Table: 1- Safeguards Management Approach Component by Component Components (with summary description of civil works) Activities to be financed by the Project Safeguards Documents Timing for Preparation and Implementation of Safeguards Documents Overall Project Components 1-6 ESMF and RPF Pre-Feasibility Social Assessment ESMF and RPF prepared during project preparation, implemented in project. Pre-Feasibility Social Assessment of entire project area to be prepared during project preparation Component 1 (Electro- mechanical Works) TA and Civil Works EMP EMP prepared during project preparation and implemented during project. Component 2 Dam Safety works (including removal of sediment material in reservoir) TA services and Civil works Dam Safety Audit, ESIA, ESMP, RAP Dam Safety Audit, ESIA and ESMP prepared and implemented during the project. RAP will be prepared if Dam Safety and ESIA indicate requirement of land. Component 3 (feasibility study for potential raising of Dam) TA services FS, ESIA, ESMP and RAP Step 1: FS, ESIA prepared during Project implementation. Step 2: If power optimization, requiring civil works or other activities that may have potential environmental and social impacts, is deemed feasible, an ESMP and a RAP will also be prepared during the project. End of activities in Component 3. Step 3; Actual Civil Works will NOT be implemented in this project, but in a potential follow on project. Component 4 (Electrification of surrounding villages, alia) TA services and civil works ESMP ESMP, informed by findings from pre-feasibility social assessment Component 5 (Project Management, supervision, Dam Safety Panel, E &S Advisory Panel) TA Services None N/A Component 6 (Capacity building and TA services (including preparation of TORs consistent with OP4.01, for updating / upgrading current FS for Kunar Hydropower Project) None N/A
IV. Responsibilities for Environment & Social Assessment Process Project Cycle Activities / Process Output / Indicators Responsibility Internal External Preparation /Execution Review Approval review I. Project Identification Component 1: Mechanical, Electrical and electro-mechanical works Component 2: Dam Safety Improvements . Environmental & Social Screening and Scoping Component 3: Feasibility and Design Studies on increasing reservoir regulation capacity Environmental & Social Screening and Scoping Component 4: Environment and Social Sustainability Component 5: DABS Project Management Component 6: Capacity Development &Scale Up Screen and scope Naghlu Dam upstream and downstream areas from an environmental & social perspective Screen and scope Kunar River Hydropower cascade Draft ESMF External Consultant External Consultant External Consultant External Consultant External Consultant External Consultant MEW DABS COO DABS COO DABS COO DABS COO DABS COO MEW DABS Board DABS Board DABS Board DABS Board DABS Board World Bank World Bank World Bank World Bank World Bank World Bank
II. Project Preparation Component 1: Mechanical, Electrical and electro-mechanical works Component 2: Dam Safety Improvements \\ Component 3: Feasibility and Design Studies on increasing reservoir regulation capacity Screen and scope site from an environmental & social perspective Consultations with community representatives Consultations with relevant local and national government representatives, NGOs and other indirect stakeholders Development of TOR for both Technical Advisory Panel and Environment and Social Advisory Panels. Screen and site from an environmental & social perspective EMP ESMF TOR for both panels ESMF GFA International Consultants /DABS SSS International Consultants /DABS SSS International Consultants DABS SSS, MEW DABS COO DABS COO DABS COO/Management MEW DABS Board DABS Board DABS Board Bank World Bank World Bank WB
Component 4: Environment and Social Sustainability Component 5: Project Management DABS Consultations with community representatives Consultations with relevant local and national government representatives, NGOs and other indirect stakeholders Development of TOR for Pre-feasibility Social Survey Assessment Select and award appropriate agencies/specialists to conduct pre-feasibility social assessment Pre-feasibility social assessment carried out consultations with relevant and national government representatives, NGOs and other indirect stakeholders. Consultations with DABS management ESMF ESMF TOR for Pre-feasibility Social Assessment Pre-feasibility Social Assessment report ESMF DABS Naghlu Management, DABS Safeguards’ staff, International Consultants DABS Safeguards staff, DABS HR office/ And COO COO/Management COO Management DABS Board DABS Board DABS Board WB WB World Bank WB
