Appendix 11

Environmental Assessment and Review Framework

June 2019

India: Rajasthan State Highway Investment Program

(Tranche 2)

Prepared by PPP Division, Public Works Department, Government of Rajasthan for the Asian Development Bank.

CURRENCY EQUIVALENTS (as of 20 March 2019)

Currency unit – Indian Rupee (Rs) INR1.00 = $ $.01453

$1.00 = INR 68.8230

ABBREVIATIONS

ADB – Asian Development Bank ASI Archeological Survey of India CCF – Chief Conservator Forest CFE – Certificate for Establishment CFO – Certificate for Operation DPR – detailed project report EA – Executing Agency EAC – Expert Appraisal Committee EARF – Environmental Assessment and Review Framework EFP – Environment Focal Person EMP – environmental management plan EMOP – environmental monitoring plan GOI – Government of India GOR – Government of Rajasthan GRC – grievance redress committee GRM – grievance redress mechanism IEE – Initial Environmental Examination IRC – Indian Road Congress MDR – Major District Road MFF – Multitranche Financing Facility MOEF – Ministry of Environment and Forests MORTH – Ministry of Roads Transport and Highway ODR – Ordinary District Road PD – Project Director PIU – Project Implementation Unit PMC – Project Management Consultant PPP – Public-Private Partnership RSHDP – Rajasthan State Highway Development Program RSHIP – Rajasthan State Highway Investment Program RSPCB – Rajasthan State Pollution Control Board ROW – right of way SH – state highway SOE – Safeguard Officer – Environment SPS – ADB Safeguard Policy Statement, 2009 VGF – Viability Gap Funding WLS – Wildlife Sanctuary

WEIGHTS AND MEASURES

km – kilometer m – meter

The environmental assessment and review framework is a document of the borrower. The views expressed herein do not necessarily represent those of ADB’s Board of Directors, Management, or staff, and may be preliminary in nature. In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area

CONTENTS Page

I. Introduction .................................................................................................................... 1 II. Assessment of Legal Framework and Institutional Capacity ........................................... 3 III. Anticipated Environmental Impacts ................................................................................. 6 IV. Environmental Assessment for Subprojects.................................................................... 6

A. Screening and Classification…………………………………………………………. 7 B. Environmental Selection Criteria ……………………………………………………. 7 C. Environmental Assessments and Environmental Management Plans ………….. 7

V. Consultation, Information Disclosure and Grievance Redress Mechanism ..................... 8 A. Consultation …………………………………………………………………………… 8 B. Information Disclosure ……………………………………………………………….. 9 C. Grievance Redress Mechanism (GRM) ……………………………………………. 9

VI. Institutional Arrangement for Implementing EARF and Responsibilities .......................... 9 VII. MONITORING AND REPORTING .................................................................................14 List of Tables Table 1: List of Subprojects under Tranche 1 ............................................................................. 2 Table 2: List of Subprojects under Tranche 2 ............................................................................. 2 Table 3: Summary of Environmental Legislation Applicable to the Proposed Project ................. 3 List of Figures: Figure 1: Institutional Arrangement to Implement Environmental Management Plan .................14

I. INTRODUCTION 1. Rajasthan has a road network of 193,017 kilometers (km), including 7,260 km of National Highways (NH), 10,953 km of State Highways (SH), 9,900 km of Major District Roads (MDR), 25,033 km of Other District Roads (ODR) and 139,871 km of Village/Rural Roads. Road density in Rajasthan is only about 60 km per 100 sq. km, compared to the national average of 110. Per capita development cost in the state is very high due to the widely dispersed population. Years of under-investment and inadequate maintenance left many of the State Highways and MDRs in poor condition in terms of riding quality, geometry, pavement strength, drainage, and safety standards. To provide effective linkages from rural areas to markets and to support growing economic potential of the state, significant improvements in the highway network are required. There has been limited investment in improving state highways and district roads to accommodate greater volumes of traffic, but much more is required to develop the state highway network.1 2. To improve the state core network, comprising all state highways and major district roads, the state government initiated the implementation of Rajasthan State Highways Development Program (RSHDP). RSHDP aims to improve about 20,000 km of state highways and major district roads to 2-lane standard in two phases during a period of 5 years from 2014 to 2018. The phase 1 of RSHDP was designed to engage private sector investment through public-private partnership (PPP) for about 9,000 km of state highways. Two models of PPP are developed, viability gap funding (VGF) for roads with adequate capacity of revenue generation, and annuity for other roads. 3. The GOR, through the Department of Economic Affairs of Ministry of Finance, GOI, requested ADB to consider a loan of $500 million to help finance the civil works under the PPP contracts, and support the capacity development for the PWD of Rajasthan on the key areas such as policy and business procedures, road asset management, and road safety. 4. A multitranche financing facility (MFF) modality is being followed to finance the Rajasthan State Highway Investment Program (RSHIP) due to its large scale of investment. A total of 27 subproject roads will be financed under tranche 1 and 2, totalling about 1,734 km. This Environmental Assessment Review Framework (EARF) has been prepared to serve as a guide on procedures for complying with environment safeguard requirements according to the ADB SPS and environmental policies of the Government of India for subprojects that will be taken up under subsequent tranches. The state highways proposed for upgrading are distributed across all administrative divisions and cover most districts of Rajasthan. Subproject roads under tranches 1 and 2 are summarized in tables 1 and 2. 5. The proposed upgrading generally includes:

(i) Cross-section improvement: Project road improvement will follow the state highway standards prescribed by Indian Road Congress (IRC: SP: 73-2007) and Ministry of Road Transport and Highways (MORTH) Guidelines. In general, the improvement of the project roads involves widening from single/intermediate/2-lane to 2-lane with granular shoulder of 2.5 m on both sides. The upgrading also involves pavement improvement, reconstruction and widening of CD structures, provision of roadside drains, and raising of embankment in water logged sections. To the extent feasible, all proposed improvements are limited within the ROW

1 ADB (2015). IND: Proposed Rajasthan State Highway Sector Project. Consultation Mission (6–10 February 2015).

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however, land acquisition is inevitable for curve improvement, toll plazas, and by-passes.

