resettlement policy framework orissa community … · pesa panchayat extension to scheduled areas...

RESETTLEMENT POLICY FRAMEWORK

ORISSA COMMUNITY TANK MANAGEMENT PROJECT Prepared by Verve Consulting For OCTDMS Department of Water Resources, Government of Orissa Dated the 7th of December 2007

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ACRONYMS

DPU District Project Unit DLIC District Level Implementation Committee GoO Government of Orissa GoI Government of India HYV High Yielding Variety IGA Income Generating Activity IB Institution Building LA Land Acquisition LAO Land Acquisition Officer LSA Livelihood Support Assistance MI Minor Irrigation M.I.P Minor Irrigation Project M & E Monitoring & Evaluation M, E &L Monitoring, Evaluation & Learning NTFP Non-Timber Forest Produce OCTMP Orissa Community Tank Management Project PESA Panchayat Extension to Scheduled Areas PAFs Project Affected Families PAP Project Affected Person PP Pani Panchayat R & R Resettlement & Rehabilitation RMF Rehabilitation Management Framework RI Revenue Inspector SHG Self Help Groups SO/SA Support Organisation/Agency SC/ST Scheduled Caste/Tribe SPU State Project Unit WB World Bank DoWR Department of Water Resources

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TABLE OF CONTENTS

I INTRODUCTION ........................................................................................................................................ 5 II DIAGNOSTIC ANALYSIS ........................................................................................................................ 7

ENCROACHMENT ............................................................................................................................................... 8 LAND ACQUISITION.......................................................................................................................................... 10

III MAJOR LAND ISSUES- A HISTORICAL PERSPECTIVE............................................................... 10 IV RESETTLEMENT POLICY FRAMEWORK (RPF) ............................................................................. 12

ENTITLEMENT FOR PROJECT AFFECTED FAMILIES MATRIX .......................................................................... 15 LEGAL FRAMEWORK ....................................................................................................................................... 20 REDRESSAL OF GRIEVANCES ......................................................................................................................... 21 CONSULTATION ............................................................................................................................................... 22

V INSTITUTIONAL & IMPLEMENTATION ARRANGEMENT ............................................................. 23 INSTITUTIONAL ARRANGEMENTS..................................................................................................................... 23 PHASING OF THE ACTIVITIES........................................................................................................................... 27 INTEGRATING SOCIAL / RESETTLEMENT ISSUES INTO THE OVERALL PROJECT CYCLE ............................... 29

VI INTEGRATION OF IMPLEMENTATION ARRANGEMENT WITH PROJECT CYCLE................ 30 VII INDICATIVE BUDGET ....................................................................................................................... 33 VIII LAND ACQUISITION IN SCHEDULED AREAS............................................................................ 35 IX MONITORING AND EVALUATION ...................................................................................................... 35 Tables

Table 1 : Extent of encroachment in 25 sample tank beds Table 2 : Average Land Encroached per Encroacher Table 3 : Actual distribution of encroachers by size of class of existing land holding in sample tanks Table 4 : Entitlement for Project Affected Families Table 5 : Grievance Redressal Mechanism

Table 6 : Key Players Table 7 : Implementtion Arrangements for Land related issues Table 8 : Phasing of Land related activities

Table 9 : Tank Renovation Process Map Table 10 : Indicative Budget for Encroachers Table 11 : Indicative Budget for Land Acquisition Table 12 : Indicative Budget for managing land related issues Table 13 : Levels of Monitoring Table 14 : Mid-term evaluation plan Table 15 : End- term evaluation plan

Annexures

Annexure I : Socio-Economic Profile of Encroachers and RAP Entitlement Matrix Annexure II : Compensation Calculation Sheet Annexure III : Land Related Policies and Acts

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I Introduction

1. The Government of Orissa (GoO) with Government of India (GoI) has initiated the Orissa Community Tank Management (OCTM) Project with funding from the World Bank. The project plans to renovate 900 tanks covering a total command area of about 1.2 lakh hectares across seven river basins of Orissa. These tanks have a designed capacity of irrigating agricultural land ranging from 40 to 2000 hectares. OCTM Project Objective & Components

2. The OCTM project aims to improve the tank based livelihood systems and strengthen community management of selected tank systems in Orissa. The basic design principles of this project includes a sub-basin / watershed approach to tank selection and renovation that incorporates analysis of hydrological feasibility; user demand and participation in design and implementation of the project; sharing of the cost of tank system improvement by users; and operation & maintenance by tanks users; enabling systems, policies and legislations to support the project interventions; and provision of improved agricultural technologies, credit and marketing support services for promotion of tank based livelihoods. Identification of Tanks 3. The total number of tanks which have been initially identified for repair and renovation under the World Bank supported project are 1572, spread across 29 Districts, and 237 Blocks of Orissa. Out of these 1572 tanks, 900 tanks will be identified for renovation under the OCTM Project. These tanks have been identified on the basis of the following criteria:

• Tanks in which major repairs /renovation have been taken up during the last five years under any scheme of GoI or GoO have been excluded.

• Tanks where the gap ayacut i.e. difference between the designed ayacut and the actual ayacut is less than 20% have not been included.

• Tanks where actual ayacut is more than the designed ayacut have also been excluded. • Completely derelict tanks have been excluded except the smaller ones (40 ha to 100

ha ayacut) which can be renovated within the World Bank cost norms. 4. However, these 1572 tanks are not the final list of tanks which will be considered for renovation under the project. This identification covers a preliminary step in the entire selection process. The actual selection will be subject to further deliberations and tank specific hydrological assessment reports. Community endorsement will also play a key role in the final tank selection as a share of the project cost will be contributed by the community.

5. In light of the above project requirements, a social assessment study was conducted under the OCTM project in alignment with the GoO, GoI and the World Bank safeguard requirements, policies, regulations and guidelines. A combination of cross-sectional survey design and descriptive case-study method was adopted for undertaking the social assessment

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study. A sample of 25 tanks spread across 10 agro climatic zones, 21 districts, 26 blocks, 34 gram panchayats and 59 villages was surveyed and consultations were carried out with all categories of key informants at the community, panchayat, block, sub-division, district and state level. 6. The Social Assessment Study1 has revealed the requirement of land for the OCTM project implementation. Considering the importance of land related issues in the project an independent chapter has been dedicated to various land related issues like acquisition and encroachment. Exclusive field visits were made to 4 tanks (outside the 25 sample tanks) by the study team to study the land related issues in greater detail. Secondary and historical data available with the MI department has also been reviewed for drawing conclusions. Major Renovation Activities Planned

7. The renovation measures under the OCTM Project are limited to stabilization of ayacut2 and regaining of lost ayacut. Renovation works will be carried out in four broad areas of the tank system– Headwork’s, Tank Bed, Command and Catchment. Major renovation works include renovation of Headwork’s, Cross Drainage Structures, Proportional Division Structures, Drop Structures, On Farm development, Canal Flow Measuring Devices, and other miscellaneous structures like village road crossing etc. Most of these structures are in existence but in a dilapidated condition.

Land Requirement for the Renovation Works

8. Since only treatment and no additional structures have been planned in the catchment, there will be no land requirement for the renovation works in the catchment area. A case of encroachment in the catchment area has been found in the 25 sample tanks. Considering this finding, encroachment in the catchment area might exist in some of the tanks but will minimally affect the project implementation.

9. The project has no interventions planned to increase the water holding capacity (planned) of the reservoir; so land acquisition will not be required for the Tank Bed. However there might be some encroachment of existing land in the reservoir area.

10. Most of structures in the Headwork’s are in existence but in a dilapidated condition hence no additional land will be required for its renovation.

Also the existing distributary system is completely or partially derelict and non-existing in some of the tank systems. Land will have to be acquired for tank systems where distributary systems are non-existent or not correctly aligned. Encroachment issues on silted canal systems will also be an issue to be taken into consideration in the project design.

11. So we can conclude that since the project will cover only existing tanks, new land acquisition is expected to be minimal and physical displacement will be non-existent. Since most of the structures proposed to be renovated are in existence but in a dilapidated condition there would be minimal land requirement for their renovation.

1 Government of Orissa had sponsored a Comprehensive Social Assessment study, conducted by an external consulting agency, Verve Consulting Private Limited, Bhubaneswar. 2 Ayacut is the area irrigated by an Irrigation Project.

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12. To get a clearer picture and better understanding of the issues and plan mitigation measures a detailed analysis has been presented in the sections given below. The Chapter can be divided into the following sections: Section2 deals with a diagnostic analysis of the various issues related to land based on the primary data collected from the field for existing M.I Projects. Ground realities related to encroachment have been dealt in detail in this section. An analysis of Land Acquisition requirements has also been provided from an engineering perspective. Section 3 documents an analysis of major issues being faced in Land Acquisition for new Minor Irrigation (M.I) projects by the M.I department. The section has used data from all M.I projects commissioned during the last 5 years. Section 4 suggests a Rehabilitation Management Framework (RMF) which can be applied to all tanks as and when they are selected. The major components of the RMF consists of an exclusion clause, categories of project affected families eligible for renovation benefits, an Entitlement matrix, the legal framework, and protocol for valuing assets. A mechanism for redressal of grievances and a mechanism for conducting consultations have also been provided in this section. Section 5 covers the various actors involved in land related issues and their roles, a process map for dealing with land related issues and an institutional arrangement for implementation of land related activities. Section 6 integrates the implementation arrangements with the OCTM Project cycle. Section 7 provides estimated cost of dealing with land related issues. Assumptions related to incidence of encroachment and Land acquisition has also been provided in the Section. Section 8 deals specifically with Land Acquisition in Scheduled Areas. Provisions of the Orissa Scheduled Areas Transfer of Immovable Property, 1956 and Panchayat Extension to Scheduled Areas (PESA) Act, 1996 have also been elaborated in the section. Section 9 elaborates the monitoring and evaluation plan for land related issues

II Diagnostic Analysis

13. The selection of tanks for renovation under the OCTM project is incomplete as of now. The list of identified tanks will be further refined once ground/micro level issues come to the surface. New issues will also crop up with the involvement of community. The complete picture will evolve only after all these issues are looked at in their totality. 14. The following land related issues have emerged after looking at the project requirements–

• Encroachment - tank bed, catchment and distributary system

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• Land Acquisition - aligning distributary systems & non-existent distributary system

Each of these issues has been dealt separately in the sections given below:

Encroachment

15. Unauthorized occupation of government land is called encroachment. A number of existing MI projects are under the threat of encroachment varying in their intensity. Encroachment has been observed in the tank system at three points –the tank bed, the catchment and on the silted distributary system.

16. The problem of Encroachment does not apply for Headwork’s.

17. One instance of encroachment in catchment area has also been found in one of the sample tanks visited by the social assessment team. However the incidence of catchment area encroachment is very low (only one case in 25 sample tanks). 18. Encroachment in the tank bed is easier to track in comparison to encroachment in the distributary system owing to the vast geographical spread of the distributary system. Also Encroachment is both seasonal and permanent in the tank bed and distributary system. The pattern of encroachment also varies from one place to other. For example in the Mayurbhanja district most of encroachers have encroached land adjacent to their own land. In some of the southern districts, the encroachment is mostly seasonal and is not reported and reflected in the revenue records. 19. At a more micro level, the sample study of 25 sample tanks under the social assessment study has come up with encroachment in 7 tank beds, 1 tank distributary system and 1 tank catchment area. Details of encroachment found through the sample study have been provided in the tables and case studies given below: Encroachment in the distributary system

20. In Daungia M.I.P of K.Nuagaon block, Kandhamal district, a village road has been constructed over a section of the main canal which is completely derelict. The tank system has been completely dysfunctional since the year 1995.

Encroachment in the catchment area

21. In Jagata M.I.P of Beguniapada block, Ganjam, some encroachment was observed in the catchment area by a local person who has built a farmhouse in the encroached land. In case the water level in the tank goes beyond a certain level there is the risk of his farmhouse being submerged.

Encroachment in the tank bed 22. Table 1 lists the tanks in which encroachment has been found in the tank bed. 28 % of the sample tanks (7 out of 25) have problems related to encroachment. The average number of encroachers in a tank is 7 whereas the maximum number of encroachers in the sample is

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10. An approximate 23 % (4.47 acres of 19 acres) of the tank bed has been encroached in the 7 sample tanks. Table 1 Extent of encroachment in 25 sample tank beds

Sl. No

Name of the M.I.P

District Tank Bed Area

( in acres)

No. of Encroachers

Total Area Encroached

( in acre)

% of Encroached Tank Bed

1) Daungia Kandhamala 20 5 2 10% 2) Baghirijhola Rayagada 14 5 5 35.7% 3) Pollinaidu Gajapati 40 7 10 25% 4) Silati Nawarangapur 40 10 10 25% 5) S.N Pur Goda Keonjhar 2 2 0.5 25% 6) Petupali Bargarh 8 4 1 12.5% 7) Kabatakhajuri Jajpur 10 13 2.79 28%

Average 7 23%

23. A detailed study on encroachment was conducted in two sample tanks of Daungia, K.Nuagaon block, Kandhamal and Kabata Khajuri, Sukinda block, Jajpur. Detailed census survey and consultations were held with 19 encroacher households. Findings have been presented from the detailed study in a tabular form in annexure 2. The average land encroached in the case of Daungia M.I.P was 0.8 acres and in case of Kabata Khajuri was 0.6 acres. The average land encroached in both the samples together comes to 0.67 acres.

Table 2 Average Land Encroached per Encroacher

Sl.No M.I.P Average Land Encroached (in acres)/Encroacher

1) Daungia M.I.P, Kandhamal 0.80 2) Kabata Khajuri, Jajpur 0.60

Average Land Encroached/Encroacher 0.67

24. The study shows that majority of the encroachers (63%) belong to the Marginal farmers category and possess some land other than the encroached land. The next dominant category belongs to the Landless Farmers. Detailed household profile of the 19 Encroacher families has been provided vide Annexure I. Table 3 Actual distribution of encroachers by size of class of existing land holding in sample tanks

Category Land Holding (in acres)

Number of Encroachers Percentage of Total Encroachers

(%) Landless NA 5 26 Marginal 0-2.5 12 63

Small 2.5-5 0 0 Medium 5-10 2 11

Large More than 10 0 0 Total 19 100

25. Taking the conclusions derived from the field findings we can derive the following assumptions for the 900 sample tanks –

• About 30% of the tanks will have issues related to encroachment

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• Average number of encroachers per tank will vary from 7-10 (this number can go up to 20 in some isolated cases).

• The average land encroached per encroacher will vary in between 0.6 - 1 acre ( this estimate can go up to 2 acres incase of large tanks)

• Of the total encroachers, approximately 80% will belong to the marginal and landless category whereas the balance 20 % will belong to the other farmer’s category.

Land Acquisition

26. Land Acquisition will not be required in case of headworks and tank bed as they are existing structures. Land Acquisition will also not be required for the treatment of the catchment. However Land Acquisition will be required in the case of non-existent and aligning existing distributary systems. 27. Some distributary systems have not been aligned correctly from an engineering perspective. Likewise, some canals after the first few hundred meters follow the gradient of the land. Thus, canal alignment will have to be done in about 15- 20% of the cases. Small pieces of land will have to be acquired on either sides of the canal for this purpose. 28. As per the figures provided by the MI department approximately 600-700 tanks out of the 900 tanks selected for renovation under this project have an ayacut of less than 40 -100 hectares. Due to this small ayacut area 2 main canals can easily irrigate the designed ayacut. Also owing to the smaller geographical spread and proximity of the fields to the tank, only field channels will be required for the distributary system. 29. Field channels will have brick lining on one side of the channel and other side will be constituted by the bund of the adjoining field. These channels will require around 1-1.5 feet of land. Since the water will go to the farmers own fields, they might agree to give consent for voluntary surrender of land. Conflict might arise incase some farmers might not be able to get the benefit from the channel owing to the topography (height at which the field is situated) of their fields. Conflicts may also arise incase of water logging of low lying land adjacent to the field channels. 30. Each hectare of irrigated land in the command requires 0.45 hectares of land for the distributary system. Distributary systems are non-existent mostly in the case of tanks with a command area of 40 -200 hectares. Tanks having no distributary system have been ruled out at this stage of selection.

III Major Land Issues- a Historical Perspective

31. This earlier section on diagnostic analysis dealt with findings from the field study conducted in existing tanks based on a sample of 25 tanks. In order to relate these findings to secondary data, we have taken past records available with the M.I department to draw certain conclusions. However this data relates to new projects.

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32. The MI department has undertaken 123 new irrigation projects in the last 5 years. Of the 123 new projects LA for Headwork’s has been completed for 37 projects. Land Acquisition for distributary system has been completed for 25 projects only. 33. Majority of the projects are completed in a time span extending over 3 years. LA for Headwork’s for 15 new projects was completed in more than three years, for 14 projects in between 2 to 3 years and only one project in less than one year. LA for the Distributary system for 9 projects was completed in more than 3 years and in between 2 to 3 years each. 34. As per the past five years data, an average area of 39 acres is required for the Head Works of a standard M.I.P project and usually affects 27 farmers who loose their land owing to the project. Incase of distributary systems, the land required is less at 27.36 hectares but the number of farmers affected is considerably higher at 89. Compensation has been paid for all the cases in which LA has been completed as per official records 35. Along with a quantitative analysis of the data available with the MI department, field visits were also done to two recently completed MI projects to look at various qualitative issues prevailing in Land Acquisition for MI projects. Kiakhala M.I.P, Rasagobindapur Block and Sankaramara M.I.P, Sankaramara in Mayurbhanaj district were visited by the Social Assessment team. Some of the issues existing on ground have been narrated below:

• Delay in disbursement of compensation: Even though the MI Project has been completed and has been functional, some people have not yet received the compensation.

• Gram Sabha Consultation: Even though both the M.I.Ps falls under the Scheduled area, no Gram Sabha consultation was conducted in Kiakhala as per the villagers. The Gram Sabha consultation in Sankaramara M.I.P was disrupted owing to opposition from the people.

• Inadequate amount of compensation: As per the villagers of the Kiakhala M.I.P, the LA process took 14 years (1992-2006); hence they should be compensated for the value of crops they could have grown for this period. As per government norms they are entitled to a certain rate of interest for the delay in the LA process and disbursement of compensation.

• Alternative Livelihood Support: Some families in both the MI projects had lost more than 70 % of their land holding as a result of which they are unable to derive sufficient income from agriculture for sustenance. Some of the families have started collecting sal leaves from the nearby forests for making leaf plates.

• Compensation to Encroachers: In Sankaramara MI project 7-8 encroacher families have been cultivating government land. They had also been paying penalty to the RI for the same. Similar is the case in a nearby village where 8-10 villagers were cultivating government land. However none of them were paid any compensation.

36. In order to address the issues raised in subsequent sections, a Resettlement Policy Framework has been developed in subsequent sections, which can be applied as and when a tank gets selected.

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IV Resettlement Policy Framework (RPF)

Need for a RPF 37. A Resettlement Policy Framework is being suggested at this stage of the Project since the list of 900 tanks has not yet been finalized. The actual selection will be subject to further deliberations and tank specific hydrological assessment reports. Community endorsement will also play a key role in the final tank selection as a share of the project cost will be contributed by the community. Since the selection of tanks is not yet complete, we have to look at a generic framework instead of a tank specific rehabilitation action plan. 38. Also the OCTM project recognizes the existence of physical, hydrological, social, economic and cultural diversity across tank systems in Orissa. The tank users in Orissa comprise of various sub-groups having differential endowment, livelihood pattern, gender, caste, ethnicity and other regional features. Most importantly, each sub-group has different nature of interests, expectations, concerns and influence as far as tank systems are concerned. The project also comprehends that the problems encountered by a sub group and their needs will be unique in comparison to other sub-groups. 39. The number of issues related to land which the project might face will also be equally diverse. Amidst this diversity of issues and nature of tanks it will be difficult to take an individualistic approach to resolving issues for each of the 900 sample tanks. Also the time required for a tank based assessment will take a lot of time which will seriously affect the project cycle. Hence a generic framework has to be developed for addressing this diversity of issues on a common platform. Apart from this, it is crucial to come out with a framework for participation of various sub groups in planning, implementation and monitoring & supervision of tank based livelihood improvement and tank system management so that the ultimate receivers of tank benefits own the whole process and reap sustainable benefits from tank system. Rehabilitation Policy Framework

40. Following the above results, and in accordance with the World Bank’s Safeguard Policy on Involuntary resettlement (OP 4.12) a RPF has been prepared. The Rehabilitation policy framework comprises of: (i) Categories of PAFs (iii) Entitlement Matrix (iv) Legal Framework (v) Methods for valuing affected assets (vi) Grievance Redressal (vii) Consultation

41. The framework has been developed based on the following policies/ legislations –

• Orissa Resettlement and Rehabilitation Policy 2006 (with amendments dated 4th June, 2007)

• The Land Acquisition Act 1894 • The Orissa Prevention of Land Encroachment Act, 1972 • The Orissa Scheduled Areas Transfer of Immovable Property, 1956 • Panchayat Extension to Scheduled Areas ( PESA) Act, 1996

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This framework will act as guide for tackling land related issues in the 900 selected tank systems. Project Affected Families - Categories 42. CUT-Off Point for PAF Identification. Socioeconomic survey of the affected families done during the planning phase will serve as the cut-off point. 43. Taking into the account all the issues narrated in previous sections, a number of families might be affected by the project activities. All the families will be extended compesantion and rehabilitation/ livelihood assistance. For the purpose of convenience in determining the nature and extent of compensation and rehabilitation assistance, the Project Affected Families (PAF) are grouped under the following categories:

1. Encroacher belonging to the Scheduled Tribes

i. Landless Encroacher – encroachment more than 10 years ii. Landless Encroacher – encroachment less than 10 years

iii. Marginal Farmers – encroachment more than 10 years iv. Marginal Farmers – encroachment less than 10 years v. Small Farmers – Encroachment more than 10 years

vi. Small Farmers – Encroachment less than 10 years vii. Other Farmers

2. Encroacher belonging to the Other Castes/Categories

i. Landless Encroacher – encroachment more than 10 years ii. Landless Encroacher – encroachment less than 10 years

iii. Marginal Farmers – encroachment more than 10 years iv. Marginal Farmers – encroachment less than 10 years v. Small Farmers – Encroachment more than 10 years

vi. Small Farmers – Encroachment less than 10 years vii. Other Farmers

3. Land Owners with Title Deed belonging to Scheduled Tribes i. Marginal Farmers

ii. Other Farmers 4. Land Owners with Title Deed belonging to Other Castes/Categories

i. Marginal Farmers ii. Other Farmers

Approach 44. A detailed socio-economic survey will be conducted and extensive consultations will be held with the project affected families, i.e. the land loosers. