government of uttarakhand

98 Pages·2016·4.44 MB·English

GOVERNMENT OF UTTARAKHAND

World Bank assisted
Uttarakhand Disaster Recovery Project (UDRP)

INDEPENDENT CONSULTANT FOR
ENVIRONMENTAL AND SOCIAL AUDIT

ESMF Audit Report
February 2016

Submitted By
Samaj Vikas Development Support Organisation
[email protected]
Uttarakhand Disaster Recovery Project Environmental and Social Audit
Table of contents
1. BACKGROUND .......................................................................................................................1
1.1 The Disaster ...................................................................................................................1
1.2 Uttarakhand Disaster Recovery Project .................................................................1
1.3 Environmental and Social Audit ...............................................................................3
1.3.1 Need for Environment and Social Audit .................................................................................................... 3
1.3.2 Objectives of ESA ............................................................................................................................................... 3
1.3.3 Scope of ESA ........................................................................................................................................................ 4
1.4 Audit Process .................................................................................................................5
1.5 Sampling Plan ................................................................................................................6
1.5.1 Sample Size .......................................................................................................................................................... 6
1.5.2 Selected Samples ............................................................................................................................................... 6
1.5.3 Spatial Distribution ........................................................................................................................................... 8
2. ENVIRONMENT AND SOCIAL MANAGEMENT FRAMEWORK .................................. 10
2.1 Understanding ESMF ................................................................................................. 10
2.1.1 Environmental – Legal and Regulatory Framework........................................................................... 10
2.1.2 Social – Legal and Regulatory Framework............................................................................................. 11
2.1.3 Statutory Clearances and Authorizations Required ........................................................................... 11
2.1.4 E&S Requirements in a Sub-Project Cycle .............................................................................................. 13
2.2 Categorization of projects ....................................................................................... 15
2.2.1 Environmental Categorization ................................................................................................................... 15
2.2.2 Social Categorization ..................................................................................................................................... 16
3. GENERAL INFORMATION ABOUT SELECTED SAMPLE SUB-PROJECTS ............... 17
4. AUDIT RESULTS AND FINDINGS .................................................................................... 21
4.1 Compliance with ESMF ............................................................................................. 21
4.1.1 Statutory Clearances ..................................................................................................................................... 21
4.2 Desk Review Findings ............................................................................................... 28
4.2.1 Environmental and Social Data Sheets .................................................................................................... 31
4.2.2 Environmental Management Plan ............................................................................................................ 31
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4.2.3 Labour Licence ................................................................................................................................................ 32
4.2.4 Labour Insurance............................................................................................................................................ 33
4.2.5 NoC for Hot Mix Plants.................................................................................................................................. 33
4.2.6 NoC for Construction Water........................................................................................................................ 34
4.2.7 PUC for Construction Vehicles ................................................................................................................... 34
4.2.8 Authorization of Quarries ............................................................................................................................ 35
4.3 Site Visit Findings ...................................................................................................... 36
4.3.1 Health / Safety and PPE................................................................................................................................ 37
4.3.2 Labour Camps .................................................................................................................................................. 43
4.3.3 On-Site EMP Implementation ..................................................................................................................... 48
4.3.4 Monitoring of Environmental Parameters ............................................................................................. 56
5. GOOD PRACTICES, IDENTIFIED ISSUES AND SUGGESTIONS .................................. 59
5.1 Some Good Practices ................................................................................................. 59
5.2 Observations and Suggestions ............................................................................... 60
6. SUB-PROJECTS IN PICTURES .......................................................................................... 64

List of Annexures
Annexure I: Summary: Compliance status of ESMF ........................................................................................ 76
Annexure II: Checklist for Environmental and Social Audit ......................................................................... 82
Annexure III: Travel Schedule of ESA Team to Sub-Project Sites........................................................... 90
Annexure IV: Pictures of Training Workshop .......................................................................................................... 91

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List of Tables
Table 1: Components of UDRP ............................................................................................................................................ 2
Table 2: Sample Size for Audit ............................................................................................................................................ 5
Table 3: Sample Size selected for Audit ......................................................................................................................... 6
Table 4: Selected Road Sub-Projects for First Audit Cycle ................................................................................... 7
Table 5: Selected Public Buildings for First Audit Cycle ........................................................................................ 8
Table 6: Selected Bridges for First Audit Cycle .......................................................................................................... 8
Table 7: Spatial Distribution of Selected Sub-Projects for First Audit Cycle .............................................. 8
Table 8: Statutory Clearances and Authorizations Required as per ESMF ............................................... 12
Table 9: E & S Activities and Responsibilities during the sub-project cycle ............................................ 14
Table 10: General Information about the Selected Sub-Projects ................................................................... 18
Table 11: Status of Statutory Compliances in selected Road Sub-Projects .............................................. 24
Table 12: Status of Statutory Compliances in Selected Bridge Sub-Projects ........................................... 26
Table 13: Status of Statutory Compliances in Selected Public Building Sub-Projects ........................ 27
Table 14: E&S: Compliances and Non-Compliances - Desk Review Findings ......................................... 29
Table 15: Major Social and Environmental Concerns Identified ................................................................... 32
Table 16: Site Visit Findings – Health / Safety Issues and Use of PPE ........................................................ 37
Table 17: Labour Camps and Facilities Provided ................................................................................................... 43
Table 18: On-Site Environmental Management Plan Implementation ....................................................... 48
Table 19: Monitoring of Environmental Parameters ........................................................................................... 56
Table 20: Non-Compliances and Additional Corrective Measures Required .......................................... 76

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List of Figures
Figure 1: Environment and Social Audit Process Flow .......................................................................................... 9
Figure 2: ESMF Flow Chart ................................................................................................................................................ 13
Figure 3: Status of Tree Cutting Permission in Sub-Projects ........................................................................... 21
Figure 4: Status of NoC for HMP in Reviewed Sub-Projects ............................................................................. 22
Figure 5: Status of E&S Screening in Reviewed DPR ............................................................................................ 31
Figure 6: Status of Labour License in Reviewed Sub-Projects ........................................................................ 32
Figure 7: Status of Labour Insurance in Reviewed Sub-Projects ................................................................... 33
Figure 8: Status of NoC for Construction Water ..................................................................................................... 34
Figure 9: Status of PUC for Construction Vehicles ................................................................................................. 34
Figure 10: Status of Availability of First Aid Kit...................................................................................................... 40
Figure 11: Status of Use of PPE ........................................................................................................................................ 41
Figure 12: Status of Safety Signs ..................................................................................................................................... 42
Figure 13: Labour Camps in Reviewed Sub-Projects ........................................................................................... 45
Figure 14: Status of NoC for Labour Camps .............................................................................................................. 45
Figure 15: Status of Rent Agreement for Labour Camps .................................................................................... 46
Figure 16: Status of Facilities Provided in Labour Camps ................................................................................. 47
Figure 17: Status of Compensatory Plantation ........................................................................................................ 51
Figure 18: Status of Noise Barrier .................................................................................................................................. 51
Figure 19: Status of Water Sprinkling for Dust Suppression ........................................................................... 52
Figure 20: Status of Project Information Board ...................................................................................................... 53
Figure 21: Status of Identification of Muck Disposal Site .................................................................................. 54
Figure 22: Status of Environmental Monitoring ..................................................................................................... 58

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List of Acronyms
Acronym Description
ADB Asian Development Bank
ARAP Abbreviated Resettlement Action Plan
ATR Action Taken Reports
CSM Construction Supervision Manual
CTE Consent to Establish
CTO Consent to Operate
DEA Department of Economic Affairs
DM District Magistrate
DPR Detailed Project Report
DSC Design and Supervision Consultants
EHS Environment, Health and Safety
EIA Environmental Impact Assessment
EMP Environmental Management Plan
ESA Environmental and Social Audit
ESDS Environmental and Social Data Sheets
ESMF Environmental and Social Management Framework
GCC General Conditions of Contract
GoI Government of India
HMP Hot-Mix Plant
IA Implementing Agency
JRDNA Joint Rapid Damage and Needs Assessment
LA Land Acquisition
MDR Main District Road
NH National Highway
NOC No Objection Certificate
O&M Operation and Maintenance
ODR Other District Road
PAD Project Appraisal Document
PAF Project Affected Family
PAP Project Affected Person
PIP Project Implementation Plan
PIU Project Implementation Unit
PMU Project Management Unit
PPE Personal Protection Equipment
PRI Panchayati Raj Institutions
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RAP Resettlement Action Plan
SA Social Assessment
SCC Special Conditions of Contract
SH State Highway
SIA Social Impact Assessment
SMP Social Management Plan
SPCB State Pollution Control Board
UDRP Uttarakhand Disaster Recovery Project
USAC Uttarakhand Space Applications Center
VR Village Roads
WB World Bank
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1. Background
Uttarakhand comprises of 13 districts that are grouped into two regions (Kumaon and Garhwal)
and has a total geographical area of 53,484 sq. km. The economy of the State primarily depends
on agriculture and tourism. The State has a very fragile terrain that, by virtue of its very origin,
is prone to natural disasters.
The entire State falls within Zone IV and Zone V (Zone V represents the highest level of
seismicity) of the Earthquake Zoning Map of India. The districts of Bageshwar, Chamoli,
Pithoragarh, Rudraprayag and Uttarkashi fall within the Seismic Zone V.
Every year, the state faces massive losses, particularly during the monsoon season, due to rains,
cloudbursts, flash floods, landslides, floods, hailstorms and water logging events.
1.1 The Disaster
Monsoon in June 2013 arrived almost two weeks earlier than expected. During June 15 to 17,
2013, cloud bursts and heavy (64.5 - 124.4 mm) to very heavy rainfall (124.5 – 244.4 mm) hit
several parts of the higher reaches of the Himalayas. This unprecedented rainfall resulted in a
sudden increase in water levels, giving rise to flash floods in the Mandakini, Alakananda,
Bhagirathi and other river basins and also caused extensive landslides at various locations.
Districts of Bageshwar, Chamoli, Pithoragarh, Rudraprayag and Uttarkashi were worst hit by
this disaster. Numerous landslides and toe erosion by the sediment loaded rivers caused
breaching of roads/highways at many locations and washed away several bridges (steel girder
bridges, beam bridges, suspension/cable bridges).
The World Bank (WB) and the Asian Development Bank (ADB) on receiving a request from the
Department of Economic Affairs (DEA), Government of India (GoI), fielded a Joint Rapid Damage
and Needs Assessment (JRDNA) Mission within the State.
Accordingly a loan assistance of US $ 250.00 million was granted on October 25, 2013 with an
objective to restore housing, rural connectivity and build resilience of communities in the
affected district of Uttarakhand. Out of five components of UDRP project (described in table-1),
this ESMF audit report is prepared covering only 1st and 2nd component of UDRP project which
are “Resilient Infrastructure Reconstruction” and “Restoration of the Rural Road Connectivity”.
1.2 Uttarakhand Disaster Recovery Project
Based on the findings from the JRDNA, The Uttarakhand Disaster Recovery Project (UDRP)
proposes the following five components that cover the immediate recovery and reconstruction
needs within the most affected districts of the State and future oriented risk reduction efforts. A
short description of objectives and activities in each of the components is given overleaf
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Uttarakhand Disaster Recovery Project Environmental and Social Audit
Table 1: Components of UDRP
Component Sub-Component Description
Resilient Infrastructure Resilient Permanent
Building 2,500 permanent houses that would be multi-disaster resilient.
Reconstruction Housing

