Environment and Social Safeguards Monitoring Report INDIA: …€¦ · Krupasindhu Guru Assistant General Manger (AGM)- Social Specialist Masters in Economics, Masters in Journalism,

Environment and Social Safeguards Monitoring Report

May 2017 Environment and Social Safeguards Audit Sheets (January 2013 to May 2014)

INDIA: Second India Infrastructure Project Financing

Facility

Prepared by India Infrastructure Finance Company Limited for the India Infrastructure Finance

Company Limited and the Asian Development Bank

This environment and social safeguards monitoring report 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.

Ashoka Sambalpur Bargarh Tollways Private Limited

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ANNEX E-17: PERIODIC ENVIRONMENTAL AND SOCIAL PERFORMANCE REPORT FOR SUBPROJECTS APPROVED UNDER ADB’S LINE OF CREDIT, IIPFF-II

Please provide responses to the questions below. Please include additional sheets or attachments as required to provide details on questions that have been answered Yes. IIFCL is required to submit the periodic performance report to DFIs (see footnote below)1. This format is only for guidance and could be improved.

Name of Organization India Infrastructure Finance Company Limited (IIFCL) Name of Sub-project Four Laning of Sambalpur-Bargarh-Orissa/ Chattisgarh Border

section of NH-6 from Km 0.00 to Km 88.00 in the State of Orissa to be executed on DBFOT pattern under NHDP Phase – III.

Name of Sub-project Developer Ashoka Sambalpur Bargarh Tollways Pvt. Ltd. Reporting Period From January - 2013 to May - 2014

Audit Activity Name & Designation Signature

Prepared by Mr. Krupasindhu Guru Assistant General Manager (Social Specialist) Dr. Rashmi Kadian Assistant General Manager (Environment Specialist)

Reviewed By Dr. S. S. Garg General Manager & Head, ESMU

Approved by & Senior Staff with overall responsilbility for ESMS implementation

Mr. Sanjeev Ghai Chief General Manager

A. Environmental and Social Management System (ESMS)

Policies & Processes Yes/No

1. Has your organization developed and implemented an ESMS?

Yes ESSF was adopted by IIFCL in October 2008 which was subsequently revised in November, 2010 and July 2013 and Addendum to the ESSF for World Bank financed projects was issued in year 2014. The latest revised ESSF of February 2016 is available on IIFCL’s website (http://www.iifcl.org/WriteReadData/userfiles/file/Final%20ESSF.pdf) (If yes, please attach a copy of the ESMS to this report. Please indicate the date that the ESMS was established.)

2. If there is an ESMS already in place, have there been any updates to the ESMS or policy and procedures adopted by your organization during the reporting

Yes During reporting period (January - 2013 to May - 2014) an Addendum was issued to the ESSF in the year 2014. The purpose of the Addendum was to summarise the process of poposed due diligence process at IIFCL for determining the eligibility of sub-projects for the World Bank financing under

1 Reporting requirements outlined here pertained to ADB. Other DFIs also have similar requirements.


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period? World Bank’s line of credit. (If yes, please provide a copy of the updates including dates and reasons for the same.)

3. Has senior management signed off on the updated policy/ procedure?

Yes The ESSF 2016 has been approved by IIFCL Board on 23rd February 2016. (If yes, please provide the date and internal communication indicating the same.)

4. Has your organization appointed staff tasked to implement the ESMS?

Yes Environmental and Social Safeguards Management Unit (ESMU) has been set up at IIFCL in 2010 to fulfil the environmental & social safeguard commitments based on ESSF guidelines. The ESMU is currently headed/ coordinated by a qualified full-time staff of IIFCL with two full-time environmental safeguards specialists and one full-time social safeguards specialist. Head ESMU was recruited in October 2014 and one full time Environmental Safeguards Specialist was recruited in November 2014. In addition to this the department was also supported by one environmental safeguards specialist (Consultant) and one social safeguards specialist (Consultant) during the reporting period. The details of the ESMU team as on 31st December 2014 are given below:

S. No

Name of Employee

Designation Qualification

Experience in relevant field

1. Dr S.S.Garg General Manager & Head, ESMU

Doctorate in Environmental Sciences, Diploma in Industrial Safety, Lead Auditor for ISO 14001 & OHSAS 18001

20 yrs

2. Dr. Ruchi Malik

Assistant General Manger (AGM)- Environment Specialist

Doctorate in Environmental Sciences

13 yrs

3. Dr. Rashmi Kadian



12 yrs

4. Mr. Krupasindhu Guru

Assistant General Manger (AGM)- Social Specialist

Masters in Economics, Masters in Journalism, and LLB

13 yrs

5. Dr. Bhavesh Kumar Singh

Environmental Safeguards Specialist-

Doctorate in Environme

18 yrs


3

Consultant ntal Sciences

6. Rumita Chowdhury

Social Safeguards Specialist- Consultant

Masters in Sociology

11 yrs

(IF yes, please provide information on number of staff and qualification (experience and education backgroud) to implment the ESMS.)

5. Please give details of any transactions rejected due to environmetnal and/or social concerns.

No During the reporting period (January 2013 – May 2014) no transactions were rejected due to environmental and / or social concerns.

6. Please state any difficulties and/or constraints related to the implementation of the ESMS.

One of the pre requisites for getting funding (multilateral/bilateral financial institutions like World Bank, Asian Development Bank, and European Investment Bank) under line of credit is the evaluation of the subprojects on environmental and social issues. The ESSF of IIFCL provides an enabling mechanism to IIFCL to meet environmental and social safeguard requirements associated with sub-projects. As per the mandate, IIFCL finances upto 20% of project cost or 80% of the lead bank share whichever is lower, thus, IIFCL is a minor partner in the consortium. IIFCL follows the ESSF, whereas the other lending partners do not have such safeguard framework. The environmental and social safeguard requirement of any infrastructure project requires screening of vast quantum of data / information / statutory approvals / permits / periodic compliance monitoring reports etc. as per National safeguards requirements. Extracting this information from the developer is a time consuming process and is a challenging task.

IIFCL monitors the project through Lender’s Engineer Report, site visits and E&S infromation sought from the concessionaire periodically.

7. Please describe how you ensure that your clients and their investments are operated in compliance with the national laws and regulations and applicable DFI’s safeguard requirements.

In the Common Loan Agreement for each project funded by

IIFCL, certain covenants are always put up reflecting

concessionaire’s liability to comply with applicable laws of land as required for project implementation.

The safeguard compliance status of the project is examined

during the due diligence study of the project. After the approval

of the project by the DFIs, ESMU conducts annual audit of the

projects to review whether the projects are operated in

compliance with the applicable laws and regulations.

To ensure compliance with DFIs safeguards requirements

reports on implementation of EMP, reports on monitoring of

environmental parameters, status of safety management, LIE

reports and six monthly compliance reports are generally

shared by developer with IIFCL. The borrowers also engage

safety officers/engineers to look after the safety, health and

environment related aspects.

8. Please give details of any material social and environmental issues

The environmental and social safeguard requirement of any infrastructure project requires screening of vast quantum of


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associated with clients during the reporting period in particular.

data / information / statutory approvals / permits / periodic compliance monitoring reports etc. as per National safeguards requirements. Extracting this information from the developer is a time consuming process and is a challenging task. In case of social safeguards, IIFCL relies on the information provided by the Concessionaire.

9. In case the existing ESMS is not fully functional, what are the action plan beining implemented by your organization?

Presently, existing ESMU is functional. Please refer to Section A for details. Head ESMU was recruited in October 2014 and one full time Environmental Safeguards Specialist was recruited in November 2014. The position of Social Safeguard Specialist was advertised but not filled due lack of suitable candidate. This will be filled up shortly. (Please provide information or cite recommendation made by DFI’s review mission to improve the ESMS and its implementation.)

Capacity Yes/

No

10. Please provide the name and contact information of the senior staff who has the overall responsibility for the implementation of ESMS.

Yes Mr Sanjeev Ghai, Chief General Manager has the overall resposibility for the implementation of ESSF. His contact information are provided below: Telphone : +91 11 23450263, 23450261 (Direct); Email : [email protected] (Please describe the training or learning activities the Environmental/Social Officer or Coordinator attended during the year.)

11. Please provide current staffing of other core ESMS persons in the organization involved with ESMS implementation.

Yes Please refer Section A, point no. 4 for details of ESMU persons of IIFCL. Please find attached details of Training programmes attended by ESMS Staff during reporting period of January 2013 to May 2014 as Annexure-I. (Please describe the training provided to the ESMS persons and other team members during the year.)

12. What was the budget allocated to the ESMS and its implementation during the year?

Yes ESMU is the core team of IIFCL and requisite budgetory provision is a part of IIFCL’s overall budget. (Please provide budget details including staff costs and training as well as any actual costs.)

Monitoring

13. Do you receive environmental and social monitoring reports from Lead Banks/Borrowers?

Yes The project is monitored through Lenders Engineer’s reporting. The Lender’s Independent Engineer is appointed by the Lead Bank of the Lender’s Consortium to monitor the physical, financial progress and the compliance of various regulatory requirements. LIE reports are provided by the Lead Bank to the IIFCL. The LIE reports generally covers areas related to statutory approval status, forest diversion, tree cutting status, safety management, land acquisition status, utility shifting and pending litigation etc. From Borrowers, IIFCL receives reports on implementation of EMP, reports on monitoring of environmental parameters, status of safety management and six monthly compliance reports. (If yes, please describe and provide supporting documents including any social

mailto:[email protected]


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and environmental considerations if applicable.) 14. Do you check for ongoing

compliance of your clients with national regulation and any other requirements?

Yes During the environmental and social due diligence study and subsequent audit, the compliance of the project with the applicable regulation is checked with available documentation. The site visit is carried out by ESMU for field verification.

(If yes, please describe the process including any social and environmental considerations if applicable.)

15. Please describe how you monitor the clients and their investments’ social and environmental performance.

All the subprojects are invariably visited at the time of ESDDR preparation. Further Audit purposes, it was discussed that only a percentage of such projects would be visited if there are any pending safeguards issues. Therefore for audit purpose only limited projects were visited. The social and environmental performances are checked during the preparation of Environmental and Social Due Diligence Report and annual audit. Each approved project is evaluated for its environmental and social safeguard compliance performance against the applicable safeguard requirements at the time of annual audit. The compliance status is also assessed through the LE report which covers the statutory approval status, forest diversion, tree cutting status, safety management, land acquisition, shifting of common property resourcess status and pending litigation etc; reports on implementation of EMP, reports on monitoring of environmental parameters, status of safety management, six monthly compliance reports and through site visits. Out of the 12 sub-projects approved under IIPFF-II, six were visited during the reporting period (in the year 2014) and one sub-project was visited in the year 2016 to monitor / check environmental & social safeguards compliance. Moreover, out of the 12 sub-projects identified for E&S audit under IIPFF-II, 10 sub-projects have achieved Provisional COD / COD and construction pace of two subprojects is in the project stretch has been slow. The toll collection in these 10 projects is going on and the project is in smooth operation. It can be concluded that no major pending issues are associated with these sub-projects. Therefore, no site visit was conducted for these sub-projects. Social and Environmental performance are monitored through site visit during the preparation of ESDDR as well as at the time of annual E&S compliance. Environmental & Social Due-diligence for this project was undertaken by Environmental and Social Safeguard Specialists of IIFCL for which desk review of safeguards related documents was carried out along with field verification done during site visit conducted on 3rd to 4th July 2012 by ESMU team. Further, site visit was also conducted for the purpose of safeguards audit (for the audit period January 2013-May 2014) on 10th and 12th of February 2014. Since the project has achieved COD on June 2015, it can be concluded that no major issues have come to our notice with the sub-project. .


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(Please describe and provide supporting documents such as environmental and social monitoring reports and please provide information on the number of subprojects where a field visit was conducted by staff to review aspects including social and environmental issues.)

16. Please provide details of any accidents/litigation/complaints /regulatory notices and fines: - Any incidents of non-

compliance with the applicable Environmental and Social Requirements

- Covenants/conditionalities imposed by IIFCL to the client as a result of any non-compliance

The project specific details are provided in Section ‘C’.

Reporting 17. Is there an internal process to

report on social and environmental issues to Senior management?

Yes The ESDDR (one time document) and Audit sheets are approved by the Senior Management. The ESDDR is a detailed report on environmental as well as social safeguards and annual audit sheet is reported in the present format. (If yes, please explain the process, reporting format and frequency and actions taken if any.)

18. Do you prepare any social and environmental reports: - For other multilateral agencies - Other stakeholders - E&S reporting in the Annual

Report - Sustainability reports

Yes ESMU prepares Environment and Social Due Diligence report for the projects which are posed to other DFIs to draw down, under their line of credit. IIFCL’s annual report also reports on the ESSF since the year 2008-09 and ESMU since its inception in the year 2009-10. The Annual Reports are uploaded on IIFCL website and weblink for the same is http://www.iifcl.org/Content/report.aspx?mid=17&bid=2&cid=1 (If yes, please provide copies of these reports.)

B. Activities on DFI’s Prohibited Investment Activities List

1. If any, please indicate the dollar percentage of loans or investments out of your total outstanding exposure provided to clients who are substantially involved in DFI’s Prohibited Investment Activities List (Refer to Annexure V of SPS 2009).

Not applicable, since, IIFCL does not involve in the prohibited investment activities.

2. If the percentage is not zero, please explain these exposures and any steps having been taken to reduce such exposure.

Not applicable

C. Subprojects Using DFI Funds

Please provide information about all new investments using DFI funds approved during this reporting period. 1. Name of Subproject: Sub-project Developer: Ashoka Sambalpur Bargarh Tollways Pvt.

Ltd. Sub-project: Four Laning of Sambalpur-Bargarh-Orissa/ Chattisgarh Border section of NH-6 from Km 0.00 to Km 88.00 in the State of Orissa to be executed on DBFOT pattern under NHDP Phase – III.


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2. Location: Sambalpur-Bargarh section of NH-6 (starting from Sambalpur at Km

0/000, passing through Bargarh (Km 48.000) and ending at Orissa/Chattisgarh Border (Km 88.000), covering a distance of 88 km.

3. Sector: Highways and Roads

4. Total loan from IIFCL/DFI (US$ MN):

US $ 22.06 MN (till Dec 2014)

5. Safeguard category: (Annex E-3)

Environment: B

No Indigenous people are involved in this project.

No Resettlement and Rehabilitation are involved in this project.

Further, this project is up gradation, maintenance and widening of the existing 2-lane National Highway section to 4/6 lane divided carriageway configuration. Moreover, land acquisition was initiated prior to IIFCL’s involvement after the Gazette Notification was published.

6. Were any environmental and

social due diligence undertaken by your organization?

Environmental & Social Due-diligence for Ashoka Sambalpur Bargarh Tollways Pvt. Ltd. was undertaken by Environmental and Social Safeguard Specialists of IIFCL for which desk review of safeguards related documents was carried out along with field verification done during site visit conducted on 3rd to 4th July 2012 by ESMU team. Environmental and Social Safeguard Specialists of IIFCL again visited the site on 10th to 12th February 2014 for field verification for annual audit purpose and desk review of documents/information has been done for annual compliance monitoring. (If yes, provide information on due diligence activities, such as desk review of safeguard documents, and field visit, and by whom.)

7. Any environmental assessment report (including environmental management plan), involuntary resettlement plan, or indigenous peoples plan, or audit reports reviewed by your organization?

Environmental Safeguard: The Environmental Safeguard Due-Diligence study was carried out for the sub-project on the basis of site visit observations and understanding project scope based on information and documents provided by the Concessionaire. The following documents were referred/reviewed in order to prepare Environmental Safeguards Due-Diligence Report:

EIA and EMP report Compliance status for EMP Matrix Environment Quality Monitoring Reports Project Concession Agreement & EPC Agreement HSE Manual for ASBTPL Road Project Road Safety and Traffic Management Plan Institutional arrangement for EMP Implementation Monthly copy of Accident report Detailed Project Report LIE Report (May 2012)

Social Safeguard: The social safeguard due diligence study was carried out for the sub-project by reviewing the following documents/information:


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Detailed Project Report Environmental Impact Assessment Report Environmental Management Plan Project Statutory clearances/consents/ approvals/permits QHSE Policy; Resettlement Action Plan (RAP); No Indigenous people are affected in this project.

(If yes, please provide the names of documents reviewed.)

8. What were the main

environmental, involuntary resettlement and indigenous peoples issues associated with this subproject that were identified through due diligence conducted by your organization, and how were the issues dealt with (i.e., outcome of due diligence)?

Environmental Safeguard Ashoka Sambalpur Bargarh Tollways Pvt. Ltd. does not have any

major environmental issue associated with it. The project has

achieved provisional COD in June 2015.

The following documents/information were reviewed for the purpose of audit for the reporting period:

Environmental Quality Monitoring reports for October 2013, May 2014, November 2014

Implementation of EMPs Environment Statement for the year 2013-14 Permits and consents for the sub-project Compliance reports to CA & SPCB on consents Accident incident reports Quarry and Borrow area Management practices and

implementation Tree cutting and plantation status Traffic and road safety measures implemented in project

Following are the observations / outcome of the review of documents

/ information for audit :

The Concessionaire is implementing EMP at sub-project site and maintains reports on implementation of EMP. Implementation of EMP is found to be adequate at the sub-project.

The sub-project has statutory approvals and permits. Renewals of permits are being taken.

Developer is submitting six monthly compliance report to the conditions of environment clearance letter.

The environmental monitoring is being done at sub-project on periodic basis, the monitoring frequency is found to be adequate and the monitoring results are within the prescribed limits of regulatory norms.

Provision of safety signages as per IRC Guideline such as median opening warning sign, rumblers warning sign, padestrian crossing ahead warning sign, solar blinkers and hazard markers at median openings have been installed at the sub-project as safety measure.

Sub-project has HSE Committee, Canteen Committee, Grievance Committee and Emergency Response Team to cater various situations.

Complaint register is being maintained at the site. Fly ash is being utilized at the site Tool box talk is conducted on various work activities before

start of work.


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Till January 2015, a total of 10826 trees have been cut at the sub-project.

Till January 2015, 52805 trees have been planted in Avenue plantation.

42250 no. of plants have been planted as median plantations in sub-project till January 2015.

Adequate institional arrangement exists at sub-project for

implementation of HSE aspects.

The sub-project does not have any environmental safeguards

related issue.

Social Safeguard During the due diligence study, it was noted that,

The sub-project has been prepared by NHAI as per its own funding requirement and not anticipation to ADB operation;

Efforts have been taken during the project planning and design stage to minimize the resettlement impact on the existing structure and additional land acquisition;

To minimize the social impact, about 1.10 km long realignment has also been planned in the existing project stretch.

During project planning and preparation stage, informal consultations were arranged with the stakeholders along the project road, villages, shopkeepers and the people of the different section of the society;

Pallisabha have been conducted in all 18 villages of Bargarh district for de-notification of village Forest Land for widening of NH 6;

Land acquisition is being done by NHAI as per the applicable policy. The compensation for the loss of properties has been decided by competent authority;

As informed by the concessionaire the affected people are being compensated for loss of land and structures, according to the policies and procedures of NH Act- 1956. The compensation for the loss of land has been paid by the competent authority considering the market value obtained from the Revenue Department of the state;

As informed by the concessionaire local labour has been employed for skilled and unskilled activities;

As informed by the concessionaire, both skilled and unskilled workers from the local area are being engaged in the construction activities.

It can be conclude that since the project has achieved COD on June 2015 so no major or pending social issues are associated with these sub-projects.

9. Did you discuss with the Lead Bank the applicable environmental and social safeguard requirements and their implementation?

IIFCL meets the Lenders’ on quarterly as agreed in the consortium and discussed regarding the pending issue if any. The last consortium meeting for the current quarter was held on 2nd March 2017,

10. For category A subproject, were safeguards related documents such as EIA, RP and IPP, or audit reports

Ashoka Sambalpur Bargarh Tollways Pvt. Ltd. does not fall under category A as per ADB’s safeguard requirements.


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made publicly available, in addition to posting on ADB’s website?

(If yes, please provide website link and the date the documents were uploaded.)

11. Were any conditions or covenants related to environmental and social issues made along with the investment?

The compliance to the applicable laws of land is included as a covenant in the loan agreement signed by the lead bank and other consortium members with the Concessionaire.

(If yes, please briefly describe.)

12. Does the investment comply with applicable government requirements?

Yes

13. Does the investment comply with applicable DFI safeguard requirements?

Yes

ANNEX S-4: Resettlement Screening Checklist (Ashoka Sambalpur Bargarh Tollways Pvt Ltd)

Impact Not

Known

Yes No Indication of scope (no. of affected

persons, land area, land use, structures,

etc.) Is the prospective subproject

company (PPC) undertaking

or likely to undertake any

land acquisition?

√ Land acquisition process was initiated and

completed by NHAI after the Gazette

Notification were published.

Is the PPC acquiring land

through willing buyer to

willing seller transactions?

√

Does the PPC have any

agreements or is it likely to

enter into agreements with the

government for provision of

sites or land or rights to land?

√ NHAI has handed over to the concessionaire a

encroached free land as per Article: 10 of the

Concession Agreement.

Is any of the land used by the

PPC (or likely to be used by

the PPC) compulsorily

acquired?

√

Will any PPC activities

involve restrictions of use on

adjoining land?

√

Are the sites for land

acquisition known?

√ This process was initiated and completed by

NHAI prior to IIFCL’s involvement.

What is the ownership status

of the land?

The land was acquired by NHAI, after the

Gazette Notifications was published.

Are non-titled persons

present?

√

Will tenants, lessees, share

farmers, or other third party

users be affected?

√

Will there be loss of housing?

√

Will there be loss of crops,

trees, and other fixed assets?

√

Will there be loss of incomes

and livelihoods?

√

Will access to facilities,

services, or resources be lost?

√

Will there be loss of

businesses or enterprises?

√

Will any social or economic

activities be affected by land

use related changes?

√

If involuntary resettlement impacts are expected:

Are local laws and regulations

compatible with DFI’s

involuntary resettlement

policy?

√

Will land be acquired through

the government or by the

PPC?

√

Do PPC agreements with the

government (if any) specify

involuntary resettlement will

be conducted in accordance

with international standards?

√

Does the government

executing agency/PPC have

sufficient skilled resources for

resettlement planning and

implementation?

√

Are training and capacity

building required prior to


implementation?

√

Note: The process of land acquisition/RoW use has been initiated before IIFCL's involvement with the project.

ANNEX S-5: Tribal Peoples Effects Screening Checklist (Ashoka Sambalpur Bargarh Tollways Pvt Ltd)

Impact on Tribal Peoples

Not

Known Yes No

Remarks or identified

problems, if any

Are there tribal groups present in

project locations?

√

Do they maintain distinctive customs

or economic activities that may make

them vulnerable to hardship?

√

Will the subproject restrict their

economic and social activity and make

them particularly vulnerable in the

context of project?

√

Will the subproject change their

socioeconomic and cultural integrity?1

√

Will the subproject disrupt their

community life?

√

Will the subproject positively affect

their health, education, livelihood, or

social security status?

√

Will the subproject negatively affect



√

Will the subproject alter or undermine

the recognition of their knowledge,

preclude customary behaviors, or

undermine customary institutions?

√

In case there is no disruption of tribal

community life as a whole, will there

be loss of housing, loss of land, crops,

trees, and other fixed assets owned or

controlled by individual tribal

households?

√

1 That is, undermine their production systems and the maintenance and transmission of their cultural patterns.

Badarpur Faridabad Tollway Ltd.

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Name of Organization India Infrastructure Finance Company Limited (IIFCL) Name of Sub-project

Elevated Six Lane Highway from km 16.1 to km 20.5 of NH-2 (Delhi –Agra Section) and its approaches

Name of Sub-project Developer Badarpur Faridabad Tollway Ltd. (BFTL)

Reporting Period From January - 2013 to May - 2014


Prepared by Dr. Ruchi Malik

Assistant General Manager

(Environment Specialist)

ESMU ,IIFCL

Ms. Rumita Chowdhury.

Social Safeguard Specialist-

Consultant

ESMU ,IIFCL







Yes ESSF was adopted by IIFCL in October 2008 which was subsequently revised in November, 2010 and July 2013 and Addendum to the ESSF for World Bank financed projects was issued in year 2014. The latest revised ESSF of February 2016 is available on IIFCL’s website (http://www.iifcl.org/WriteReadData/userfiles/file/Final%20ESSF.pdf ) (If yes, please attach a copy of the ESMS to this report. Please indicate the date that the ESMS was established.)


http://www.iifcl.org/WriteReadData/userfiles/file/Final%20ESSF.pdf



2

2. If there is an ESMS already in place, have there been any updates to the ESMS or policy and procedures adopted by your organization during the reporting period?

Yes During reporting period (January - 2013 to May - 2014) an Addendum was issued to the ESSF in the year 2014. The purpose of the Addendum was to summarise the process of poposed due diligence process at IIFCL for determining the eligibility of sub-projects for the World Bank financing under World Bank’s line of credit. (If yes, please provide a copy of the updates including dates and reasons for the same.)





S. No

Name of Employee





20 yrs

2. Dr. Ruchi Malik



13 yrs




12 yrs

4. Mr. Krupasindhu

Assistant General Manger

Masters in Economics,

13 yrs


3

Guru (AGM)- Social Specialist

Masters in Journalism, and LLB


Environmental Safeguards Specialist- Consultant


18 yrs

6. Rumita Chowdhury



11 yrs





















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8. Please give details of any material social and environmental issues associated with clients during the reporting period in particular.

The environmental and social safeguard requirement of any infrastructure project requires screening of vast quantum of data / information / statutory approvals / permits / periodic compliance monitoring reports etc. as per National safeguards requirements. Extracting this information from the developer is a time consuming process and is a challenging task. In case of social safeguards, IIFCL relies on the information provided by the Concessionaire.



Capacity Yes/

No







Monitoring


Yes The project is monitored through Lenders Engineer’s reporting. The Lender’s Independent Engineer is appointed by the Lead Bank of the Lender’s Consortium to monitor the physical, financial progress and the compliance of various regulatory requirements. LIE reports are provided by the Lead Bank to the IIFCL. The LIE reports generally covers areas related to statutory approval status, forest diversion, tree cutting status, safety management, land acquisition status, utility shifting and pending litigation etc.



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From Borrowers, IIFCL receives reports on implementation of EMP, reports on monitoring of environmental parameters, status of safety management and six monthly compliance reports. (If yes, please describe and provide supporting documents including any social and environmental considerations if applicable.)

14. Do you check for ongoing compliance of your clients with national regulation and any other requirements?




All the subprojects are invariably visited at the time of ESDDR preparation. Further Audit purposes, it was discussed that only a percentage of such projects would be visited if there are any pending safeguards issues. Therefore for audit purpose only limited projects were visited. The social and environmental performances are checked during the preparation of Environmental and Social Due Diligence Report and annual audit. Each approved project is evaluated for its environmental and social safeguard compliance performance against the applicable safeguard requirements at the time of annual audit. The compliance status is also assessed through the LE report which covers the statutory approval status, forest diversion, tree cutting status, safety management, land acquisition, shifting of common property resourcess status and pending litigation etc; reports on implementation of EMP, reports on monitoring of environmental parameters, status of safety management, six monthly compliance reports and through site visits. Out of the 12 sub-projects approved under IIPFF-II, six were visited during the reporting period (in the year 2014) and one sub-project was visited in the year 2016 to monitor / check environmental & social safeguards compliance. Moreover, out of the 12 sub-projects identified for E&S audit under IIPFF-II, 10 sub-projects have achieved Provisional COD / COD and construction pace of two subprojects is in the project stretch has been slow. The toll collection in these 10 projects is going on and the projects are in smooth operation. It can be concluded that no major pending issues are associated with these sub-projects. Therefore, no site visit was conducted for these sub-projects as agreed. Environmental & Social Due-diligence for this project was undertaken by Environmental and Social Safeguard Specialists of IIFCL for which desk review of safeguards related documents was carried out along with field verification done during site visit conducted on 14th April 2010 by ESMU team. Further, site visit was also conducted for the purpose of safeguards audit in the month of June 2011 and subsequent site visit was also conducted during (for the audit period January 2013-May 2014) 27th March 2014.


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Since the project has achieved COD on 30th November 2010 and is in smooth operation since then. It can be concluded that the project does not have identified any major issues. (Please describe and provide supporting documents such as environmental and social monitoring reports and please provide information on the number of subprojects where a field visit was conducted by staff to review aspects including social and environmental issues.)















Not applicable


Please provide information about all new investments using DFI funds approved during this reporting period.


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1. Name of Subproject: Elevated Six Lane Highway from km 16.1 to km 20.5 of NH-2 (Delhi –Agra Section) and its approaches Sub-project Developer: Badarpur Faridabad Tollway Ltd. (BFTL)

2. Location: Located in the states of Delhi and Haryana. The project involves construction of elevated six lane highway

3. Sector: Roads and Highways (Widening & Stregthening) The project has achieved Commercial Operations Date (COD) on 30th November, 2010.

4. Total loan from IIFCL/DFI (US$ mn): IIFCL has committed Rs. 68 Crores and has already disbursed the whole amount to Badarpur Faridabad Tollways project and amount received from ADB is 68.00 crores (14.99 US$ mn)


Environment: B No Rehabilitation and Resettlement issues were Involved because of this project. No Indigenous People are involved in this project. Further, this project is 4.4km Badarpur Faridabad six lane elevated highway. Moreover, land acquisition was initiated prior to IIFCL’s involvement after the Gazette Notification was published.

6. Were any environmental and social due diligence undertaken and by your organization?

Yes, Environment & Social due diligence study has been undertaken for the sub-project by Mr. Saumyasib Mukhopadhyay (Environmental Safeguard Specialist) and Ms. Rumita Chowdhury (Social Safeguard Specialist) from IIFCL and Mr. Hari Prakash, ADB Consultant on 14th April 2010. A site visit was undertaken on 14th April 2010 by IIFCL’s Environment and Social Safeguard Specialist along with the ADB-Auditor. Further, during annual audit visit in yr. 2011, site visit

was undertaken by Dr. Ruchi Malik (Environment Specialist) and Ms. Rumita Chowdhury (Social safeguards Consultant) along with Mr. Hari Prakash (ADB TA Consultant) in the month of June 2011.

During year 2014, site visit has been undertaken by Mr. Bhavesh Kumar Singh (Environmental Consultant) and Mr. Krupasindhu Guru (Social safeguard Specialist) on 27th March,2014 for field verification of safeguards implementation during O&M Phase for which consultation with the O&M Team of concessionaire was also done

7. Any environmental assessment

report (including environmental management plan), involuntary resettlement plan, or indigenous peoples plan, or audit reports

Environmental Safeguards: The Environmental safeguard

due-diligence study was carried out for the project on the

basis of site visit observations and understanding project

scope based on information and documents provided by


8

reviewed by your organization? Concessionaire. The following documents were referred in

order to prepare Environmental Safeguards Due-Diligence

Report:

Project Information Memorandum (PIM); Detailed Project Report for Environmental aspects and

Environment Management Plan; Environment Safeguards related Clearances/Permits

obtained for the project; Detailed EMP and Environment Aspects Identification

Matrix prepared by EPC Contractor for this project. Document for Safety Practices EPC Contract for safeguards related contractual

obligations Environmental Quality Monitoring Report Project Organogram for EHS team and EMP Budget

Social Safeguards: The Social Safeguard Due Diligence study was carried out for the sub-project with the information and documents provided by the Developer. The social component was included as one of the important component in the Environmental study. The documents considered during the social due diligence included Main Volume of the Detailed Project Report which includes the information on the various social and environmental impact of the project, the direct information provided by the Developer during the implementation stage. The social impact of the project has been covered under the EIA study. Detailed survey has been conducted to report the social impact during the EIA study. No separate Resettlement Plan has been prepared for the project. No Rehabilitation and Resettlement Involve because of this project. No Indigenous People are involved in this project. (If yes, please provide the names of documents reviewed.)

8. What were the main environmental,

involuntary resettlement and indigenous peoples issues associated with this subproject that were identified through due diligence conducted by your organization, and how were the issues dealt with (i.e., outcome of due diligence)?

Environmental Safeguards: During ESDDR preparation, no environmental issues were identified for addressal in the project. The following documents were reviewed for the purpose of audit for reporting period:

Details of Environmental protection related measures during O&M Phase

Tree Plantation/Horticulture Details; Details of Public Amenities provided in project

stretch; Environmental Quality Monitoring Report in

project stretch (Period April 2013) Monthly Accident-Incident summary sheets from

November & December 2013, Jan. 2014 to Dec. 2014;

Project Organogram for safety team and O&M team handling Emergency Response System;


9

Details of overall traffic and Road safety Measures;

Records for Road Safety Week Celebration, Swachahta Abhiyan, Fire-fighting related Mock drills.

Based on the review of safeguards documents for reporting period, following are the observations / outcome of the review of documents:

Concessionaire confirmed vide mail that no other

new statutory Clearance or extension of

consent/approval and clearances is required since

the project is under O&M phase.

Concessionaire has confirmed that there were no

complaints received during reporting period

regarding environmental safeguards implementation

in project stretch

Concessionaire is taking efforts for environmental

management in highway section by doing plantation

and its regular maintenance, Cleaning of drains &

highway, Environmental quality monitoring,

development of rainwater harvesting pits, provision

for public amenities etc. Total 16024 no. of avenue

plantation has been carried out by project developer

in the project stretch of 4.4. km.

Concessionaire is taking Road & Traffic safety measures in project stretch by providing road safety furniture and maintaining emergency highway traffic management system.

Road & traffic safety related measures like Table tops, PUP (Pedestrian Under Pass), VUP (Vehicular Under Pass), FOB (Foot over bridge), Chevron Marking, Cat eye/studs etc. have been provided in BFTL road project.

Concessionaire has developed grievance redressal mechanism and maintaining complaints register at toll plaza locations in which daily feedbacks /complaints received & action taken are recorded.

Regular monitoring of Accident/Incidents taking place in project stretch is carried out and monthly sheet is also generated as monitoring record.

Concessionaire is conducting Road & Traffic

safety related awareness activities in project

stretch by distribution of safety pamphlets among

general public during road safety week.

As observed during site visit of March 2014, it was

found that the concessionaire had well maintained

the highway corridor and also had undertaken

adequate road and traffic safety measures for

smooth flow of traffic and environmental

safeguard measures as required to implement

during operation phase of any highway project.

Currently the elevated highway project is under


10

O& M phase and highway operation is running

smoothly.

During review of safeguards documents for reporting period, no environmental issues were identified for addressal in Badarpur Faridabad Tollways project. Social Safeguards: During the due diligence study, it was noted that,

The total length of the sub-project road is 4.400

kms and the total land requirement for the project is

44.390 Ha.

Due to land acquisition the APs were losing only a

part of their land and were not getting economically

displaced. To mitigating the loss of income or

livelihood, an additional amount, equivalent to 10%

of the compensation, was paid as Solatium.

Few grievances and claims were received by the

competent authority regarding the compensation

package for the loss of assets. To address the

issues raised by the people, a public meeting was

organized by the competent authority. As a follow-

up procedure the District Magistrate of each

affected district has done their independent study

regarding the various enquiries made by the people

regarding the compensation for loss of land and

structures.

It was concluded in the due diligence report that

there were no major outstanding issues in the

subproject.

The sub-project has been prepared by NHAI as per

its own funding requirement and not anticipation to

ADB operation.

The project is being operational since 30th

November 2010.

As part of Annual Compliance Monitoring Review

for the reporting period of January 2013 to May

2014, the information related to land acquisition,

grievances (if any) an local labour employment

were reviewed.

During the Annual Compliance Monitoring Review

for the reporting period of January 2013 to May

2014, it has been informed by the sub-project

developer that,

The project is in operation stage and there has not

been any a further complaint or demands from the

local people.

It has also been informed by the sub-project

developer that a small piece of defense land for

widening of service lane and construction of drain


11

could not be acquired yet. But is does not affect

project operation and maintenance in any manner.

Land acquisition for the project is the responsibility

of National highway Authority of India

(Concessioning Authority).

Local people comprise nearly 75 % of the total

manpower employment in the project.

The pending land acquisition is not affecting the operation and maintenance of the project.


Generally, IIFCL meets the Lenders’ on quarterly as agreed in the consortium and discussions were held on the pending issue if any. The last consortium meeting was held on 23rd March 2017.

10. For category A subproject, were safeguards related documents such as EIA, RP and IPP, or audit reports made publicly available, in addition to posting on ADB’s website?

The sub-project doesn’t fall under category A as per ADB’s safeguards requirements. (If yes, please provide website link and the date the documents were uploaded.)

11. Were any conditions or covenants

related to environmental and social issues made along with the investment?

The compliance to the applicable laws of land is included as a covenant in the loan agreement signed by the Lead Bank and other lending consortium members with the Concessionaire. (If yes, please briefly describe.)

12. Does the investment comply with

applicable government requirements?

Yes


Yes

ANNEX S-4: Resettlement Screening Checklist (Badarpur Faridabad Tollways Pvt Ltd)

Impact Not

Known






land acquisition?




The land acquisition has been done by NHAI

after the Gazette notification were published

both in English and Vernacular language in

national daily newspapers under section 3A &

3D of NH Act 1956 for the entire stretch in

2009. Is the PPC acquiring land



√












acquired?

√



adjoining land?

√


acquisition known?




of the land?




present?

√



users be affected?

√


√



√


and livelihoods?

√



√



√




√





policy?