(ii) Appurtenances: Includes toll plaza and bus bays. (iii) Road Safety: At-grade intersection improvements; geometric realignments;

facilities for pedestrians like zebra crossing, stop line, and guard rails; traffic control and safety measures to include rigid, flexible, and semi-rigid safety barriers, road signs, pavement markings, kilometer stones, and delineators as required in IRC: 8, IRC:25, IRC:26, IRC:35, IRC:67, IRC:103 and Section 800 of MORTH. Key features includes provisions of crash barriers in high embankment areas, speed breakers near built-up areas, school, and toll plazas, speed restrictions in built-up sections and active wildlife crossing areas, delineators, road studs, cat’s eye, chevrons, object markers etc. have been included in the design. Also required is the preparation of a proper traffic diversion consistent with IRC: SP: 55-2014.

◼ Table 1: List of Subprojects under Tranche 1

S. No. Name of Road Length (Km)

Total Project

Cost (Rs. In Cr)

Package/Type of Contract

1 Kanwas - Khanpur – Aklera 74.820 174.99 1/Annuity

2 Deoli- Kanwas 14.850 34.78

3 Alot (MP) - Gangdhar - Suwansara (MP) 24.550 58.11

4 Kherli - Pahari 61.156 136.08

Sub-total 175.376 403.96

5 Barmer - Sindari - Jalore 148.089 311.64 2/Annuity

6 Ahore-Bali - Mundara (Sanderao- Bali- Mundara)

29.423 67.42

Sub-total 177.512 379.06

7 Peelibanga - Lakhuwali 34.548 88.48 3/Annuity

8 Saradarshashar - Lunkaransar 75.800 145.37

9 Churu - Bhaleri 35.000 74.25

10 Sanju - Tarnau 16.703 45.42

11 Roopangarh- Naraina 34.792 83.67

12 Nagaur - Tarnau-Deedwana – Mukundgarh 196.000 712.51

Sub-total 392.843 1149.7

13 Ajeetgarh - Chala 33.135 60.26 4/EPC

14 Sikar - Ganeri- Jaswantgarh 75.130 212.96

15 Bidasar- Nokha 93.000 160.35

16 Singhana - Buhana Road - Haryana Border 32.690 86.08

Sub-total 233.955 519.65

Grand Total 979.686 2452.37

◼ Table 2: List of Subprojects under Tranche 2

S. No. Name of Road Length (Km)

Total Project

Cost (Rs. In Cr)

Total Package

Cost

Package

1 Jodhpur- Sojat Road 75.700 230.80 360.84 1/ EPC

2 Bhinmal - Pantheri Posana - Jeevana

51.580 130.04

3 Bidasar - Sri Dungargarh - Kalu 82.200 135.13 271.92 2/ EPC

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4 Sadulshahar - Sangaria - Chaiyan

95.300 136.79

5 Losal-Salasar-Ratangarh 78.603 183.37 183.37 3/ EPC

6 Siwana - Samdari - Balesar 90.65 320.14 320.14 4/ EPC

Total EPC 474.033 1136.27

7 Beawar-Masuda-Goyla 67.01 115.23 285.01 1/ Annuity

8 Arain- Sarwar 44.260 83.25

9 NH-12 – Laxmipura – Dora – Dabi –Ranaji Ka Guda (Mining)

49.500 86.53

10 Nasirabad-Mangliyawas-Padukalan

62.960 106.44 205.81

2/ Annuity

11 Beawar-Pisangan-Tehla-Kot-Alniyawas

56.700 99.37

Total Annuity 280.43 490.82

Grand Total 754.463 1627.09

II. ASSESSMENT OF LEGAL FRAMEWORK AND INSTITUTIONAL CAPACITY

6. The implementation of the RSHIP will comply with the environmental acts, policies, rules, and regulations of the Government of India which has a comprehensive coverage of environmental issues and requirements. This environmental legal framework imposes command and controls on certain activities deemed detrimental to the environmental integrity and encompass the conservation of various components of the biological and physical environment and environmental assessment procedures and requirements for public consultation. The policies and requirements which are most relevant in the context of this project are provided in Table 2 below.

◼ Table 3: Summary of Environmental Legislation Applicable to the Proposed Project

No. Act Application to the Project Responsible Institution

1 National Environmental Policy, 2006

Project should adhere to the principle of environmental resources conservation and pollution abatement

MoEF

2 Environment (Protection) Act (1986) and Rules (1986) including amendments

Project should follow applicable requirements of the Act and Rules

MoEF

3 Environmental Impact Assessment (EIA) Notification under Environmental Protection Rules (2006, 2009, 2011) and relevant Office Memorandums (OM)

• Category B2 projects do not require EC (For tranche 2 none of the roads fall under category B)

• EC is required for borrow areas, regardless of size

• State highways inside protected areas notified under the Wildlife Protection Act 1972 classified as Cat. B

MoEF

4 Wildlife Protection Act (1972 and amended in 1993)

• Applicable to subprojects located within core or buffer zone of Protected Areas (Wildlife Sanctuaries, National parks, biosphere reserves etc.)