Component 6: Capacity Development and Scale Up Consultations with community representatives Consultations with relevant local and national government representatives, NGOs and other indirect stakeholders ESMF International Consultants MEW MEW management MEW Board III. Project Approval Component 1: Mechanical, Electrical and electro-mechanical works Component 2: : Dam Safety Improvements Component 3: :Feasibility and Design Studies on increasing reservoir regulation capacity Project proposal with ESMF submitted for approval Submit project proposal with ESMF for approval Submit project proposal with ESMF for approval project proposal with EMP already approved by MEW (already approved) Project proposal with ESMF approved by DABS Board Project proposal with ESMF approved by DABS Board GFA Consultants and DABS safeguard staff Consultants and DABS safeguard staff MEW DABSCOO/ management DABS management MEW DABS Board/ARAZI DABS Board/ARAZI World Bank World Bank appraisal and concurrence World Bank appraisal and concurrence
Component4: Environment and Social Sustainability Component 5: DABS Project Management (GoA approval) Component 6: Capacity Development and Scale Up Submit project proposal(with ESMF for approval Submit project proposal(with ESMF for approval) Project proposal with ESMF approved Project proposal with ESMF approved by DABS Board Project proposal with ESMF approved by DABS Board Project proposal with ESMP approved by MEW Consultants and DABS safeguard staff Consultants and DABS safeguard Consultants with MEW staff DABS management MEW Management DABS Board MEW Board Bank appraisal and concurrence Bank appraisal and concurrence IV. Detailed Design & Component 1: Mechanical, Electrical and electro-mechanical works Component 2: : Dam Safety Improvements Environmental & Social Screening and Scoping Select and environment and social work to appropriate agencies (already appointed) Select and social and environmental assessment work to appropriate agencies/specialists through competitive bidding if necessary Agencies appointed to execute social and environment works (already appointed) Detailed design and bid documents Concurrence Agencies appointed to execute social and GFA MEW Consultants/ DABS Naghlu safeguard staff. NHRP Plant Manager MEW MEW DABSCOO /Management Deputy Minister MEW Deputy Minister MEW DABS World Bank review World Bank NoL World Bank NOL
Component 3: Feasibility and Design Studies on increasing reservoir regulation capacity Component 4: Environment and Social Sustainability \ Component 5: DABS Project Management Appointment of Third Party Monitoring Appointment of Members ( Technical Advisory Panel and ESAP) Select and award social and environmental assessment work to appropriate agencies/specialists through competitive bidding if necessary Appointment of Third Party Monitoring Select appropriate agencies to carry out and award social and environmental work to appropriate agencies/specialists through competitive bidding if necessary Appointment of Third Party Monitoring Preparation of detailed training/support plan for concurrence environment works Appointment of ESAP and TAP panel members Detailed design and bid documents Concurrence Agencies appointed to execute social and environment Third Party Monitoring appointed Agency appointed to execute social and environment work Detailed design and bid documents Concurrence DABS management Consultants/ DABS safeguards staff/Naghlu plant manager. DABS Management DABS management DABSCOO /Management DABSCOO Management/ of Experts DABS COO /Management DABSCOO /Management DABS Board DABS Board DABS Board DABS Bank NoL World Bank NoL WB clearance of training and mentoring support
V. Project Implementation Component 1: Mechanical, Electrical and electro-mechanical Component 2: : Dam Safety Improvements Component 3: : Feasibility and Design Studies of reservoir regulation capacity Component 4: Environment and Social Sustainability Component 5:DABS Project Management EMP be implemented Preparation and implementation of ESIA and ESMP Preparation of dam safety audit Preparation of RAP if required by ESIA Preparation and implementation of ESIA Preparation of ESMP Preparation of RAP Preparation of ESMP Execute trainings/capacity development activities EMP activity reports ESIA ESMP Dam safety audit RAP ESIA ESMP RAP ESMP TPE (contractor) International safeguards staff/ DABSNaghlu Manager/ International safeguards DABSNaghlu Manager/ NGO safeguards staff/ DABSNaghlu Manager/ NGO MEW DABSCOO /management, ESAP and TAP DABS management, ESAP and TAP DABS management MEW DABS DABS Board DABS Board DABS Board GFA/ Engineering Advisory Panel, WB Direct and Indirect stakeholder Engineering Advisory and ESAP, WB Direct and Indirect stakeholder s, Engineering Advisory Panel and ESAP External agency ,WB Direct and Indirect stakeholder s Engineering Advisory Panel and ESAP External agency ,WB ESAP and WB