√



PPC?

√






√

Does the government




implementation?

√




implementation?

√


ANNEX S-5: Tribal Peoples Effects Screening Checklist (Badarpur Faridabad Tollways

Pvt Ltd)

)


Not

Known Yes No


problems, if any


project locations?

√




√




context of project?

√



√


community life?

√




√




√





√






households?

√


Baharampore Farakka Highways Limited

1



Name of Organization India Infrastructure Finance Company Limited (IIFCL) Name of Sub-project Four Laning from Baharampore (Km-191.416) to Farakka (Km-294.684)

Section of NH-34 in the State of West Bengal under NHDP PHASE-III on Design, Build, Finance, Operate and Transfer (DBFOT) Toll basis.

Name of Sub-project Developer Baharampore Farakka Highways Ltd. Reporting Period From January - 2013 to May - 2014














2






S. No

Name of Employee





20 yrs

2. Dr. Ruchi Malik



13 yrs




12 yrs




13 yrs




18 yrs


3


6. Rumita Chowdhury



11 yrs


























4





Capacity Yes/

No







Monitoring





5






All the subprojects are invariably visited at the time of ESDDR preparation. Further Audit purposes, it was discussed that only a percentage of such projects would be visited if there are any pending safeguards issues. Therefore for audit purpose only limited projects were visited. The social and environmental performances are checked during the preparation of Environmental and Social Due Diligence Report and annual audit. Each approved project is evaluated for its environmental and social safeguard compliance performance against the applicable safeguard requirements at the time of annual audit. The compliance status is also assessed through the LE report which covers the statutory approval status, forest diversion, tree cutting status, safety management, land acquisition, shifting of common property resourcess status and pending litigation etc; reports on implementation of EMP, reports on monitoring of environmental parameters, status of safety management, six monthly compliance reports and through site visits. Out of the 12 sub-projects approved under IIPFF-II, six were visited during the reporting period (in the year 2014) and one sub-project was visited in the year 2016 to monitor / check environmental & social safeguards compliance. Moreover, out of the 12 sub-projects identified for E&S audit under IIPFF-II, 10 sub-projects have achieved Provisional COD / COD and construction pace of two subprojects is in the project stretch have been slow. The toll collection in these 10 projects is going on and the projects are in smooth operation. It can be concluded that no major pending issues are associated with these sub-projects. Therefore, no site visit was conducted for these sub-projects as agreed. Environmental & Social Due-diligence for this project was undertaken by Environmental and Social Safeguard Specialists of IIFCL for which desk review of safeguards related documents was carried out along with field verification done during site visit conducted on 21st -23rd of November 2012 by ESMU team. Further, site visit was also conducted for the purpose of safeguards audit (for the audit period January 2013-May 2014) on10-14th September 2014 for field verification. The project has achieved PCOD on May 2014 and is in smooth operation since then. It can be concluded that the project does not have any major issues has come to our notice (Please describe and provide supporting documents such as environmental and social monitoring reports and please provide information on the number of subprojects where a field visit was conducted by staff to review aspects including social and environmental issues.)


6















Not applicable


Please provide information about all new investments using DFI funds approved during this reporting period. 1. Name of Subproject: Sub-project Developer: Baharampore Farakka Highways Limited

Sub-project: Four Laning from Baharampore (Km-191.416) to Farakka (Km-294.684) Section of NH-34 in the State of West Bengal under NHDP PHASE-III on Design, Build, Finance, Operate and Transfer (DBFOT) Toll basis.

2. Location: The project corridor starts from existing Chainage km 191.416 and ends at km 294.684 near Farakka Barrage as part of road section of National Highway No. 34 (NH-34). The road falls in Murshidabad District in the State of West Bengal.


7



US $ 9.20 MN (till Dec 2014)


Environment: B No Indigenous People are involved in this project. No Rehabilitation & Resettlement issues were involved in this project. Further, this project is up gradation, maintenance and widening of the existing 2-lane National Highway section to 4 laning. Moreover, land acquisition was initiated prior to IIFCL’s involvement after the Gazette Notification was published.

6. Were any environmental and social due diligence undertaken by your organization?

Environmental & Social Due-diligence for Baharampore Farakka Highways Ltd. was undertaken by Environmental and Social Safeguard Specialists of IIFCL for which desk review of safeguards related documents was carried out along with field verification done during site visit conducted on 21st-23rd November, 2012 by ESMU team. Environmental and Social Safeguard Specialists of IIFCL again visited the site on 10-14th September 2014 for field verification for annual audit purpose and desk review of documents/information has been done for annual compliance monitoring. (If yes, provide information on due diligence activities, such as desk review of safeguard documents, and field visit, and by whom.)



EIA and EMP report EMP Implementation Consents, clearances and permits for the sub-project Environmental Monitoring reports Project Concession Agreement & EPC Agreement Emergency preparedness and response plan HSE statistics for sub-project & compliance report Road safety audit and compliance report Detail Project Report (DPR) Lender’s Independent Engineer Report

Social Safeguard: The social safeguard due diligence study was carried out for the sub-project by reviewing the following information:

Detail Project Report; Environmental Impact Assessment Report prepared by Span

Consultants Pvt Ltd, N Delhi Environmental Management Plan


8

Project Statutory clearances/consents/ approvals/permits QHSE Policy; Resettlement Action Plan (RAP) ;

No Indigenous People are getting affected due to the sub project. (If yes, please provide the names of documents reviewed.)



Environmental Safeguard Baharampore Farakka Highways Ltd. does not have any major

environmental issue associated with it. The project has achieved

provisional COD on May 2014


Environmental Quality Monitoring reports for March 2013, December 2013

Permits / consents for the sub-project Accident incident reports Tree cutting details Sub-project HSE documents Traffic and road safety measures implemented in project Fly ash utilization at sub-project LIE Reports for Dec 2013, Jan to June 2014.



The sub-project has necessary statutory approvals and

permits

The air, water, noise & stack parameters are within

prescribed limits of the Pollution Control Board.

Safety Officer along with support staffs are deployed at Site

to take care of safety and environment aspects and Traffic

Management.

Safety & traffic management systems are implemented at all

required locations as per the Safety & Traffic Management

plan finalized for execution of the Project.

Road safety signage for ongoing construction work and

reflective delineators are provided at appropriate locations.

Emergency response system is at place in the project.

Safety remedial measures being taken to reduce the

recurrence. Safety classes for staff as well for workers are

done on regular basis.

Frequent safety meeting, training on safe driving and mock

drill were conducted for the awareness purpose.

Fly ash is being utilized at the site.

A total of 12579 no. of trees are to be cut at the sub-project

out of which 12201 were cut till May 2014

The sub-project has already achieved provisional COD and the

sub-project has no significant environmental safeguard issues.

Social Safeguard


9

During the due diligence study, it was noted that,


As informed by the concessionaire, all the affected families have been compensated for the loss of structures before the start of any civil activity and there is no relocation of any affected family for the sub-project;

Compensation was paid at the market value after analysis and verification of local market rates.

Measures have been adopted for the minimization of social impacts during the project planning stage of the sub-project. The design has been finalized with due consideration so that the alignment do not pass through any congested settlement area;

Local labours are being engaged in the construction activities for skilled, semiskilled as well as unskilled activities;

Proper traffic diversions and appropriate signage are being provided at the site to prevent any disruption of life and the highway traffic;

Construction workers have been provided with proper highway jackets, boots, helmets, hand gloves and training;

Within the camp site the EPC contractor has maintained proper sanitation facilities of drainage, sewerage, hygiene messing facility, for drinking water they have established arrow plant for the workers and their families;

The EPC contractor has given residential facilities for the workers and their families, with well-maintained park and play ground.

It can be concluded that since the project has achieved COD on May

2014, so no major or pending social issues are associated with the

sub-project.

9. Did you discuss with the

Lead Bank the applicable environmental and social safeguard requirements and their implementation?

IIFCL meets the Lenders’ on quarterly as agreed in the consortium and discussions were held on the pending issue if any. Further, the last consortium meeting for the current quarter was held on 30th May 2016.


Baharampore Farakka Highways Ltd. does not fall under category A as per ADB’s safeguard requirements. (If yes, please provide website link and the date the documents were uploaded.)





Yes


Yes


10

ANNEX S-4: Resettlement Screening Checklist (Baharampore Farakka Highways Ltd)

Impact Not

Known






land acquisition?







√












acquired?

√



adjoining land?

√


acquisition known?




of the land?




present?

√



users be affected?

√


√



√


and livelihoods?

√



√



√




√





policy?

√



PPC?

√






√

Does the government




implementation?

√




implementation?

√


ANNEX S-5: Tribal Peoples Effects Screening Checklist (Baharampore Farakka Highways Ltd))


Not

Known Yes No


problems, if any


project locations?

√




√




context of project?

√



√


community life?

√




√




√





√






households?

√


Farakka Raiganj Highways Limited

1

ANNEX E-17: PERIODIC ENVIRONMENTAL AND SOCIAL PERFORMANCE REPORT FOR SUBPROJECTS APPROVED UNDER ADB’S LINE OF CREDIT,IIPFF-II


Name of Organization India Infrastructure Finance Company Limited (IIFCL) Name of Sub-project Four Laning from Farakka (Km-295.000) To Raiganj (Km-398.000)

Section of NH-34 in the State of West Bengal under NHDP PHASEIII on Design, Build, Finance, Operate and Transfer (DBFOT) Toll basis.

Name of Sub-project Developer Farakka Raiganj Highways Ltd. Reporting Period From January - 2013 to May - 2014














2






S. No

Name of Employee





20 yrs

2. Dr. Ruchi Malik



13 yrs




12 yrs




13 yrs




18 yrs


3


6. Rumita Chowdhury



11 yrs



















reports and six monthly compliance reports are generally shared

by developer with IIFCL. The borrowers also engage safety

officers/engineers to look after the safety, health and



The environmental and social safeguard requirement of any infrastructure project requires screening of vast quantum of data


4


/ information / statutory approvals / permits / periodic compliance monitoring reports etc. as per National safeguards requirements. Extracting this information from the developer is a time consuming process and is a challenging task. In case of social safeguards, IIFCL relies on the information provided by the Concessionaire.



Capacity Yes/

No







Monitoring


Yes The project is monitored through Lenders Engineer’s reporting. The Lender’s Independent Engineer is appointed by the Lead Bank of the Lender’s Consortium to monitor the physical, financial progress and the compliance of various regulatory requirements. LIE reports are provided by the Lead Bank to the IIFCL. The LIE reports generally covers areas related to statutory approval status, forest diversion, tree cutting status, safety management, land acquisition status, utility shifting and pending litigation etc. From Borrowers, IIFCL receives reports on implementation of EMP, reports on monitoring of environmental parameters, status of safety management and six monthly compliance reports. (If yes, please describe and provide supporting documents including any social and environmental considerations if applicable.)

14. Do you check for ongoing Yes During the environmental and social due diligence study and



5


subsequent audit, the compliance of the project with the applicable regulation is checked with available documentation. The site visit is carried out by ESMU for field verification.



All the subprojects are invariably visited at the time of ESDDR preparation. Further Audit purposes, it was discussed that only a percentage of such projects would be visited if there are any pending safeguards issues. Therefore for audit purpose only limited projects were visited. The social and environmental performances are checked during the preparation of Environmental and Social Due Diligence Report and annual audit. Each approved project is evaluated for its environmental and social safeguard compliance performance against the applicable safeguard requirements at the time of annual audit. The compliance status is also assessed through the LE report which covers the statutory approval status, forest diversion, tree cutting status, safety management, land acquisition, shifting of common property resourcess status and pending litigation etc; reports on implementation of EMP, reports on monitoring of environmental parameters, status of safety management, six monthly compliance reports and through site visits. Out of the 12 sub-projects approved under IIPFF-II, six were visited during the reporting period (in the year 2014) and one sub-project was visited in the year 2016 to monitor / check environmental & social safeguards compliance. Moreover, out of the 12 sub-projects identified for E&S audit under IIPFF-II, 10 sub-projects have achieved Provisional COD / COD and construction pace of two subprojects are in the project stretch has been slow. The toll collection in these 10 projects is going on and the projects are in smooth operation. It can be concluded that no major pending issues are associated with these sub-projects. Therefore, no site visit was conducted for these sub-projects as discussed. Environmental & Social Due-diligence for this project was undertaken by Environmental and Social Safeguard Specialists of IIFCL for which desk review of safeguards related documents was carried out along with field verification done during site visit conducted on 21st-23rd November, 2012 by ESMU team. Further, site visit was also conducted for the purpose of safeguards audit (for the audit period January 2013-May 2014) on 10th and 14th of September 2014. Since the project has achieved PCOD on October 2016 and is in smooth operation. Therefore, it can be concluded that the project does not have any major pending issues are associated with the sub-project. (Please describe and provide supporting documents such as environmental and social monitoring reports and please provide information on the number of subprojects where a field visit was conducted by staff to review aspects including social and environmental issues.)

16. Please provide details of any accidents/litigation/complaints



6

/regulatory notices and fines: - Any incidents of non-













Not applicable


Please provide information about all new investments using DFI funds approved during this reporting period. 1. Name of Subproject: Sub-project Developer: Farakka Raiganj Highways Limited

Sub-project: Four Laning from Farakka (Km-295.000) To Raiganj (Km-398.000) Section of NH-34 in the State of West Bengal under NHDP PHASEIII on Design, Build, Finance, Operate and Transfer (DBFOT) Toll basis.

2. Location: The project road section is a part of National Highway No. 34 (NH-34) and is located in the State of West Bengal. The project corridor starts from existing Chainage km 294.669 of Farakka Barrage and ends at km 397.700 at the start of Raiganj bypass.


7



US $ 9. 91 MN (till Dec 2014)


Environment Category: B No Indigenous people are involved in this project.

No Rehabilitation & Resettlement issues were involved in this project.

Further, this project is up gradation, maintenance and widening of the existing 2-lane National Highway section to 4 lane. Moreover, land acquisition was initiated prior to IIFCL’s involvement after the Gazette Notification was published.


Environmental & Social Due-diligence for Farakka Raiganj Highways Ltd. was undertaken by Environmental and Social Safeguard Specialists of IIFCL for which desk review of safeguards related documents was carried out along with field verification done during site visit conducted on 21st-23rd November, 2012 by ESMU team. Environmental and Social Safeguard Specialists of IIFCL again visited the site during 10th and 14th of September 2014 for field verification for annual audit purpose and desk review of documents/information has been done for annual compliance monitoring. (If yes, provide information on due diligence activities, such as desk review of safeguard documents, and field visit, and by whom.)

7. Any environmental

assessment report (including environmental management plan), involuntary resettlement plan, or indigenous peoples plan, or audit reports reviewed by your organization?


EIA and EMP report EMP Implementation Consents, clearances and permits for the sub-project Project Concession Agreement & EPC Agreement Emergency preparedness and response plan HSE statistics for sub-project Independent Engineer’s Road Safety Report and

Compliance Detail Project Report (DPR) Lender’s Independent Engineer Report (December 2012)


Resettlement Action Plan (RAP); Detail Project Report (DPR);


8

Lender’s Independent Engineer Report (LIE), Environment Impact Assessment Report (EIA) & Environment Management Plan (EMP).

No Indigenous people are affected in this project.




Environmental Safeguard Farakka Raiganj Highways Ltd. does not have any major

environmental issue associated with it. As informed by the sub

project developer, the project may achieve provisional COD on the

month of October 2016.


Environmental Quality Monitoring reports for December 2013, December 2014

EMP implementation Permits / consents for the sub-project Accident incident reports Tree cutting details Sub-project HSE documents Traffic and road safety measures implemented in project Fly ash utilization at sub-project LIE Reports for Dec 2013, Jan to June 2014.



The sub-project has statutory approvals and permits

The air, water, noise & stack parameters are within

prescribed limits of the Pollution Control Board.

Water sprinkling is done at various locations in the project to

avoid dust pollution.

Two nos. of Safety Officer and Environment Expert along

with support staffs are deployed at Site to take care of safety

and environment aspects and Traffic Management.

Safety & traffic management systems are implemented at all

required locations as per the Safety & Traffic Management

plan finalized for execution of the Project.

Road safety signage for ongoing construction work and

reflective delineators are provided at appropriate locations.

Emergency response system is at place in the project.

Safety remedial measures being taken to reduce the

recurrence. Safety classes for staff as well for workers are

done on regular basis.

Frequent safety meeting, training on safe driving and mock

drill were conducted for the awareness purpose.

Fly ash is being utilized at the site.

A total of 10032 no. of trees are to be cut at the sub-project

out of which 9893 were cut till May 2014

Based on the review findings, it can be deduced that the sub-


9

project has no significant environmental safeguard issues.




Adequate measures have been adopted for the minimization of social impacts during the planning stage of the sub-project. The design has been finalized with due consideration so that the alignment do not pass through any congested settlement area;

Local people’s view have been given due consideration during the project planning and designing of the project;

As informed by the concessionaire employment opportunity have been given to skilled, semiskilled and unskilled labourers at construction sites;

Compensation has been paid to project affected families as per the NH Act.-1956;

Proper traffic diversions and appropriate signage are being provided at the site to prevent any disruption of life and the highway traffic;

Construction workers have been provided with proper highway jackets, boots, helmets,hand gloves and training;

Within the camp site the EPC contractor has maintained proper sanitation facilities of drainage, sewerage, hygiene messing facility, for drinking water they have established arrow plant for the workers and their families;

The EPC contractor has given residential facilities for the workers and their families, with well-maintained park and play ground;



IIFCL meets the Lenders’ quarterly as agreed in the consortium and discussed regarding the pending issue if any. Further, the last consortium meeting for the current quarter was held on 30th May 2016.


Farakka Raiganj Highways Ltd. does not fall under category A as per ADB’s safeguard requirements. (If yes, please provide website link and the date the documents were uploaded.)





Yes

13. Does the investment comply Yes


10

with applicable DFI safeguard requirements?

ANNEX S-4: Resettlement Screening Checklist (Farakka Raiganj Highways Ltd)

Impact Not

Known






land acquisition?



Notification were published. Compensation has

been paid as per the NH Act.-1956.




√












acquired?

√



adjoining land?

√


acquisition known?




of the land?




present?

√



users be affected?

√


√



√


and livelihoods?

√



√



√




√



compatible with DFI’s involuntary resettlement

policy?

√



PPC?

√






√

Does the government




implementation?

√




implementation?

√


ANNEX S-5: Tribal Peoples Effects Screening Checklist (Farakka Raiganj Highways Ltd)


Not

Known Yes No


problems, if any


project locations?

√




√




context of project?

√



√


community life?

√




√




√





√






households?

√


GVK Deoli Kota Expressway Pvt. Ltd.

1




Four laning of 83.04 Km Deoli Kota Section of NH-12 from Km 165.000 to junction of NH-76 on Kota Bypass in the state of Rajasthan on DBFOT Pattern under NHDP Phase III

Name of Sub-project Developer GVK Deoli Kota Expressway Pvt. Ltd.