MoEF

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• Permission from chief wildlife warden/ State Wildlife Board/ National Board of Wildlife

• None of the project roads are located inside core or buffer zone for T1 and T2

5 Notification of Eco-Sensitive Zones

• Restriction of activities (including construction, tree cutting, etc.) in the notified zones

• There are no eco sensitive zones in or near the sub-project roads

MOEF CCF

5 The Water (Prevention and Control of Pollution) Act 1972 (Amended 1988) and Rules 1974

• Provides effluent standards to be complied by the labor and construction camp

• Requires control of suspended solids from exposed construction sites

RSPCB

6 The Air (Prevention and Control of Pollution) Act, 1981(Amended 1987) and Rules 1982

• Applicable for equipment and machineries potential to emit air pollution hot mix plant, rock crusher, diesel generator and construction vehicles

• Consent for Establishment (CFE) and Consent for Operation (CFO) from RPCB

RPCB and Road

Authorities

7 Municipal Solid Waste (Management and Handling) Rules, 2000

• Solid waste generated from the camps and demolition debris

7 Hazardous Waste (Management, Handling and Trans-boundary Movement) Rules 2008 (Amended 2009),

• These rules define and classify hazardous waste

• Provides procedures for handling hazardous wastes like oils, lubricants, and bitumen

RSPCB

8 The Forest (Conservation) Act 1980 (Amended 1988) and Rules 1981 (Amended 2003)

• Restricts use of forest lands for non-forest purposes

• Applicable to project roads located in forests; requires prior permission to take up the works

MoEF

9 Central Motor Vehicle Act (1988) and Rules (1988)

• To control vehicular air and noise pollution. To regulate development of the transport sector, check and control vehicular air and noise pollution.

State Transport

Department

10 Ancient Monuments and Archaeological Sites and Remains Act (1958)

• Applicable to subprojects located in proximity with the Protected Monuments/ Sites

• No excavation/construction work is allowed within 300 m boundary of the protected monument

Rajasthan Archaeological

Dept. GOI

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7. The following requirements are particularly important and need special attention in order to avoid any delays for a project:

(i) Under EIA Notification 2006 (amended 2009, 2011, and 2013), expansion of existing state highways outside hilly terrain above 1000 m amsl and or ecologically sensitive areas do not require environmental clearance.

(ii) Further, under the same notification, it is stated that a state highway project will be treated as category A if located in whole or in part within 5 km from the boundary of: (i) Protected Areas notified under the Wild Life (Protection) Act, 1972; (ii) Critically Polluted areas as notified by the Central Pollution Control Board from time to time; (iii) Notified Eco-sensitive areas; and (iv) 5 kilometers from interstate boundaries and international boundaries.

(iii) As per the Forest Conservation Rules (1981, amended 2003) a forestry clearance from Department of Forests is required for diversion of forest land for non-forest purpose. Processing of the forestry clearance entails two stages. Amongst other requirements, stage I clearance requires the applicant to make payments for compensation of forestry land that will be acquired and trees that will be cut under the project. Timely allocation of budget for this purpose by the applicant is necessary to expedite the clearance process.

(iv) Cutting of trees in non-forest land requires a tree cutting permit from the local forestry department. Compensatory afforestation is required by the State Forest Department for all cut trees for the project.

(v) Placement of hot-mix plants, quarrying and crushers, batch mixing plants, discharge of sewage from construction camps requires No Objection Certificate (Consent to Establish and Consent to Operate) from the State Pollution Control Board prior to establishment.

(vi) Permission from Central Ground Water Authority is required for extracting ground water for construction purposes.

8. Updates on the EIA notifications and new OM’s issued by MOEF can be seen on the MOEF website: http://moef.nic.in/divisions/iass/Cir/Circulars.html. This must be continuously monitored and necessary revisions must be made in implementing applicable environment safeguard requirements. 9. The Government of Rajasthan (GOR) through the RPWD is the Executing Agency (EA) for this MFF. The capacity of the EA will be enhanced to ensure implementation of environment safeguard requirements and compliance with environmental regulations of GOI and ADB SPS 2009. The PPWD-Public Private Partnership (PPP) Division is the implementing agency (IA). A Safeguard Officer – Environment (SOE) with the rank of Executive Engineer has been appointed in the PMU to manage overall compliance of the project with requirements of GOI and ADB. The Project Management Consultant (PMC) team will include an Environmental Specialist to supervise, guide and train the contractor on implementation of the EMP and EMOP and will assign relevant staff on site per package to oversee day to day implementation of the EMP. The contractor’s team will include health and safety officers and/or environmental focal persons to

• Requires prior permission of Archaeological Survey of India (ASI) for taking works within 500 m of boundary of the Protected Monuments

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ensure implementation of the EMP and EMOP. Further details on implementation arrangements are provided in section VI.

III. ANTICIPATED ENVIRONMENTAL IMPACTS

10. The scope of works under Tranche 1 and 2 roads involves upgrading of existing and recently notified state highways through widening of existing roads into 2 lane with shoulders. All 27 roads with an aggregate length of 1,734 kms are existing roads located outside any legally protected, eco-sensitive, or critical habitat areas2. RSHIP Tranche 1 and 2 is classified as environment Category B in accordance with the ADB’s SPS 2009. Most of the adverse impacts are co-terminus with the construction stage, site specific, limited within the RoW, and are easily mitigated through good engineering and housekeeping practices. 11. Anticipated adverse impacts from the proposed state highway upgrading are: i) localized deterioration of air quality from dust generation due to unpaved road travel, materials transport, earthmoving, and fumes from vehicular and plant emissions; ii) increase in ambient noise level during construction from heavy equipment operation and increase traffic particularly along the project road corridor; iii) loss of vegetation due to road widening; iv) land conversion and resettlement; and v) increase risk in animal-vehicle crashes. Other significant impacts include:

a. Pre-construction phase: i) temporary disturbance of utility services from shifting; and ii) injury or death of animals from inadequate design and provision of crossings.

b. Construction phase: i) loss of productive soil from earth borrowing; ii) contamination of soil from oil and bitumen leaks and spills; iii) depletion of groundwater for construction and dust control; iv) generation of wastewater from the construction camps and plants and risk of surface water contamination; v) loss of fauna from poaching; vi) occupational health and safety; vii) generation of demolition debris; ix) health and safety risk from heavy equipment operation and construction activities near community areas; ix) partial of full blockage of pedestrian access; and x) unrestored construction sites.

c. Operation Phase: i) contamination of water resources from road surface run-off; v) localized flooding from inadequate drainage maintenance; ii) increase in solid waste from passengers; iii) increase in road crashes; and iv) risk of toxic and hazardous chemical spills from bulk transported

12. Key benefits from the state highway improvement will be better connectivity and enhanced trade through better quality and wider roads with better road safety. Through modelling, emissions from with and without the project shows that the emissions are lower with the project due to improved road conditions.

IV. ENVIRONMENTAL ASSESSMENT FOR SUBPROJECTS 13. All succeeding subproject roads will follow the environmental assessment procedures to meet the requirements of the ADB SPS 2009, MOEF, and the respective IRC guidelines as

2 Critical habitat according to the SPS is an area with high biodiversity value, including habitat required for the survival

of critically endangered or endangered species; areas having special significance for restricted range species; sites that are critical for the survival of migratory species; areas supporting globally significant concentrations or numbers individuals of congregatory species; areas with unique assemblages of species or that area associated with key evolutionary processes or provide ecosystem services; and areas having biodiversity of significant social, economic or cultural importance to local communities.

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detailed in the following paragraphs. Any subproject which is not subjected to these procedures will not be considered for inclusion under the investment program by the RPWD. A. Screening and Classification 14. Each subproject will be initially screened to understand the nature and significance of anticipated environmental impacts by using the ADB Rapid Environmental Assessment (REA) checklist. Following the initial screening, RPWD will propose and ADB will confirm the environmental categorization of each subproject as A, B or C in accordance with the ADB SPS. Categorization as A or B under the criteria of the EIA notification 2006 of MOEF will also be determined and intimated to ADB. Only road projects classified as ADB Category B will be considered eligible. B. Environmental Selection Criteria 15. The following criteria shall be applied for selection of subproject roads:

(i) The subproject road is part of the Rajasthan State Highways Development Program (RSHDP)

(ii) Subproject road is not passing through or near eco sensitive areas such as designated wild-life sanctuaries3, national parks4, notified ecological sensitive areas or area of international significance (e.g., protected wetland designated by the Wetland Convention) and cultural heritage designated by UNESCO or declared as archeologically protected by GOI and State of Rajasthan.

(iii) Sub-project road is not passing through known corridor of endangered or critically endangered species based on IUCN categorization

(iv) As much as possible subprojects or sections passing through reserved forests where enough ROW is not available must be avoided. If absolutely unavoidable, project passing through reserved forests can be selected only if: (i) no alternatives are available, (ii) any lesser impacts can be mitigated (iii) the overall benefits from the project substantially outweigh the environmental costs (iv) any conversion or degradation can be appropriately mitigated.

C. Environmental Assessments and Environmental Management Plans 16. The preparation of succeeding state-level IEE’s for category B subprojects will be guided by the objective of ensuring the environmental soundness, sustainability and integration of environmental considerations into the project decision making process. Environmental impacts will be avoided, and where not possible, minimized, mitigated, and positive impacts will be enhanced through implementation of the Environmental Management Plan (EMP). 17. The IEE study will be conducted in accordance with the requirements of ADB’s SPS 2009. The suggested format of the IEE is provided in appendix 1. The study will clearly identify and describe the area of impact, provide an assessment of potential impacts and mitigation measures, and involve public consultations with affected people and other relevant stakeholders. It should include a comprehensive and practical EMP and Environmental Monitoring Plan (EMOP) and

3 Desert WLS, Darrah WLS, Sariska WLS, Bandh BarathaWLS, Bassi WLS, Bhensrodgarh WLS, Jaisamand WLS,

Jamwa Ramgarh WLS, Jawahar Sagar WLS, Kailadevi WLS, Kesarbargh WLS, Khumbalgarh WLS, Mount Abu WLS, Nahargarh WLS, National Chambal WLS, Phulwari Ki Nai WLS, Ramgarh Vishdhari WLS, Ramsagarh WLS, Sajjangarh WLS, Sawai Man Singh WLS, Shergarh WLS, Sitama WLS, Todgarh Raoli WLS, and Van Vihar WLS.

4 Rambathore National Park, Keoladeo National Park, and Mukundra Hills National Park.

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clear institutional arrangements for implementing them. Specifically, the study will focus on the following:

a. Potential impacts on biodiversity including modified, natural, critical habitat and protected areas and necessary measures to minimize, mitigate and offset impacts.

b. Soil erosion and necessary engineering and bioengineering measures to address them

c. Potential waste issues including excavated spoil, hazardous materials and wastes and appropriate measures for their disposal, treatment and other forms of management.

d. Climate change impacts to the project and recommendations for adaptation as well as mitigation

e. Occupational Health Safety issues and measures for the construction workers as well as the local communities in and around the project site.

f. Cumulative and Induced Impacts of the project in light of existing environment, ongoing development projects and planned projects in the near future

g. Potential impacts on physical and cultural resources and measures to avoid, minimize or mitigate impacts.

h. Grievance Redressal Mechanism to address concerns and grievances of the affected people in the course of the project cycle.

18. Bid documents will include the requirement to incorporate necessary resources to implement the EMP. The EMP will form part of the contract document, and as part of the detailed engineering design to be conducted by the Contractor, the EMP may need revision and updating to take into account the availability of additional information as deemed necessary by the PMC and the PWD Independent Environmental Consultant. New information like the location of borrow and other construction materials; location, number, and extent of labour and camp sites; location and number of tanks and johads where road run-off water can be collected; and additional locations of active Chinkara (Gazella benetti), Nilgai (Boselaphus tragocamelus) crossing will warrant the updating of the EMP. The Contractor will update the EMP as instructed by the PMC and for approval by the Independent Engineer/Authority Engineer (IE/AE). For succeeding tranches under EPC and Annuity modalities, the same requirements will be made for the contractor.

V. CONSULTATION, INFORMATION DISCLOSURE AND GRIEVANCE REDRESS MECHANISM

A. Consultation 19. Meaningful public consultations must be held early on and continuously throughout the project development stage to allow the incorporation of relevant views of the stakeholders in the final subproject design, mitigation measures, implementation issues, and enhance the distribution of benefits. Stakeholders should include project beneficiaries, local affected people, government bodies, and non-governmental organizations if necessary. Consultations must be carried out in an environment free of coercion or intimidation and may be done through meetings, focus group discussions, interviews, hearings which will start with the description of the subproject design and initial identification of potential impacts. The consultations must encourage women participation and engage as many stakeholders as possible. All consultations conducted must be documented clearly in the IEE report. The findings of the IEE must be shared in a form or nature that is accessible and understandable by the affected persons and relevant stakeholders or necessary recommendations and guidelines made for sharing such kind of information at a later stage.

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B. Information Disclosure 20. Disclosing the environmental documents including the IEE, annual monitoring, and environmental due diligence reports to the public will be the responsibility of the RPWD. RPWD will ensure that these documents are systematically kept as part of the project records and made available upon request. All environmental documents are subject to ADB’s Access to Information Policy 2018 and ADB SPS 2009. The IEE report will be disclosed to the public through the ADB website before the approval of the respective tranche for ADB financing. Any changes or updates on the IEE will be subject to ADB’s review and disclosure. For RSHIP, annual environmental monitoring reports need to be disclosed to the public through the ADB and RPWD websites. A sample of the IEE outline is provided in appendix 1 and the annual environmental monitoring report in appendix 2.

C. Grievance Redress Mechanism (GRM) 21. Grievances related to the implementation of the project, particularly regarding the environmental management plan will be acknowledged, evaluated, and responded to the complainant with corrective actions proposed using understandable and transparent processes that are gender responsive, culturally appropriate, and readily accessible to all segments of the affected people. The responsibility agency for addressing the grievances along with proper timelines will be clearly indicated. Records of grievances received, corrective actions taken, and their outcomes will be properly maintained and form part of the environmental monitoring report to ADB. 22. Depending on the nature and significance of the grievances or complaints, the GRM will comprise procedures to address grievances at the project site level, PIU level, PMU level and the Grievance Redress Committee (GRC). Most serious complaints which cannot be addressed at the PMU level will be forwarded to the GRC. 23. First Level of GRC: The district level GRCs will be a single contact point with the jurisdictional PD, PIU, who is responsible for receiving, hearing, and resolving the grievances. Decision is to be taken within 1 week at this level, otherwise it will be elevated to the second level of GRC. 24. Second Level GRC: The second level GRC will be a three member committee, chaired by the Additional Chief Engineer, PMU, Superintending Engineer (ADB), PMU acting as its member secretary and a local person of repute and standing in the society, selected by the Secretary, PWD. Decision is to be taken within 3 weeks at this level. 25. During preparation of IEE or at latest during pre-construction stage, the local communities in the project area will be informed by the PMC and PIU on the grievance redress procedure and the contact persons for lodging complaints. Provisions shall also be made for lodging complaints at the respective PWD’s website.

VI. INSTITUTIONAL ARRANGEMENT FOR IMPLEMENTING EARF AND

RESPONSIBILITIES 26. The Government of Rajasthan (GOR) through RPWD is the Executing Agency (EA) for the project. The PMU in RPWD will be responsible for ensuring that all components of this EARF are complied with. Under the PMU there will be a number of Project Implementation Units (PIUs) to manage individual road packages or groups of packages under the project. The PIU will be

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headed by a Project Director (PD). The PMU will have a Safeguard Officer-Environment (SOE) with a rank of Executive Engineer to coordinate with the PD-PIUs to ensure project implementation complies with the EARF and EMP. 27. The Project Management Consultants (PMC) will support the PMU to implement the project and supervise the contractor including environment safeguards. The PMC’s team will include one Environmental Specialist to supervise and guide the contractor on implementation of the EMP and EMOP and will assign relevant staff on site per package to oversee day to day implementation of the EMP. The AE for contract packages following EPC modality and IE for contract packages following annuity modality will include an environmental specialist to carry out day to day and on-site supervision and monitoring of environment safeguards. The contractor’s team will include health and safety officers and/or environmental focal persons to ensure implementation of the EMP and EMOP. The responsibilities of various agencies and parties for implementing environment safeguards are provided below. 28. Description of key responsibilities of various agencies and parties for implementing

environment safeguards are provided below. (i) PPP Division of Rajasthan PWD will be the project management unit and

responsible for the overall compliance of ADB Safeguard Policy Statement 2009 and the applicable laws and rules under the Ministry of Environment, Forest and Climate Change. The PMU will have a safeguard officer-environment (SOE) with a rank of executive engineer to coordinate with the project directors for PIUs to ensure that project implementation complies with the environmental assessment review framework and environmental management plan. The safeguard officer-environment is responsible for:

