India: North Karnataka Urban Sector Investment Program · Environmental Assessment and Review Framework . April 2013 (Revised August 2006, March 2012) India: North Karnataka Urban

Environmental Assessment and Review Framework April 2013 (Revised August 2006, March 2012)

India: North Karnataka Urban Sector Investment Program Prepared by Karnataka Urban Infrastructure Development and Finance Corporation, Government of Karnataka for the Asian Development Bank.

CURRENCY EQUIVALENTS (as of 5 April 2013)

Currency unit – rupee (INR) INR1.00 = $0.01825

$1.00 = INR 54.765

ABBREVIATIONS ADB : Asian Development Bank CPCB : Central Pollution Control Board CPHEEO : Central Public Health & Environmental Engineering Organisation DoEEF : Department of Environment, Ecology and Forests EIA : Environmental Impact Assessment GoI : Government of India GoK : Government of Karnataka KSPCB : Karnataka State Pollution Control Board IEE : Initial Environmental Examination KUIDFC : Karnataka Urban Infrastructure Development and Finance

Corporation NKUSIP : North Karnataka Urban Sector Investment Program OM : Operations Manual IPMU : Investment Program Management Unit RP : Resettlement Plan SA : Social Assessment SIEE : Summary Initial Environmental Examination SEIA Summary Environmental Impact Assessment ULB : Urban Local Body

WEIGHTS AND MEASURES

cm – centimeter dbA – decibels dia. – diameter ha – Hectare kg – kilogram km – kilometer l – liter m – Meter m2 – square meter m3 – cubic meter mg/l – Milligrams per liter ml – milliliter MLD – million liters per day mm – millimeter sq. km. – square kilometers sq. m. – square meters μg/m3 – micrograms per cubic meter

NOTE In this report, "$" refers to US dollars.

This environmental assessment and review framework 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. 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.

TABLE OF CONTENTS

Page

I. Introduction

A. Overview of the Sub-Project Components 1 B. Assessment of Legal Framework 3 C. Environmental Assessment Procedure for NKUSIP Sub-Project Components 5

D. Consultation, Information Disclosure, and Grievance Redress 16 E. Compliance of NKUSIP with ADB Safeguards Policy Statement 19 F. Staffing Requirements and Budget 20 G. Staffing Requirements and Budget 20

I. INTRODUCTION

1. The North Karnataka Urban Sector Investment Program (NKUSIP) will finance investment for (i) Environmental Sanitation Infrastructure; (ii) Water supply Infrastructure; (iii) Urban Roads Improvement; (iv) Poverty Alleviation; (v) Non-Municipal Infrastructure; (vi) Institutional Development; and (vii) Investment Program Assistance. The overall development goal of the NKUSIP is to facilitate economic growth in the towns of North Karnataka and bring about urban development through equitable distribution of urban basic services to the citizens that are environmentally sound and operationally sustainable. The development purpose is designed to assist Urban Local Bodies (ULBs) to “promote good urban management, and develop and expand urban infrastructure to increase economic opportunities and to reduce vulnerability to environmental degradation and urban poverty”. 2. Though the Investment Program aims to improve the environmental quality of the urban areas, the development of infrastructure facilities may potentially cause certain negative environmental impacts. These impacts may arise in the project life cycle either during implementation and/or during operation phase and in limited cases, may also arise after end of operation period. The initial environmental examination (IEE) conducted for the sample sub-project towns reveals that these typical urban infrastructure projects, owing to its scale and magnitude of activities coupled with the environmental setting of the North Karnataka, unlikely to have significant negative impacts.

3. The mandatory requirements applicable to the NKUSIP may also necessitate the proposed components to go through environmental assessment process at an appropriate level. Hence, considering these issues and particularly to facilitate the borrowing ULBs with definite environmental criteria to be met for implementation of NKUSIP components and sub-components, this environmental framework has been prepared in accordance with ADB’s Safeguard Policy Statement (2009) and Government of India and Government of Karnataka requirements.1

4. Above all, this exercise ensures that the NKUSIP, in its Investment Program cycle, will not deteriorate or interfere with the environmental sensitivity but will improve the environmental quality of the Investment Program area through development of infrastructure facilities. The details of components and sub-components financed under the NKUSIP are given below.

A. Overview of the Sub-Project Components

5. NKUSIP comprises the following seven components. Parts A through D is designed to address the urban development needs of the 25 Investment Program ULBs; Part E is designed to address requirement for fire services, tourism development, and disaster management services in the region; Part F is designed to address capacity building initiatives of the Investment Program ULBs and training requirement for staff; and Part G is designed to assist Investment Program implementation.

