field PIU, Lucknow
(ii) Assistant Safeguards Focal (ASF ), field PIU, Lucknow
(iii) Resettlement Expert from the CSC
(iv) Environmental Expert from CSC
(v) A representative from AP community.

98. The State level GRC will comprise of the:

(i) Executive Engineer, UPPWD
(ii) Social Safeguards Project Officer, UPPWD Central
(iii) Resettlement Expert consultant
(iv) Environmental Expert Consultant
(v) Resettlement Expert from the CSC
(vi) Environmental Expert from CSC

99. Field level GRC: APs will have the flexibility of conveying grievances/suggestions in
person to the PIU/PWD’s local office (Level 1 GRC), orally by calling the GRC’s local number of
the PIU’s Assistant Safeguards Focal (ASF) in Lucknow, which will be posted on signboards at
different points of the project site, or in writing by submitting their grievances to the local
PIU/PWD’s office and contractor’s site. The contact information of the ASF will be included in
the leaflets to be distributed to the communities at the onset of project implementation as well as
posted on signboard in key subproject location. A complaint register will be maintained by the
ASF at the PIU’s office and by the contractor’s environmental officer at the construction sites to
record the details related to the date of complaint, type of complaint, date of personal hearing,
action taken and date of communication sent to complainant will be recorded. All complaints
oral or written will be recorded. The Assistant Safeguards Focal will consolidate all grievances,
categorize and prioritize them and report any serious cases to the State-Level GRC (see
below). The ASF will investigate grievances through site visits and consultation with relevant
parties like affected persons, contractors etc… with the support of the CSC’s Resettlement
Expert. If grievances are not resolved at this stage they will be sent to the State-level GRC.

100. State-Level GRC: Level 2 GRC will meet every month (if grievances are brought to the
Committee), determine the merit of each grievance, and resolve grievances within a month of
receiving the complaint—failing which the grievance will be referred to appropriate court of Law
for redressal. Records will be kept of all grievances received including: contact details of
complainant, date the complaint was received, nature of grievance, agreed corrective actions
32

and the date these were effected, and final outcome. The GRCs will continue to function during
the life of the Project. The CSC and UPPWD Central Resettlement Expert (i.e. Safeguards
Project Officer) will offer guidance in resolving grievances and report on the efficiency of the
GRM in the semi-annual social monitoring reports. If complaints cannot be resolved by the
grievance redress mechanism in spite of all necessary and documented efforts and the
complaint has been submitted to the relevant ADB department and cannot be resolved at that
level either, the affected person can submit complaints to the ADB’s accountability mechanism
(2012).

101. It will be acknowledged to the complainants that the complaints have been received. All
resolutions and updates on pending grievances will also be recorded.

102. Indicative timeframe for resolution: The GRCs are expected to resolve grievances of
the eligible persons within a stipulated time of 3 weeks at the field level and one month at the
state level.

103. Costs: All costs involved in resolving the complaints (meetings, consultations,
communication and reporting / information dissemination) will be borne by the Project.
 33

XI. INSTITUTIONAL ARRANGEMENT AND IMPLEMENTATION

104. The Executing Agency for the project will be the Government of Uttar Pradesh through
UPPWD. UPPWD is already familiar in implementing resettlement plans that comply with MDB
requirements, as they were responsible for the implementation of the RPs for the World Bank-
financed Uttar Pradesh State Road Project (2002-2010). The implementation of these RPs,
which involved 4,681 affected families, succeeded in restoring and improving the living
conditions of 70% of the APs, in spite of facing several challenges (e.g. delays in land
acquisition, poor consultations and delays in the disbursement of compensation and
assistance). Moreover, although the EA gained experience in MDB safeguards policy and
requirements, the lack of staff fullly dedicated to safeguards limited their efficient
implementation. This project will build on UPPWD’s experience and strengthen its
implementation capacity by including a full-time UPPWD officer dedicated to social safeguards
at the central level. He/she will be supported by a resettlement consultant. Moreover each
subproject road project implementation unit (PIU) will have a safeguards focal point. In addition,
the CSC resettlement expert will guide the EA in implementing the RP and lead the monitoring
of their implementation.

105. Staffing at the EA level: A Chief Engineer (CE) at UPPWD headquarters based in
Lucknow has been designated as person in charge for project implementation. A dedicated
Social Safeguards Project Officer (SPO), reporting to the CE, will be responsible for ensuring
compliance with social safeguards of all project roads. The SPO will be allocated by the EA.
He/she will be supported by an outsourcedResettlement Consultant. The project implementation
unit (PIU) will be UPPWD Lucknow Division responsible for the RP implementation at the
subproject road level. The PIU will be headed by a Divisional Manager (Tech.) and will have one
Assistant Safeguards Focal (ASF), responsible for the management of both environmental and
social safeguards at the road level. During inception mission, the ADB will provide training to the
newly appointed staff in the Environment and Social Cell and PIU focal points. The capacity of
the EA should be high as it has to successfully implement the multiple donor funded projects.

106. Construction Supervision Consultant (CSC): The Construction Supervision

Consultants (CSC) team will include a Resettlement Specialist who will act as advisor on
resettlement activities, GRM member and external monitor of resettlement activities for all
project roads. The Resettlement Specialist will work as independent monitor and ensure guide
and monitor the implementation of the RP and prepare the semi-annual social monitoring
reports to submit to UPPWD/ADB. He/she will be responsible for guiding and monitoring the
implementation of all RPs under the UPMDRIP, including the Mohalanganj-Morowan subproject
road.

107. RP Implementing Consultant/NGO: A qualified and experienced firm, RP

implementing Consultant/NGO will be recruited by the EA to assist in the implementation of all
RPs under the UPMDIP. The RP INGO/Consultant will act as facilitator and be a link between
the PIU and the affected community. EA shall ensure that adequate resources are allocated to
the RP implementing Consultant and a detailed work plan will need to be submitted by the RP
implementing Consultant in the Inception Report. An indicative TOR for the RP implementing
Consultant is included as Annex 14.

108. Independent Monitor: An independent monitor will be recruited for the entire
UPMDRIP. The role of this individual consultant will be to (i) certify all negotiated settlement
34

taking place under UPMDRIP13have followed a fair and transparent process and was agreed by
both parties and (ii) provide an independent assessment of the compliance of resettlement
activities with the RPs and RF approved under the UPMDRIP.

109. Annex 14 provides details on the key agencies involved and their main responsibilities
regarding social safeguard implementation.

13
Although no private land acquisition is envisaged for this road, we cannot exclude the possibility of design modification during
implementation. Moreover, the independent monitor will oversee all RPs to be implemented under UPMDRIP. Given that the
negotiated settlements are encouraged by SPS and the approved RF between ADB and UPPWD, there is a need to ensure that the
process has been fair and transparent by a third party.
 35

XII. IMPLEMENTATION SCHEDULE

110. The proposed RP implementation activities are divided into three set of activities
regarding RP preparation implementation, and monitoring and reporting activities. Each of these
is discussed below.

 RP Preparation Activities: The activities to be performed in this phase include:

the preparation of the RP, including conducting consultations, the approval and
disclosure of the RP by ADB and UPPWD, the recruitment/mobilization of the
RP implementing NGO, the appointment of the Social Safeguards Officer at
central level and Safeguards focal point at field-level PIU, the establishment of
the GRM.
 RP Implementation Activities: The key activities to be carried out include the
EA/PIU trainings, the distribution of leaflets by the INGO and entitlement matrix,
RP summary distribution campaign, the posting of GRM focal point in strategic
location, the preparation of microplans by the INGO verifying the final list and
ILO of APs, the payment of compensations and other rehabilitation assistances
measures, the conduction of the Skills improvement program. Stakeholder
consultations related to implementation activities will start at this stage and
continue till the end of the project.
 Monitoring and Reporting Activities: Internal/external monitoring will
commence as soon as RP implementation begins and continue until the
completion of all resettlement activities. External monitoring will include the
preparation of semi-annual social monitoring reports and completion reports.

111. The RP implementation schedule with the various sub tasks and related timelines
matching with civil work schedule is provided in Table 17.
36

Table 17: RP Implementation Schedule

2015 2016 2017
Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4
Carry out census survey
Public consultations with DPs
and other stakeholders
Preparation of Resettlement
Plan
Submission of RP for ADB
review and approval
RP Disclosure
Hiring of CSC
Setting up PMU, EA and PIU
safeguards staff
Hiring of NGO / R&R
Implementation Agency for RP
Implementation
EA, PIU training
RP and EM dissemination at
local level
Set up Grievance Committees
Verification of AP list
Skills Development Training
Assessment
Provision of notification to APs
Verification of tariff structure
Disbursement of R&R
Assistance
Demolition and Relocation of
Affected Structures (after
compensation has been paid)
Handing over to contractor
Notify the date of start of civil
works
Skills Development Training
implementation
Internal Monitoring – Quarterly
reporting to ADB
External Monitoring – Semi-
annual social monitoring report
to ADB
Resettlement completion report
 37

XIII. MONITORING AND EVALUATION

A. Internal Monitoring

112. Internal monitoring will be the responsibility of the PIUs, which will include:

 Administrative monitoring: daily planning, implementation, feedback and trouble

shooting, individual AP database maintenance, and progress reports
 Socio-economic monitoring: case studies, using baseline information for comparing
AP socio-economic conditions, evacuation, demolition, salvaging materials, morbidity
and mortality, community relationships, dates for consultations, and number of appeals
placed; and
 Impact evaluation monitoring: Income standards restored/improved, and
socioeconomic conditions of the affected persons. Monitoring and evaluation reports
documenting progress on resettlement implementation and RP completion reports will
be provided by the PIUs to EA for review and approval from ADB.