• Environmental screening and proposed categorization to reflect the significance of potential impacts or risks that a proposed road might present, and advise feasibility for inclusion and identify the needed level of assessment;

• Reviewing and approving all environment safeguards related documents such as IEE, monitoring reports, and due diligence prepared under the investment program with recommendations and clarifications from the PIUs and PMC where necessary;

• Continued employment of environmental specialist consultant (recruited under tranche 1) to provide support in preparaing IEE reports, processing environmental statutory clearances, permits such as forestry clearances and others on behalf of PMC for roads under tranche 2 and subsequent tranches

• Timely endorsement and signing of key documents and forwarding to the respective agency required for processing of forestry clearance, tree cutting permit, permission for groundwater extraction, etc., and disclosure on ADB and PWD websites;

• Ensure all contractors obtain permits, licenses, etc. for activities such as operation of asphalt plants, quarries, borrow areas, etc., before the implementation of the respective construction activity; and

• Taking proactive and timely measures to address any environment safeguards related challenges at the national or state level such as delays in processing of clearances during pre-construction stage and significant grievances (during construction stage).

• Review sanctions proposed by the PIU and agree with the

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contractor/concessionaire on actions to be taken on the sanction

(ii) Project implementation units (PIU). The project implementation unit through the PD will be responsible for supervising implementation of the environmental management plan (EMP) and environmental monitoring plan (EMOP) by the contractor/concessionaire through the following:

• Review all sub-plans identified in the EMP to be prepared by the Contractor to include camp layout, waste/debris management plan, borrow area management plan, traffic management plan with guidance from the PMC;

• Review monthly/quarterly/annual environmental monitoring reports prepared by the Contractor/concessionaire-Environmental Focal Person (EFP);

• Conduct monthly site and follow-up inspection to ensure the veracity of the submitted monitoring reports and enforce the EMP and EMOP;

• Conduct compliance conference with the Contractor/Concessionaire to discuss non-compliance and agree on corrective measures with guidance from the PMC and PMU; and

• Recommend sanctions to the PMU-SOE in case of recalcitrant contractors/concessionaires.

(iii) Project Management Consultant (PMC). The main objective of Project

Management Consultant is to support the project management unit (PMU) implements the environmental requirements of the Project by providing assistance in the monitoring of the EMP implementation by:

• Conduct environmental site induction training workshops to all contractors/concessionaires, IE/AE and PIUs to ensure understanding of the EMP and domestic environmental laws and regulations requirements particularly on the required clearances and permits, training on occupational and community health and safety,

• Ensure timely mobilization of the Contractor’s/concessionaire’s EFP

• Review and verify revised EMPs, sub-plans submitted by the contractor/concessionaire and advise the PMU on adequacy;5

• Conduct monthly site inspections to check the contractor’s/concessionaire’s compliance with the EMP and EMOP

• Participate in public consultations on issues concerning the project and facilitate addressing environment related grievances that may be submitted to the project GRM or elevated by the AE/IE

• Ensure contractors/concessionaires secure necessary permits and clearances;

• Prepare environmental due diligence reports on EMP implementation needed for the processing of subsequent tranches;

• Prepare summary monthly, quarterly, and annual environmental

5 Site induction training includes but not limited to: i) discussion and review of EMP and EMoP detailing

how specific environmental risks associated with their Scope of Work will be managed legal compliance, inspection and audits, and progress tracking and reporting; ii) environmental training and awareness needs shall be determined and documented via a training needs analysis prior to commencement; iii) Health and Safety Awareness Course, which details general environmental awareness and specific performance requirements expected on site; and iv) GRM.

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monitoring reports based on the monthly environmental progress reports prepared by the contractors’/concessionaires’ EFP and site observations for the review and of PIUs/PMU and approval by PMU;

• Prepare annual environmental monitoring reports for approval by PMU (copy to PIU, IE/AE) and further submission to ADB for public disclosure;

• Advise the Contractor/concessionaire through the PMU and PIUs on how to comply with requirements and address non-compliances; and

• Report apparent unanticipated impacts and recommend mitigation measures to the PMU for advising IE/AE to issue necessary instructions to the respective contractor/concessionaire

• Update the IEE report in situations of unanticipated impacts when deemed necessary

(iv) Authority/Independent Engineer.6The AE/IE will have a dedicated Environment

Specialist to monitor the implementation of safeguards standards. The following are the responsibilities of the AE and IE:

• Review the IEE and EMP to understand the background environmental issues of the respective subproject

• Review and approve the revised EMP and other required sub-plans such as traffic management plan, health and safety plan, waste management plan etc. prepared by the contractor/concessionaire

• Conduct regular (at least weekly) site inspections and monitor implementation of the EMP and EMOP by the contractor/concessionaire

• Provide on-site training and technical guidance to the contractor/concessionaire workers as necessary

• Review the monthly/quarterly/annual reports prepared and submitted by the contractors/concessionaires

• Prepare monthly reports on monitoring activities, training and other environment safeguard activities implemented

• Where necessary, identify the need for corrective actions and issue official notices to the contractor/concessionaire to implement the corrective actions with clear timeline

• Facilitate consultations with the complainant and ensure the grievances are addressed in accordance with the project’s GRM system for complaints or grievances encountered onsite, whether through formal or informal channels; elevate issues or complaints to the PMC, as necessary

• Regularly convene meetings to discuss progress or issues on environment safeguards to ensure that all parties (contractor/concessionaire, PMC, PIU, RPWD) are on the same page on requirements and milestones for environment safeguards

• Based on the site inspections and review of reports submitted by the contractors/concessionaires, assist the PMC in preparing annual Environmental Monitoring Reports for review and approval by the RPWD. These reports will be further forwarded to ADB for disclosure on their website.