Component 4: Environment and Social Sustainability Component 5: DABS Project Management Component 6: Capacity Development and Up Monitor implementation of ESMP Monitor implementation of training and mentoring support Monitor implementation of studies Periodic monitoring reports Periodic monitoring reports Periodic monitoring reports DABS SS Manager management MEW staff DABS COO/ Management DABS COO/Management MEW Management DABS Board DABS MEW Board Independent Party monitoring ESAP Independent Third Party monitoring ESAP Independent Third Party monitoring/ ESAP VII. Project Review Component 1: Mechanical, Electrical and electro-mechanical works Component 2: : Dam Safety Improvements Component 3: :optimization of power generation Review and report on implementation of EMP. Review and report development and consultations on the ESIA Review and report on implementation of ESMP and RAP Review and report development and consultations on the ESIA Included in quarterly progress reports 6 monthly ESMP compliance reports Monthly internal progress reports 6 monthly ESMP/RAP compliance reports Monthly internal progress reports GFA DABS SS staff and DABSNaghlu Manager DABS SS staff and DABSNaghlu Manager MEW DABS COO / Management DABS COO /Management Deputy Minister MEW DABS Board DABS Board Independent third party monitoring/ TAP/ESAP Independent party monitoring agency/TAP/ESAP Independent third party monitoring agency TAP/ESAP
Component 4: Environment and Social Sustainability Component 5: DABS Project Management Component 6: Capacity Development and Scale Up Review and report on implementation of ESMP and RAP Review and report development and consultations on the ESMP Review and report on implementation (impact) of training plans/ mentoring and management support. Review and report on consultations related to, and implementation of, various studies. 6 monthly ESMP/RAP compliance reports Monthly internal progress reports 6 monthly ESMP/RAP compliance reports Monthly internal progress reports 6 monthly review Monthly internal progress reports 6 monthly review Annual review report DABS SS staff and DABSNaghlu Manager DABS management/ consultants MEW management consultants DABS COO /Management DABS COO /Management MEW Management DABS DABS Board MEW Independent third party monitoring agency/ ESAP Independent party monitoring agency Independent third party monitoring agency TAP
25 Wahid Tawhidi DABS media and communication director 0700266363 26 Ghulam Dawood Naghlu manager 27 Sabir khan Sarobi administrator Deputy 28 Amirkhan Dabs media and communication 0729003132 Amirkhan.delbary@dabs.af 29 Syed K zaidi ICE.ST 0796119135 Zksyed.ke@gmail.com 30 Tamana sadat Dabs media and communication 0729002045 31 Abdul hakim frough Dabs media and communication 0777722802 Abdulhakim.frough@dabs.af 32 Shafi atal Dabs media and communication 0729004400 Shafi.atal@dabs.af 33 Asfandyar hesami DABS graphic designer 0798163788 asfandyar.hesami@dabs.af 34 Ahmad Jawad noori DABS SS 0777792149 35 Rahmatullah safi DABS ES 0777792151 Annex 2a – Public Announcements to the transect Walk) Province: …………….. Project ID:…………………… District/Village: ……………… What is the Project and its salient features Benefits Which Agencies are involved What if resentment from community Likely Impacts and Entitlements ate of Transect Walk Alignment Details along with map of alignment displayed
Annex 2b – Alignment Details for Disclosure (Prior to finalization of alignment/transect walk) Province: …………….. Project ID:…………………… District/Village: ……………… Name of alignment: Total Length (km): Connected Settlements: •Starting Node/km: •Ending Node/km: Population Benefited Total Implementing Agency: Name of Contact Person and Address: Project alignment marked on schematic diagram with socio-environmental features Annex 2c – Outputs of Transect Walk