113. The EA, with the support of the RP implementing NGO/Consultant and CSC will be
responsible for overall internal monitoring and evaluation of the project progress for resettlement
implementation. The INGO will prepare monthly monitoring reports of RP implementation, which
will be checked by CSC and field PIU and submitted to Social Safeguards Officer at UPPWD
central level. The internal monitor will monitor and verify RP implementation to determine
whether resettlement goals have been achieved, livelihood and living standards have been
restored, and provide recommendations for improvement.

B. External Monitoring

The CSC Resettlement Specialist will act as external monitor for the project. An important
function of external monitoring is to advise the EA on safeguard compliance issues. If significant
non-compliance issues are identified, the EA is required to prepare a corrective action plan to
address such issues. The EA will document monitoring results, identify the necessary corrective
actions, and reflect them in a corrective action plan. The EA, in each quarter, will study the
compliance with the action plan developed in the previous quarter. Compliance with loan
covenants will be screened by the EA. Monitoring will also ensure recording of AP’s views on
resettlement issues and grievances. The external monitor will prepare biannual monitoring
reports during the R&R implementation period for submission to the EA and ADB. A completion
report will be sent to ADB at the end of resettlement activities. Suggested monitoring indicators
can be found in Annex 15.

114. The CSC will support the preparation of the semi-annual monitoring report and
completion report. These will be disclosed on ADB and the EA’s websites.

C. Independent Monitor

115. The Independent Monitor will be recruited to evaluate the implementation of all RPs
under UPMDRIP upon completion of their implementation. There is no private land acquisition
for this subproject road. However, should there be design changes during implementation and
private land acquisition through negotiated settlement is required, the Independent Monitor will
certify the transparency and fairness of the process.
38 Annex 1

ANNEX 1 - LIST OF PROJECT ROADS

S. No. Road No Name of the Project Road District name Length (Km)
Hussainganj- Hathgaon-
1 MDR 81C Fatehpur 36
Auraiya-Alipur
2 MDR 82W Nanau to Dadau Aligarh 30
Muzaffarnagar and
3 MDR13W Muzaffarnagar to Baraut 59
Baghpat
4 MDR 66E Haliyapur to Kurebhar Sulltanpur 96
Kaptanganj-Hata-Gouribazar & Deoria and
5 MDR O31 84
Kaptanganj-Naurangiya Kushinagar
Bulandshahar to
6 MDR 58W Bulandshahar 36
Anoopshahar
Mohanlalganj – Morava-
7 MDR 52C Unnao 54
Unnao Marg
Etah and
8 MDR 45W Aliganj-Suron Marg 36
Kanshiram Nagar
Total Road Length 431
 Annex 2 39

ANNEX 2 - WIDENING SCHEME MOHANLALGANJ-UNNAO ROAD

Definitions:

Concentric widening: widening on both sides of the road corridor.

Acentric widening: widening on one side of the road corridor.

TCS
FROM TO TCS TYPE NO.
0 950 CONCENTRIC-URBAN-RECONSTRUCTION 1
950 2100 WIDENING-RURAL-OVERLAY 3
2100 2700 CONCENTRIC-URBAN-RECONSTRUCTION 1
2700 7300 WIDENING-RURAL-OVERLAY 3
7300 8300 CONCENTRIC-URBAN-RECONSTRUCTION 1
8300 12600 WIDENING-RURAL-OVERLAY 3
12600 12950 REALIGNMENT FOR NEW BRIDGE-RURAL 4
12950 16900 WIDENING-RURAL-OVERLAY 3
16900 17700 CONCENTRIC-URBAN-RECONSTRUCTION 1
17700 18300 CONCENTRIC-RURAL-RECONSTRUCTION 2
18300 19000 CONCENTRIC-URBAN-RECONSTRUCTION 1
19000 23300 WIDENING-RURAL-OVERLAY 3
23300 24950 WIDENING-URBAN-RECONSTRUCTION 1
24950 25000 WIDENING-RURAL-OVERLAY 3
25000 26000 CONCENTRIC-RURAL-RECONSTRUCTION 2
26000 29000 WIDENING-RURAL-OVERLAY 3
29000 30600 CONCENTRIC-RURAL-RECONSTRUCTION 2
30600 31800 CONCENTRIC-URBAN-RECONSTRUCTION 1
31800 36000 CONCENTRIC-RURAL-RECONSTRUCTION 2
36000 41100 WIDENING-RURAL-OVERLAY 3
41100 44400 WIDENING-URBAN-RECONSTRUCTION 1
44400 44650 REALIGNMENT FOR NEW BRIDGE-RURAL 4
44650 50000 WIDENING-RURAL-OVERLAY 3
50000 52000 CONCENTRIC-RURAL-RECONSTRUCTION 2
52000 54113.583 WIDENING-RURAL-OVERLAY 3
Source: Detailed Design Report (DPR Consultant)
 40 Annex 3

ANNEX 3 - HOT SPOTS AND SUGGESTED ADDITIONAL MITIGATION MEASURES

The survey was conducted within a 14 meters corridor of impact (i.e. 7 meters each side from
the centerline of the existing carriageway), and the data was analyzed to identify the congested
areas and the stretches, which requires special consideration. If the Corridor of Impacts (CoI) be
further reduced to 12 meters in these congested areas, the resettlement impacts would reduce
significantly. The CoI has been reviewed and restricted to 12 mtrs for now, which could meet the
minimum width for traffic and safety purposes. Moreover, the EA has also given the consent to
minimize the COI up to 12 meters during implementation. The summary of the impacts are
represented in Table A below:
Table A: Location wise impact on properties
Total Nos of Affected Structures (Private, CPRs & Govt)
on comparative basis for all hot spot affected villages
No. of Structures
After Mitigation
Name of the
Sl. No Measure Before Mitigation Measure
Settlement
(Up to 12 (Up to 14 Meters)
Meters)
1 Mohanlalganj 13 25
2 Dhanwara 1 3
3 Sishendi 0 3
4 Jabrella 4 8
5 Bhawaniganj 2 9
6 Sagouli 3 7
7 Morowan 2 10
Total 25 65

Table B below provides more details on the reasons for which the place has been identified as a
hot spot, along with suggestions to mitigate negative impacts.

Table B: Location identified as critical areas & Mitigation Measures

Sl. Village Name Reasons for being Hot spot Suggested Mitigation Measures Status
No.

1. Mohanlalganj  Mohanlalganj town is located It is suggested to design so approved

very close to the road. Nearly meticulously with in available
(Km.0.000) 13 residential, commercial WIDTH (9-10 mtrs). This will help in
and other structures are avoiding the total structures
located along the road that affected as well as loss of livelihood
shall be partially affected up of the Mohanlalganj business men.
to 12 meters and if we are It will also help in minimising the
going for 14 meters 25 negative impact to a greater extent.
residential, commercial and
other structures will also be Also restricting traffic speed in built
partially affected. up areas and providing design to
accommodate and avoiding
unnecessary displacement
2. Dhanwara  Dhanwara is a rural village It is suggested to shift the alignment approved
and famous for its old (Eccentric widening) to the right
 Annex 3 41

Sl. Village Name Reasons for being Hot spot Suggested Mitigation Measures Status
No.

(Km. 4.200) badebaba temple attached hand side as ample of PWD govt
with a 100 years of big Peppal vacant land is available.
tree. Temple is located very A discussion was held during the
close to the road that shall be course of the Census and Socio-
affected up to 12 meters. economic survey with the temple
committee members, Village
Pradhan along with the design
team (DPR Consultant) regarding
avoiding the demolition of old
temple. After discussion with the
UPPWD, it was decided to shift
alignment to the right side of the
road to avoid the temple.

3. Sishendi  Sisendi is a rural village It is suggested to shift the alignment approved

where most of the households (Eccentric widening) to the right
(Km. 9.300) depend upon cultivation. If we hand side as ample of PWD govt
are going for 12 meters a vacant land is available.
small temple which is located
very close to the road will be A discussion was held during the
fully affected. course of the Census and Socio-
economic survey with the temple
committee members, Village
Pradhan along with the design
team (DPR Consultant) regarding
avoiding the demolition of old
temple. After discussion with the
UPPWD, it was decided to shift
alignment to the right side of the
road to avoid the temple.

4. Jabrella  As many as 8 structures It is suggested to design so approved

including a small temple will meticulously with in available
(Km. 13.000) be partially affected if we WIDTH (9-10 mtrs).
could go for widening the road
up to 14 mtrs. The old temple During consultation with the
is situated right on the end of concerned authorities/communities
a river bridge which is a bone (temple committee and
of contention for the avoiding Pradhan/Chairman) the impact on
the temple from demolition. temple was discussed. They
suggested unanimously without any
objection that there will be no
problem for the removal of temple.
Thus for this if required
consultations will be conducted
during implementation.

5 Bhawaniganj  Bhawaniganj village is also It is suggested to relocate the approved

(Km. 24.000) located very close to the road. temple with in the village as already
As many as 9 commercial, temple committee land is available
residential and a religious for relocating the temple.
structures will be partially A discussion was held during the
affected if we could go for course of the Census and Socio-
 42 Annex 3

Sl. Village Name Reasons for being Hot spot Suggested Mitigation Measures Status
No.

widening the road up to 14 economic survey with the temple

meters and if we are going for committee members, Village
12 meters only a old Durga Pradhan along with the design
Maa temple will be affected. team (DPR Consultant) regarding
relocation the of old temple. The
temple committee agreed to
provide land for relocation of
temple which is owned by temple
committee. After discussion with
the UPPWD, it was decided to
relocate the temple with in the
village.
6 Sagouli  Sagouli is a rural village which It is suggested to design so approved
(Km.26.500) is famous for its famous meticulously with in available
temple and Madrassa, where WIDTH (9-10 mtrs).
more than 1000 people use to
gather to offer their pray daily. A discussion was held during the
Temple and Madrassa are course of Census and Socio-
situated just 4.5 meters away economic survey with the temple
from the Centreline of either and madrassa committee
side of the road. So both members, Village Pradhan along
temple and Madrassa would with the design team (DPR
be demolished in this case as Consultant) regarding avoiding
per design guideline of 12 the demolition of Temple and
meters. Madrassa. After discussion with
the UPPWD, it was decided to
widen the alignment with in
available Width.

7 Maurwan (Km.  Maurwan town is located very Widening up to 12 mtrs is approved

31.500) close to the road. Nearly 2 recommended, which could avoided
commercial and other the impact on population from 10
structures are located along structures to 2.
the road that shall be partially
affected up to 12 meters and
if we are going for 14 meters
10 residential, commercial
and other structures will also
be partially affected.
 Most of them are depend
upon business and shall be
losing the livelihood directly
 Annex 4 43

ANNEX 4 - DESCRIPTION OF METHODOLOGY TO ASSESS THE RIGHT OF WAY (ROW)

Approach taken to substantiate Right of Way (RoW) records

1. In the process to collect the information on ROW for the sub-project road, first local PWD
office was contacted and received an official confirmation of ROW from the office. Moreover, an
authentication of ROW from the Revenue department was also important in the process,
however, collection of information from the revenue department within a limited timeframe was a
phenomenal task.

2. Revering the concern on documentary evidence, a serious discussion with UPPWD

was held on 15th May 2015 at Chief Engineer’s office, Lucknow. In response, a letter has been
written by the chief Engineer’s office to all the concerned district magistrate to instruct and direct
their local revenue office to provide ROW details for all the concerned sub-project roads (Refer
letter no.-431/2-02/UPADB/CEWB/2013, dated 15th May 2015). But this process itself was not
so easy as about 14 districts were identified as affected by the project and within all the
concerned districts a number of revenue offices at Tehsil and Panchayat level were required to
be contacted to get the information, once the local revenue office get the instruction from DM
office.

3. This process, itself was taking so much of time to collect the required information within
limited resources as it was very difficult to approach/contact the DM for obtaining maps
individually, as he is the key officer in the district and look after district administration and allied
tasks. In addition, getting certification on each map is a huge task because the Lekhpals of
Panchayats, who are significant in number (about 32), are available in their office on 1-2 days in
a week to share details of maps.

4. Keeping in mind all the endorsed constraints, it has been finalized to collect the Sajra
Map of sub-project road from local Lekhpal (revenue official at panchayat level) and analyze the
ROW details chainage wise and prepare a table of ROW for different locations. However, given
the timeframe following action was taken to collect the ROW details for complying with ADB
requirements:

a) Given the time constraints, 10 - 15% of Sajra Map on sample basis, spread over
entire alignment has been collected. However, within that sample, special care
was taken to collect all maps of very congested and habitation area, where
resettlement impacts are most severe.
b) The copy of Sajra Map of all the significant area, with respect to resettlement,
was collected from the local Lekhpal showing the ROW
c) The PWD staff verified the ROW by signing on the respective map.
d) On the basis of collected Sajra Map, the ROW was marked and calculated by
CADD Expert and a Table was prepared on excel sheets, delineating the ROW
details at different locations.
44 Annex 4

Certified Sajra Map on sample basis (10-15%)

Village: Bhansda

Village: Bhondri

Village:
Dehwa
 Annex 4 45

Village: Minapur
46 Annex 4

Village: Sisandi

Village: Uttargaon
 Annex 4 47

Width of the Existing RoW as confirmed with Revenue Department

Table 2: Width of the Existing RoW

(Source/Basis- Sajra Map of affected Villages)

Ending
Sl. No. Starting Chainage Minimum Maximum
Chainage
1
2 1800 2300 22.04 28.7
3 2300 2800 23.26 27.4
4 2800 3300 24.91 34.79
5 3300 3800 23.74 31.59
6 3800 4300 21.15 30.04
7 4300 4800 19.58 25.15
8 4800 5300 18.33 26.15
9 5300 5800 23.58 29.92
10 5800 6300 23.88 33.02
11 6300 6800 26.42 35.72
12 6800 7300 28.81 36.85
13 7300 7800 23.63 38.39
14 7800 8300 12.58 19.85
15 8300 8800 14.37 21.46
16 8800 9300 16.34 34.69
17 9300 9800 15.85 29.72
18 9800 10300 22.93 30.25
19 10300 10800 23.16 28.45
20 10800 11300 25.29 30.5
21 11300 11800 27.51 33.38
22 11800 12300 19.63 31.51
23 12300 12800 27.54 35.42
24 12800 13300 25.24 31.87
48 Annex 7

ANNEX 5 – LIST OF AFFECTED PERSONS [CONFIDENTIAL/AVAILABLE UPON REQUEST]

 Annex 7 49

ANNEX 6 – EXTENT OF IMPACT ON PRIVATE STRUCTURES [CONFIDENTIAL/AVAILABLE UPON REQUEST]

 50 Annex 7

ANNEX 7 - LIST OF AFFECTED CPRS/ GOVT. PROPERTIES

TA-8427 IND: UTTAR PRADESH MAJOR DISTRICT ROAD INVESTMENT PROGRAM (43574-022)
Project Road: Mohanlalganj-Unnao Road
List of Religious/ Community / Common Property Resources (CPRs) of the Project Road
Total
Dist Area Total
Total Area (in Total Affected Types
anc (in affect
Type Sq.M) Area (in Sq.M) Scale of Types

District
e Sq ed

State
Side
Sl.N Chainag Village / of of Impact of
fro Mtrs) Area
o e Hamlet Proper Impact (Partial constru
m No. No. (in
ties (%) ly or ction
PC Leng Wid of Len Wid of Sq.
Fully)
L th th Floo gth th Floo Mtrs)
rs rs
List of Religious Structures
Rani 2.2
1 2.3 RIGHT UP Lucknow Temple 5.5 1.5 1.5 1 1.5 0.5 1 0.75 33 Fully Pucca
Kheda 5
2.2
2 13 RIGHT UP Lucknow Jabrela Temple 3 1.5 1.5 1 1.5 1.5 1 2.25 100 Fully Pucca
5
Kalukhe
3 17 RIGHT UP Lucknow Shrine 5.5 1 1 1 1 1 0.5 1 0.5 50 Fully Pucca
da
Bhawani Partiall
4 24.03 LEFT UP Unnao Temple 5.2 4 4 1 16 4 0.8 1 3.2 20 Pucca
Ganj y
Temple
Maurwa Partiall
5 31.5 RIGHT UP Unnao (Boundary 5.8 9 9 1 81 9 0.2 1 1.8 2.2 Pucca
n y
wall)
Mihir
6 35.95 RIGHT UP Unnao Shrine 4.3 1 1 1 1 1 1 1 1 100 Fully Pucca
Kheda
List of Community properties
Mohanla
7 0.29 RIGHT UP Lucknow HP 5.8 NA NA NA NA NA NA NA NA 100 Fully Kutcha
l Ganj
Mohanla
8 2.6 RIGHT UP Lucknow HP 5.5 NA NA NA NA NA NA NA NA 100 Fully Kutcha
l Ganj
Uttar
9 7.5 LEFT UP Lucknow HP 5.5 NA NA NA NA NA NA NA NA 100 Fully Kutcha
Gaon
Shesha
10 7.9 RIGHT UP Lucknow HP 5.5 NA NA NA NA NA NA NA NA 100 Fully Kutcha
ndi
Ameliha
11 10.2 RIGHT UP Lucknow HP 5 NA NA NA NA NA NA NA NA 100 Fully Kutcha
Kheda
12 13.02 RIGHT UP Unnao Jabrela HP 5.5 NA NA NA NA NA NA NA NA 100 Fully Kutcha
13 15.98 LEFT UP Unnao Sarinda HP 5 NA NA NA NA NA NA NA NA 100 Fully Kutcha
Kancha
14 18.85 RIGHT UP Unnao HP 5 NA NA NA NA NA NA NA NA 100 Fully Kutcha
npur
 Annex 7 51

Kancha
15 18.9 LEFT UP Unnao HP 6 NA NA NA NA NA NA NA NA 100 Fully Kutcha
npur
Bhawani
16 24 RIGHT UP Unnao Well 4.5 NA NA NA NA NA NA NA NA 100 Fully Kutcha
Ganj
Bhawani
17 24.037 RIGHT UP Unnao HP 5 NA NA NA NA NA NA NA NA 100 Fully Kutcha
Ganj
18 42.85 LEFT UP Unnao Purwa HP 5.5 NA NA NA NA NA NA NA NA 100 Fully Kutcha
Park
(Bound 40 Partiall
19 43.5 RIGHT UP Unnao Purwa 3.1 20 20 1 20 2.9 1 25.8 6.25 Pucca
ary 0 y
wall)
20 47.7 RIGHT UP Unnao Purwa HP 6 NA NA NA NA NA NA NA NA NA Fully Kutcha
21 52.1 RIGHT UP Unnao Purwa HP 5.5 NA NA NA NA NA NA NA NA NA Fully Kutcha
List Of Government Properties
School
Mohanla (Bound
22 0.01 RIGHT UP Lucknow 5.5 19 4 1 76 19 0.5 1 20 26.4 Fully Pucca
l Ganj ary
wall)
52 Annex 8

ANNEX 8 - DESCRIPTION OF THE CONSULTATION PROCESS

1. This Annex provides a summary of the key findings from the different consultation
methods undertaken during the consultation process (i.e. public consultation meetings, FGDs,
etc…).

A. Public Consultation Meetings/Individual interviews:

2. Table A below relates to the public consultation meetings, where a significant number of
persons participated in the consultations, undertaken during the process at different sections of
the road.

Suggestions of DPs Mitigation Measures / Design

Name of the Village Issues Raised
(Response) Approach
Encroachment DPs said that they are well Assistance to all encroachers and
outside of RoW and clear squatters as per Entitlement Matrix
space of 12 m is available.
VILLAGE- DHANWARA Widening option Should be widened according to Concentric Widening
DISTT- Lucknow the land availability on either
(04/06/2015) VENUE- side of the road
Infront of Temple Shifting of religions Relocation of Bade Baba Discussed with UPPWD officials and
XXXXXXXXXX structure temple should be carried out in DPR design team regarding avoiding
No. of Participants: 15 consultation with village the demolition of Temple and finalized
community that shifting of alignment (Eccentric
widening) to the right hand side as
ample of PWD govt. vacant land is
available.
Encroachment DPs agreed that they are Assistance to encroachers and
encroachers. Clear space of squatters as per R&R
10-12 m is available. Policy
Widening option Concentric Widening Concentric Widening
Shifting of religions Village community should be It will be tried not to relocate the
structure consulted. Relocation site and religious structures, however, if
VILLAGE- JABRELLA process will be finalized by the required it will be relocated in
DISTT- LUCKNOW Community. consultation with the
(04/06/2015) VENUE- village community
Anganwadi Centre Drainage Provide drain along with road Covered Drainage facility in every
Mrs. Tripathy to reduce water logging urban area and earthen drainage in
No. of Participants: 11 rural area
Compensation Cash compensation at As per the policy, compensation will
replacement value be provided at replacement value
Safety Speed breakers be provided at Various safety signage will be
the both end of the village provided. Footpath and safety railing
in every urban area. Project has a
separate component on road safety.
Impact on Road should be widened with It will be tried not to demolish the
Commercial in available RoW commercial structures, however if
Structures required compensation will be given
as per EM

VILLAGE- KALUKHDA Employment Permanent employment either As per the policy, contractor to give
DISTT- UNNAO with the government or private preference to local population. RP
(01/06/2015) VENUE- implementing Consultant/NGO will
HOUSE OF PRADHAN provide training for self-employment
XXXXXXXXXXXXX for eligible DPs
No. of Participants: 14 Compensation Cash compensation at Compensation will be provided at
replacement value replacement value as per the
Entitlement Matrix
Compensation for Compensation for private tree The cost of private tree as expected
private Tree should be given to the owner compensation may be given to the
owner
VILLAGE- BHAWANIGANJ Shifting of religions Relocation of Maa Durga It is suggested to relocate the temple
 Annex 8 53

Suggestions of DPs Mitigation Measures / Design

Name of the Village Issues Raised
(Response) Approach
DISTT- UNNAO structure temple should be carried out in with in the village as already temple
(03/06/2015) VENUE- consultation with village committee land is available for
PRADHAN HOUSE community relocating the temple.
XXXXXXXXXXXXX A discussion was held during the
No. of Participants: 34 course of the Census and Socio-
economic survey with the temple
committee members, Village Pradhan
along with the design team (DPR
Consultant) regarding relocation the of
old temple. The temple committee
agreed to provide land for relocation of
temple which is owned by temple
committee. After discussion with the
UPPWD, it was decided to relocate the
temple with in the village.
Compensation for Cash compensation at As per the Entitlement Matrix,
structures replacement value compensation will be provided at
replacement value
Widening Option Road should be widened on Concentric Widening
both side as per the clear
space available
Encroachment DPs agreed that they are Assistance to encroachers and
encroachers. Clear space of 8- squatters as per R&R policy
10m is available. Suggested
road construction within
available RoW
Impact on Religious Avoiding the impact on temple It is suggested to design so
Structures and Madrassa from being meticulously with in available ROW
demolition (9-10 mtrs).
A discussion was held during the
course of Census and Socio-
economic survey with the temple and
VILLAGE-SAGOULI DISTT- madrassa committee members,
UNNAO (02/06/2015) Village Pradhan along with the design
VENUE-INFRONT OF team (DPR Consultant) regarding
TEMPLE avoiding the demolition of Temple
Pradhan and Madrassa. After discussion with
XXXXXXXXXXXXXX the UPPWD, it was decided to widen
No. of Participants: 20 the alignment with in available RoW.
Compensation for Should be provided at Compensation at replacement value
private structures replacement value as per the entitlement matrix
Safety Speed breaker and median Footpath and safety railing in every
should be provided, urban area
Widening Option Road should be widened in Road widening will be with in
such a way that impact on available RoW
commercial and residential
structures would be minimized
Demolition of New structures be provided Cash compensation at replacement
commercial structures before demolition of existing cost will be provided if partially
one. affected
Drainage Drains should be provided Covered Drainage facility in every
urban area and earthen drainage in
rural area
Shifting of religions Village community should be It will be tried not to relocate the
VILLAGE
structure consulted. Relocation site and religious structures, however, if
MOROWAN
process will be finalized by the required it will be relocated in
DISTT- UNNAO
Community. consultation with the village
(04/06/2015)
community
VENUE-BUS STAND
Compensation for Should be provided assistance Provision of EDA assistance as per
XXXXXXXXXXX
temporary disruption by EA Entitlement Matrix
No. of Participants: 23
of business
Safety Speed breaker and median Footpath and safety railing in every
should be provided, urban area. Project has a separate
component on road safety
54 Annex 8

Suggestions of DPs Mitigation Measures / Design

Name of the Village Issues Raised
(Response) Approach
Provision of Civic Street light, Divider, Yatri Shed, Provision of Divider and Street light
amenities Drinking Water and Common on the road is out of project preview.
Toilet should be provided However facilities like drinking water,
yatri shed and common toilet may be
facilitated
Demolition of New structures be provided Cash compensation at replacement
commercial structures before demolition of existing cost will be provided if partially
one affected
Awareness about the Discussed on start and end Made apprised about the project
project point and also commencement summary
of service of the project
Widening option Issues discussed regarding Participants were explained that
confirmation of widening the existing road will be widened to 2
road in to 2 lane or 4 lane lanes with the help of ADB grant.
VILLAGE
Provision of Service Provide service lane to for If technically feasible the service lane
PURWA
lane smooth running of local traffic will be provided
DISTT- UNNAO
(01/06/2015) Compensation/Assist Cash compensation at They were told that first; the efforts
VENUE-Gram ance for both replacement value are being made not to acquire land. If
Pradhan office structures and land required compensation will be
XXXXXX decided as per the policy/private
No. of Participants: 9 negotiation with farmer following a
govt. order of UP and for structures,
compensation will be decided as per
EM and BSR rate
Provision for CC road CC road should be provided in If technically feasible the CC road with
the town area only in town area will be provided

Awareness about the Discussed on start and end Made apprised about the project
project point and also commencement summary
of service of the project
Provision of Civic Street light, Divider, Yatri Shed, Provision of Divider and Street light
amenities Drinking Water and Common on the road is out of project preview.
VILLAGE Toilet should be provided However facilities like drinking water,
MANGATKHEDA yatri shed and common toilet may be
DISTT- UNNAO facilitated
(04/06/2015) Demolition of New structures be provided Cash compensation at replacement
VENUE-PRADHAN commercial structures before demolition of existing cost will be provided if partially
HOUSE & MARKET one affected
PLACE Safety Speed breakers be provided at Various safety signage will be
XXXXXXXXX the both ed of the village provided. Footpath and safety railing
No. of Participants: in every urban area. Project has a
36 separate component on road safety.
Employment Permanent employment either As per the policy, contractor to give
with the government or private preference to local population. RP
implementing Consultant/NGO will
provide training for self-employment
for eligible DPs

B. Focus Group Discussions with Specific Groups

3. Focus groups provide more in-depth insights on people’s views about the project and
specific needs. Focus groups can reveal a wealth of detailed and in-depth information on the
issue of a particular group. Focus groups were held for women, business men and farmers, all
three of these groups are considered as special stakeholders of this project whose views were
particularly important to include in the design of this RP.

1. FGDs with Women along the Project Road

 Annex 8 55

4. Women focus groups were conducted in Jabrela and Bhawaniganj. It is important to

mention that in spite of these efforts to involve women, many were not willing to participate in
the FGDs and participation was limited to 25 women. Key concerns raised related to property
acquisition during road construction, safety concerns with the road impact on existing public
infrastructure.

Table B: Women FGDs

Participants Issues raised by Women Observations and Suggestions
FGDs for Women  Women are not sure about the exact road  Women were made apprised about the project and
participants alignment as no centre line pillars nor are any road alignment.
other benchmarks marked.
Village- Jabrella  Women of the affected structures/land  They were told that the project is not going to
requested to realign the road, so that their acquire the private land, however, the structures
Village- structures/land may not be affected. within corridor of the impact, will be adequately
Bhawaniganj compensated.

 Women enquired about the compensation  Compensation will be paid as per Basic Schedule
that shall be provided to them. rate of PWD, which will be equivalent to replacement
cost of the structures. There will be no depreciation
of cost estimation
 Road safety measures should be provided.  Road safety signs would be provided at various
locations to avoid accidents
 Provision of a bus stop and public  The Technical Design team will be apprised by this
conveniences should be made requirement. And they will provide the Bus Stop at
appropriate Place.
 Employment  The eligible women will be given preference in
employment during construction of the road
 Equal wage for equal task  The women were ensured that the women, who will
be working for the project will be given equal wage
for equal work
 Human Trafficking/ Child labour/ Health  The women group were made aware on human
(HIV/AIDS) trafficking, child labour, road safety and road related
diseases
 Impact on drinking water (i.e. hand pump)  The relocation of affected source of water will be
should be shifted in another place for properly shifted
villagers.

2. FGDs with the business community

5. FGDs were conducted in the market towns of morowan, Purwa and Mangatkheda
located at chainages km 31.000, Km.42.500 and 52.100, respectively. They are the most
urbanized settlements along the corridor, with 90% people depend on business activities and
where many of the structures likely to be impacted are commercial in nature. Morowan and
Purwa in particular is an important market where local people around the project influence area
visits to buy and sell their commodities. FGDs were organized in these two market towns to
inform the business community about the project and to voice their concerns and suggestions. A
total of 55 business owners participated. Their key concerns related to land and property
acquisition, the need for parking spaces and public facilities such as toilets.

Table C: Business community FGDs

Participants Issues raised by Businessman Observations and Suggestions
FGDs for with  Awareness about the project  The participants were made apprised about the project and
Business and project features road alignment.
Communities
At  Avoid acquisition of main  The business communities were told that all the efforts will
Mourwan, Purwa building, being used as be made to avoid the acquisition of main building. However,
56 Annex 8

Participants Issues raised by Businessman Observations and Suggestions

and Mangatkheda commercial purposes if required temporary structures within Row will be
dismantled to facilitate the road construction
 Compensation/ Assistance for  The business communities were told that there is provision
temporary disruption in business of EDA assistance in the entitlement matrix and they will be
adequately assisted
 Provision of Service lanes on  If technically feasible the service lane will be provided
both sides of the existing road
 Parking space for vehicle  There is no provision for providing parking space along the
road in market area within the project preview
 Provision for drainage system  Covered Drainage system will be constructed in both side of
as water logging is a major the road, which will be used as footpath in the urban area
problem during the rainy season
 Wayside facilities such as parks,  No provision within the project preview for park. However
toilet toilet may be expected to installed.
 Safe access to cross the road  Though the sub-project is limited to up-gradation of existing
road up to 2 lane. However, being Purva, Mourwan as the
big market area, provision for the Safe access to reach and
cross the existing road like Zebra crossings etc. for
pedestrians, school going children and women, shall be
explored during designing

3. Consultation with Farmers group along the Project Road

6. To understand the concern of farmers and scheduled caste (SC) group, a consultation
with them has been initiated by the consultant team in Dhanwara and Mangatkheda Village at
chainage km 4.200 and 52.100 respectively in the district of Unnao. The farmers of this region
largely depend upon agriculture and sugarcane is the main crop of the project area followed by
wheat. A total of 28 farmers and SC person participated. Their key concerns related to land
acquisition and fair compensations.

Table D: Farmers community FGDs

Issues raised by
Participants Observations and Suggestions
Businessman
 FGDs for with Farmer  Awareness  The participants were made apprised about the project and road alignment.
and SC Communities about the
at Dhanwara & project and
Mangatkheda project features
 Avoid  The Farmers were told that all the efforts is being made not to acquire the
acquisition of private land for up gradation of road. However, if required, the land will be
land acquired through private negotiations with affected farmers, following a GO
(government Order) of Govt. of Uttar Pradesh. It will be prudent to mention
here that the Govt. of U.P has recently issued a GO for direct purchase of
the land from landowners through private negotiations. To acquire the land
through this latest policy, LA will be easier and convenient not only for govt
but also in the benefits of the farmers. If acquisition through this policy fails,
the LA may be resorted as per RFCT LA R &R act 2013.
 Adequate  The project is not interested in acquiring the private land as existing ROW is
Compensation/ sufficient to accommodate the improvement, however, if required, the
of land compensation of the acquired land will be almost 4 times of the prevailing
market rate in rural areas as as per RFCT LA R &R act 2013 or GO of U. P
state on new policy
 Facilitation in  The farmers were very happy to know about the project. They opined that
transporting the the improvement will certainly increase their income and social status.
agricultural
product to main
market
 Annex 9 57

ANNEX 9 - TEMPLATE PUBLIC CONSULTATION AND DISCLOSURE PLAN

Activity Task Agencies Timing Completed/ Remarks

(Date/ still to be
Period) conducted
RP Disclosure Disclosure of the RP ADB-EA
on ADB’s and the
EA’s websites
RP Distribution of PIU Field
information information leaflets in Office
dissemination local language /Implementing
Dissemination Post contact NGOField
PIU
local Grievance number/location of Office
Officer contact local PIU Grievance
information Officer in strategic
locations
Consultative Discuss potential PIU Field Quarterl
meetings with impacts of the sub- Office / y
APs project Implementing
(ongoing) NGO
58 Annex 10

ANNEX 10 - DETAILS ON THE DATA COLLECTED FOR GENDER ANALYSIS DURING

THE CENSUS SURVEY

A. Women Headed Households

1. There are two women headed households affected in the sub-project road.
women headed households are considered as vulnerable and provision for additional
assistance (lump sum amount at Rs.10,000/- per affected households) has been made in
the entitlement of the RP. Provision for equal wage and health safety facilities during the
construction will be ensured by the EA. Therefore, the sub-project activities will not have any
negative impact on women.

B. Gender Disparity in Sex

2. Uttar Pradesh has always recorded sex ratio below the all-India level and one
primary reason is female infanticide and preference of son. The situation is good in the
project road where sex ratio is 939 as compared to 912 in the state and 943 in the
country. With regards to Sex Ratio in Lucknow and Unnao districts, it stood at 917 and
940 per 1000 male compared to 2001 census figure of 888 and 907 respectively. The
average national sex ratio in India is 943 as per latest reports of Census 2011

Table 3: Sex Ratio

Sex Ratio
Location
2011 2001
Project road 939
Lucknow 917 888
Unnao 940 907
Uttar Pradesh 912 898
India 943 934
Source: Census of India, 2011 and Field Survey results.

C. Education

Female Literacy Rate

3. Will improvement in female literacy ensure greater gender equality can be stated
with a certain degree of certainty that improving the education of women will lead to
gender development; it is difficult to affirm that improvements reflected t hrough this
variable of female literacy alone will be sufficient to bring about women’s equality.

Table 5: Female Literacy and Gender Gap in Literacy

Female Literacy Gap in Literacy
Location Rank Rank
in % in %
Project road 57.13 21.43
Lucknow 71.54 60.47
Unnao 56.76 41.59
Uttar Pradesh 42.98 4 27.25 3
India 54.16 21.69
Source: Census of India, 2011 and Primary Survey

D. Women’s Health

4. The NFHS III findings highlight that in U.P. 53 percent of the respondent women
(between the age of 20-24) were married by the age of 18. While this figure was 30
percent in the urban area, it was a high 60.1 percent in the rural area. 14.3 percent
 Annex 10 59

women between the age of 14-19 were already mothers or pregnant at the time of the
Survey. The situation in project corridor is no difference as mean age of marriage for
girls is 17 years.

5. Public Hospitals are available in the district headquarters of Lucknow and Unnao
for the people. However, PHC (public health centre) exists at several locations like
Mohanlalganj, Kaukheda, Morowan and Purva etc.

E. Women’s Role in Household Economy

6. The predominant activity of women is household work where they spend most of
their time. Additionally, women spend time in supporting their male partner for the business
activities. Women also participate in the cultivation and spent time for livelihood in
agricultural and non-agricultural laborers. Details of the activities of women are given in
Table 6:

Table 6: Usual Activity of Affected Women

Usual Activity N=23 %
Cultivation 2 8.70
Allied Activities* 3 13.04
Collection of fuel fodders 4 17.39
Trade & Business 19 82.61
Agricultural Labour 2 8.70
Non Agricultural Labour 2 8.70
HH Industries 0 0.00
Service 0 0.00
Households Work 23 100.00
Relaxation & Entertainment 10 43.48
Source: ICT Socio-economic Survey, 2015

F. Decision Making Power among Women DPs

7. During the socio-economic survey of DPs and group discussion, various issues
related to household matter were raised viz., their importance in financial matter, child’s
education, child’s health care, purchase of assets, day to day activities, marriages and
other functions, etc. As the table below shows women participation in socio-cultural
activities is very low, therefore they leg behind men on almost all the socio-economic
indices. Majority of women DPs have said that they do not have any decision making
power at household level. But the women’s are only able to take decision related to
education and health of child. In the matters of financial, purchase of assets, day to day
activities, social functions, marriages and local governance, only male member of the
households give the final decisions.

Table 8: Decision Making Power among Women

Number of Percent of Percent of
Activities Women Women Women
Respondents Saying Yes Saying No
Financial matter 23 15.62 84.38
Child’s education 23 100.00 0.00
Healthcare of child 23 100.00 0.00
Purchase of assets 23 25.00 75.00
Day-to-day activities 23 31.25 68.75
Social functions 23 15.62 84.38
Others
Source: ICT Socio-economic Survey, 2015
60 Annex 10

G. Accessibility to Infrastructures facilities/ Amenities

8. Amenities and facilities, which concerns women is very important in determining

the status of the women in their daily life. During survey the availability of these facilities
to women has been assessed. The result was as follows:

Table 9: Accessibility to Infrastructures facilities/ Amenities

Number of
Distance from Remark
Description Facility trips/time
home (average) s
spend
From where you get drinking Hand Pumps/ 0.100 m. to 1-2trips/ 1
water? Public Well 0.200 m hours
From where you get health Village/block/ 1-15 km Around 1-2
service District hour
What are the main problems PHC Distance,
with health services level/Sub doctors not
Centre level/ available
civil hospital sometimes,
level medicines also
not available
some times
Do you have latrine 50% lack of
Households awarene
have no toilet ss for
facilities hygiene.
Do you use community latrine No
Do you go for open defecation Yes Distance from 1 km, not
home-0.5-1 Km safe
Source: ICT Socio-economic survey, 2015

H. Key findings on Gender Specific issues during Socio-economic Survey and Focus
Group Discussions

9. The following reasons were cited by the women for their preference to work near
their homes:

 Lack of access and control over vehicle

 Walking long distance is tiring
 Cannot leave small children unattended
 Have never been trained on specific skills to take up skilled jobs
 Fear of working in unknown environment
 Household work can be attended
 Mobility in group enables them to respond to the constraints related to
security risks

10. As per the findings of FGD with women group the perceived benefits from the
sub-projects are:

 Improved access to social facilities like health, education

 Increase in income generating activities
 Frequent and affordable transport
 Management of emergency situation
 Improved community relations
 Increased frequency of health workers, extension workers visits
 Improved access to market
 Annex 10 61

 Reduced time spent on firewood collection

 Less flooding
 Side pavements will make walking easy

11. The women group consulted could perceive little negative impacts of road
improvement in their lives since the benefits perceived were far stronger. The negative
impacts could not be easily articulated by the communities apart from loss of assets.
However, along with the loss of assets the following negative impacts were also recorded:

 Loss of assets as a result of the road construction

 Loss of assets especially in the case of Female Headed Households
 Discrimination in wage payment, if employed
 More dependence of mechanized techniques in road construction likely to
have very little opportunity for labor for women

12. During the socio-economic survey and Focus Group Discussion, it has been
observed that more than 75% women (weaker section) go to market on foot and 25% used
public transport for market and other activities. The villagers use buses or private transport
to reach the district headquarters. Average cost per trip to District Headquarter is Rs.30-40
per person. The most common destination of the villagers is the district town or nearby
Block/town

I. Human Trafficking

13. During the course of census, socio-economic survey and public consultations it was
revealed that no cases of human trafficking are reported nor any records found from nearest
police station. People are very much aware of this.
62 Annex 11

ANNEX 11: COMPLETE ENTITLEMENT MATRIX OF UPPWD/ADB RESETTLEMENT

FRAMEWORK FOR UPMDRIP

All awards below shall be exempt from income tax, stamp duty and fees.
Definition of
Type of Loss Responsible
Entitled Compensation Policy
Agency
Person
Land
 Land for land if available. LA
16
1.a Loss of private land Legal IA/CSC will
titleholders/ by private negotiation ensure sufficient
14
- agricultural land, traditional promulgated by GoUP though provision of
15 th 17
- homestead/ titleholders G.O. dated March 19 , 2015. notice
commercial land Compensation at replacement
- vacant plot cost or as calculated under NGO/Consultant
section 26 of LARR Act 2013 will validate and
 If according to the landowner, verify AP list
the residual land is jointly with IA.
economically unviable, option
to be compensated for entire
parcel.
 One time 50,000 Resettlement
Allowance as per LARR Act
2013 if family needs to
physically relocate to different
area
 90 days advance notice to
relocate
1.b Loss of rented private Tenants,  Assistance for rental deposit or NGO/Consultant
land and government leaseholders unexpired lease deducted from will confirm
land and the land owner’s tenants’
Sharecroppers compensation. eligibility
(with lease  60 days advance notice to
documents) harvest standing seasonal IA/ CSC will
crops prior to damage, if notice ensure provision
cannot be given, compensation of notice.
for share of crops will be
provided (see entitlement No.
3.a).
1.c Loss of Government Non-titled  Compensation for assets lost at IA/ CSC will
land holders (i.e. replacement cost (see EM 2.a). ensure provision
18
Squatters ,  90 days advance notice to shift of notice.
19
Encroachers )  60 days advance notice to
harvest standing seasonal NGO/Consultant
crops prior to damage, if notice will confirm
cannot given, compensation for affected

14
The RFCLARRA 2013 outlines that no irrigated multi-cropped land shall be acquired under this Act, expect in
exceptional circumstances, as demonstrable last resort. Wherever such land is acquired, an equivalent area of
cultivable land shall be developed for agricultural purposes or an amount equivalent to the value of land
acquired shall be deposited with the appropriate Government for investment in agriculture for enhancing food
security. Such costs must be reflected in the resettlement budget.
15
Traditional land rights refer to households with customary rights to land, and shall be treated equivalent to
titleholders
16
During the preparation of the Resettlement Plan for the subproject road, the availability of land will be
assessed and this option will be retained/dropped depending on this assessment
17
An independent third party will be hired to certify process whether process was fair and transparent and land
cost reflects evaluation methodology stipulated in the Government Order(s)
18
Squatters are those who have no recognizable legal rights on the land they are occupying
19
Encroachers are those who use land or build structures which are in whole or in part of an adjacent property to
which they have no titles.
 Annex 11 63

Definition of
Type of Loss Responsible
Entitled Compensation Policy
Agency
Person
share of crops will be provided household’s
(see entitlement No. 3.a). eligibility
1.d Temporary loss of Legal  Rent at market value for the Contractor
land titleholders period of occupation. negotiates
 Restoration of land to previous amount with
or better quality landowner –
 Location of construction camps supervised by
will be fixed by contractors in CSC.
consultation with Government
and local community.
IA/CSC ensures
compensation
paid prior to
take-over.

Contractor
responsible for
site restoration.
2 Structures
2.a Loss of residential, Legal If partially
20
affected : NGO/Consultant
commercial structures titleholders Replacement cost of the affected will confirm
and other assets Encroachers part or assets with right to salvage titleholder’s
and squatters materials. If remainder of the eligibility
structure is unviable, the owner
has the option to claim IA/ CSC will
compensation for entire structure ensure provision
(see below). of notice.
Restoration grant of 10% of
21
replacement cost of structure.
If Residential / Commercial
structure fully affected:
 Replacement Cost of the
structure
 If relocating outside RoW,
Resettlement Allowance of
Rs. 50,000 per family as per
22
LARR Act 2013.
 Monthly Subsistence
Allowance of Rs. 3,000 for
one year (total Rs. 36,000)
for families having to
relocate their homesteads
23
as per LARR Act 2013.
 Shifting allowance of 10% of
replacement cost of
structure up to a maximum
of Rs 50,000, as per the
LARR Act 2013

20
External to the living/commercial areas (i.e. verandahs, stairs)
21
This have been added given that in the context of this RP, the concentration of impacts relate to
structures being partially affected and as such it is a needed additional assistance measure.
22
Not cumulative if Resettlement Allowance has been given for loss of land (Entitlement 1.a)
23
Households losing commercial structures are not eligible
64 Annex 11

Definition of
Type of Loss Responsible
Entitled Compensation Policy
Agency
Person
 Right to salvage materials
from structure and other
assets with no deductions
from replacement cost.
 90 day notice to vacate
structure.
2.b Loss of Tenants  Replacement cost of NGO/Consultant
residential/commercial (without part/whole of structure – if will confirm
structure and other documentation) latter has been constructed by tenants’
assets and the tenant/leaseholder with eligibility
leaseholders right to salvage material
 Compensation for rental IA/ CSC will
deposit or unexpired lease ensure provision
(only for AP with legitimate of notice.
lease documentation). This will
be deducted from the
compensation amount of the
structure owner.
 Lump-sum equivalent to two
month lease to support search
of alternative housing.
 Annex 12 65

ANNEX 12 - INDICATIVE TERMS OF REFERENCE (TOR) FOR THE RP

IMPLEMENTATION AGENCY (Consultant)

A. Project Background

1. Uttar Pradesh Major District Roads Improvement Project proposed for ADB’s
assistance seeks to upgrade and rehabilitate about ten (10) major district roads (MDR) for a
total of 609 km, thereby improving connectivity and fostering inclusive economic growth. The
estimated cost of the project is about $428 million, of which $300 million would be financed
by the Asian Development Bank (ADB). The project’s Executing Agency is Uttar Pradesh
Public Works Department (UPPWD).

2. The project construction will entail damage of assets, impact on livelihoods,

community property resources and potentially private land acquisition.

3. The overall implementation period for this assignment is XXX months from the
commencement of contract.

Table 1: Summary of Likely Impact

Permanent Land Acquisition (ha) XX
No. of Affected Private Structures XX
No. of Affected Community Property Resources (CPRs) XX
Total No. of Affected Households (HHs) XX

No. Titled Households XX

No. of Non-Titled Households XX
No. Households losing homestead (physically displaced) XX
No. of Severely Affected Households XX
No. of Vulnerable Households XX
No. Households losing income (whose commercial XX
structure affected

B. Objectives of the Assignment

4. The NGO/CONSULTANT shall be responsible for assisting UPPWD in facilitating

land acquisition and Resettlement Plan (RP) implementation in an efficient and transparent
manner for the project road. The implementation shall follow The Right to Fair Compensation
and Transparency in Land Acquisition, Rehabilitation and Resettlement Act, 2013 and the
ADB's Safeguard Policy Statement 2009.

5. The overall tasks of the NGO/CONSULTANT are to:

(i) Coordinate the entire process from start to finish for disseminating assistance
to relevant Affected Persons (APs);
(ii) Coordinate with, and provide support, where needed, to Revenue officials and
other relevant line agencies in expediting the land acquisition and
resettlement process;
(iii) Implement livelihood and income restoration program;
(iv) Disseminate project information to APs in an NGO/ Consultant manner;
(v) Assist the APs in redressing their grievances (through the grievance redress
committee set up for the project);
(vi) Conduct awareness program for HIV/AIDs, health and hygiene, and human
trafficking in affected villages;
66 Annex 14

(vii) Collect data and submit progress reports on a monthly and quarterly basis for
UPPWD to monitor the progress of RP implementation; and
(viii) Any other tasks as assigned by UPPWD.

C. Scope of Work

6. The principal responsibilities of the NGO/CONSULTANT will include, but not limited
to the following:

1. Administrative Responsibilities of the NGO/CONSULTANT

7. The NGO/CONSULTANT will work under the direction of the Member

(Administration), or any person authorized by the Member (Administration).
NGO/CONSULTANT shall assist UPPWD in carrying out the implementation of the RP for
the project road.

8. The NGO/CONSULTANT shall assist UPPWD in conducting all public meetings,

information campaigns at the commencement of the project and give full information to the
affected villages. This includes translating the summarized RP into local language in a form
of a Project Information Brochure for disclosure and dissemination to APs.

9. The NGO/CONSULTANT shall submit monthly and quarterly progress report to

UPPWD. The report should cover implementation issues, grievances and summary of
consultations

10. The NGO/CONSULTANT shall assist UPPWD in convening the GRC and keep the
records of GRC at PIU and State level.

11. Assist UPPWD in the management of the database of the APs, and at the end of the
assignment, ensure proper handover of all data and information to UPPWD.