6 The AE is the supervising authority for contractors that follow the EPC modality. They are also responsible

for reviewing and approving the detailed engineering design prepared by the EPC contractor. The Independent Engineer is the supervising authority for contractors for annuity contracts. The AE/IE is not hired under ADB funding.

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(v) Contractor/Concessionaire. The Contractor/Concessionaire is the principal agent to implement the EMP and EMOP during the pre-construction, construction and operation stage. Specifically, the contractor/concessionaire will:

• Appoint the contractor’s/concessionaire’s environment focal person and attend the site induction workshop to be organized by the PMC;

• Obtain necessary environmental license(s), permits etc., from relevant agencies as specified by EARF (Table 3) for associated facilities for project road works, quarries, hot-mix plant etc. prior to commencement of civil works contracts;

• Implement all mitigation measures in the EMP and activities in the EMOP; Pollution monitoring will be done on a quarterly basis through NABL/MOEFCC7 accredited testing laboratories. Other EMOP items will be monitored on a monthly basis

• Submit monthly, quarterly, and annual progress reports to for approval to the IE/AE and further submission to PIU and PMC for final submission to PMU;

• Ensure that all workers, site agents, including site supervisors and management participate in training sessions delivered by PMC;

• Acquire all environmental statutory requirements (permits, NOCs etc.) and fulfil contractual obligations;

• Ensure the collection of baseline data on environmental quality through accredited third-party laboratories before the start of physical works and ensure the continued collection of data as given in the EMOP during construction and operation;

• Participate in resolving issues as a member of the GRC;

• Respond promptly to grievances raised by the local community or any stakeholder and implement environmental corrective actions or additional environmental mitigation measures as necessary; and

• Based on the results of EMP monitoring, cooperate with the PMC, IE/AE and PIU to implement environmental corrective actions and corrective action plans, as necessary.

(vi) ADB: ADB is responsible for the following:

• Review REA checklist and endorse or modify the tranche classification proposed by the PMU

• Review IEE report and disclose the final reports on the ADB website as required;

• Issue tranche/subproject’s approval based IEE report;

• Monitor implementation of the EMP through due diligence missions;

• Provide assistance to the RPWD, if required, in carrying out its responsibilities and for building capacity for safeguard compliance;

• Monitor overall compliance of the subprojects to this EARF; and

• If necessary provide further guidance to the RPWD on the format, content, and scope of the IEE report and annual monitoring reports for submission to ADB.

7 NABL = National Accreditation Board for Testing and Calibration Laboratories; MOEFCC = Ministry of

Environment Forests and Climate Change.

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29. The main budgetary need for implementing this EARF is costs for screening and categorization and preparation of IEE reports including EMP and EMOP for subprojects under subsequent tranches. As done for tranche 1 and 2 the RPWD will use their own budgetary resources to recruit Detailed Project Report (DPR) consultants to prepare the subproject specific IEE reports and EMPs. ADB TA resources or staff consultant budget will be used to provide additional support to RPWD for finalizing the IEE and EMP to meet the requirements of ADB’s SPS if required.

Figure 1: Institutional Arrangement to Implement Environmental Management Plan

VII. MONITORING AND REPORTING

30. The RPWD is responsible for undertaking environmental due diligence and monitoring the implementation of environmental mitigation measures for all sub-projects under respective tranches. The due diligence report as well as monitoring implementation of the environmental management plan needs to be documented systematically. ADB must be given access to undertake environmental due diligence for all sub-projects, if needed. 31. The monitoring reports will document progress made in EMP implementation, with particular attention to compliance with each component of EMP. The RPWD through their PMU, PIUs, and PMC will submit annual monitoring reports to ADB. A sample outline of the annual monitoring report is provided in appendix 2. 32. Monitoring during construction is primarily the responsibility of the contractor through self-reporting on a monthly basis and relates to the status of EMP and EMoP implementation including complaints received. The PMC, AE/IE and PIU are responsible for monitoring the compliance with construction contracts, effectiveness of mitigation measures, complaints, and overall environmental quality from the results of the third-party ambient environmental monitoring hired by the contractor. Ambient monitoring will follow the approach to selecting quantitative standards, as recommended in the ADB’s SPS 2009. 33. Monitoring during operation will be conducted by the concessionaire to cover EMP implementation and its effectiveness.

Project Management Consultant

1 Designated Environment Focal Person

Asian Development Bank

1 Environment Spcialist

Independent Consultant

1 Environment Specialist

Executing Agency

Rajasthan Public Works Department

PPP Division - RPWD

Implementing Agency

1 Safeguard Officer Environment

ContractorIndependent

Engineer/Authority Engineer

1 Environmental Specialist per

contract package

15 Appendix 1

◼ Appendix 1: OUTLINE OF AN INITIAL ENVIRONMENTAL EXAMINATION REPORT

1. An initial environmental examination (IEE) report is required for all environment category B projects. Its level of detail and comprehensiveness is commensurate with the significance of potential environmental impacts and risks. 2. A typical IEE report contains many of the same major elements as an EIA, but may have a narrower scope and depth of analysis. The substantive aspects of this outline will guide the preparation of IEE reports, although not necessarily in the order shown. A. Executive Summary