ESMU ,IIFCL



Consultant

ESMU ,IIFCL







Yes ESSF was adopted by IIFCL in October 2008 which was subsequently revised in November, 2010 and July 2013 and Addendum to the ESSF for World Bank financed projects was issued in year 2014. The latest revised ESSF of February 2016 is available on IIFCL’s website (http://www.iifcl.org/WriteReadData/userfiles/file/Final%20ESSF.pdf ) (If yes, please attach a copy of the ESMS to this report. Please indicate the





2

date that the ESMS was established.) 2. If there is an ESMS already in

place, have there been any updates to the ESMS or policy and procedures adopted by your organization during the reporting period?






S. No

Name of Employee





20 yrs

2. Dr. Ruchi Malik



13 yrs




12 yrs

4. Mr. Assistant Masters in 13


3

Krupasindhu Guru

General Manger (AGM)- Social Specialist

Economics, Masters in Journalism, and LLB

yrs




18 yrs

6. Rumita Chowdhury



11 yrs




















4









Capacity Yes/

No







Monitoring


Yes The project is monitored through Lenders Engineer’s reporting. The Lender’s Independent Engineer is appointed by the Lead Bank of the Lender’s Consortium to monitor the physical, financial progress and the compliance of various regulatory requirements. LIE reports are provided by the Lead Bank to the IIFCL. The LIE reports generally covers areas related to statutory approval status, forest diversion, tree cutting status, safety management, land acquisition status, utility shifting and



5

pending litigation etc. From Borrowers, IIFCL receives reports on implementation of EMP, reports on monitoring of environmental parameters, status of safety management and six monthly compliance reports. (If yes, please describe and provide supporting documents including any social and environmental considerations if applicable.)





All the subprojects are invariably visited at the time of ESDDR preparation. Further Audit purposes, it was discussed that only a percentage of such projects would be visited if there are any pending safeguards issues. Therefore for audit purpose only limited projects were visited The social and environmental performances are checked during the preparation of Environmental and Social Due Diligence Report and annual audit. Each approved project is evaluated for its environmental and social safeguard compliance performance against the applicable safeguard requirements at the time of annual audit. The compliance status is also assessed through the LE report which covers the statutory approval status, forest diversion, tree cutting status, safety management, land acquisition, shifting of common property resourcess status and pending litigation etc; reports on implementation of EMP, reports on monitoring of environmental parameters, status of safety management, six monthly compliance reports and through site visits. Out of the 12 sub-projects approved under IIPFF-II, six were visited during the reporting period (in the year 2014) and one sub-project was visited in the year 2016 to monitor / check environmental & social safeguards compliance. Moreover, out of the 12 sub-projects identified for E&S audit under IIPFF-II, 10 sub-projects have achieved Provisional COD / COD and construction pace of two subprojects is in the project stretch has been slow. The toll collection in these 10 projects is going on and the projects are in smooth operation. It can be concluded that no major pending issues are associated with these sub-projects. Therefore, no site visit was conducted for these sub-projects as agreed. Environmental & Social Due-diligence for this project was undertaken by Environmental and Social Safeguard Specialists of IIFCL for which desk review of safeguards related documents was carried out along with field verification done during site visit conducted on 17th and 18th of April 2012 by ESMU team. Further, site visit was also conducted for the purpose of safeguards audit (for the audit period January 2013-May 2014)


6

on 26th and 27th of June 2014. Since the project has achieved PCOD on August 2015, no major pending issue has come to our notice with the sub-project. (Please describe and provide supporting documents such as environmental and social monitoring reports and please provide information on the number of subprojects where a field visit was conducted by staff to review aspects including social and environmental issues.)















Not applicable


Please provide information about all new investments using DFI funds approved during this reporting


7

period. 1. Name of Subproject: Four laning of 83.04 Km Deoli Kota Section of NH-12 from

Km 165.000 to junction of NH-76 on Kota Bypass in the state of Rajasthan on DBFOT Pattern under NHDP Phase III

Sub-project Developer: GVK Deoli Kota Expressway Pvt. Ltd. (GVK DKEPL)

2. Location: NH-12 section in Bhilwara, Bundi and Kota districts of Rajasthan

3. Sector: Roads and Highways (Widening & Stregthening)

Project Achieved Provisional COD on 21st August,2015.

4. Total loan from IIFCL/DFI (US$ mn): IIFCL has sanctioned an amount of Rs. 118.00 crores to

GVK Deoli Kota Expressways Limited project and amount received from ADB is Rs. 110.94 crores (17.95 US$ mn)


Environment: B

No Indigenous people are involved in this project.

No Rehabilitation and Resettlement issues were involved in this project.

Further, this project is widening and strengthening of the existing 2-lane National Highway section to 4 laning divided carriageway configuration. Moreover, land acquisition was initiated prior to IIFCL’s involvement after the Gazette Notification was published.

6. Were any environmental and social

due diligence undertaken and by your organization?

Yes, Environmental & Social Due-diligence for this National highway expansion project was undertaken by Environmental and Social safeguard specialists of IIFCL (Dr. Ruchi Malik & Ms. Rumita Chowdhury) for which desk review of safeguards documents was carried out along with field verification done during site visit conducted on 17th -18th April, 2012. Final ESDDR for this project was submitted to ADB in the month of July, 2012.

IIFCL has undertaken one safeguard site visit before preparation of ESDDR. Further, during annual monitoring, site visit was undertaken by Ms. Ruchi Malik (Environment Specialist) and Ms Rumita Chowdhury (Social safeguard Specialist) during 26h -27th June, 2014 during construction Phase of project. (If yes, provide information on due diligence activities, such as desk review of safeguard documents, and field visit, and by whom.)

7. Any environmental assessment report (including environmental management plan), involuntary resettlement plan, or indigenous peoples plan, or audit reports






8

reviewed by your organization? Concessionaire. The following documents were referred in


Report:

Project Information Memorandum (PIM); EIA/EMP Report; Environment Safeguards related Clearances/Permits

obtained for the project; Concession Agreement for Safeguards related

contractual obligations EPC Contract for Safeguards related contractual

obligations Environmental Management Plan by EPC Contractor Environmental Quality Monitoring Report Public Hearing Notices and Minutes of Meetings HSE Compliance Status for Project Site Safety Awareness & Health check-up activities Tunnel construction and Muck Disposal Plan Safety Plan for Project site Forest Clearance related applications and Rajiv Gandhi

Biosphere Reserve related communications Details of Pond ash usage in project construction Project site organogram for HSE Team EMP Compliance status

Social Safeguard:

The Social safeguard due diligence of Deoli-Kota section of NH-12 has been assessed by reviewing the following documents: As documented in the ESDDR no involuntary resettlement of people and no indigenous people are involved in this project. The implementation of plans was evaluated during the site visit as well as confirmation from developer that the project has negligible impact on IR and IP. NHAI has prepared a Feasibility cum preliminary Design Report by hiring the consultancy services of Consulting Engineers Groups Ltd. EIA is a part of DPR and SIA is also part of the DPR report. Further, to the impact level of the project, a Rapid Environmental & Social Assessment Checklist was submitted to ADB during the ESDDR approval.

Detailed project Report which includes a chapter on Social Impact Assessment;

In the absence of Resettlement Action Plan, Environment Impact Assessment report;

The Lender’s Engineer’s report for the month of March 2012.

As documented in the ESDDR, no separate Resettlement Action Plan was prepared for the project and only a Social Impact Assessment study has been done which is a part of DPR study.


9

No Indigenous people are involved in this project. (If yes, please provide the names of documents reviewed.)



Environmental Safeguards: During ESDDR, it was found that the sub-project has no major outstanding issues with respect to environmental safeguards. However, during due-diligence study project team informed that the project corridor may fall under proposed Rajiv Gandhi Biosphere Reserve which is an ambitious project connecting the major Sanctuaries and National Parks in the state through forest corridors. Keeping this in view, Animal underpasses at 04 locations were proposed to be constructed on the project highway falling within the Forest land as required by the Forest Department. The proposal was under review with IE/NHAI for issuance of COS(Change of Scope) Notice to enable the concessionaire to further take up the construction of same, at the time of due-diligence study.

The following documents were reviewed for the purpose of audit for reporting period:

Applicable project clearances and permits including copy of final forest clearance

MoEF’s six monthly Compliance report for the period of December 2012, June 2013 and December 2013

Project’s Annual Environmental Audit Report-Yr. 2013

Environmental Quality Monitoring reports for January 2013, May 2013, October 2013, March 2014.

Status of Fly Ash usage as on 30th December, 2013

Incident /Accident Report (March 2013 & June 2013)

Project site construction stage Photographs showing Traffic & road safety measures

Site Photographs of Rehabilitated Borrow Areas after usage

Lender’s Independent Engineer’s report for the project for the months of March 2014, June 2014, August 2014, December 2014 and June 2015. Review of Lender’s Engineer report for the month of December 2014 gives details in following safeguards related areas: i. Status of forest clearance and tree cutting

related permission as well as tree cutting status

ii. Underground excavation status related with tunneling work

iii. Details of road & traffic safety in project stretch

iv. Status of Environmental management and environmental parameters monitoring

v. Status of permissions and approvals


10


The sub-project has no potential significant environment issues;

As per safeguards compliance related information provided by project developer during June 2014 for audit purpose, developer confirmed that all the statutory clearances, approvals and consents are obtained and renewed as per the requirements of GoI’s regulations and the construction contractors are complying with the prevailing environmental regulations and the terms and conditions stated in the Consent/ approvals.

As observed during Safeguards site visit in the month of June,2014 and EMP compliance Status reflected in LIE report for the month of December 2013, June 2014,Dec.14 and also Environmental Safeguards Compliance related documents received from Project proponent, its noted that concessionaire has implemented most of the construction stage EMP measures including water sprinkling for dust control, monitoring of environmental parameters, plantation at project site including road stretch & camp sites, waste management ,deployment of HSE team etc.

Periodic monitoring of EMP implementation is carried out at project site.

Periodic Environmental Quality Monitoring is carried out during construction phase and the environmental quality monitoring results are reported to be within the permissible limits.




in project stretch

As per the information obtained from developer,

Regular monitoring of Accident/Incidents taking

place at work site is carried out and incidents are

recorded with suggestions to prevent recurrence.

The remedial measures are also taken to improve

road and traffic safety in project road



stretch.

Developer has planned to use 4.0 Lac cum of fly-

ash in construction of embankments out of that

quantity of 3.08 Lac cum has already been

consumed in the work till end of December, 2013.

Fly ash is procured from Kota Super Thermal Power Station (KSTPS), Kota which is situated near the project area.

As informed during audit site visit, Developer is

planting 1998 no of median plants per km against

the IRC specification of 666 plants per Km. i.e.


11

1332 additional plants per Km. This is to improve

environmental aspects, the road aesthetics and

also to reduce accidents by preventing the lights

coming from the traffic of opposite directions.

Special ornamental plant species and splendid

landscaping being done at Toll plaza area. The

work was under progress during annual

monitoring visit.

The muck being utilized in construction work as

far as possible, the excess, unsuitable material

disposed off at appropriate location, filling of low

land areas after taking consent of community.

Regarding construction of Animal Underpass issue, as per information received from project developer during site visit audit of June 2014, project developer informed that regarding provision of 04 locations of animal under pass, a joint site visit by CCF, Kota (Chief Conservator of Forest) and PD, NHAI was conducted on 13.02.2014 to finalize the size and locations of animal underpass for Rajiv Gandhi Biosphere Reserve Project.

CCF has communicated to NHAI that three underpasses will be required in identified area out of which at two locations, underpasses have been already developed by concessionaire and only one underpass will be required for which particular location will be finalized which was under review by forest department as per information received from Concessionaire during the month of June 2014.

During review of safeguards documents for reporting period, no environmental issues were identified for addressal in GVK Deoli Kota Expressway project. Social Safeguards: During the due diligence study, it was noted that,

The land acquisition was done by NHAI and the compensation is being paid to the affected families before handing over the land to the concessionaire for construction activities.

Concessionaire had taken efforts to minimize the impact on the religious properties.

The project developer had helped the villagers in relocation of these structures by constructing the temples at the land provided to them by the villagers.

Local labour had been employed for skilled and unskilled activities.

Construction work was only being carried out after the compensation is paid to the affected families and is vacated by their owners.

There were litigation cases related to land acquisition and compensation which were being dealt by the competent authorities.

As part of Annual Compliance Monitoring Review for the reporting period, following document/ information were


12

also reviewed: The Lender’s Engineer’s report for the month of

December 2013, March 2014, June 2014, August 2014, December 2014;

Land acquisition status; Details of local labour employed for the project; Community development activities carried out by

the concessionaire.

Based on the review of documents received for the reporting

period, it can be stated that,

Almost 98.80% of Private land has been acquired on ground. Despite of 3G being processed, land is not in possession with concessionaire for around 2.11 ha of private land, due to various reasons viz. dispute in ownerships among family members, religious structure, etc. The acquisition of remaining land is in progress in pursuance at the level of Authority, District administration and the respective land owners. The delay in acquisition of this land is not hampering the progress of the project highway.

100 % of the Govt. land is in physical possession of the project developer.

98% of the affected families have been compensated for the loss of structure. Payment to the remaining families is in progress.

The project developer has carried out various community development activities in the nearby villages and towns.

The sub-project has been prepared by NHAI as per its own funding requirement and not anticipation to ADB operation.

The project is being operational since August 2015, which appears that the project is in line with SPS 2009.

As per the information received from the concessionaire for the reporting period, there are no major issues related to social safeguards.


IIFCL meets the Lenders’ quarterly as agreed in the consortium and discussions are held regarding the pending issue if any. Further, the last consortium was held on 27th September 2016.







13


Yes


Yes

ANNEX S-4: Resettlement Screening Checklist (GVK Deoli Kota Expressway Pvt Ltd)

Impact Not

Known






land acquisition?


completed by NHAI.




√






√ Encroached free land was handed over to the

subproject developer by NHAI as per Article:

10 of the Concession Agreement.




acquired?

√



adjoining land?

√


acquisition known?




of the land?


Gazette Notifications.


present?

√



users be affected?

√


√



√


and livelihoods?

√



√



√




√




policy?

√



PPC?

√






√

Does the government




implementation?

√




implementation?

√


ANNEX S-5: Tribal Peoples Effects Screening Checklist (GVK Deoli Kota Expressway Pvt Ltd)


Not

Known Yes No


problems, if any


project locations?

√




√




context of project?

√



√


community life?

√




√




√





√






households?

√


IRB Pathankot Amritsar Toll Road Private Limited

1



Name of Organization India Infrastructure Finance Company Limited (IIFCL) Name of Sub-project IRB Pathankot Amritsar Toll Road Pvt. Ltd. Name of Sub-project Developer Widening of Pathankot to Amritsar Section of NH-15 from Km. 6.082

to Km 108.502 to 4 lanes under NHDP III B on Design, Build, Finance, Operate and Transfer Basis in the state of Punjab















2






S. No

Name of Employee





20 yrs

2. Dr. Ruchi Malik



13 yrs




12 yrs




13 yrs




18 yrs


3


6. Rumita Chowdhury



11 yrs


























4





Capacity Yes/

No







Monitoring





5






All the subprojects are invariably visited at the time of ESDDR preparation. Further Audit purposes, it was discussed that only a percentage of such projects would be visited if there are any pending safeguards issues. Therefore for audit purpose only limited projects were visited. The social and environmental performances are checked during the preparation of Environmental and Social Due Diligence Report and annual audit. Each approved project is evaluated for its environmental and social safeguard compliance performance against the applicable safeguard requirements at the time of annual audit. The compliance status is also assessed through the LE report which covers the statutory approval status, forest diversion, tree cutting status, safety management, land acquisition, shifting of common property resourcess status and pending litigation etc; reports on implementation of EMP, reports on monitoring of environmental parameters, status of safety management, six monthly compliance reports and through site visits. Out of the 12 sub-projects approved under IIPFF-II, six were visited during the reporting period (in the year 2014) and one sub-project was visited in the year 2016 to monitor / check environmental & social safeguards compliance. Moreover, out of the 12 sub-projects identified for E&S audit under IIPFF-II, 10 sub-projects have achieved Provisional COD / COD and construction pace of two subprojects is in the project stretch have been slow due to non-availability of land and slow financial progress. The toll collection in these 10 projects is going on and the projects are in smooth operation. It can be concluded that, no major pending issues are associated with these sub-projects. Therefore, no site visit was conducted for these sub-projects as agreed. Social and Environmental performance are monitored through site visit during the preparation of ESDDR as well as at the time of annual E&S compliance. Environmental & Social Due-diligence for this project was undertaken by Environmental and Social Safeguard Specialists of IIFCL for which desk review of safeguards related documents was carried out along with field verification done during site visit conducted on 11th and 12th of August 2011 by ESMU team. Further, site visit was also conducted for the purpose of safeguards audit (for the audit period January 2013-May 2014) on 9th of January 2014. Since the project has achieved COD on 27th February 2015, no major issue has come to our notice with the sub-project.


6
















Not applicable


Please provide information about all new investments using DFI funds approved during this reporting period. 1. Name of Subproject: Sub-project Developer: IRB Pathankot Amritsar Toll Road Pvt. Ltd.

Sub-project: Widening of Pathankot to Amritsar Section of NH-15


7

from Km. 6.082 to Km 108.502 to 4 lanes under NHDP III B on Design, Build, Finance, Operate and Transfer Basis in the state of Punjab

2. Location: The project road section is a part of National Highway No. 15 (NH-15) and is located in the North-Western part of Punjab and passes through two districts of Punjab i.e. Gurdaspur and Amritsar.



US $ 12.16 MN (till Dec 2014)



No Rehabilitation & Resettlement issues were involved in this project.

Further, this project is up gradation, maintenance and widening of the existing 2-lane National Highway section to 4 lane divided carriageway. Moreover, land acquisition was initiated prior to IIFCL’s involvement after the Gazette Notification was published.



Environmental & Social Due-diligence for IRB Pathankot Amritsar Toll Road Pvt. Ltd. was undertaken by Environmental and Social safeguard Specialists of IIFCL for which desk review of safeguards documents was carried out along with field verification done during site visit conducted on 11th – 12th August 2011. Environmental and Social Safeguard Specialists of IIFCL along with IDFC team again visited the site on 9th January, 2014 for field verification for annual audit purpose and desk review of documents/information has been done for Annual Compliance Monitoring. (If yes, provide information on due diligence activities, such as desk review of safeguard documents, and field visit, and by whom.)



EIA/EMP Report EMP Implementation Detailed Project Report Copies of relevant clearances, consents and permits Quality, Health, Safety & Environment Policy Concession Agreement EPC Contract Documents

Social Safeguard:


8

The social safeguard due diligence study was carried out for the sub-project by reviewing the following information:

Environmental Impact Assessment Report prepared by Span

Consultants Pvt Ltd, N Delhi Environmental Management Plan Project Statutory clearances/consents/ approvals/permits QHSE Policy; Resettlement Action Plan (RAP)

No Indigenous people are affected in this project. (If yes, please provide the names of documents reviewed.)



Environmental Safeguard IRB Pathankot Amritsar Toll Road Pvt. Ltd. does not have any major


provisional COD on 28th November 2014. Project has achieved

actual completion on 27th February 2015.


Environmental Quality Monitoring reports for October 2013 HSE implementation sub-project Sub-project’s statutory approvals Accident incident data for the reporting period LIE reports for Oct, 2013, Dec 2013 & Sept 2014 Monthly progress report of Independent Engineer for July

2014 O&M Reports for March 2015



Environmental Quality Monitoring is being done at the site and

parameters are within prescribed limits of regulatory norms.

The sub-project has statutory approvals and permits.

The sub-project is now complete.

The LIE report covers the implementation of health & safety

plan and compliance to environmental conditions.

Barricading/cautionary/regulating signs along the construction

zone for traffic safety have been installed.

Traffic management plan prepared for differnet stages and

being implemented at site to ensure traffic safety, safe

working zones and being maintained on regular basis.

Awareness and traning programmes on HSE are regularly

conducted.

Plantations have been done along the boundary of camp site

to develop greenbelt. Median plantation is maintained at site.

Adequate institional arrangement exists at sub-project fro

implementation of HSE aspects.

The sub-project does not have any environmental safeguards

related issue.


9




Relocation of the religious structures has been discussed with the local people during the public consultation and Focus Group Discussion (FGD);

As informed by the concessionaire, both skilled and unskilled workers from the local area are being engaged in the construction activities.

It can be conclude that since the project has achieved COD on 27th February 2015 so no major or pending social issues are associated with the sub-projects.


IIFCL meets the Lenders’ on quarterly as agreed in the consortium and discussions are held on the pending issue if any. Further, the last consortium meeting was held on 31st May 2016.


IRB Pathankot Amritsar Toll Road Pvt. Ltd. does not fall under category A as per ADB’s safeguard requirements. (If yes, please provide website link and the date the documents were uploaded.)





Yes


Yes

L & T Halol Shamlaji Tollway Pvt. Ltd.

1




Construction of additional Two Lane for Halol- Godhra-Shamlaji Road to make it Four Lane divided carriageway Facility under Viability Gap Funding Scheme of Government of India on Built, Operate and Transfer Basis.

Name of Sub-project Developer L & T Halol Shamlaji Tollway Pvt. Ltd.






ESMU ,IIFCL



Consultant

ESMU ,IIFCL







Yes ESSF was adopted by IIFCL in October 2008 which was subsequently revised in November, 2010 and July 2013 and Addendum to the ESSF for World Bank financed projects was issued in year 2014. The latest revised ESSF of February 2016 is available on IIFCL’s website (http://www.iifcl.org/WriteReadData/userfiles/file/Final%20ESSF.pdf )





2

(If yes, please attach a copy of the ESMS to this report. Please indicate the date that the ESMS was established.)







S. No

Name of Employee





20 yrs

2. Dr. Ruchi Malik



13 yrs


Assistant General Manger (AGM)- Environment

Doctorate in Environmental

12 yrs


3

Specialist Sciences 4. Mr.

Krupasindhu Guru



13 yrs




18 yrs

6. Rumita Chowdhury



11 yrs


















4











Capacity Yes/

No







Monitoring


Yes The project is monitored through Lenders Engineer’s reporting. The Lender’s Independent Engineer is appointed by the Lead Bank of the Lender’s Consortium to monitor the physical, financial progress and the compliance of various regulatory requirements. LIE reports are provided by the Lead Bank to the



5

IIFCL. The LIE reports generally covers areas related to statutory approval status, forest diversion, tree cutting status, safety management, land acquisition status, utility shifting and pending litigation etc. From Borrowers, IIFCL receives reports on implementation of EMP, reports on monitoring of environmental parameters, status of safety management and six monthly compliance reports. (If yes, please describe and provide supporting documents including any social and environmental considerations if applicable.)





All the subprojects are invariably visited at the time of ESDDR preparation. Further Audit purposes, it was discussed that only a percentage of such projects would be visited if there are any pending safeguards issues. Therefore for audit purpose only limited projects were visited. The social and environmental performances are checked during the preparation of Environmental and Social Due Diligence Report and annual audit. Each approved project is evaluated for its environmental and social safeguard compliance performance against the applicable safeguard requirements at the time of annual audit. The compliance status is also assessed through the LE report which covers the statutory approval status, forest diversion, tree cutting status, safety management, land acquisition, shifting of common property resourcess status and pending litigation etc; reports on implementation of EMP, reports on monitoring of environmental parameters, status of safety management, six monthly compliance reports and through site visits. Out of the 12 sub-projects approved under IIPFF-II, six were visited during the reporting period (in the year 2014) and one sub-project was visited in the year 2016 to monitor / check environmental & social safeguards compliance. Moreover, out of the 12 sub-projects identified for E&S audit under IIPFF-II, 10 sub-projects have achieved Provisional COD / COD and construction pace of two subprojects are in the project stretch have been slow. The toll collection in these 10 projects is going on and the projects are in smooth operation. It can be concluded that no major pending issues are associated with these sub-projects. Therefore, no site visit was conducted for these sub-projects as agreed.

Environmental & Social Due-diligence for this project was undertaken by Environmental and Social Safeguard Specialists of IIFCL for which desk review of safeguards related documents was carried out along with field verification done during site visit conducted on 23rd to 24th of May 2011.by ESMU team.


6

Further, site visit was also conducted for the purpose of safeguards audit on 5th and 62th of September 2012 during the O&M phase of project.

Since the project has achieved PCOD on March 2012 and is in smooth operation since then, no major issues has come to our notice with the sub-project.
















Not applicable


7


Please provide information about all new investments using DFI funds approved during this reporting period. 1. Name of Subproject: Construction of additional Two Lane for Halol- Godhra-

Shamlaji Road to make it Four Lane divided carriageway Facility under Viability Gap Funding Scheme of Government of India on Built, Operate and Transfer Basis. Sub-project Developer: L&T-Halol-Shamlaji Tollway Private Limited (L&T HSTPL)

2. Location: Project Road i.e. Halol-Godhra-Shamlaji section of SH-5 is located in eastern part of the state of Gujarat.

3. Sector: Roads and Highways (Widening & Stregthening) This is state highway expansion project for which Provisional COD had been declared on 30th March 2012 as mentioned in LIE report for June 2012 month.

4. Total loan from IIFCL/DFI (US$ mn): IIFCL has sanctioned Rs. 125 Crores to this state highway project and amount received from ADB is 46.52 crores (8.91 US$ mn)


Environment: B

No Rehabilitation and resettlement issues are involved in this project.

No Indigenous People involved in this project.

Further, this project is up gradation, maintenance and widening of 4 lane divided carriageway configuration. Moreover, land acquisition was initiated prior to IIFCL’s involvement after the Gazette Notification was published.


due diligence undertaken and by your organization?

Yes, Environmental & Social Due-diligence for this state highway expansion project was undertaken by Environmental and Social safeguard specialists of IIFCL (Dr. Ruchi Malik & Ms. Rumita Chowdhury) for which desk review of safeguards documents was carried out along with field verification done during site visit conducted on 23rd -24th May, 2011. First version of Environment and Social Due Diligence (ESDD) report was prepared in August 2011 and Final ESDDR for this project was submitted to ADB in the month of September, 2012.

IIFCL has undertaken one safeguard site visit before

preparation of ESDDR. Further, during annual monitoring, site visit was undertaken by Ms. Ruchi Malik (Environment Specialist) and Ms Rumita


8

Choudhary (Social safeguard Specialist) during 5th to 6th September, 2012 during O&M Phase of project.

(If yes, provide information on due diligence activities, such as desk review of safeguard documents, and field visit, and by whom.)






Concessionaire. The following documents were referred in


Report:

Project Information Memorandum (PIM); Environment Assessment report including

Environment Management Plan; Environment Safeguards related Clearances/Permits

obtained for the project; EMP Matrix for Project implementation and EMP

Budget Project HSE Plan EPC Contract for safeguards related contractual

obligations Environmental Quality Monitoring Report Public Hearing Proceedings Concession Agreement for Environmental Management

and safety clauses Six monthly Compliance monitoring reports submitted to

MoEF for EC letter conditions Social Safeguard:

The Social safeguard due diligence was assessed by reviewing the socio-economic study included in the Environment Impact Assessment (EIA) report. Generally a project comes to IIFCL after the technical closure and prior to the financial closure, where preparation of all the documents like PIM, EIA land acquisition and compensation etc. have been initiated and finalized by the Concessioning Authority.

Due diligence for a project conducted based on the available documents like PIM EIA, Permits & clearances, Land acquisition and compensation etc., verification of pending litigation cases (if any) and discussions during the site visit was also carried out for the project.

However, for this project land acquisition was carried by Gujarat State Road Development Corporation (GSRDC) after publishing Gazette notification for the entire stretch as per Land Acquisition Act 1894. Since the project has achieved PCOD on March


9

2012 and is in smooth operation since then, no major

issues has come to our notice with the sub-project.




Environmental Safeguards: During ESDDR preparation, no environmental issues were identified for addressal in the project. The following documents were reviewed for the purpose of audit for reporting period:

Project developer’s response for safeguards compliance requirements during O&M Phase of project

Monthly Accident-Incident summary sheets from April 2013 to Dec. 2013

Records for Road Safety awareness related activities,

LIE report for the month of June 2012 providing details about the Environmental Management Plan and work site safety and traffic management system followed at the project site e.g. Under section 12 of LIE Report, Environment Management measures taken by Concessionaire and EPC Contractor has been provided in details covering the various areas like Health Issues, First Aid Facilities, Environment Monitoring in project, Dust Management and Sewerage & Waste Disposal aspects. And Under Section13 of LIE Report, provided details of Work Site Safety and Traffic Management in project covering particularly Traffic diversion plan during construction, passage of Traffic along the existing carriageway and Safety Plan adopted in the project.


Project achieved Provisional COD during March 2012. LIE report for the month of June 2012 provides details about the Environmental Management Plan and work site safety and traffic management system followed at the project site e.g. Under section 12 of LIE Report, Environment Management measures taken by Concessionaire and EPC Contractor has been provided in details covering the various areas like Health Issues, First Aid Facilities, Environment Monitoring in project, Dust Management and Sewerage & Waste Disposal aspects. And Under Section13 of LIE Report, provided details of Work Site Safety and Traffic Management in project covering particularly Traffic diversion plan during construction, passage of Traffic along the existing


10

carriageway and Safety Plan adopted in the project.

Concessionaire has confirmed vide mail that no

other new statutory Clearance or extension of

consent/approval and clearances is required since

the project is under O&M phase.




in project stretch

Concessionaire is taking efforts for environmental

management in highway section by doing plantation

and its regular maintenance, cleaning of drains &

highway, development of rainwater harvesting pits

etc.

Concessionaire is taking Road & Traffic safety

measures in project stretch by providing road safety

furniture and maintaining emergency highway traffic

management system

Concessionaire has developed grievance redressal mechanism and maintaining complaints register at toll plaza locations in which daily feedbacks /complaints received & action taken are recorded.

Regular monitoring of Accident/Incidents taking place in project stretch is carried out and monthly sheet is also generated as monitoring record.



stretch by distribution of safety pamphlets among

general public during road safety week.

As observed during site visit of September 2012, it

was found that the concessionaire had well

maintained the highway corridor and also had

undertaken adequate road and traffic safety

measures for smooth flow of traffic and

environmental safeguard measures as required to

implement during operation phase of any highway

project. Currently the state highway project is

under O& M phase and highway operation is

running smoothly.

During review of safeguards documents for reporting period, no environmental issues were identified for addressal in L&T Halol Shamlaji Tollways project. Social Safeguards: During the due diligence study, it was noted that,

The land acquisition has been carried out by GSRDC after publishing Gazette notification for the entire stretch as per Land Acquisition Act 1894 and the compensation for the loss of properties has been decided by Competent Authority of GSRDC.


11

Public consultation has been carried out during the project planning and implementation stage. Public opinion and their suggestions have been considered during the design finalization. In this regard, public hearing was conducted in Godhra City in Panchmahal district and Modasa city in Sabrakantha district of Gujarat.

Local labour were employed for unskilled and semi-skilled activities during the construction stage.

The developer had relocated the affected temples along the project road in consultation with the local people.

The concessionaire has been doing various Community Development activities for the local people.

As part of Annual Compliance Monitoring Review, the infromation shared by the concessionaire for the reporting period, was reviewed and based on this it can be stated that:

The Provisional COD was declared during March 2012.

The concessionaire has employed local labour for various O&M activities.

The concessionaire has a Grievance Redressal Committee which comprises of the Project Manager, the Operations Manager and the concerned Departmental Head.

The concessionaire is involved in various community development activities in the local area.

Currently the state highway project is under O& M phase and

highway operation is running smoothly.


IIFCL meets the Lenders’ quarterly as agreed in the consortium and discussions were held on the pending issue if any. For this current quarter the last lenders meeting was held on 9th March 2017.






12. Does the investment comply with


Yes

13. Does the investment comply with Yes


12

applicable DFI safeguard requirements?

ANNEX S-4: Resettlement Screening Checklist (L&T Halol Shamlaji Tollways Pvt Ltd)

Impact Not

Known






land acquisition?


completed by Gujarat State Road Development

Corporation after publishing Gazette

notification for the entire stretch as per Land

Acquisition Act 1894.




√






√




acquired?

√



adjoining land?

√


acquisition known?


GSRDC prior to IIFCL’s involvement.


of the land?

The ownership status of the land with GSRDC.


present?

√



users be affected?

√


√



√


and livelihoods?

√



√



√




√




policy?

√



PPC?

√






√

Does the government




implementation?

√




implementation?

√


ANNEX S-5: Tribal Peoples Effects Screening Checklist (L&T Halol Shamlaji Tollways Pvt Ltd)


Not

Known Yes No


problems, if any


project locations?

√




√




context of project?

√



√


community life?

√




√




√





√






households?

√


Navayuga Quazigund Expressway Pvt. Ltd.

1




Four Laning of 15.350 Km. Quazigund to Banihal Section from Km 189.350 to Km. 204.700 including two tunnels (2 lane) of 0.690Kms. And 8.450Kms of NH-1A in the state of Jammu & Kashmir on DBFOT (Annuity) basis in the state of Jammu & Kashmir.

Name of Sub-project Developer Navayuga Quazigund Expressway Pvt. Ltd.






ESMU ,IIFCL



Consultant

ESMU ,IIFCL







Yes ESSF was adopted by IIFCL in October 2008 which was subsequently revised in November, 2010 and July 2013 and Addendum to the ESSF for World Bank financed projects was issued in year 2014. The latest revised ESSF of February 2016 is available on IIFCL’s website (http://www.iifcl.org/WriteReadData/userfiles/file/Final%20ESSF.pdf )





2

(If yes, please attach a copy of the ESMS to this report. Please indicate the date that the ESMS was established.)







S. No

Name of Employee





20 yrs

2. Dr. Ruchi Malik



13 yrs


Assistant General Manger (AGM)- Environment

Doctorate in Environmental

12 yrs


3

Specialist Sciences 4. Mr.

Krupasindhu Guru



13 yrs




18 yrs

6. Rumita Chowdhury



11 yrs


















4











Capacity Yes/

No







Monitoring


Yes The project is monitored through Lenders Engineer’s reporting. The Lender’s Independent Engineer is appointed by the Lead Bank of the Lender’s Consortium to monitor the physical, financial progress and the compliance of various regulatory requirements. LIE reports are provided by the Lead Bank to the



5

IIFCL. The LIE reports generally covers areas related to statutory approval status, forest diversion, tree cutting status, safety management, land acquisition status, utility shifting and pending litigation etc. From Borrowers, IIFCL receives reports on implementation of EMP, reports on monitoring of environmental parameters, status of safety management and six monthly compliance reports. (If yes, please describe and provide supporting documents including any social and environmental considerations if applicable.)





All the subprojects are invariably visited at the time of ESDDR preparation. Further Audit purposes, it was discussed that only a percentage of such projects would be visited if there are any pending safeguards issues. Therefore for audit purpose only limited projects were visited. The social and environmental performances are checked during the preparation of Environmental and Social Due Diligence Report and annual audit. Each approved project is evaluated for its environmental and social safeguard compliance performance against the applicable safeguard requirements at the time of annual audit. The compliance status is also assessed through the LE report which covers the statutory approval status, forest diversion, tree cutting status, safety management, land acquisition, shifting of common property resourcess status and pending litigation etc; reports on implementation of EMP, reports on monitoring of environmental parameters, status of safety management, six monthly compliance reports and through site visits. Out of the 12 sub-projects approved under IIPFF-II, six were visited during the reporting period (in the year 2014) and one sub-project was visited in the year 2016 to monitor / check environmental & social safeguards compliance. Moreover, out of the 12 sub-projects identified for E&S audit under IIPFF-II, 10 sub-projects have achieved Provisional COD / COD and construction pace of two subprojects are in the project stretch have been slow. The toll collection in these 10 projects is going on and the projects are in smooth operation. It can be concluded that, no major pending issues are associated with these sub-projects. Therefore, no site visit was conducted for these sub-projects as agreed. Environmental & Social Due-diligence for this project was undertaken by Environmental and Social Safeguard Specialists of IIFCL for which desk review of safeguards related documents was carried out along with field verification done during site visit conducted on 12th and 14th of March 2012 by ESMU team. Further, site visit was also conducted for the purpose of


6

safeguards audit (for the audit period January 2013-May 2014) on 2nd and 4th of July 2014. The scheduled COD for the project as per the Concessioning Agreement is 13th January 2016. (Please describe and provide supporting documents such as environmental and social monitoring reports and please provide information on the number of subprojects where a field visit was conducted by staff to review aspects including social and environmental issues.)















Not applicable


Please provide information about all new investments using DFI funds approved during this reporting


7

period. 1. Name of Subproject: Sub-project Developer: Navayuga Quazigund Expressway

Private Limited (NQEPL) Four Laning of 15.350 Km. Quazigund to Banihal Section from Km 189.350 to Km. 204.700 including two tunnels (2 lane) of 0.690Kms. And 8.450Kms of NH-1A in the state of Jammu & Kashmir on DBFOT (Annuity) basis in the state of Jammu & Kashmir.

2. Location: NH 1A section in Ramban and Anantnag Districts of Jammu and Kashmir State

3. Sector: Roads and Highways (Rehabilitation,Strengthening and New Alignment) As mentioned in LIE’s report for the month of February 2016, as per revised construction program, the proposed completion date for this project is 19th June,2017.