2. Responsibilities for Implementation of the RP

12. The NGO/CONSULTANT shall verify the information already contained in the RP and
the individual losses of the relevant APs. They should validate the data provided in the RP
and make suitable changes if required and wherever changes are made it should be
supported by documentary evidence. The NGO/CONSULTANT shall establish rapport with
all APs, consult and provide information to them about the respective entitlements as
proposed under the RP, and distribute entitlement cum Identity Cards to the eligible APs.
The identity card should include a photograph of the DP, the extent of loss suffered due to
the project, and the choice of the DP with regard to the mode of compensation and
assistance.

13. The NGO/CONSULTANT shall develop rapport between the APs and the Project
Authority. This will be achieved through regular meetings with both the PIU and the APs.
Meetings with the PIU will be held at least fortnightly, and meetings with the APs will be held
monthly, during the entire duration of the assignment. All meetings and decisions taken shall
be documented by the NGO/CONSULTANT.

14. The NGO/CONSULTANT shall display the list of eligible APs in prominent public
places like villages, Panchayat Offices, Block/Tehsil headquarters, and the District
Headquarters.

15. During the verification of the eligible APs, the NGO/CONSULTANT shall ensure that
each of the APs are contacted and consulted either in groups or individually. The
 Annex 12 67

NGO/CONSULTANT shall specially ensure consultation with women from the DP families
especially women headed households.
16. Participatory methods should be adopted in assessing the needs of the APs,
especially with regard to the vulnerable groups of APs. The methods of contact may include
village level meetings, gender participation through group’s interactions, and Individual
meetings and interactions.

17. The NGO/CONSULTANT shall explain to the APs the provisions of the policy and the
entitlements under the RP. This shall include communication to the roadside squatters and
encroachers about the need for their eviction, the timeframe for their removal and their
entitlements.

18. The NGO/CONSULTANT shall disseminate information to the APs on the possible
consequences of the project on the communities' livelihood systems and the options
available, so that they do not remain ignorant.

19. In all of these, the NGO/CONSULTANT shall consider women as a special focus
group, and deal with them with care and sympathy.

20. The NGO/CONSULTANT shall assist the project authorities in ensuring a smooth
transition (during the part or full relocation of the APs), helping the APs to take salvaged
materials and shift. In close consultation with the APs, the NGO/CONSULTANT shall inform
PIU about the shifting dates agreed with the APs in writing and the arrangements desired by
the APs with respect to their entitlements.

21. The NGO/CONSULTANT shall assist the APs in opening bank accounts explaining
the implications, the rules and the obligations of a bank account and how s/he can access
the resources s/he is entitled to. The NGO/CONSULTANT shall recommend methods of
disbursement for assistance to UPPWD for approval. The disbursement method should be
transparent, efficient and meets government audit requirements.

22. The NGO/CONSULTANT shall implement the livelihood restoration program for
those APs who qualify. The program should be based on a skill needs assessment of the
eligible APs and trainings should be of duration of no less than 3 months. The
NGO/CONSULTANT shall coordinate with relevant organization or mobilize its own short-
term experts in carrying out the training activities. An evaluation of the program should be
conducted 3 months after its completion. APs whose livelihood has not been restored to pre-
project level should be provided with individualized counseling and linked to national and
state-sponsored employment development and livelihood enhancement schemes.

23. The NGO/CONSULTANT shall ensure proper utilization of the R&R budget available
for the subproject. The NGO/CONSULTANT shall counsel the APs in finding suitable
economic investment options and help them in regaining the losses of land and other
productive assets.

3. Accompanying and Representing the APs at the Grievance Committee

Meetings

24. The NGO/CONSULTANT shall make the APs aware of the existence of grievance
redressal committees (GRCs).

25. The NGO/CONSULTANT shall help the APs in submitting their grievances and also
in clearing their doubts about the procedure as well as the context of the GRC award.
68 Annex 14

26. The NGO/CONSULTANT shall record the grievance and bring it to the notice of the
GRCs within seven days of receipt of the grievance from the APs.

27. To accompany the APs to the GRC meeting on the decided date, help the DP to
express his/her grievance in a formal manner if requested by the GRC and again inform the
APs of the decisions taken by the GRC within 3 days of receiving a decision from the GRC.

4. Carry out Public Consultation

28. In addition to counseling and providing information to APs, the NGO/CONSULTANT

will carry out periodic and consultation with APs and other stakeholders.

5. Assisting the PIU with the Project’s Social Responsibilities

29. The NGO/CONSULTANT shall assist the UPPWD to implement STI & HIV/AIDS,
road safety24 and human-trafficking awareness measures. The NGO/CONSULTANT shall
coordinate with relevant organization or mobilize its own short-term experts in carrying out
the activities.

6. Monitoring and Reporting

30. The NGO/CONSULTANT involved in the implementation of the RP will be required to

supply all information, documents to the external monitor.

D. Documentation and Reporting by NGO/CONSULTANT

31. The NGO/CONSULTANT shall submit all of the following reports, brochures and
outputs in a format approved by UPPWD.

(i) Inception Report. To be submitted within two weeks of mobilization which

includes work plan for the whole contract period, staffing and personnel
deployment plan, and a withdrawal plan at the end of the period of contract.
(ii) Project Information Brochure. Summarize the RP, translate summary and
produce Project Information Brochure in local language within 1 month of
mobilization. For distribution to all affected households.
(iii) Microplans for relevant Non-titleholders. Includes issuance of ID cards
and other documents. To be completed at an agreed time with UPPWD.
(iv) Monthly Progress Reports. To be submitted to UPPWD at the end of each
month. Shall include weekly progress and work charts as against the
scheduled timeframe of RP implementation.
(v) Quarterly Progress Reports. To be submitted to UPPWD at the end of each
quarter. Shall include progress on implementation, livelihood restoration
program, GRC, STI & HIV/AIDS awareness program, issues and challenges,
and etc.
(vi) Completion Report at the end of the contract period summarizing the actions
taken during the project, the methods and personnel used to carry out the
assignment, and a summary of support/assistance given to the APs.
(vii) All other reports/documentation as described in these terms of reference.
(viii) Record minutes of all meetings.

24
Road safety awareness campaigns will include informing road residents on safe driving and pedestrian
practices, as well as discussing the safety design features of the road as well as other road safety capacity-
building measures for the EA financed by the project.
 Annex 12 69

E. Staffing Schedule

32. The table below details the required staffing structure for the assignment. Key
personnel will be evaluated during the proposal evaluation stage. The NGO/CONSULTANT
is required to submit CVs for the key personnel positions. Non-key personnel will not be
evaluated during proposal stage. At least one woman should be included as Field Support
Staff.

1. Indicative Required Experts

No. Particulars No. Positions Estimated Person-months

Key Personnel
1 Team Leader
2 Field Coordinator 1
3 Field Coordinator 2
Non-key Personnel
4 Field Support Staff
5 MIS Officer
Total

33. All staff should be mobilized within XXX days of actual commencement.

2. Key Indicative Tasks per Position

34. The position-based tasks specified for each of the positions is mentioned below. The
tasks are indicative and the NGO/CONSULTANT needs to propose its own working
arrangement as a team based on the overall requirements in the TOR.

No. Particulars
1 Team Leader  Provide overall technical and operational management
of NGO/CONSULTANT team.
 Act as main counterpart when communicating with
UPPWD and relevant government agencies.
 Draft work plan and ensure work plan is followed.
 Ensure deliverables and activities are completed in a
timely and transparent fashion.
 Review documentation and reports to verify accuracy.
2 Field Coordinator  Responsible for assigned section of alignment
 Provide guidance to Field Staff and verify information
collected.
 Ensure deliverables and activities are completed in a
timely and transparent fashion.
 Provide support to Grievance Redressal Mechanism
4 Field Support Staff  Responsible for assigned section of alignment.
 Establish rapport with relevant APs.
 Responsible collecting field level information.
 Undertake continued information disclosure and
consultation.
5 MIS Officer  Perform all computer/database related needs for the
assignment.

3. Qualification
70 Annex 14

35. Qualification and experience requirements for experts are listed below.

No. Particulars
1 Team Leader Minimum: Post graduate degree in social science is
Sociology, Economics, Master in Social Work, Masters in
Rural Development, Bachelors of law shall be added
qualification

10 years of minimum professional experience

5 years of minimum relevant experience in implementing land

acquisition and resettlement and rehabilitation activities.
Previous experience in project funded by external donors.
Good understanding of land acquisition process and The
Right to Fair Compensation and Transparency in Land
Acquisition, Rehabilitation and Resettlement Act, 2013
2 Field Coordinator Minimum: Bachelor’s degree in any discipline Post graduate
degree in social science is preferred

10 years of minimum professional experience

5 years of minimum relevant experience in implementing land

acquisition and resettlement and rehabilitation activities.
Previous experience in project funded by external donors
strongly preferred. Good understanding of land acquisition
process and The Right to Fair Compensation and
Transparency in Land Acquisition, Rehabilitation and
Resettlement Act, 2013. Proficient in local language preferred.
4 Field Support Staff Minimum: Bachelor’s degree in any discipline civil Post
graduate degree in social science is added qualification

3 years of minimum professional experience

Previous experience in working rural communities required.

Proficiency in local language is required. Previous experience
in land acquisition activities is strongly preferred.
5 MIS Officer Minimum: Bachelor’s degree in computer application or
related fields.

3 years of minimum professional experience

Proficient in operating computer and Microsoft Word, and

Excel. Ability to design and manage database. Proficient in
English and local language.