(i) Part A: Environmental Sanitation Infrastructure;

1 The SPS applies to tranches of multitranche financing facility (MFF) projects for which periodic financing requests

are to be approved by ADB Management after 20 January 2010. Tranche 3 subprojects under NKUSIP will therefore require compliance with the SPS while ongoing Tranches 1 and 2 will be implemented under the former ADB safeguard policies for environment, resettlement, and indigenous people, as per the original Environmental Assessment and Review Procedures prepared at the time of the MFF. In the event of any discrepancy or contradiction between the relevant features of this EARF and ADB’s safeguards Safeguards Policy Statement, 2009, the SPS, 2009 shall prevail.

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(ii) Part B: Water Supply Infrastructure; (iii) Part C: Urban Roads Improvement; (iv) Part D: Poverty Alleviation; (v) Part E: Non-Municipal Infrastructure; (vi) Part F: Institutional Development; and (vii) Part G: Investment Program Assistance Facility.

1. Part A: Environmental Sanitation Infrastructure

6. This component comprises (i) sewerage and sanitation, which includes rehabilitation of existing sewer networks, sewage treatment plants and sewage pumping stations, and construction/expansion of new sewerage system including network and treatment plants; and (ii) urban drainage, which includes improvements to primary and secondary drains.

2. Part B: Water Supply Infrastructure

7. This component comprises rehabilitation of the existing headworks, transmission and distribution system (mains and reservoirs), and provision of new infrastructure, storage barrages, reservoirs and distribution system (including house service connections).

3. Part C: Urban Road Improvement

8. This component comprises improvements to ULB roads, and comprises improvement and strengthening to critical road links, traffic management measures and street lighting.

4. Part D: Poverty Alleviation

9. This component will address the environmental conditions of informal and formal low-income settlements. NKUSIP will improve environmental services in these settlements by providing water supply, sewerage, drainage, and pavements. For settlements not recognized by the ULB, the Investment Program will provide for public conveniences catering to the environmental sanitation needs of dwellers.

5. Part E: Non-Municipal Infrastructure

10. Fire services, tourism, lake conservation, etc. shall form a part of the non-municipal infrastructure component under the Investment Program. The components will be detailed during the detailed design phase and considered for funding during the mid-term review.

6. Part F: Institutional Development

11. The institutional development component will comprise capacity building of Investment Program ULBs through (i) computerization, property tax assessment and service utility line mapping through a Geographical Information System; (ii) facilitating transition of ULB accounting functions to a Fund Based Accounting System through computerization of accounting and financial management functions; and (iii) providing training of ULB and State Line Department staff regarding Investment Program implementation and urban governance.

7. Part G: Investment Program Assistance Facility

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12. Procurement of consulting services project management, design and supervision, and benefit monitoring and evaluation will form a part of the Investment Program assistance facility. The Investment Program assistance facility (IPAF) shall finance incremental administration at the two Investment Program Management Units (IPMU) and shall cover staff, office and equipment costs required for supporting the Investment Program. Information, education and communication (IEC) requirement by sector and payment towards Investment Program Consultant (IPC) services will form a part of the IPAF. Civil works for the KUIDFC office building in Bangalore is also provided under this component.2

B. Assessment of Legal Framework

13. Any component included in NKUSIP shall go through the environmental requirements of GoI/GoK and ADB, as amended from time to time. The Environmental Impact Assessment (EIA) Notification 1994, (and as amended subsequently) issued under the Environmental (Protection) Act, 1986 of Government of India, mandates the requirement of environmental clearance from the GoI for specific type of projects indicated therein; it requires conducting environmental impact assessment (EIA) for these specified Investment Programs (the Investment Programs with less than Rs.1,000 mn investment are not subjected to this requirement).

14. Owing to nature and scale of urban infrastructure facilities and associated environmental impacts, the said Notification does not require an EIA to be conducted for urban infrastructure Investment Programs. However, as per the recent amendment to the EIA Notification, 1994, sewage treatment plants with a discharge of more than 0.05 MLD (50 KLD) will attract3

1. Setting up/Upgradation of Sewage Treatment Plant

EIA Notification and requires clearance from MoEF. In addition, the Government of India ensure the environmental safeguard through definite procedures that are to be followed for development of certain urban infrastructure facilities which have potential to cause the environmental problems. These facilities include water source development measures, such as construction of barrage/dam across the river. The following are the procedures to be following under the provisions of various Acts/Rules/Guidelines of GoI and GoK (a brief note on applicable environmental Acts/Rules/Legislations are appended in Annex 2.