Annex 11. Scheduling and Reporting by DABS Environmental and Social Safeguards Staff Activity Year 1 Year 2 Year 3 Remarks Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Mitigation Measures ------------- ------------- etc. RAP: implementation .............. Monitoring ------------ ------------ etc Institutional Strengthening ------------ ------------ etc Training ------------ ------------ etc Environmental and Social Progress Report Format Sl. No NHRP Key environmental and social issues Mitigation measures taken Implementation and monitoring of ESMP Training & programs implemented Convergence Lessons learnt Remarks
occur both on land to be acquired and on compensation. It is at this that donations of land may be ‘invited’. 5. No special provision in LLE for a resettlement plan or any special arrangements for resettlement Prepare resettlement plan: contents to include – Involvement of and ensure APs their rights to compensation relocation assistance development assistance in new location. Distinction drawn between short and full plans, depending on numbers to be resettled. Major gap of substance 1. The LLE is silent on resettlement but there is nothing in the law to suggest that a resettlement plan or action to implement a resettlement plan would be illegal. 2. Provide for resettlement plan administratively but 3. Backed up by some regulations 2 and 3 the preferred option. PART TWO: ACQUIRING THELAND 6. The Council of Ministers approves expropriation of land. Unlike the former law, there is no provision for the owner/user and or agent to be present throughout all stages of acquisition. It follows that acquisition may proceed whether the owner etc is present or not. However under article 5 LLE ,a commission is to be formed “by the Municipality” on which the owner is represented to “determine damage incurred due to land expropriation” which is differentiated from compensation. Damage is explained in article 18 LLE. No specific procedures required by OP 4.12 but content of resettlement plan implies APs will be involved in all stages of acquisition The spirit of OP 4.12 conflicts with LLE’s non-provision of involvement of the owner apart from that provided for in article 5. it is not clear why that is confined to “the Municipality”. Given many absentee owners ,it may be unavoidable to allow absentee acquisition. Spirit of OP 4.12 be met by more protective provisions and or practice on dealing with absentee acquisition. The silence of LLE on the details of acquisition may be taken quite legitimately as providing a gap which can be filled by appropriate participatory arrangements. There is no reason why the damage provisions of article 18 shouldn’t equally apply to all acquisitions of land. Involvement of owners present on the land to be acquired and greater protection for absentee owners should be provided by a legal framework developed as part of the RPF which could also serve as a prototype for regulations made under article 22(5) of the new law.
compensation. If there is a distinction between just and adequate, then the constitutional provision of just compensation prevails. Article 8 provides that compensation shall be “the price” of land or houses or trees etc and article 10 provides that the Council of Ministers shall determine the price. But article 15 provides that the municipality and the administration for agriculture determine the compensation for trees etc. Article 13 sets out detailed provisions for obtaining residential plots where a person has had land acquired; the more land acquired the more residential plots are paid as compensation. Disturbance compensation not provided for. Compensation can be land for land Unlike the former law which provided for compensation may be paid into a bank, LLE is silent on the mechanics of paying compensation. No assistance for APs to access bank for their compensation. Practice on the ground is careful and painstaking. Compensation for lost livelihoods required Disturbance compensation required Land for land compensation encouraged. Resettlement costs and ‘start up’ expenses required. Biggest gap is compensation for squatters and even there best practice does provide some compensation to those with no legal title. Practice of paying compensation into a bank even when APs not absentee difficult to reconcile with prompt payment of compensation. frameworks for assessment and payment of compensation. 3. The ADB models should be adapted for use in the project. The lack of any detail in LLE on how to assess compensation and the content of compensation (apart from article 13) allows for the creation of a clear comprehensive and fair code on compensation applicable to all acquisitions including resettlement costs which can be a part of the RPF without doing violence to the existing law.