4. Total loan from IIFCL/DFI (US$ mn): IIFCL has sanctioned an amount of Rs. 375.00 crores to Navayuga Quazigund Expressways Limited project and amount received from ADB is Rs. 105.00 crores (18.54 US$ mn)


Environment: B As per GoI guide line no categorization in social sectors in IR & IP. Further, this project is up gradation, maintenance and widening of the existing 2-lane National Highway section to 4 lane. Moreover, land acquisition was initiated prior to IIFCL’s involvement after the Gazette Notification was published.


Yes, Environmental & Social Due-diligence for this National highway section was undertaken by Environmental and Social safeguard specialists of IIFCL (Dr. Ruchi Malik & Mr. Krupasindhu Guru) for which desk review of safeguards documents was carried out along with field verification done during site visit conducted on 12th -14th March, 2012.

Final ESDDR for this project was submitted to ADB in the month of March, 2012.

IIFCL has undertaken one safeguard site visit before

preparation of ESDDR. Further, during annual monitoring, site visit was undertaken by Dr. Ruchi Malik (Environment Specialist) and Ms Rumita Choudhary (Social safeguards Specialist) during 2nd - 4th July, 2014 during construction Phase of project.

(If yes, provide information on due diligence activities, such as desk review of safeguard documents, and field visit, and by whom.)


8






Concessionaire. The following documents were referred in


Report:

Project Information Memorandum (PIM); EIA/EMP Report and DPR for NQEPL Project; Environment Safeguards related Clearances/Permits

obtained for the project; Concession Agreement for Safeguards related

contractual obligations EPC Contract for Safeguards related contractual

obligations Implementable Environmental Management Plan Environmental Quality Monitoring Report Minutes of Public Consultation Health, Safety and Environmental Management related

documents Safety Awareness related activities Monthly Accident-Incident Report-Feb 2012 Project site organogram for HSE Team

Social Safeguard:

The Social safeguard due diligence was assessed by reviewing the following documents:

Environment Impact Assessment Report (EIA) Environment Management Plan (EMP) Concession Agreement (CA) Lender’s In dependent Engineer Report

(November 2011)

Generally a project comes to IIFCL after the technical closure and prior to the financial closure, where preparation of all the documents like PIM, EIA land acquisition and compensation etc. have been initiated and finalized by the Concessioning Authority where IIFCL have a very limited role to play. Due diligence for a project conducted based on the available documents like PIM EIA, Permits & clearances, Land acquisition and compensation etc., verification of pending litigation cases (if any) and discussions during the site visit was also carried out for the project.

However, for this project land acquisition was carried by NHAI after the official Gazette Notification was published and compensation is paid by the competent authority. During the site visit. (If yes, please provide the names of documents reviewed.)


involuntary resettlement and Environment Safeguards:


9

indigenous peoples issues associated with this subproject that were identified through due diligence conducted by your organization, and how were the issues dealt with (i.e., outcome of due diligence)?

During ESDDR preparation, it was found that the sub-project has no major outstanding issues with respect to environmental safeguards.

However, as reported in LIE report for June, 2014 and the same was informed by project site team during annual audit site visit in the month of July 2014, regarding some changes in project scope of work. In this connection, the original plan for both the tunnels T-1 and T-2 as per bid document was a bidirectional single tube tunnel. However, project developer had submitted the proposal of unidirectional twin tube tunnel configuration for large tunnel T-2 due to safety and easy commutation for the users. NHAI has accepted the proposal of twin tube configuration, dated 4th June, 2011 at no additional cost to NHAI.

Second change in scope of work is related to avoiding the construction of the short tunnel T-1 as the proposed tunnel was planned through a hill with poor geological strata as per detailed survey report. Such a tunneling effort might lead to grave accidents during construction as well as operation stage. Project developer has redesigned the highway alignment by bypassing the tunnel location and construction of long via-duct of approx. 880 mtrs. along River Bichleri, joining the Viaduct BR-9 (already proposed) retaining the originally designed viaduct of 820 m between tunnel T1 and T2 in continuity of via duct BR-9. This proposal was submitted to NHAI for approval which was awaited in June 2014. As per LIE ‘s report for the month of December 2014, its mentioned in this context that competent authority has accorded in-principle approval, dated 30.10.2014 for construction of Viaduct in lieu of short tunnel(T-1) and EPC & project cost will remain the same for the proposed change .Concessionaire has mobilized the required resources for viaduct construction work as mentioned in December,14 LIE’s report. Approval status for the same from regulatory authority has been asked from project developer which is awaited.

Meanwhile, NHAI asked project developer to conduct environmental impact assessment study for proposed viaduct extension of 880Mtrs. length. Copy of EIA report for this viaduct proposal has been shared with IIFCL safeguards team which has been reviewed and observed that viaduct construction will have less environmental impacts as compared to impacts envisaged for tunnel construction thus the net impacts will be positive. This viaduct construction will not affect any forest area and there will be no impact on ground water quality. Tree cutting is minimal for viaduct and flora & fauna is least affected. As concluded in EIA study for viaduct construction, it is mentioned that viaduct construction in place of short tunnel is an environmentally positive development. The following documents were reviewed for the purpose of audit for reporting period:

Environment Assessment report including Environment Management Plan were reviewed ;

Applicable project clearances and permits obtained by project facility


10

Monthly HSE Report-Month Feb., 2014 and November 2015 to April 2016

EMP Matrix compliance status-July 2014 MoEF’s six monthly Compliance report –

Compliance conditions status update by project developer

Incident Investigation and remedial measures report(November 2013, January 2014 & February 2014)

Road Safety week celebration records-January 2014

HSE Committee Staff list and Activities details Environmental Quality Monitoring reports for the

month of May 2013, October 2015. Lender’s Independent Engineer’s report for the

project (Month-February2014 , June 2014 and December 2014,October 2015, February 2016,June 2016)


As per safeguards compliance related information provided by project developer during June 2014 for audit purpose, developer has confirmed that all the statutory clearances, approvals and consents are obtained and renewed as per the requirements of GoI’s regulations and the construction contractors are complying with the prevailing environmental regulations and the terms and conditions stated in the Consent/ approvals.

Periodic monitoring of EMP implementation is carried out.

Periodic Environmental Quality Monitoring is carried out during construction phase and the environmental quality monitoring results are reported to be within the permissible limits.

Concessionaire has confirmed that there are no

major complaints w.r.t Environment Safeguards.

Only the minor complaints received regarding crop

getting damaged due to water coming out during

tunnel excavation for which project developer has

constructed sedimentation tank at both portals to

treat water before diverting it to natural stream. Tests

are being done for checking the quality of water.

As informed by project developer, Regular

monitoring of Accident/Incidents taking place at work

site is carried out and incidents are recorded with

root cause and corrective & preventive actions which

are implemented at site to prevent recurrence.

Safety committee has been formed at site and Road

safety week is conducted for increasing awareness

among commuters regarding traffic rules and

importance of road safety.


11

Environmental & Safety management measures are

undertaken at project site as observed during site

visit like water sprinkling for dust control, monitoring

of environmental parameters, Labour and site safety

provisions, waste management ,deployment of HSE

team etc.muck utilization & management at site,

Good Housekeeping practices, construction of

sedimentation tanks for treatment of water

generated due to Tunnel excavation before

discharge in natural stream, formation of HSE

Committee, accommodation, food & sanitation

facilities for staff & labors, development of site

records for site HSE related aspects(including

incident investigation & remedial measures, sound

level and air flow measurement for North & south

portal tunnels, Safety Mock Drill report along with

various types of safety inspection reports for site

safety management), road safety awareness

activities, and based on observations during audit

site visit, it can be stated that EMP implementation

and its regular monitoring is done by project

developer at project site.

As informed by Concessionaire vide mail dated June

26 , 2014, The HSE Engineer of Concessionaire

along with safety Engineers of respecting section are

monitoring the implementation of Environment

Impact Mitigation measures.

Developer has constructed sedimentation tanks at

both the tunnel portals to treat water generated

from tunnel excavation activity before diverting it

to natural stream. Tests are being done to check

the quality of water discharged.

Muck generated due to tunneling excavation is

utilized for embankment protection for which

crusher plant has been established at site to use

muck for production of concrete and filling

potholes while maintenance. As informed by

project site team during June 2014, total quantity

of 2.45 lacs Cum muck has been utilized. The

muck is being utilized in construction work as far

as possible and the excess, unsuitable material

will be disposed off on low land areas at identified

location.

The project developer has been asked to take action on the following issues: As the EC letter was granted to NQEPL project vide

dated 13th July,2007, its pending for renewal for this package of NH-1A since 13th July 2012. Project Developer has been asked to follow up with NHAI regarding EC Letter validity extension.

In view of Changes in scope of work, EC Letter for the project should be amended in view of revised scope.


12

Project Developer has been asked to follow up with NHAI regarding EC Letter validity extension.

Project developer has been advised to improve the frequency of the Environmental Quality Monitoring and number of samples collections in view of recommendations as per EIA report.

Project developer has also been asked to follow up with NHAI for copies of Six monthly compliance reports submission for EC letter conditions to MoEF.

Social Safeguards: During the due diligence study, it was noted that,

A total of 80.08% of land required was available with the concessionaire.

At the time of due diligence study, there are few pending litigation cases related to land acquisition and compensation which are being dealt by the competent authorities.

Three religious structures and one school was affected due to the project. As noted during the due diligence study, these religious structures were shifted after consulting the local people. As desired by the school administration, the compensation has been made to the school authority and the school authority will be shifted the building on proper place.

As informed by the concessionaire during the site visit, all the 26 affected families and one religious structure over tunnel -2 at Gund Thatar village under Banihal Tahasil, of Ramban District have been compensated by the District Collector. Further it was noted during the site visit and also informed by the developer, only few families has managed to shift to different location as chosen by them due to the heavy snowfall and adverse weather condition. The rest of the affected families will be shifting in due course of time as informed by the developer.

In addition to the land and structures compensation, crop compensation was also given to the affected land holders for disruption of crop during the period of construction as well as acquisition of land.

Both skilled and unskilled workers from the local area were engaged in the construction activities. The Concessionaire has engaged more than 500 labours belonging to the local area.

Public consultation and Focus Group Discussion were conducted duirng the project planning stage and also during the implementation stage.

As part of Annual Compliance Monitoring Review for the reporting period, following documents were reviewed:

Lender’s Engineer report for November 2013, December 2014;

Details fo CSR activities carried out by the concessionaire;


13

Land acquisition status.

Based on the documents received from the concessionaire

for the reporting period, it can be stated that,

The scheduled COD for the project as per the Concessioning Agreement is 13th January 2016.

The land acquisition of the project is still pending. For 30 mtrs ROW and 60 mtrs ROW, 81% and 77% of land has been handed over to the concessionaire, respectively.

As per the Lender’s Engineer report, the Tunnel T1 has been changed due to poor geological strata, in a seismically active zone. Consequently, a via-duct has been approved bypassing the tunnel T1 location and increasing its length to connect to an already planned via-duct. The competent authority has accorded in-principle approval for the construction of this new via-duct on 30.10.2014. Thus, the via-duct length has been increased from 730 mtr to 1424 mtr.

Concessionaire has also submitted additional land requirement for the increased length of the via-duct to NHAI, including the requirement of railway land. NHAI has further requested to land acquisition collector and chief engineer, northern railways for indent and transfer of land.

The concessionaire has carried out various community development activities which mainly includes Construction of rest house in Ramban town, providing sewing machines for ladies in village Gund Tethar, construction of retaining wall to protect houses in village Nowgam, constructed one toilet in village Gund Tethar,. Apart from this, the concessionaire has also provided ambulance facility to the villages, providing power supply from own generation to village Nowga.

The land acquisition for the project is still pending and there are pending litigation cases related to land acquisition and compensation for the project.


IIFCL meets the Lenders’ quarterly as agreed in the consortium and discussed regarding the pending issue if any. For the current quarter the last Lenders Meeting was conducted on 13th January 2017.


NQEPL Road sub-project doesn’t fall under category A as per ADB’s safeguards requirements. (If yes, please provide website link and the date the documents were uploaded.)




12. Does the investment comply with In view of validity expiry of EC Letter and need for


14


amendment in Environmental Clearnce conditions and non-availability of Six-monthly compliance reports to MoEF for EC Letter conditions, this project can not be stated as Compliant w.r.t. applicable Government requirements during the reporting period. The land acquisition for the project is still pending and there are pending litigation cases related to land acquisition and compensation during the reporting period.


To comply with Host country guidelines is primary requirement of DFI’s safeguards requirements. Therefore, in view of non-avaialbilty of projects crucial environmental safeguards information for the reporting period,as mentioned under Point no. 8, this sub-project can not be stated as Compliant w.r.t. applicable DFI’s safeguards requirements.

Rayalseema Expressway Pvt. Ltd.

1




Two-lane carriageway to Four-lane dual carriageway of Cuddapah Kurnool section of existing NH-18 in the state of Andhra Pradesh on BOT Basis Sub-project Developer: Dhule-Palasner Tollways Ltd.

Name of Sub-project Developer Rayalseema Expressway Pvt. Ltd.






ESMU ,IIFCL

Mr. Krupasindhu Guru Assistant General Manager (Social Safeguard Specialist)







Yes ESSF was adopted by IIFCL in October 2008 which was subsequently revised in November, 2010 and July 2013 and Addendum to the ESSF for World Bank financed projects was issued in year 2014. The latest revised ESSF of February 2016 is available on IIFCL’s website (http://www.iifcl.org/WriteReadData/userfiles/file/Final%20ESSF.pdf ) (If yes, please attach a copy of the ESMS to this report. Please indicate the





2

date that the ESMS was established.) 2. If there is an ESMS already in







S. No

Name of Employee





20 yrs

2. Dr. Ruchi Malik



13 yrs




12 yrs

4. Mr. Assistant Masters in 13


3

Krupasindhu Guru

General Manger (AGM)- Social Specialist

Economics, Masters in Journalism, and LLB

yrs




18 yrs

6. Rumita Chowdhury



11 yrs




















4









Capacity Yes/

No







Monitoring


Yes The project is monitored through Lenders Engineer’s reporting. The Lender’s Independent Engineer is appointed by the Lead Bank of the Lender’s Consortium to monitor the physical, financial progress and the compliance of various regulatory requirements. LIE reports are provided by the Lead Bank to the IIFCL. The LIE reports generally covers areas related to statutory approval status, forest diversion, tree cutting status, safety management, land acquisition status, utility shifting and



5

pending litigation etc. From Borrowers, IIFCL receives reports on implementation of EMP, reports on monitoring of environmental parameters, status of safety management and six monthly compliance reports. (If yes, please describe and provide supporting documents including any social and environmental considerations if applicable.)





All the subprojects are invariably visited at the time of ESDDR preparation. Further Audit purposes, it was discussed that only a percentage of such projects would be visited if there are any pending safeguards issues. Therefore for audit purpose only limited projects were visited. Moreover, out of the 12 sub-projects identified for E&S audit under IIPFF-II, 10 sub-projects have achieved Provisional COD / COD and construction pace of two subprojects are slow. The toll collection in these 10 projects is going on and the projects are in smooth operation. It can be concluded that that no major pending issues are associated with these sub-projects. Therefore, no site visit was conducted for these sub-projects as agreed. The social and environmental performances are checked during the preparation of Environmental and Social Due Diligence Report and annual audit. Each approved project is evaluated for its environmental and social safeguard compliance performance against the applicable safeguard requirements at the time of annual audit. The compliance status is also assessed through the LE report which covers the statutory approval status, forest diversion, tree cutting status, safety management, land acquisition, shifting of common property resourcess status and pending litigation etc; reports on implementation of EMP, reports on monitoring of environmental parameters, status of safety management, six monthly compliance reports and through site visits. Out of the 12 sub-projects approved under IIPFF-II, six were visited during the reporting period (in the year 2014) and one sub-project was visited in the year 2016 to monitor / check environmental & social safeguards compliance. Moreover, out of the 12 sub-projects identified for E&S audit under IIPFF-II, 10 sub-projects have achieved Provisional COD / COD and construction pace of two subprojects are slow. The toll collection in these 10 projects is going on and the projects are in smooth operation. It can be concluded that that no major pending issues are associated with these sub-projects. Therefore, no site visit was conducted for these sub-projects as agreed. Since, this project has achieved PCOD on January 2016 and is in smooth operations therefore it can be concluded that the


6

project don’t have any major pending issue has come to our notice. (Please describe and provide supporting documents such as environmental and social monitoring reports and please provide information on the number of subprojects where a field visit was conducted by staff to review aspects including social and environmental issues.)















Not applicable



1. Name of Subproject: Sub Project Developer: Rayalseema Expressway Pvt. Ltd.


7

Two-lane carriageway to Four-lane dual carriageway of Cuddapah Kurnool section of existing NH-18 in the state of Andhra Pradesh on BOT Basis Sub-project Developer: Dhule-Palasner Tollways Ltd.

2. Location: Located in Cuddapah and Kurnool districts of Andhra Pradesh. The project involved widening and strengthening of existing two lanes to four lanes configuration.

3. Sector: Roads and Highways (widening and strengthening)

4. Total loan from IIFCL/DFI (US$ mn): $ 20,988,613.89 till December 2014

5. Safeguard category: (Annex E-3) Environment: B As documented in the ESDDR only 5 families are affected in the project. These families have been compensated for the loss of assets as per the applicable policy and have merged into the mainstream population of the local area. Thus, there is no major impact on the indigenous people of the area. During the prepataion of ESDDR no Indigenous people Plan is available. No Rehabilitation and resettlement involve . Further, this project is up gradation, maintenance and widening of the existing 2-lane National Highway section to 4 lane divided carriageway configuration. Moreover, land acquisition was initiated prior to IIFCL’s involvement after the Gazette Notification was published.


Yes, Environmental & Social Due-diligence for the project was undertaken by Environmental and Social safeguard specialists of IIFCL for which desk review of safeguards documents was carried out along with field verification done during site visit conducted on 19th -20th January, 2012.


The Environmental and Social Safeguard Due-Diligence study was carried out for the sub-project on the basis of site visit observations and understanding project scope based on information and documents provided from the Concessionaire.

The following documents were referred/reviewed in

order to prepare Environmental and Social Safeguards

Due-Diligence Report:

Environmental Impact Assessment Report prepared by Span Consultants Pvt Ltd, Bangalore;

Final Environmental Management Plan prepared by FEEDBACK INFRA

Final Site Manual Final OHSE Apex Manual prepared by

FEEDBACK INFRA


8

Road Traffic Safety and HSE Plan Project Statutory clearances/consents/ approvals

and permits Project Safety Management Plan Environmental Monitoring Reports RAP Report; Site Hand over Letter;


As documented in the ESDDR, only 5 schedule

tribe families were affected due to the project. These families have been compensated as per the applicable policy. As informed by the concessionaire, these families are assimilated into the mainstream population of the local area and they don’t have distinctive culture on their own. Thus, there is no major impact on the indigenous people of the area.