15. Under provisions of Section 2 5/26 of the Water (Prevention & Control of Pollution) Act, 1974, setting up of new sewage treatment plant (STP) or upgradation of existing STP, requires ‘consent for establishment (CFE)’ and ‘consent for operation (CFO)’ from the concerned authority – the State Pollution Control Board. A recent amendment to the Act requires STPs to undergo an EIA and acquire clearance from MoeF and a CFE and CFO from State Pollution Control Board. The ULB needs to submit an application form in the prescribed format to the Karnataka State Pollution Control Board. The important details/information to be furnished includes the following:

(i) Location with respect to sensitive areas like Biosphere, Reservoir, Forest,

2 A rapid environmental assessment shows that the building is unlikely to have adverse environmental impacts.

Environmental implications will be reviewed during detailed design. 3 According to the Karnataka State Pollution Control Board (KSPCB) letter no. CFE-CELL/KUIDFC/2005-2006

dated 10th May 2005, if the STP is part of a project, where the project cost exceeds Rs. 500 Million or if the effluent quantity exceeds 50 KLD (0.05 MLD) or if the project area is inhabited by more than 1,000 people then the project attracts EIA Notification. Clearance’ from Department of Ecology, Environment and Forests and Water Resources Development Organization of GoK.

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Mangrove, River, Archaeological Monuments, major towns and cities; (ii) Population, total water supply including source details and the quantity of sewage

generated; (iii) Details of the treatment facility (including the process flow diagram); (iv) Details of final treated effluent disposal; and (v) The application shall include: site plan, latest influent/effluent analysis report in case

of existing plants, topographical map and process flow sheet.

16. The Pollution Control Board issues the CFE/CFO based on the verification of the report and site visit. During the operation period the treated effluent from the STP shall conform to the disposal standard specified by the Pollution Control Board. Based on the performance of STP, the Pollution Control Board renews the ‘CFO’; the renewal frequency for the CFO is one year.

2. Construction of Barrage/Dam

17. River Valley Investment Programs including hydel power, major Irrigation and their combination including flood control requires conducting EIA and clearance from the Central Government. The barrages/dams proposed under NKUSIP are for water supply and the capacity of the dam will be very less and so are the associated impacts and hence do not fall under the ambit of EIA Notification, 1994. However, any activity which obstructs the flow of river requires ‘Environmental

3. Environmental Review Procedures to be followed for NKUSIP

18. Thus it is clear that none of the sub-project components, except STPs, proposed under NKUSIP require an EIA as per GoI guidelines. This is essentially because of the fact that these components have scores of positive impacts through improving the environmental condition and the negative impacts associated with are minimal, if not negligible. However, the facilities such as construction of barrage, sewage treatment plants, which may potentially have negative impacts, are required to go through the procedures as detailed out above. Hence, the exist ing Acts/Legislations/Guidelines/Rules of GoI and GoK will provide for environmental safeguards while implementing the NKUSIP.

19. In addition to the GoI and GoK requirements, NKUSIP shall take cognizance of the funding agency (Asian Development Bank) guidelines. The ADB’s Safegaurd Policy Statement mandates the consideration of all environment aspects of ADB’s operations.ADB’s Policy states that all investments are subject to categorization to determine environmental assessment (EA) requirements. A Investment Program is therefore categorized into one of the three environmental categories(A, B or C) to determine the level of environmental assessment. Table 1 indicates ADB’s environmental assessment requirements under various Investment Program categories.

Table 1: Applicable ADB’s Environmental Assessment Requirements Category Applicability Level of EA Required Sample Categorization of

Investment Programs

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Category Applicability Level of EA Required Sample Categorization of Investment Programs

A Investment Programs with potential for significant adverse environmental impacts.

An environmental impact assessment (EIA) is required to address significant impacts.

• Dams and reservoirs • Forestry and production

Investment Programs (large-scale)

• Industrial plants (large-scale) • Irrigation, drainage and flood

control • Mineral development (oil and

gas) • Thermal and hydropower

development; etc

B Investment Programs judged to have some adverse environmental impacts, but of lesser degree and/or significance lesser than those for category A

An IEE is required to determine whether significant environmental impacts warranting an EIA are likely. If an EIA is not needed, the IEE is regarded as the final environmental assessment report.

• Water supply and sanitation (rural and urban)

• Agro industries • Rural electrification • Irrigation and drainage

(small-scale) • Renewable energy; etc

C Investment Programs

No EIA or IEE is required, although

• Forestry research and extension

unlikely to

environmental • Rural health services adverse implications are still • Marine research environmental reviewed. • Family planning impacts. The ADB, categorizes into four categories, however, the fourth category (FI) is not applicable to NKUSIP and therefore not considered.

C. Environmental Assessment Procedure for NKUSIP Sub-Project Components

1. Institutional Roles and Responsibilities

20. Nodal Executing Agency (EA). Karnataka Urban Infrastructure Development & Finance Corporation (KUIDFC) is the nodal executing agency (EA) responsible for implementing NKUSIP. Investment Program implementation activities will be monitored by KUIDFC through a separate Investment Program Management Unit (IPMU), which will be set-up within KUIDFC. The Managing Director/KUIDFC will head the IPMU and will be assisted by an Executive Director to oversee the Investment Program progress. A team of senior technical, administrative and financial officials will assist the Executive Director in controlling and monitoring Investment Program implementation activities. KUIDFC will establish IPMU offices at two locations (in Bellary and Gulbarga) in the Investment Program area. All Investment Program decisions will be made by the Executive Director who shall operate from the IPMU, Dharwad; only interactions with GoK, GoI and ADB shall be conducted through the KUIDFC office at Bangalore.