3. This section describes concisely the critical facts, significant findings, and recommended actions. B. Introduction 4. This section provides a brief background and context of the project. C. Policy, Legal, and Administrative Framework 5. This section summarizes the national and local legal and institutional framework within which the environmental assessment is carried out. It also identifies project-relevant international environmental agreements to which the country is a party. D. Description of the Project 6. This section describes the proposed project; its major components; and its geographic, ecological, social, and temporal context, including any associated facility required by and for the project (for example, access roads, power plants, water supply, quarries and borrow pits, and spoil disposal). It normally includes drawings and maps showing the project’s layout and components, the project site, and the project's area of influence. E. Description of the Environment (Baseline Data) 7. This section describes relevant physical, biological, and socioeconomic conditions within the study area, and may be based largely on secondary data if relevant and accurate secondary data is available. It also looks at current and proposed development activities within the project's area of influence, including those not directly connected to the project. It indicates the accuracy, reliability, and sources of the data. F. Anticipated Environmental Impacts and Mitigation Measures 8. This section predicts and assesses the project's likely positive and negative direct and indirect impacts to physical, biological, socioeconomic (including occupational health and safety, community health and safety, vulnerable groups and gender issues, and impacts on livelihoods through environmental media, climate risks in the context of mitigation and adaptation, and physical cultural resources in the project's area of influence, in quantitative terms to the extent possible; identifies mitigation measures and any residual negative impacts that cannot be mitigated; explores opportunities for enhancement; identifies and estimates the extent and quality

16 Appendix 1

of available data, key data gaps, and uncertainties associated with predictions and specifies topics that do not require further attention; and examines global, transboundary, and cumulative impacts as appropriate. G. Information Disclosure, Consultation, and Participation 9. This section: (i) describes the process undertaken during project design and preparation for engaging stakeholders, including information disclosure and consultation with affected people and other stakeholders; (ii) summarizes comments and concerns received from affected people and other stakeholders and how these comments have been addressed in project design and mitigation measures, with special attention paid to the needs and concerns of vulnerable groups, including women, the poor, and Indigenous Peoples; and (iii) describes the planned information disclosure measures (including the type of information to be disseminated and the method of dissemination) and the process for carrying out consultation with affected people and facilitating their participation during project implementation. H. Grievance Redress Mechanism 10. This section describes the grievance redress framework (both informal and formal channels), setting out the time frame and mechanisms for resolving complaints about environmental performance. I. Environmental Management Plan 11. This section deals with the set of mitigation and management measures to be taken during project implementation to avoid, reduce, mitigate, or compensate for adverse environmental impacts (in that order of priority). It may include multiple management plans and actions. It includes the following key components (with the level of detail commensurate with the project’s impacts and risks):

(i) Mitigation: a. identifies and summarizes anticipated significant adverse environmental

impacts and risks; b. describes each mitigation measure with technical details, including the type

of impact to which it relates and the conditions under which it is required (for instance, continuously or in the event of contingencies), together with designs, equipment descriptions, and operating procedures, as appropriate; and

c. provides links to any other mitigation plans (for example, for involuntary resettlement, Indigenous Peoples, or emergency response) required for the project.

(ii) Monitoring: a. describes monitoring measures with technical details, including parameters

to be measured, methods to be used, sampling locations, frequency of measurements, detection limits and definition of thresholds that will signal the need for corrective actions; and

b. describes monitoring and reporting procedures to ensure early detection of conditions that necessitate particular mitigation measures and document the progress and results of mitigation.

(iii) Implementation arrangements: a. specifies the implementation schedule showing phasing and coordination

with overall project implementation;

Appendix 1 17

b. describes institutional or organizational arrangements, namely, who is responsible for carrying out the mitigation and monitoring measures, which may include one or more of the following additional topics to strengthen environmental management capability: technical assistance programs, training programs, procurement of equipment and supplies related to environmental management and monitoring, and organizational changes; and

c. estimates capital and recurrent costs and describes sources of funds for implementing the environmental management plan.

(iv) Performance indicators: describes the desired outcomes as measurable events to the extent possible, such as performance indicators, targets, or acceptance criteria that can be tracked over defined time periods.

J. Conclusion and Recommendations 12. This section provides the conclusions drawn from the assessment and provides recommendations.

Appendix 2 18

◼ APPENDIX 2: OUTLINE OF AN ENVIRONMENTAL MONITORING REPORT

The borrower is required to prepare and submit to ADB annual monitoring reports that describe progress with implementation of the project EMP, compliance issues, and corrective actions. A sample Table of Contents that can be adapted as necessary is provided below.

Table of Contents Part I-Introduction

• Construction activities and Project Progress during previous 6 months

• Changes in project organization and Environmental management team

• Relationships with Contractors, owner, lender, etc.

Part II-Compliance to Safeguards Provisions in Agreements Under the Project

• Compliance to Loan Agreement

• Compliance to Project Administration Manual

• Compliance to Civil Works Contracts Agreement Part III-Environmental Monitoring

• Environmental monitoring summary – summarize the previous twelve months monitoring data and provide explanations of any instances where environmental standards or guidelines are exceeded. Typically this will cover:

− Noise and Vibration

− Water Quality

− Air Quality

− Flora and fauna monitoring

• Recommendations are required to show how any exceedances will be prevented in the future.

• Graphs can be used in this section to show trends, however large tables of data or multiple graphs should be attached as an appendix.

Part IV -Environmental Management

• EMS, SSEMP and work plans. Report on delivery of documents, required amendments etc.

• Site Inspections and audits – summarize the number and type of site visits

• Presentation and analysis of EMP compliance

• Non-compliance notices – summarize the details on the number of notices given out and the issues covered. Summarize the ranking of issues.

• Corrective action plans - report on timeliness of preparation and completion

• Consultation and complaints – report on any consultation undertaken and list any complaints received.

Annexes

• Monitoring data

• Photographs

• Implementation report on EIA/IEE mitigation requirements

Reference Requirement Action to date Action required/comment