Environmental Impact Assessment Report prepared by Span Consultants Pvt Ltd, Bangalore;

Final Environmental Management Plan prepared by FEEDBACK INFRA

Final OHSE Apex Manual prepared by FEEDBACK INFRA

Project Statutory clearances/consents/ approvals and permits

Environmental Monitoring Reports RAP Report; Site Hand over Letter;


8. What were the main environmental, involuntary resettlement and indigenous peoples issues associated with this subproject that were identified through due diligence conducted by your organization, and how were the issues dealt with (i.e., outcome of due diligence)?

Environment Safeguards: During ESDDR preparation, no environmental issues were identified for addressal in the project. The following documents were reviewed for the purpose of audit for reporting period:

(i) EIA/EMP Report for the project (ii) Project Environmental Management Plan;

(iii) Project’s statutory clearances/consents/ approvals and permits;

(iv) Accident/Incident Status January and

February 2013

(v) Emergency Response process and HSE

Plan of Project

(vi) Project Organogram indicating HSE Staff

(vii) Project specific EMP Compliance Status for

the period of January to December 2012


9

(viii) Project Progress reports(LIE) for the months

of January 2013

Based on the review of safeguards documents for reporting period, following are the observations / outcome of the review of documents: As reported in April 2016 LIE report, Construction

pace in the project stretch has been very slow in last 28 months due to non-availability of land and slow financial progress.

LIE report for reporting period include Status of Health, Safety & Environmental Management and it is stated that Project developer has undertaken safety measures at site for safe movement of Traffic in existing carriageway.

Applicable consents/NOCs/clearances were obtained and it was found that few of the consents for Operation (CTO) and Environmental Clearance obtained for the project (granted vide date 29th May, 2008) got expired during reporting period.

Safety awareness and safety workshops training program have been conducted for site staff and workers involved in various operation of project.

As per June 2014 report, Concessionaire has started median and avenue plantation at some locations. Out of 5995 no. of trees, 5872 no. of trees have been cut.

Good housekeeping and proper control measures are adopted in keeping the camp office clean.

Construction workers and staff have been provided with accommodation facilities and proper Hygiene and sanitation facilities implemented at site.

Construction workers are provided with necessary safety PPEs as per work requirements.

As per June 2014 LIE Report, its mentioned that Forest clearance has been obtained. However, around 3.30 hectare of forest land affecting and about 0.5 km of the stretch in Kurnool district is yet to be handed over to Concessionaire.

The project developer has been asked to take action on the following issues: Project developer has been asked to share

Environmental Quality Monitoring Reports for the period of January 2013 to May 2014.

Project developer has been asked to follow up with NHAI regarding copy of Final Forest Clearance & Renewed EC Letter for extension of validity.

Project developer has also been asked to follow up with NHAI for copies of six monthly compliance report submission for EC letter conditions to MoEF.

Valid copies of statutory consents /clearances /permissions applicable during reporting period are also required from project developer for which Developer has been informed to provide and followed up regularly.


10


The sub-project has been prepared by NHAI as

per its own funding requirement and not

anticipation to ADB operation.

The affected families have been compensated

for the loss of structures before the start of any

civil activity and there is no relocation of any

affected family for the sub-project;

The affected families are entitled for the

compensation for land and structures as per

the market value;

Local labour has been employed for skilled and unskilled activities

The land acquisition has been carried out by

National highway Authority of India (the

Concessioning Authority);

As informed by the concessionaire, both skilled

and unskilled workers from the local area are

being engaged in the construction activities;

Provided approach roads for the easy access

to schools and to the village at many locations

at the request of the local people;

Concessionaire is assisting the local people by

providing the construction material and

equipment for the relocation of religious

properties;

The project has achieved provisional COD on

10th January 2016.

It can be concluded that since the project has achieved

PCOD on January 2016, so no major or pending social

issues are associated with the sub-project.


Yes, the applicable environmental and social safeguard requirements and their implementation have been discussed with project developer in detail. Moreover, The compliance to the applicable laws of land is included as a covenant in the loan agreement signed by the lead bank and other consortium lenders. IIFCL meets the Lenders’ quarterly as agreed in the


11

consortium and discussions are held on the pending issue if any. The last meeing was held on 13th December 2016.


Sub-Project doesn’t fall under category A as per ADB’s safeguards requirements. (If yes, please provide website link and the date the documents were uploaded.)


The compliance to the applicable laws of land is included as a covenant in the loan agreement signed by the Lead Bank and other lending consortium members with the Concessionaire.


Yes for Social safeguards implementation in project. In view of validity expiry of EC Letter & few SPCB’s consents and non-availability of Six-monthly compliance reports to MoEF for EC Letter conditions & Environmental quality monitoring reports, this project can not be stated as Compliant w.r.t. applicable Government requirements during the reporting period.


Yes for Social safeguards implementation in project. To comply with Host country guidelines is primary requirement of DFI’s safeguards requirements. Therefore, in view of non-avaialbilty of projects crucial environmental safeguards information for the reporting period,as mentioned under Point no. 8, this sub-project can not be stated as Compliant w.r.t. applicable DFI’s safeguards requirements.

ANNEX S-4: Resettlement Screening Checklist (Rayalseema Expressway Private Ltd)

Impact Not

Known






land acquisition?


completed by NHAI.




√






√ Encroached free land was handed over to the

subproject developer as per Article: 10 of the





acquired?

√



adjoining land?

√


acquisition known?




of the land?




present?

√



users be affected?

√


√



√


and livelihoods?

√



√



√




√




policy?

√



PPC?

√






√

Does the government




implementation?

√




implementation?

√


ANNEX S-5: Tribal Peoples Effects Screening Checklist (Rayalseema Expressway Pvt. Ltd.)


Not

Known Yes No


problems, if any


project locations?

√ As documented in the ESDDR 5 ST

families are affected in the project.

These families have been

compensated for the loss of assets

as per the applicable policy;

however they are not significantly

different on poverty ratios from

other vulnerable groups like SCs

and OBCs, who are considered part

to the mainstream population.




√ No, those ST families can be

considered as assimilated into

mainstream society and does not

display a distinct demographic,

vocational, cultural and social

identity.




context of project?

√ The tribes share their source of

water, folklore, food, infrastructure

and other belongings with outside

community.



√


community life?

√




√




√





√






households?

√


Simhapuri Expressway Limited

1



Name of Organization India Infrastructure Finance Company Limited (IIFCL) Name of Sub-project 6-Laning of Chilakaluripet to Nellore section of National Highway No.5

from Km 1182.802 to Km. 1366.547 (Including 10.125 km long New Ongole bypass) in the State of Andhra Pradesh on DBFOT pattern.

Name of Sub-project Developer Simhapuri Expressway Limited Reporting Period From January - 2013 to May - 2014














2






S. No

Name of Employee





20 yrs

2. Dr. Ruchi Malik



13 yrs




12 yrs




13 yrs




18 yrs


3


6. Rumita Chowdhury



11 yrs


























4





Capacity Yes/

No







Monitoring





5






All the subprojects are invariably visited at the time of ESDDR preparation. Further Audit purposes, it was discussed that only a percentage of such projects would be visited if there are any pending safeguards issues. Therefore for audit purpose only limited projects were visited. The social and environmental performances are checked during the preparation of Environmental and Social Due Diligence Report and annual audit. Each approved project is evaluated for its environmental and social safeguard compliance performance against the applicable safeguard requirements at the time of annual audit. The compliance status is also assessed through the LE report which covers the statutory approval status, forest diversion, tree cutting status, safety management, land acquisition, shifting of common property resourcess status and pending litigation etc; reports on implementation of EMP, reports on monitoring of environmental parameters, status of safety management, six monthly compliance reports and through site visits. Out of the 12 sub-projects approved under IIPFF-II, six were visited during the reporting period (in the year 2014) and one sub-project was visited in the year 2016 to monitor / check environmental & social safeguards compliance. Moreover, out of the 12 sub-projects identified for E&S audit under IIPFF-II, 10 sub-projects have achieved Provisional COD / COD and construction pace of two subprojects are slow. The toll collection in these 10 projects is going on and the projects are in smooth operation. It can be conclude that no major pending issues are associated with these sub-projects. Therefore, no site visit was conducted for these sub-projects as agreed. This project was visited during the preparation of ESDDR on 18th-20th of June 2012, further, as part of annual safeguards audit (for the audit period January 2013-May 2014) visit was conducted on 4th and 5th of September 2014. (Please describe and provide supporting documents such as environmental and social monitoring reports and please provide information on the number of subprojects where a field visit was conducted by staff to review aspects including social and environmental issues.)





Reporting


6

17. Is there an internal process to report on social and environmental issues to Senior management?









Not applicable


Please provide information about all new investments using DFI funds approved during this reporting period. 1. Name of Subproject: Sub-project Developer: Simhapuri Expressway Limited

Sub-project: 6-Laning of Chilakaluripet to Nellore section of National Highway No.5 from Km 1182.802 to Km. 1366.547 (Including 10.125 km long New Ongole bypass) in the State of Andhra Pradesh on DBFOT pattern

2. Location: The Project road starts from Km. 1182.802 near Chilakaluripet and ends at Km. 1366.547, near Nellore, covering a total length of 183.62 Km. The entire project road passes through three districts namely Guntur ( totaling to 1.08 Km), Prakasam (totaling to 124.02 Km) and Nellore (totaling to 58.65 Km) Districts in the state of Andhra Pradesh



18.38 US $ MN




7

No rehabilitation and resettlement issues were involved in this project.

Further, this project is up gradation, maintenance and widening of the existing 4-lane National Highway section to 6 lane divided carriageway configuration. Moreover, land acquisition was initiated prior to IIFCL’s involvement after the Gazette Notification was published.



Environmental & Social Due-diligence for Simhapuri Expressway Ltd. was undertaken by Environmental and Social Safeguard Specialists of IIFCL for which desk review of safeguards related documents was carried out along with field verification done during site visit conducted on 18th – 20th June, 2012 by ESMU team. Environmental and Social Safeguard Specialists of IIFCL again visited the site on 4th – 5th September, 2014 for field verification for annual audit purpose and desk review of documents/information has been done for annual compliance monitoring. (If yes, provide information on due diligence activities, such as desk review of safeguard documents, and field visit, and by whom.)



EIA report Environment Management Plan Sub-project clearances/permits Project Concession Agreement & EPC Agreement HSE Policy OHSE Manual Safety Reports Emergency Response Plan Accident incident reports Monthly Progress Report (MPR), December 2011


Environment Impact Assessment Report (EIA);

Environment Management Plan (EMP);

Social Impact Assessment & Resettlement Action Plan (RAP);

Monthly Progress Report (MPR) (February 2015);

Environment Clearance Certificat

As documented in the ESDDR no Indigenous people are involved in this


8

project.




Environmental Safeguard Simhapuri Expressway Ltd. does not have any major environmental

issue associated with it.


Six Monthly environmental compliance reports for July-December 2013 & Jan-June 2014

Environmental monitoring reports for Dec 2013, Feb 2014, June 2014

Environmental Statement (Form V) for the year 2012-13 & 2013-14

Permits and consents for the sub-project Tree cutting details Environmental Management works at construction sites EMP matrix and mitigation measures LIE report for Oct 2013



The sub-project has statutory approvals and permits.\ The environmental monitoring is being done at sub-project on

periodic basis, the monitoring frequency is found to be adequate and the monitoring results are within the prescribed limits of regulatory norms.

The Concessionaire is implementing EMP at sub-project site and maintains records on implementation of EMP. Implementation of EMP is found to be adequate at the sub-project.

The EMP measures are implemented at the sub-project Rain water harvesting structures are being constructed at the

sub-project Sufficient water tankers and sprinklers have been provided at

the sub-project for controlling dust. Adequate safety measures are adopted at the sub-project for

the workers PPEs are provided to the workers at the construction site and

safety awareness is conducted for road users. Till June 2014, 99631 no. of trees have been cut at the sub-

project out of 133198 to be cut.

For overall traffic & road safety implementation the measures

such as required lane closure permissions from I.E while

executing road works & proper safety measures for structures

works and compliance as per recommendations w.r.t safety

asked by I.E/Road safety expert is done.

Green belt has been developed in the construction camp site

and maintained in the Median; On review of documents it can be concluded that the sub-

project does not have any environmental safeguards related

issue.


9


The sub-project has been prepared by NHAI as per its own

funding requirement and not anticipation to ADB operation.

The Resettlement Action Plan (RAP) report has been prepared

on the basis of National Rehabilitation and Resettlement policy

2007 (NRRP – 2007).

The land acquisition has been done by NHAI under NH Act-1956

and the compensation is being paid to the affected families by

NHAI as per the applicable policies.

Adequate measures have been adopted for the minimization of

social impacts during the project planning stage of the sub-project. Ongola bypass, of a total length of 10.2 km, has been provided so that the alignment does not pass through any congested settlement area.

Local people’s view has been given due consideration during the planning stage of the sub-project to minimize the social impact.

As informed by the Concessionaire, local labour has been

employed for the various skilled and unskilled activities during the construction stage.

By reviewing the information and document provided by the

developer, it seems that the sub-project does not involve reputational risk to ADB on social safeguards.


IIFCL meets the Lenders’ quarterly as agreed in the consortium and discussions are held on the pending issue if any. The lenders meet are generally arranged by the Lead Lenders as per the availability of the Consortium members. The last quarter meeting was held on 22nd March 2017.


Simhapuri Expressway Ltd. does not fall under category A as per ADB’s safeguard requirements. (If yes, please provide website link and the date the documents were uploaded.)





Yes


Yes


10

ANNEX S-4: Resettlement Screening Checklist (Simhapuri Expressway Ltd)

Impact Not

Known






land acquisition?

√ This process of land acquisition was initiated

and completed by NHAI after Gazette

notification was published.




√






√ Right of Way Letter was handed over taken

over to the PPC as per Article: 10 of the





acquired?

√



adjoining land?

√


acquisition known?





of the land?




present?

√



users be affected?

√


√



√


and livelihoods?

√



√



√




√




policy?

√



PPC?

√






√

Does the government




implementation?

√




implementation?

√


ANNEX S-5: Tribal Peoples Effects Screening Checklist (Simhapuri Expressway Ltd)


Not

Known Yes No


problems, if any

Are there tribal groups present in project

locations?

√

Do they maintain distinctive customs or

economic activities that may make them

vulnerable to hardship?

√

Will the subproject restrict their economic

and social activity and make them

particularly vulnerable in the context of

project?

√



√


community life?

√

Will the subproject positively affect their

health, education, livelihood, or social

security status?

√

Will the subproject negatively affect their


security status?

√

Will the subproject alter or undermine the

recognition of their knowledge, preclude

customary behaviors, or undermine

customary institutions?

√


community life as a whole, will there be

loss of housing, loss of land, crops, trees,

and other fixed assets owned or controlled

by individual tribal households?

√


Soma Isolux Kishangarh Beawar Tollways Private Limited

1



Name of Organization India Infrastructure Finance Company Limited (IIFCL) Name of Sub-project Widening and Up gradation of NH-8 section between Kishangarh-

Ajmer–Beawar Section in the state of Rajasthan Name of Sub-project Developer Soma Isolux Kishangarh Beawar Tollway Pvt. Ltd. Reporting Period From January - 2013 to May - 2014


Prepared by Dr. Rashmi Kadian Assistant General Manager (Environment Specialist) Ms Rumita Choudhury Consultant - Social Safeguard Specialist

Reviewed By Dr S. S. Garg General Manager & Head, ESMU








Yes During reporting period (January - 2013 to May - 2014) an Addendum was issued to the ESSF in the year 2014. The purpose of the Addendum was to summarise the process of poposed due diligence process at IIFCL for determining the eligibility of sub-projects for the World Bank financing under World Bank’s line of credit. (If yes, please provide a copy of the updates including dates and reasons for





2

the same.) 3. Has senior management signed

off on the updated policy/ procedure?




S. No

Name of Employee





20 yrs

2. Dr. Ruchi Malik



13 yrs




12 yrs




13 yrs




18 yrs


3

6. Rumita Chowdhury



11 yrs
























The environmental and social safeguard requirement of any infrastructure project requires screening of vast quantum of data / information / statutory approvals / permits / periodic compliance monitoring reports etc. as per National safeguards


4

requirements. Extracting this information from the developer is a time consuming process and is a challenging task. In case of social safeguards, IIFCL relies on the information provided by the Concessionaire.



Capacity Yes/

No







Monitoring


Yes The project is monitored through Lenders Engineer’s reporting. The Lender’s Independent Engineer is appointed by the Lead Bank of the Lender’s Consortium to monitor the physical, financial progress and the compliance of various regulatory requirements. LIE reports are provided by the Lead Bank to the IIFCL. The LIE reports generally covers areas related to statutory approval status, forest diversion, tree cutting status, safety management, land acquisition status, utility shifting and pending litigation etc. From Borrowers, IIFCL receives reports on implementation of EMP, reports on monitoring of environmental parameters, status of safety management and six monthly compliance reports. (If yes, please describe and provide supporting documents including any social and environmental considerations if applicable.)

14. Do you check for ongoing Yes During the environmental and social due diligence study and



5


subsequent audit, the compliance of the project with the applicable regulation is checked with available documentation. The site visit is carried out by ESMU for field verification.



All the subprojects are invariably visited at the time of ESDDR preparation. Further Audit purposes, it was discussed that only a percentage of such projects would be visited if there are any pending safeguards issues. Therefore for audit purpose only limited projects were visited. The social and environmental performances are checked during the preparation of Environmental and Social Due Diligence Report and annual audit. Each approved project is evaluated for its environmental and social safeguard compliance performance against the applicable safeguard requirements at the time of annual audit. The compliance status is also assessed through the LE report which covers the statutory approval status, forest diversion, tree cutting status, safety management, land acquisition, shifting of common property resourcess status and pending litigation etc; reports on implementation of EMP, reports on monitoring of environmental parameters, status of safety management, six monthly compliance reports and through site visits. Out of the 12 sub-projects approved under IIPFF-II, six were visited during the reporting period (in the year 2014) and one sub-project was visited in the year 2016 to monitor / check environmental & social safeguards compliance.