21. Implementing Agency (IA). Implementation Agencies (IA) will oversee sub-project component implementation at the sub-project towns, where (i) the Investment Program

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ULB will implement the water supply, sewerage, roads, and storm water drainage components; (ii) the KUWSDB will proof-check designs of Investment Program Consultants for water and sewerage components; and (iii) the KSCB will implement the poverty alleviation component. The responsibilities of the IA shall include (i) carrying out detailed surveys, investigations and engineering designs of individual infrastructure components; (ii) tendering, evaluating bids and awarding works, contract administration, supervision and quality control; (iii) measuring works carried out by the contractors and certifying payments; (iv) conducting public awareness campaigns and participation programs, (v) carrying out environmental assessments; and (vi) preparing monthly reports. The Investment Program Consultants (IPC) will assist the Investment Program ULB in all the aforesaid activities; in the case of other IAs, the PC shall proof check designs and quality check construction quality. 22. Thus, the responsibility fulfilling environmental requirements of GoI/GoK (for the project-components of STP, and construction of barrage) and conducting required level of environmental assessment as per ADB guidelines lies with the borrowing ULB. The Investment Program Consultants will assist the ULB in this regard. The IEE/EIA reports prepared by ULB will be reviewed by the IPMU as per the ADB’s Safeguards Policy Statement 2009. ADB will review and approve IEE/EIA reports for the environmental sanitation infrastructure, water supply infrastructure, and poverty alleviation components for sub-projects in the first ULB undertaking works under the Investment Program, before starting the procurement. During the first design period, ADB will review and approve IEE/EIA reports for environmental sanitation infrastructure, water supply infrastructure, and poverty alleviation components, for sub-projects in four further ULBs undertaking works under the Investment Program. During the second design period, ADB will review and approve IEE/EIA reports for urban roads infrastructure and non-municipal infrastructure.components, for sub-projects in one ULBs undertaking works under the Investment Program. For sub-projects requiring EIAs based on ADB guidelines, sub-projects involving civil works over $10 million, subprojects involving equipment purchase over $1 million, and PSP contracts—EIA/IEE reports will be sent to ADB for review and approval. 23. The mitigation measures identified through IEE/EIA are incorporated into the Investment Program cycle. Mitigation measures, which are implemented by the Contractor, shall form part of the Contract Documents. The other mitigation measures are undertaken by the ULB (itself or in assistance with Investment Program Consultants) as specified in the IEE.

24. The responsibility of monitoring mitigation measures implementation is delegated mainly to the IPMU and ULB. The mitigation measures that are incorporated into design will be verified by the IPMU before providing technical sanction. The mitigation measures that form part of the Contract Documents will also be verified by IPMU before getting the contract signed between the IA and the Contractor. During implementation, monitoring of mitigation measures implementation is the main responsibility of ULB; the Investment Program Consultants will assist the ULB in this regard. The monthly progress reports prepared by ULB, which will be sent to IPMU for review, include a section on implementation of mitigation measures. 25. During the operation stage of the Investment Program, as the IPMU will not be in place after the implementation, the responsibility of monitoring of environmental performance of Investment Program components is delegated to ULB and to the concerned State Government Agency - the State Pollution Control Board. The following table summarizes the roles and responsibilities of the institutions in conducting environmental review/assessment involved in implementation of NKUSIP.The executing and implementing

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agencies of the program as well as contractors require capacity building measures for (i) a better understanding of the project-related environmental issues; and (ii) strengthen their role in implementation of mitigation measures and subsequent monitoring. Training programs will be implemented for Environmental Health and Safety to project officials and contractors by the Government of Karnataka. The primary focus of the training is to enable staff to carry out environmental monitoring and implement the environmental management plan (EMP). After participating in such training, the participants shall be able to conduct monitoring of environmental plans, understand government and ADB requirements for environmental assessment, management, and monitoring (short and long term.