The objective of this component is to Support the reconstruction of damaged public buildings, such as Panchayati Raj Institution
t focus on the immediate needs of Resilient Public (PRI), Block and District offices and technical education institutes, including restoration of
c Buildings
e reconstruction of damaged houses and partially damaged and reconstruction of fully damaged structures.
j
o public buildings.
r
P
Rural Road Connectivity
This will support the reconstruction of about 3,600 kms of damaged village roads,
y
r following the PMGSY program standards and will include construction of new drainage
e
v The objective of this component is to Village/ Rural Roads woks and bridges, retaining and breast walls and other structures to prevent landslides,
o
restore the connectivity lost due to the
c and minor realignments.
e
disaster through the reconstruction of
R
This will involve the reconstruction of about 675 kms of damaged ODRs, linking village
r damaged roads and bridges: village Other District Roads
e roads to Major District Roads (MDRs), State Highways (SH) and/or National Highways
roads, Other District Roads (ODRs),
t (ODR)
s (NH) to increase access and provide opportunities for overall economic development.
a bridle roads and bridle bridges. The
s
i roads and bridges will be designed to
D
d withstand earthquake and flood forces Bridle Roads and This will undertake the reconstruction of about 440 kms bridle roads and about 140 bridle
n as per the latest official design Bridges bridges, facilitating pedestrian connectivity for remotely located villages.
a
h guidelines.
k
a Technical Assistance and Capacity Enhance the capabilities of government entities and others in risk mitigation and response.
r
a Building for Disaster Risk Risk Assessment, Modelling and Capacity Enhancement of Uttarakhand Space Applications
t
t Management Centre (USAC).
U
Financing Disaster Response To support the financing of eligible expenses already incurred by the state during the

Expenses immediate post –disaster response period.
Implementation Support To support the incremental operating costs of the project, including the operation of the

Project Management Unit (PMU) and the respective Project Implementation Units (PIUs)
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1.3 Environmental and Social Audit
1.3.1 Need for Environment and Social Audit
The ESMF requires detailed
Fundamental Principles of Audit
supervision, monitoring and evaluation

of the impact of the project on the
 Regular and Comparative
environment and social aspects. In
 Verified and Disclosed
order to ensure this, PMU has made
 Comprehensive and Inclusive
specific arrangements at state and
 Equity and Social Responsibility
district level. At the PMU an  Participatory and Engaging
Environmental Specialist and a Social,  Transparency and Accountability
Community Development and Gender  Peoples Wellbeing and Caring
Specialists are appointed on full time  Multidirectional and Multi-perspective
 Gender Sensitive and Encouraging Women
basis to guide project implementing
agencies, consultants and contractors
Exhibit 1: Fundamental Principles of Audit
in complying with the ESMF. These two
specialists are primary focal points for all environmental and social aspects and for ESMF
compliance. These two specialists are engaged on a day to day basis in environmental and social
safeguards implementation and monitoring; they also do capacity building of the implementing
agencies, consultants and contractors while hand-holding them during implementation.
At the field level, staffs of implementing agencies have experience to implement projects
concerning their departments. However, implementation of the provisions of ESMF is new to
these staff and hence several orientations and trainings are proposed as a part of this ESMF to
build their capacity. Further, to implement and supervise the environmental and social aspects
as per the ESMF, design and supervision consultants have also been appointed.
In order to achieve the objectives of this ESMF and to ensure the safeguards are implemented in
a proper manner within provisions of Contract Agreement, an Independent environment and
Social Audit (ESA) has been carried out.
1.3.2 Objectives of ESA
The core objective of ESA is to assess effectiveness in implementation of ESMF, its compliance
during project execution and to suggest implementable corrective action. Beside this the
elaborated objectives are to:
 Review and verify compliance of ESMF during project planning and implementation.
 Assess the impacts of the sub projects on local environment and communities and how
the project area is sensitive to the project activities.
 Assess the effectiveness of implementation of ESMF in the subproject activities
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