10.1 Matrix of Actions under the RPF ACTIONS, MEASURES, COMPENSATION ENTITLEMENTS AND CATEGORIES IN THE RPF ACTIONS TO IMPLEMENT THE NHRP Who What When Why (Objective) Comments DABS Establish liaison arrangements with Ministries which will necessarily be involved in NHRP: MEW; MOF; MOJ, MAIL and AGCHO/ Assuming arrangements already exist (DABS Board members) , they can be utilised as soon as possible to bring these Ministries up to date on NHRP To facilitate the smooth implementation of the beginning and operation of the NHRP The first step in the process of developing the NHRP DABS Establish institutional arrangements for ensuring safeguards compliance. On approval of RPF by World Bank Creation of the internal DABS arrangements to implement RPF Preparatory work to be done before approval of RPF DABS Appoint national safeguards officers Desirable to appoint these officers well before the commencement of NHRP Creation of internal DABS arrangements to implement RPF Early appointment will facilitate training of these officers. Training organised by WB DABS Commence the preparation of materials on the RPF for distribution to probable APs At commencement of 2014 To give as much advance publicity to NHRP as possible and to alert probable APs of resettlement No need to wait for approval of RPF by World Bank. This work should start as soon as possible DABS Prepare terms of reference for international social safeguards consultant At commencement of 2014 Advertisements can go out before RPF approved but appointment be dependent on RPF approval To ensure recruitment processes once RPF approved There will need to be considerable consultation on this post so action needs to start early on DABS Appoint the implementing NGO/consultant who is going to carry out the processes of resettlement Initial work on appointment – terms of reference; basic requirements for an NGO/consultant to be qualified to apply; vetting applicants – can start in 2013. Appointment would not be made until RPF approved The implementing NGO will have an important role to play in all significant resettlement exercises. where only very small-scale resettlement will take place, the ESSOs and the Naghlu Plant Manger could be the implementers but anything over that and the implementing NGO would be involved.
Meet regularly and settle disputes within 10 days. process is both substantively (a second and independent opinion on compensation) and procedurally ( an AP can have a hearing and put his/her case) fair themselves as independent and operate accordingly. They are not there ‘to save government money’. DABS Internal monitoring conducted by ESSOs Throughout the process of the implementation of an RAP with regular reports to the World Bank The Planning and Design Department is responsible for managing the NHRP. It will not have the major hands-on role which will be that of the implementing NGO. So it is in a good position to monitor and report on what is happening and will do that via ESSOs An essential aspect of the RPF as it provides an element of project assurance to the Bank with respect to the implementation of the IDRP The External Monitoring Agency (EMA must be independent of all bodies involved in the implementation of the NHRP and with independent standing in its own right. Could be a University department or a consortium of departments. External monitoring conducted by the EMA. Throughout the process of the implementation of the NHRP with regular reports to the Bank and guaranteed access to the project site.; APs; documents; officials in DABS and other relevant public and private bodies An independent overview of the implementation of the NHRP The independence of the EMA must be assured in the contract between it and the MEW. The World Bank has a substantial interest in the EMA and its outputs so will likely be involved in the selection process.