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Table 2: Institutional Roles and Responsibilities ULB IPMU of NKUSIP ADB Pre-construction stage ULB to conduct Rapid Environmental Assessment (REA) for each sub-components using checklists

IPMU to review the REA and categorise the Investment Program based on ADB’s Guidelines

ADB to review the REA checklists and reconfirm the categorization

If the sub-component is of ‘C’ category, the IPMU to provide generic mitigation measures, if any, to be implemented by ULB

ULB to fulfill the GoK/GoI requirements. IPMU to review the EIA/IEE and ADB will review and approve IEE/EIA reports for the environmental Investment Program Consultants will assist

SEIA/SIEE Reports to ensure infrastructure, water supply infrastructure, and poverty alleviation

ULB and conduct EIA for Category A and IEE

compliance of the report as

sub-projects in the first ULB undertaking works under the Investment Category B sub-projects. No environmental ADB Guidelines and approval

before starting the procurement. During the first design period, ADB will

review is required for Category C sub-projects. the same. and approve IEE/EIA reports for environmental sanitation infrastructure, • For all STPs, EIA Report along with a supply infrastructure, and poverty alleviation components, for sub-projects in

Detailed Investment Program Report has to IPMU to submit EIA/IEE Report further ULBs undertaking works under the Investment Program. During the be submitted to MoEF for clearance. to the ADB for review and design period, ADB will review and approve IEE/EIA reports for urban

• ULB to obtain ‘Clearance’ from DoEEF, GoK for Barrage construction.

approval infrastructure and non-municipal infrastructure.components, for sub-projects in one ULBs undertaking works under the Investment Program. For sub-projects

EIAs based on ADB guidelines, sub-projects involving civil works over If warrants (from IEE), EIA to be conducted

million, subprojects involving equipment purchase over $1 million, and

Investment Program Consultants of ULB and to be submitted to IPMU for review and

contracts—EIA/IEE reports will be sent to ADB for review and approval.

SEIA shall also be prepared and submitted. ULB through Investment Program Consultants to conduct public consultation during IEE/EIA process and comments shall reflect in the IEE/EIA report.

After the confirmation of the approval IPMU

IPMU to monitor the information - IEE/EIA, ULB with the assistance of

disclosure.

Program Consultants to disclose the IEE/EIA

EMP to public information as required by

Guidelines.

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ULB IPMU of NKUSIP ADB SIEE/SEIA reports should be made available to

the public, and on request IEE/EIA also made available. This is the responsibility of ULB.

Investment Program Consultants, on behalf of ULB, to incorporate mitigation measures in Investment Program design, specified in IEE/EIA study.

- -

Identify and incorporate environmental mitigation and monitoring measures that need to be incorporated into contract document. This to be done by the ULB with the assistance of Investment Program Consultants

The IPMU to ensure that all mitigation measures as specified are integrated into design and contract documents as required

-

Construction Stage ULB to implement mitigation measures and to monitor the implementation of mitigation measures by Contractor.

ULB to prepare monthly progress reports including a section on implementation of the mitigation measures and submit to IPMU for review

The Investment Program Consultants to assists ULB.

IPMU to review the progress reports to ensure that the all mitigation measures are properly implemented.

IPMU to consolidate the monthly reports and submit seminannual reports to ADB for review.

ADB to review the reports and provide necessary advise needed to the ULB through IPMU.

Operation Stage ULB to conduct monitoring, as specified in the environmental monitoring plan.

The KSPCB to monitor the performance, if required and as specified in monitoring plan.

-- --

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2. Sub-project Component Selection Criteria

26. It may be mentioned that none of the components will have significant negative impacts, which is mainly attributed (i) to the nature of components, which will primarily improve the environmental condition; and (ii) absence of notably sensitive environmental features in any of the Investment Program towns, which will be affected by proposed components. In addition, fulfilling the GoI and GoK requirements will ensure environmental safeguard for most important facilities such as STP. The other components are unlikely to have negative impacts; however, the selection criteria indicated in Table 3 should be followed while identifying and finalizing Investment Program components.

Table 3: Environmental Criteria for Sub-project Component Selection Component Criteria

Overall Selection criteria

•

•

•

Site selection shall result in minimum or no resettlement/relocation. There shall not be any destruction/disturbance to historical and cultural places/values. Component establishment should avoid conversion of prime agriculture areas as far as possible.

Water Supply System • •

Shall avoid water use conflicts Shall not be located adjacent to or with in cultural heritage site, protected area, wetland, mangrove area, estuarine zone, bay and special area for protecting biodiversity

• Shall not be located in areas prone for raw water pollution from upstream wastewater discharge from communities industries, agricultural and soil erosion runoff.

• Shall not impair historical/cultural monuments/areas nor there shall be any loss/damage

• Avoid excessive groundwater pumping leading to salinization or land subsidence

• Shall not involve any social conflicts • Ensure no conflicts in abstraction of raw water for water supply

with other beneficial water uses for surface and ground waters • Avoid unsatisfactory raw water supply for example with

excessive pathogens or mineral constituents • Ensure adequate protection of intake works or wells, leading

pollution of water supply • Ensure adequate buffer around treatment plants and pumping

stations to alleviate noise and other possible nuisances. Avoid densely populated areas

• Avoid excessive abstraction of water affecting down stream water users.