Moreover, out of the 12 sub-projects identified for E&S audit under IIPFF-II, 10 sub-projects have achieved Provisional COD / COD and construction pace of two subprojects are slow. The toll collection in these 10 projects is going on and the projects are in smooth operation. It can be concluded that no major pending issues are associated with these sub-projects. Therefore, no site visit was conducted for these sub-projects as agreed. This project has visited during the preparation of ESDDR from 15-16th of September 2010, further, as part of annual compliance monitoring review visit was conducted on 28th and 29th of August 2012 and subsequently on 30th August 2016 for safeguards compliance check. This project has achieved PCOD on 29th of April 2015, and is in smooth operation since then. It can be concluded that no major issues has come to our notice with the subproject. (Please describe and provide supporting documents such as environmental and social monitoring reports and please provide information on the number of subprojects where a field visit was conducted by staff to review aspects including social and environmental issues.)


compliance with the applicable



6

Environmental and Social Requirements












Not applicable



1. Name of Subproject: Sub-project Developer: Soma Isolux Kishangarh-Beawar Tollway Pvt. Ltd. Sub-project: Widening and Up gradation of NH-8 section between Kishangarh-Ajmer–Beawar Section in the state of Rajasthan

2. Location: Kishangarh, Ajmer and Beawar districts of Rajasthan


4. Total loan from IIFCL/DFI (US$ MN): 31.10 US $ MN (till December 2014)


Environment: B


7

As per GoI guide line no categorization in social sectors in IR & IP.

Further, this project is up gradation, maintenance and widening of the existing 2-lane National Highway section of NH-8 to 46 lane divide carriageway configuration. Moreover, land acquisition was initiated prior to IIFCL’s involvement after the Gazette Notification was published.


due diligence undertaken by your organization?

Environmental & Social Due-diligence for Soma Isolux Kishangarh-Beawar Tollway Pvt. Ltd. project was undertaken by Environmental and Social safeguard specialists of IIFCL for which desk review of safeguards documents was carried out along with field verification done during site visit conducted during 15th and 16th September 2010. Final ESDDR for Soma Isolux Kishangarh-Beawar Tollway Pvt. Ltd. project was submitted to ADB in the month of October 2010. A site visit was also undertaken during 28th and 29th of August 2012 as part of Annual Compliance Monitoring Review. Subsequently the sub-project was visited by ESMU team on 30th August 2016 for safeguards compliance check. (If yes, provide information on due diligence activities, such as desk review of safeguard documents, and field visit, and by whom.)



Environmental Impact Assessment Report Environmental Management Plan Project Statutory clearances/consents/ approvals and

permits Project Safety Management Plan Detailed Project Report EPC Contract Documents

Social Safeguard:

During the preparation of social safeguards due diligence study, it was found that no project specific Involuntary Plan or Indigenous Peoples plan was prepared for the project. However, a EIA & RAP was made which is a part of the Feasibility Study and Detailed Project Report as prepared by NHAI. The Social safeguard due diligence was assessed by reviewing the following documents:

Detailed Project Report (DPR); Environmental Impact Assessment and Resettlement Action

Plan Lenders’ Engineer (LE) Quarterly Progress Report


8



Environmental Safeguard Soma Isolux Kishangarh Beawar Tollway Pvt. Ltd. does not have

any environmental issue associated with it. The project has

achieved provisional COD on 29th April 2015.

The following documents/infromation were reviewed for the purpose of annual audit:

EMP Implementation status Sub-project’s Environment, Health & Safety Manual Tree cutting and Plantation status Six monthly compliance reports for the period Jan-June

2013 and Jul-Dec 2013, Jan-Jun 2014 Environmental Quality Monitoring reports for April, 2013;

July 2013; Jan 2014 LIE reports for the period Mar, June, Sept, Dec 2013 &

Mar, Jun 2014 Borrow area rehabilitation Permits/approvals for the sub-project for the reporting

period Monthly accident reports Road Safety Measures

During the annual compliance monitoring review, ESMU team

visited the project site during 30th August 2016. Following are the

observations / outcome of the review of documents / information for

annual audit and site visit conducted :

Environmental Quality Monitoring is being done at the site

and parameters are within prescribed limits of regulatory

norms. Based on the site visit it can be deduced that the

monotoring is adequate.

Rain water harvesting chambers are provided at 10

locations in the entire stretch.

The sub-project had all valid statutory approvals and

permits in the reporting period.

No batching or HMM plant or Crusher is functional now as

the sub-project has achieved provisional COD.

The borrow areas have been rehabilitated as per demand

of the locals.

Sanitation and hygiene is maintained at the site.

Tree cutting permissions have been taken for 5640 number

of trees from forest and non-forest area.

As per LIE report of June 2014, 5304 number of trees have

been cut at the sub-project site from both forest and non-

forest areas, which is 100% of the trees to be cut for the

sub-project. Balance of the trees for which permission was

taken from the authorities were not cut as they were not

hampering the work.

Median plantation in most of the road length portion was

completed by the reporting period and is observed to be

growing well. A total of 55000 plants have been planted in


9

median plantation.

12500 trees have been planted under avenue plantation at

the sub-project.

Monthly accident reports are maintained at site. Measures

are taken to minimize incidents. Road signages/VMS

boards for awareness can be seen at the sub-project.

Ambulances (02 nos.) are always present along with

trained paramedic staff at the site. Highway patrol is

available and SOS calling booths are installed all along the

road length.

Toilet blocks are constructed at toll locations and

maintained by the sub-project developer.

Adequate institutional arrangement exists at the sub-project

site for EHS safegaurds and the sub-project does not have

any environmental safeguards related issues.

Social Safeguards: During the due diligence study, it was noted that,

The project was under implementation and the land was being acquired by NHAI as per National Highway Act 1956.

All the APs were provided with compensation as per the applicable national policy.

As the subproject is a linear project, due to land acquisition the APs were losing only a part of their land. However, in addition to compensation Solatium was also paid as assistance for land acquisition to APs for mitigating the loss to income or livelihood.

Further to restore and enhance the economic conditions of the APs, local people were employed as unskilled labour during the construction period through the contractors/subcontractors.

All the affected religious and community structures were being relocated after consultation with the local people.

As part of Annual Compliance Monitoring Review for the reporting period, following document/ information were also reviewed:

LIE reports for the period Mar, June, Sept, Dec 2013 & Mar, Jun 2014

Based on the review of documents received for the reporting period, it

can be stated that,

The COD of the project was on or before 12th May 2012 but due to the delay in handing over the land by NHAI.

The land acquisition is still pending. The total land to be acquired was 584.516 Ha, out of which 555.432 Ha has been acquired. 29.084 Ha is yet to be provided by NHAI. Moreover, it has been intimidated by the concessionaire that out of 555.432 Ha of acquired land, approx. 40 Ha of land is also not physically in possession due to dispute among the land owners and NHAI.

The cumulative Physical progress up to June 2014 was 95.96% against the Target of 100 % and the. shortfall of 5.04% is attributed to non-availability of 11.88 % land,


10

delay in getting Block time from Railway- Authorities for Launching of girders at ROB at Km 38.065.

The sub-project has been prepared by NHAI as per its own

funding requirement and not anticipation to ADB operation.

The project is in operational since April 2015, which appears that the project is in line with SPS 2009.

The Concessionaire has approached Independent Engineer (IE) to

issue Provisional COD. Recommendation has been forwarded by

Independent Engineer to Project Director and by Project Director to

Regional Office, NHAI. The same is under finalization at NHAI.

9. Did you discuss with the Lead Bank

the applicable environmental and social safeguard requirements and their implementation?

IIFCL meets the Lenders’ quarterly as agreed in the consortium and discussions are held on the pending issue if any. The lenders meet are generally arranged by the Lead Lenders as per the availability of the Consortium members, for the March quarter, the meeting was organized on 24th March 2017.


Soma Isolux Kishangarh Beawar Tollways Pvt. Ltd. does not fall under category A as per ADB’s safeguard requirements. (If yes, please provide website link and the date the documents were uploaded.)





Yes


Yes

ANNEX S-4: RESETTLEMENT SCREENING CHECKLIST

Impact Not

Known






land acquisition?

√ Land acquisition was completed by NHAI.




√












acquired?

√



adjoining land?

√


acquisition known?




of the land?


Gazette Notificaitons.


present?

√



users be affected?

√


√



√


and livelihoods?

√



√



√




√




policy?

√



PPC?

√






√

Does the government




implementation?

√




implementation?

√


ANNEX S-5: Tribal Peoples Effects Screening Checklist (Soma Isolux Kishangarh-Beawar Tollway (P) LTD.


Not

Known Yes No


problems, if any


locations?

√ As documented in the

ESDDR 15 ST families are

affected in the project,

however they are not

significantly different on

poverty ratios from other

vulnerable groups like SCs

and OBCs, who are

considered part to the

mainstream population.




NA No, those ST families can be


mainstream society and does

not display a distinct

demographic, vocational,

cultural and social identity.




project?

NA The tribes share their source

of water, folklore, food,

infrastructure and other

belongings with outside

community.



NA


community life?

NA



security status?

NA



security status?

NA





NA






NA


Soma Isolux Surat Hazira Tollways Private Limited

1



Name of Organization India Infrastructure Finance Company Limited (IIFCL) Name of Sub-project Widening and Up gradation of NH-6 between Surat - Hazira Section in

the State of Gujarat, India. The road starts at Gujarat/Maharashtra border to Bardoli-Palsana-Sachin-Magdalla-Ichhapore and ends at Hazira covering a total length of about 132 km.

Name of Sub-project Developer Soma Isolux Surat Hazira Tollways Pvt. Ltd.



Prepared by Dr. Rashmi Kadian Assistant General Manager (Environment Specialist) Ms Rumita Choudhury Consultant - Social Safeguard Specialist

Reviewed By Dr S. S. Garg General Manager & Head, ESMU







2. If there is an ESMS already in Yes During reporting period (January - 2013 to May - 2014) an





2


Addendum was issued to the ESSF in the year 2014. The purpose of the Addendum was to summarise the process of poposed due diligence process at IIFCL for determining the eligibility of sub-projects for the World Bank financing under World Bank’s line of credit. (If yes, please provide a copy of the updates including dates and reasons for the same.)





S. No

Name of Employee





20 yrs

2. Dr. Ruchi Malik



13 yrs




12 yrs



Masters in Economics, Masters in Journalism,

13 yrs


3

and LLB 5. Dr. Bhavesh

Kumar Singh



18 yrs

6. Rumita Chowdhury



11 yrs























4






Capacity Yes/

No







Monitoring


Yes The project is monitored through Lenders Engineer’s reporting. The Lender’s Independent Engineer is appointed by the Lead Bank of the Lender’s Consortium to monitor the physical, financial progress and the compliance of various regulatory requirements. LIE reports are provided by the Lead Bank to the IIFCL. The LIE reports generally covers areas related to statutory approval status, forest diversion, tree cutting status, safety management, land acquisition status, utility shifting and pending litigation etc. From Borrowers, IIFCL receives reports on implementation of EMP, reports on monitoring of environmental parameters,



5

status of safety management and six monthly compliance reports. (If yes, please describe and provide supporting documents including any social and environmental considerations if applicable.)





All the subprojects are invariably visited at the time of ESDDR preparation. Further Audit purposes, it was discussed that only a percentage of such projects would be visited if there are any pending safeguards issues. Therefore for audit purpose only limited projects were visited. The social and environmental performances are checked during the preparation of Environmental and Social Due Diligence Report and annual audit. Each approved project is evaluated for its environmental and social safeguard compliance performance against the applicable safeguard requirements at the time of annual audit. The compliance status is also assessed through the LE report which covers the statutory approval status, forest diversion, tree cutting status, safety management, land acquisition, shifting of common property resourcess status and pending litigation etc; reports on implementation of EMP, reports on monitoring of environmental parameters, status of safety management, six monthly compliance reports and through site visits. Out of the 12 sub-projects approved under IIPFF-II, six were visited during the reporting period (in the year 2014) and one sub-project was visited in the year 2016 to monitor / check environmental & social safeguards compliance. Moreover, out of the 12 sub-projects identified for E&S audit under IIPFF-II, 10 sub-projects have achieved Provisional COD / COD and construction pace of two subprojects are in the project stretch have been slow due to non-availability of land and slow financial progress. The toll collection in 10 projects is going on and is in smooth operation, so it seems that no major pending environmental & social issues are associated with these sub-projects. Therefore, no site visit was conducted for these sub-projects. This project has achieved PCOD on 21st August 2015, which appears that the project does not have any major social safeguards issue. (Please describe and provide supporting documents such as environmental and social monitoring reports and please provide information on the number of subprojects where a field visit was conducted by staff to review aspects including social and environmental issues.)



- Covenants/conditionalities



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imposed by IIFCL to the client as a result of any non-compliance











Not applicable


Please provide information about all new investments using DFI funds approved during this reporting period. 1. Name of Subproject: Sub-project Developer: Soma Isolux Surat Hazira Tollways Pvt. Ltd.

Sub-project: Widening and Up gradation of NH-6 between Surat - Hazira Section in the State of Gujarat, India

2. Location: The road starts at Gujarat/Maharashtra border to Bardoli-Palsana-Sachin-Magdalla-Ichhapore and ends at Hazira covering a total length of about 132 km.



23.46 US $ MN (till December 2014)


Environment: B

As informed by the concessionaire 11 Schedule Tribe families are affected in the project, and they are compensated as per the applicable policy of NHAI. All the 11 families are also


7

provided houses under Indira Avas yojna.

No Rehabilitation and resettlement are involved in this project.

Further, this project is up gradation, maintenance and widening of the existing 2-lane National Highway section of NH-6 to 4 lane divide carriageway configuration. Moreover, land acquisition was initiated prior to IIFCL’s involvement after the Gazette Notification was published.


Environmental & Social Due-Diligence for Soma Isolux Surat-Hazira Tollways Pvt. Ltd. was undertaken by Environmental and Social safeguard Specialists, IIFCL for which desk review of safeguard related documents was carried out along with field verification done during site visit conducted on 21st – 22nd March, 2011 by ESMU team.

Desk review of documents/information has been done for Annual Compliance Monitoring. (If yes, provide information on due diligence activities, such as desk review of safeguard documents, and field visit, and by whom.)



EIA/EMP Report. Copies of relevant clearances, consents and permits Project Safety Management Plan Signed copy of Environment Management Measures Environmental Monitoring Report Environmental Compliance Report Details of Public Hearing EPC Contract Document

Social Safeguards: The social safeguard due diligence study was carried out for the sub-project by reviewing the following infromation:

Detailed Project Report (DPR); Feasibility Report Lenders’ Engineer (LE) Quarterly Progress Report ending

March-2011. Generally a project comes to IIFCL after the technical closure and prior to the financial closure, where preparation of all the documents like PIM, EIA land acquisition and compensation etc. have been initiated and finalized by the Concessioning Authority where IIFCL have a very limited role to play.

Due diligence for a project conducted based on the available documents like PIM, EIA, Permits & clearances, Land acquisition and compensation etc., verification of pending


8

litigation cases (if any) and discussions during the site visit was also carried out for the project.

However, for this project land acquisition was carried by NHAI after the official Gazette Notification was published and compensation is paid by the competent authority. During the site visit, it was also observed that most of the habitation area have been avoided by providing bypasses and to minimize the impact of resettlement and rehabilitation two number of bypasses have been provided.



Environmental Safeguard Soma Isolux Surat Hazira Tollways Pvt. Ltd. does not have any major


provisional COD on 21st August 2015.


Environmental Quality Monitoring reports for Mar 2013, May 2013, Nov. 2013 and May 2014

Six monthly compliance reports for the period Jun-Nov. 2014 Permits/approvals for the sub-project for the reporting period Accident reports & analysis reports for the reporting period LIE reports for the period April, September & December 2013

& May 2014 Following are the observations / outcome of the review of documents


Environmental Quality Monitoring is being done at the site and

parameters are within prescribed limits of regulatory norms.

The sub-project had all valid statutory approvals and permits

in the reporting period.

Till May 2014, 13694 number of trees were cut which was

99.12% of total trees earmarked for cutting.

Median plantation has been completed on the four lane

stretch.

Complince report on conditions of environmental clearance

are being monitored by LIE and are included in the LIE reports

from Sept. 2014 onwards.

Monthly accident reports are maintained at site. Measures are

taken to minimize incidents. Road signages/VMS boards for

awareness can be seen at the sub-project.

Borrow and quarry areas are rehaibiltated by erecting earth

bunds of at least 1 m high on the boundary/periphery of the

borrow pit and planting vegetation, viz. trees, shrubs or tall

grasses.

Safety Officer, Safety Supervisor and safety helper are

present at the project.

Traffic blinker signal at intersections, kilometre/hectometre


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stone, traffic safety devices and pavement marking in the

stretche has been completed.

Necessary precautions such as cattle crossing signage

boards/hoardings and speed breakers/ rumbled strips are

being provided at identified locations to avoid road accidents

in the project.

Adequate institutional arrangement exists at the sub-project

site for EHS safegaurds and the sub-project does not have

any environmental safeguards related issues.

Social Safeguards: During the due diligence study, it was noted that, The land acquisition was being done as per the National Highway

Act 1956.

The Land Acquisition was in progress and the valuation of

land/structures was in process in Surat and Tapi district.

During the site visit it was observed that the EPC contractor had

provided employment opportunities top the local people by hiring

them for skilled and unskilled activities.

As part of Annual Compliance Monitoring Review for the reporting period, Lender’s Engineer’s report for the month of April, September & December 2013 & May 2014 were reviewed. Based on the information given in lender’s Engineer report, it can be stated that, 79.85% of ROW has been handed over by the authority (NHAI) to

Concessionaire. However, in terms of land required for Four

Laning, 98.58% land is available.

The acquisition of remaining land is in progress.

The Developer has provided service roads, vehicular underpasses

and median openings on public demand.

Based on the information received from the concessionaire, no major

social safeguard issues were reported during the reporting period.



Lenders’ Independent Engineers (LIE) appointed by the lead bank is submitting the Monthly Progress Report (MPR) within the consortium as per the agreed frequency is monthly. Generally, IIFCL meets the Lenders’ sometimes monthly or quarterly as agreed in the consortium and discussed regarding the pending issue if any.


Soma Isolux Surat Hazira Tollways Pvt. Ltd. does not fall under category A as per ADB’s safeguard requirements. (If yes, please provide website link and the date the documents were uploaded.)





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Yes


Yes

ANNEX S-4: RESETTLEMENT SCREENING CHECKLIST (SOMA ISOLUX SURAT HAZIRA TOLLWAYS LTD)

Impact Not

Known






land acquisition?

√ Land acquisition was completed by NHAI.




√












acquired?

√



adjoining land?

√


acquisition known?




of the land?




present?

√



users be affected?

√


√



√


and livelihoods?

√



√



√




√




policy?

√



PPC?

√






√

Does the government




implementation?

√




implementation?

√


ANNEX S-5: Tribal Peoples Effects Screening Checklist (SOMA ISOLUX SURAT HAZIRA TOLLWAYS LTD)


Not

Known Yes No


problems, if any


locations?

√ As documented in the ESDDR

11 ST families are affected in

the project, however they are

not significantly different on

poverty ratios from other

vulnerable groups like SCs and

OBCs, who are considered part

to the mainstream population.




√ Those ST families can be


mainstream society and does

not display a distinct

demographic, vocational,

cultural and social identity.




project?

√ The tribes share their source of

water, folklore, food,

infrastructure and other

belongings with outside

community.



√


community life?

√



security status?

√



security status?

√





√






√