4. Condition of Services

36. The NGO/CONSULTANT shall ensure that the RP is implemented in an effective and
proper manner. The prime responsibility of the NGO/CONSULTANT shall be to ensure that
each and every eligible AP receives appropriate and due entitlement (within the Entitlement
Framework) and that, at the end of the project R&R services, the eligible APs have improved
(or at least restored) their previous standard of living. Additionally the NGO/CONSULTANT
shall help the UPPWD in all other matters deemed to be required to implement the RP in its
spirit and entirely including activities involving some financial implications.
 Annex 12 71

37. All documents created, generated or collected during the period of contract, in
carrying out the services under this assignment will be the property of the UPPWD. No
information gathered or generated during and in carrying out this assignment shall be
disclosed by the NGO/CONSULTANT without explicit permission of the UPPWD.

5. Data, Services and Facilities to be provided by UPPWD

38. The UPPWD will provide to the NGO/CONSULTANT the copies of all relevant
documents required for the NGO/CONSULTANT to undertake its work. Documents will
include the APs' Census, the RP, and technical drawings. The UPPWD will assist the
NGO/CONSULTANT in collaborating with the Supervision Consultants. All facilities required
in the performance of the assignment, including office space, office stationery, transportation
and accommodation for staff of the NGO/CONSULTANT, etc., shall be arranged by the
NGO/CONSULTANT.

6. Payment Schedule:

39. The following payment milestone is proposed for making the payment to the
NGO/CONSULTANT. The payment will be made subject to the submission of a certificate
from the UPPWD that the targets have been achieved in a satisfactory manner.

Sl. Indicative Payment Milestone Indicative Payment

No. (% of contract Value)
1 On submission of the inception Report complete in all 10%
respects
2 On completion of the identification, verification of APs and 20%
initial consultation sessions, and submission of updated
data on APs (Identification and Verification report) and
review of the same by the UPPWD.
3 On submission and approval of first 30% of the Micro 6%
Plans of APs
4 On submission and approval of second 30% of the Micro 7%
Plans of APs
5 On submission and approval of final 40% of the Micro 7%
Plans of APs
6 On completion of the rehabilitation process and 20%
implementation of Livelihood and Income Restoration
Program and STI & HIV/AIDs, human trafficking in
affected villages.
7 On submission of the Final Completion Report 10%
8 On approval of the Final Completion Report 20%
Total 100%
72 Annex 13

ANNEX 13- IMPLEMENTATION AGENCIES AND KEY RESPONSIBILITIES

Key Agency Responsibility

Government of Uttar Pradesh  Make final decision on roads to be included under the project
through the UPPWD  Facilitate access to documentation about RoW
(EA)/PMU  If required launch process for RoW’s ownership transfer under EA
 Overall responsibility for project design, feasibility, construction and
operation and guide PIUs
 Ensure that sufficient funds are available to properly implement all
agreed social safeguards measures
 Ensure that all sub-projects comply with the provisions of ADB’s
SPS 2009 and GoI’s policies and regulations
 Submit semi-annual safeguards monitoring reports to ADB


Project (a) District Level

Implementation Units (PIU)  Facilitate access to documentation about RoW
 Disseminate project information to the project affected community
with assistance from DPR Consultants
 Disclosure of project information in public spaces and through
relevant media.
 Ensure establishment of Grievance Redress Committee at the PIU
level for grievance redress with assistance from RP implementing
Consultants
 Facilitate the socio-economic survey and census
 Facilitate consultation by the civil works contractor with community
throughout implementation
 Oversee land acquisition and coordinate with District
Commissioner
 Supervise the mitigation measures during implementation and its
progress
 Conduct internal monitoring and prepare reports
Detailed Project  Verify RoW ownership documentation
Report (DPR)  Undertake consultations involving community and APs
Consultants  Conduct baseline socio-economic survey
 Conduct census of APs and prepare inventory of loss assets
 Complete screening checklist
 Prepare due diligence report if no land acquisition
 Prepare Social Impact Assessment Report
 Encourage community/ APs to voluntarily participate during the
implementation

Project Preparation  Confirm RoW ownership information

Technical Assistance  Verify screening checklist
(PPTA) Consultant  Verify accuracy of AP census and inventory of loss assets
 Provide support to DPR consultant in conducting consultations
 Prepare Resettlement Plans/due diligence reports
 Prepare Poverty and Social Analysis

RP Implementing  Implement RP activities. This includes:

Consultant/NGO - Validate the data contained in the RP and make updates if
required.
- Coordinate with, and provide support, where needed, to
Revenue officials and other relevant line agencies in
expediting the resettlement and rehabilitation process and
land acquisition process;
- Verify final AP list and provide ID/entitlement cards
 Annex 14 73

Key Agency Responsibility

- Implement livelihood and income restoration program;
- Disseminate project information to APs in an ongoing
manner;
- Assist the APs in redressing their grievances (through the
grievance redress committee set up for the project);
- Conduct awareness program for HIV/AIDs, health and
hygiene, and human trafficking in affected villages;
- Collect data and submit progress reports on a monthly and
quarterly basis for EA to monitor the progress of RP
implementation; and

 Collect data and submit progress reports on a monthly and

quarterly basis for EA and PIU to monitor the progress of RP
implementation
 Support the EA in the legalization process of the RoW if required.
 Assist and provide all information and data to External Monitor
 Assist the PIU with the project’s social responsibilities, in particular
the STI-HIV/AIDS and road safety awareness activities with the
communities.
Construction  Act as External Monitor
Supervision Consultants  Guide and advise the implementation of the RPs
(CSC)  Document and advise for addressing complaints and grievances
Provide technical advice and on the job training to the contractors
as necessary
 Prepare Semi-annual and annual monitoring reports based on the
monitoring checklists and submission to UPPWD for further
submission to ADB

Contractor  Consult community and PIU regarding location of construction

camps
 Sign agreement with titleholder for temporary use and restore land
to equal or better condition upon completion
 Commence construction only when alignment is free of
encumbrance
 Respond in a timely fashion to recommendations from GRCs
 Implement Social Safeguards measures during project
implementation
 Awareness campaign on Road Safety, Gender Issues, HIV/AIDS,
Human Trafficking and child labor at camp and identified locations
 Ensure Women’s participation in Construction Activities during
implementation of the project

District level officials  Provide any existing socio-economic information, maps and other
related information to DPR Consultant prior to the field
data/information collection activities.
 Act as the local focal point of information dissemination
 Execute land acquisition process

Community Based  Ensure the community participation at various stages of the project
Organizations  Coordination with stakeholder organizations
 Assist in Monitoring of the project
 Providing indigenous knowledge as required

Village key persons  Provide correct and accurate data and information from project
formulation stage
 Assist the project team to implement the project smoothly
 Arrange proper community participation
74 Annex 13

Key Agency Responsibility

ADB  Review RF /RP and endorse or modify the project classification

 Review planning documents and disclose the draft and final reports
on the ADB’s website as required
 Monitor implementation through review missions
 Provide assistance to the EA and IA of sub-projects, if required, in
carrying out its responsibilities and for building capacity for
safeguard compliance
 Monitor overall compliance of the project to ADB SPS

Social Safeguard Specialist, FGD-focus group discussion, PIU- Project Implementation Unit, PMU-
Project Management Unit, NGO/CONSULTANT, RP-resettlement plan, VC-Valuation Committee
 Annex 14 75

ANNEX 14 - INDICATIVE MONITORING INDICATORS

Delivery of Entitlements

 Entitlements disbursed, compared with number and category of losses

set out in the entitlement matrix.
 Disbursements against timelines.
 Identification of the affected persons losing land temporarily, e.g.
through soil disposal, borrow pits, contractors’ camps, been included.
 Timely disbursements of the agreed transport costs, relocation costs,
income substitution support, and any resettlement allowances,
according to schedule.
 Progress on income and livelihood restoration activities being
implemented as set out in the income restoration plan.
 Affected businesses receiving entitlements, including payments for
i n c o m e losses resulting from lost business.

Consultation and Grievances

 Consultations organized as scheduled including meetings, groups, and

community activities.
 Knowledge of entitlements by the affected persons.
 Use of the grievance redress mechanism by the affected persons.
 Information on the resolution of the grievances.

Communications and Participation

 Number of general meetings (for both men and women).

 Percentage of women out of total participants.
 Number of meetings exclusively with women.
 Number of meetings exclusively with vulnerable groups.
 Level of information communicated—adequate or inadequate.
 Information disclosure.
 Translation of information disclosure in the local languages.

Budget and Time Frame

 Resettlement staff appointed and mobilized on schedule for the field and
office work.
 Capacity building and training activities completed on schedule.
 Achieving resettlement implementation activities against the agreed
implementation plan.
 Funds allocation for resettlement to resettlement agencies on time.
 Receipt of scheduled funds by resettlement offices.
 Funds disbursement according to the resettlement plan.

Livelihood and Income Restoration

 Number of affected persons under the rehabilitation programs (women,

men, and vulnerable groups).
 Number of affected persons who received vocational training (women,
men, and vulnerable groups).
 Types of training and number of participants in each.
76 Annex 13

 Number and percentage of affected persons covered under livelihood

programs (women, men, and vulnerable groups).
 Number of affected persons who have restored their income and
livelihood patterns (women, men, and vulnerable groups).
 Number of new employment activities.
 Extent of participation in rehabilitation programs.
 Extent of participation in vocational training programs.
 Degree of satisfaction with support received for livelihood programs.
 Percentage of successful enterprises breaking even (women, men, and
vulnerable groups).
 Percentage of affected persons who improved their income (women,
men, and vulnerable groups)
 Percentage of affected persons who improved their standard of living
(women, men, and vulnerable groups)

Benefit Monitoring

 Noticeable changes in patterns of occupation, production, and resource

use compared to the pre-project situation.
 Noticeable changes in income and expenditure patterns compared to
the pre-project situation.
 Changes in cost of living compared to the pre-project situation.
 Changes in key social and cultural parameters relating to living
standards.
 Changes occurred for vulnerable groups.
 Benefiting from the project by the affected persons.