• Ensure safe handling of chlorine • Ensure delivery of safe water. Avoid inadequate/poor treatment

and chlorination • Avoid competing water uses • Ensure proper and adequate treatment and disposal facilitates

for increased volumes of wastewater generation

Sewerage System • For locating STPs, care should be taken to avoid locating them (i) within close proximity to inhabited areas; (ii) on flooding

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Component Criteria areas/flood plains; and (iii) the location of effluent disposal points

should not be close to water intake or water usage points. • Areas of incompatible land use (e.g. proximity of high density

residential, schools, hospitals, etc.) should be closely examined while establishing sewage pumping stations and wet wells.

• Shall not be located adjacent to or with in cultural heritage site, protected area, wetland, mangrove area, estuarine zone, bay and special area for protecting biodiversity


• Shall not interference with other utilities and blocking of access to buildings; nuisance to neighboring areas due to noise, smell, and influx of insects, rodents, etc.

• Avoid dislocation or involuntary resettlement of people • Avoid impairment of downstream water quality due to

inadequate sewage treatment or release of untreated sewage. • Avoid overflows and flooding of neighboring properties with raw

sewage • Ensure no environmental pollution due to inadequate sludge

disposal or industrial waste discharges illegally disposed in sewers?

• Ensure no discharge of hazardous materials into sewers, resulting in damage to sewer system and danger to workers

• Ensure adequate buffer zone around pumping and treatment plants to alleviate noise and other possible nuisances, and protect facilities

• Ensure no social conflicts

Urban Drainage • Improvements/rehabilitation of major drains/primary channels to should minimize relocation and resettlement.

• Shall not be located adjacent to or with in cultural heritage site, protected area, wetland, mangrove area, estuarine zone, bay and special area for protecting biodiversity


Roads and Junction • Improvements to roads/junctions should avoid/minimize Improvement resettlement/relocation and determined based on extent of

capacity augmentation of the road/junction. • Improvements to avoid loss or damage to

religious/historical/cultural heritage sites and areas. •

Improvements to ensure that tree cutting is minimal and preferably, improvement designs should ensure that all trees along the identified road/junction are accommodated within the design.

3. Environmental Assessment/Review Procedure

27. Based on the above criteria, components identified will ensure that the Investment Program does not result in any potential environmental impacts, which will in turn categorize the Investment Program as ‘A’. As established in the IEE of sub-project towns (refer Sections II through IV of Volume 3/Enviromental Safeguards), most of the impacts are of typical construction and operation nature, which could be mitigated by appropriate mitigation

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measures. Most of the components, therefore, could be categorized as either ‘B’ or ‘C’ that does not warrant an EIA study. In any case, if an IEE warrants for further study, an environmental impact assessment (EIA) should be conducted. The categorization and environmental assessment/review procedures required to be followed are presented in Table 4.

28. However, to take note of those Investment Program components, which may probably induce significant environmental impacts due to its location or process, the following procedure is suggested. The sub-project components under this category are: (i) Source development; (ii) transmission mains (water supply component); and (iii) sewage treatment plant.

29. For these components it is recommended to conduct a rapid environmental assessment (REA) to check the Investment Program category i.e. A or B. Environmental impact assessment (EIA) shall be conducted for “A” category while initial environmental examination (IEE) to be conducted for “B” category. The following Table 4 indicates probable NKUSIP sub-project components, and the environmental review/assessment process to be followed as per the ADB guidelines. The table also presents the mandatory environmental requirements of GoI and GoK of each component.

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Table 4: Environmental Categorization of Probable NKUSIP Components and EA Requirements Components ADB Requirements GoI/GoK Requirements Category Required EA Action Required

I Water Supply 1 New Works i Water distribution network C Not required

(N/r.) • Follow generic mitigation measures -

ii Transmission mains A/B IEE • Conduct REA and categorize the component; • For Category ‘A’ conduct EIA • For Category ‘B’ conduct IEE

-

iii Water pumping station C N/r. • Follow generic mitigation measures - iv Water treatment plants B IEE • Prepare IEE - v Source development A/B IEE/EIA • Conduct REA and categorize the component;

• For Category ‘A’ conduct EIA • For Category ‘B’ conduct IEE

For barrage/dam obtain ‘Clearance’ from

DoEEF/WRDO vi GLSR/ESR C N/r. - - vii Water audit and leak

detection C N/r. - -

2 Rehabilitation/upgradation i Water distribution network C N/r. • Follow generic mitigation measures - ii Transmission mains B IEE • Prepare IEE - iii Water pumping station C N/r. • Follow generic mitigation measures - iv Water treatment plants C N/r. • Follow generic mitigation measures - v Source development A/B IEE/EIA • Conduct REA and categorize the component;


-

vi GLSR/ESR C N/r. - - II Sewerage System

1 New Works i Secondary sewers C N/r. • Follow generic mitigation measures - ii Main trunk sewers B IEE • Prepare IEE - iii Sewage Pumping Stations C N/r. • Follow generic mitigation measures -

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Components ADB Requirements GoI/GoK Requirements Category Required EA Action Required iv Sewage Treatment Plants A/B IEE/EIA • Conduct REA and categorize the component;


Preparation of EIA; submission to MoEF along with Detailed Investment Program Report for Clearance. Obtain CFE and CFO from KSPCB

2 Rehabilitation/upgradation i Secondary sewers C N/r. • Follow generic mitigation measures - ii Main trunk sewers B IEE • Prepare IEE - iii Sewage Pumping Stations C N/r. • Follow generic mitigation measures - iv Sewage Treatment Plants B IEE • Prepare IEE Obtain CFE and CFO from

KSPCB III Storm Water Drainage

1 Rehabilitation/upgradation I Primary drains B IEE • Prepare IEE - ii Secondary drains C N/r. - - IV Roads and Transportation

1 New Works I New Urban Roads B IEE • Prepare IEE - ii Traffic junctions & Islands C N/r. • Follow generic mitigation measures - iii Foot paths C N/r. • Follow generic mitigation measures - 2 Rehabilitation/upgradation I Roads (widening &

strengthening) B IEE • Prepare IEE -

ii Roads (strengthening) C N/r. • Follow generic mitigation measures - iii Traffic junctions & Islands C N/r. - - iv Foot paths C N/r. • Follow generic mitigation measures - V Poverty Alleviation

i Provision of infrastructure C N/r. • Follow generic mitigation measures

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Components ADB Requirements GoI/GoK Requirements

Category Required EA Action Required

services (water supply,

sewerage, drainage and roads)

VI Environment Improvement

i Lake development (restoration/remediation)

B IEE • Prepare IEE -

ii Tourism related B IEE • Prepare IEE -

Note: N/r. – Environmental assessment/review not required.

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D. Consultation, Information Disclosure, and Grievance Redress

1. Public Consultation 30. Meaningful stakeholder consultation and participation is part of the project preparation and implementation strategy. A Consultation and Participation Plan (CAPP) has been prepared for the program and will be implemented with the assistance of the consultants. By addressing stakeholder needs, there is greater awareness of the benefits, and ‘ownership’ of the program among stakeholders, which in turn contributes to project sustainability. The consultation process so far has solicited inputs from a wide range of stakeholders, including government officials, non-government organizations (NGOs), elected representatives, residents of project cities, marginalized/vulnerable beneficiary groups, and project affected persons (APs). 31. A variety of approaches has been adopted during program implementation for Tranches 1 and 2. For the subsequent subprojects, at minimum, stakeholders shall be consulted regarding the scope of the environmental and social impact study before work is commenced and they shall be informed of the likely impacts of the subproject and proposed mitigation once the draft EIA/IEE, RP, and IPP reports are prepared. The reports shall record the views of stakeholders and indicate how these have been taken into account in project development. Consultations will be held with a special focus on vulnerable groups. 32. The key stakeholders to be consulted during subproject preparation and EMP implementation include:

(i) Beneficiaries; (ii) Elected representatives, community leaders, religious leaders and representatives of community based organizations; (iii) Local NGOs; (iv) Local government and relevant government agency representatives, including local authorities responsible for land acquisition, protection and conservation of forests and environment, archaeological sites, religious sites, and other relevant government departments; (v) Residents, shopkeepers and business people who live and work alongside the roads where pipes will be lay and near sites where facilities will be built; custodians, and users of socially and culturally important buildings; (vi) ULBs staff and consultants, and (v) ADB and central and state government.

2. Information Disclosure

33. Information has been disclosed through public consultation and making relevant documents available at public locations. For the subsequent subprojects, the following documents will be submitted to ADB for disclosure on its website:

(i) For category A subprojects: (a) draft EIA (including the draft EMP) at least 120 days prior to ADB Board consideration; (b) final EIA; (c) a new or updated EIA and corrective action plan prepared during project implementation, if any; and (d) environmental monitoring reports.

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(ii) For category B subprojects: (a) final IEE; (b) a new or updated IEE and corrective action plan prepared during project implementation, if any; and (c) environmental monitoring reports.

34. The EA shall send written endorsement to ADB for disclosing these documents on ADB’s website. The EA will also provide relevant safeguards information in a timely manner, in an accessible place and in a form and language(s) understandable to affected people and other stakeholders. For illiterate people, other suitable communication methods will be used.

3. Grievance Redress Mechanism

35. A Grievance Redressal Committee, similar to one to address resettlement issues and outlined in the Resettlement Framework, is proposed to be formed at the district-level to ensure that grievances are addressed in a timely manner, facilitating project implementation on schedule. GRC will have as its members representatives from DPs, especially those belonging to Vulnerable Households, a local government/ULB representative, Investment Program Officials – Deputy Investment Program Director and NKUSIP, and an NGO/ CBO representative). The Grievance Redressal Committee (GRC) will redress grievances at the local-level in a consultative manner.

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Figure 1: Grievance Redressal Process

Affected Persons

Implementing NGO and RO

Deputy Commissioner

Grievance Addressed

GRC

Grievance Addressed

COURT

Not

Minor Grievances

Major Grievances

Not

Grievance Addressed

Not

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E. Compliance of NKUSIP with ADB Safeguards Policy Statement

36. The environmental assessment and review framework developed in the above section are based on the applicability of various Acts/Rules/Guidelines of GoI/GoK and ADB, the funding agency of NKUSIP. The framework clearly specifies the procedures to be followed for each component as per the ADBs requirements. Based on the findings and recommendations of the IEE of sample sub-project towns, most of the sub-project components are categorized as B and C.

37. However to ensure the environmental safeguard for important Investment Program components of (i) Source development; (ii) transmission mains (water supply component); and (iii) sewage treatment plant, which may have certain impacts due to its location, a rapid environmental assessment will be conducted using ADBs REA checklist to determine the sub-project category. In case a sub-project is categorized as ‘A’, EIA will be conducted. Hence, the proposed review procedure will ensure that environmentally benign project implementation while satisfying ADB’s Policies.The outline of an IEE shall follow the format outlined in Annex to Appendix 1 of ADB’s Safeguards Policy Statement 2009.

Table 5: Anticipated Environmental Impacts to be assessed by IEE/EIA

Noise levels Increase in noise level due to earth-moving and excavation equipment, and the transportation of equipment, materials, and people. Operation of heavy equipment and machines in the night time can cause nuisance to the surrounding environment/ people

Ecological resources and biodiversity Felling of the trees affect terrestrial ecological balance and affect terrestrial and aquatic fauna/wildlife.

Existing infrastructure and facilities Disruption of service and damage to existing infrastructure located alongside roads, in particular electric poles and community-scheme water supply pipes.

Landscape and aesthetics Solid wastes as well as excess construction materials create unacceptable aesthetic condition.

Accessibility Traffic problems and conflicts in ROW. Roads/people/businesses may be disturbed by repeated trenching.

Socioeconomic– Income Impede the access of residents and customers to nearby shops. Shops may lose business temporarily.

Occupational health and safety Occupational hazards which can arise during construction (e.g., trenching, falling objects, etc.).

Community health and safety Community hazards which can arise during construction (e.g., open trenches, air quality, noise, falling objects, etc.). Trenching on concrete roads using pneumatic drills will cause noise and air pollution. Traffic accidents and vehicle collision with pedestrians during material and waste transportation.

Construction waste Trenching will produce additional amounts of waste soil. And also accumulation of debris waste materials and stockpiling can cause environmental visual pollution.

Work camps Temporary air and noise pollution from machine operation, water pollution from storage and use of fuels, oils, solvents, and lubricants. This may cause conflict with residents and problem of waste disposal and disruptions to residents.

Social and cultural resources Risk of archaeological chance finds. Sites of social/cultural importance (schools, hospitals, religious place, tourism sites) may be disturbed by noise, dust, vibration and impeded access.

Clean-up operations, restoration and rehabilitation

Impacts on social or sensitive receptors when post construction requirements are not undertaken, e.g. proper closure of camp, disposal of solid waste, and restoration of land after subproject construction.

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F. Staffing Requirements and Budget 38. The ULBs will monitor and measure the progress of EMP implementation. The monitoring activities will be corresponding with the project’s risks and impacts and will be identified in the EIAs/IEEs for the subprojects. In addition to recording information of the work, deviation of work components from original scope, the IPMU will undertake site inspections and document review to verify compliance with the EMP and progress toward the final outcome.

39. IPC will submit monthly monitoring and implementation reports to the ULB, who will take follow-up actions, if necessary. ULB will submit the quarterly monitoring and implementation reports to IPMU who will then submit to the EA. The EA will submit semi-annual monitoring reports to ADB.

G. Staffing Requirements and Budget

40. . Conducting the environmental assessment as laid out in the earlier sections is the responsibility of borrowing ULB. The Investment Program Consultants appointed for NKUSIP by the IPMU shall prepare the EIA/IEE as per the ADB guidelines. A time frame of 20 days may be sufficient to prepare and IEE report and where as 80 days may be required for preparation EIA report. Hence the budged allocation as per the local rates should be in the range of US$ 4,000 for IEE and US$ 20,000 for EIA. The REA checklists shall be prepared by the Environmental Engineer of ULB or the Investment Program Consultants. The public consultation and information disclosure shall be conducted through the Community Awareness and Participation Program (CAPP). 41. During implementation stage, ULB will also require the services of Investment Program Consultants to inspect the implementation of mitigation measures identified and to perform all necessary activities identified IEE including monitoring plan on behalf of ULB.