10.2 Matrix of Compensation Entitlements and ELIGIBILITY CRITERIA FOR IDENTIFYING APs Who is eligible What are they eligible for How to determine eligibility and compensation levels What’s the objective Comments Landowners Loss of land and rights to land 1. Official documentation issued by or on behalf government 2. Customary documents; :i.e. documents recognised by both official and customary law as giving rise to ownership rights 3. Oral and evidence with probative value that the claimant and his/her family have been in occupation of the land for at least 35 years. 4. Open, continuous and interrupted possession of persons over a very long time which effectively vests in them legal rights over the lands they occupy through acquisitive prescription. The aim of OP. 4.12 is to compensate all who have lost ‘their’ land. OP 4.12 goes beyond technical rules of law or evidence which in part are designed to bring disputes over land to an end and ensure security to title. OP 4.12 aims at simple and substantive justice: “if you’ve been on this land for a long time and there is good evidence of that then you should be compensated for losing it” As the matrix on the comparison of the LLE and OP 4.12 shows, there is nothing in LLE which prevents the approach of 4.12 being adopted here Squatters Permanent improvements they have made to the land the have occupied Observance of permanent improvements; questioning the squatter and neighbours on when improvement made; consulting maps and other relevant documents The objective here is to compensate the squatter for expenditure on the land but not for the of the land itself Ditto to above. Agricultural tenants Loss of income cash compensation corresponding to one year’s crop yield of land lost. A fair approximation of loss of income Ditto Sharecroppers Loss of income their share of the harvest at market rates plus one additional crop compensation. Ditto to above
owners/renters Costs of relocation to other accommodation relocation allowance equivalent to xxAfghanis per month until suitable accommodation established. This is a very standard element of compensation in all systems Not specifically provided for in LLE but nothing to stop is being paid Loss of livelihoods by agriculturalists Replacement costs for all losses 1. losses will be compensated at replacement value in cash based on current market rates plus an additional . indemnity for x months as transitional livelihood allowance. 2. When >10% of an AP’s agricultural land is affected, APs will get an additional allowance for severe impacts to the market value of a year’s net income crop yield of the land. The aim is to provide a reasonable measure of compensation for loss of livelihoods but on the assumption that APs will make a go of things on their new land. It provides temporary relief but not an amount which invites future indolence This is already an approach which has been accepted in Afghanistan Residential/commercial land impacts Replacement costs for all losses Replacement value in cash at current market rates free of deductions for transaction costs See above. The same reasoning applies Ditto
who lose or have buildings damaged Replacement costs These impacts will be compensated in cash at replacement cost free of depreciation, salvaged materials, and transaction costs deductions. Renters/leaseholders will receive an allowance geared to the rent they are paying . for 3 months to cover emergency rent costs. See above. Those who lose income from crop losses Replacement of lost income impacts will be compensated through cash compensation at current market rates for the full harvest of 1 agricultural season. In case of sharecropping, crop compensation will be paid both to landowners and tenants based on their specific sharecropping agreements. See above Ditto Those who have lost income from loss of trees Replacement of lost income Income replacement based on types of trees lost. See above Those who have suffered business losses Replacement of lost income Compensation for business losses will be based on actual income to be established by pertinent receipts or other documents if demonstrable, otherwise based on business loss allowance. Duration to be determined in RAP See above Ditto Thos who have suffered loss of wages Replacement of lost wages for a limited period Compensation based on actual income loss for time duration until income source See above Ditto Vulnerable households Additional compensation over and above strict loss of income Vulnerable people (APs the poverty line, women household heads, mentally challenged headed households, This is a recognition that those classified as vulnerable households will likely suffer losses over and above Ditto
Transitional livelihood allowance APs losing land or losing a house and forced to relocate will receive a livelihood allowance. Disturbance is a standard head of compensation but it will need a willingness to be flexible on rates as disturbance is not an objective matter. At least xxAfghanis per month for transitional period. This is very much a ‘guestimate’. It may be the best that can be done in the circumstances. Here too the ‘at least’ have been added to provide for some flexibility Rental allowance renters forced to relocate will receive a rental allowance and will be assisted in identifying alternative accommodation Negotiations with APs central to the operation of this head of compensation xx months’ rent at the prevailing market rate in the project area. What the prevailing market rent is must differ from place to place. It is probably not worth while trying to create a ‘shadow’ market. As with other heads of ‘allowances’ some flexibility must be built into the outcome.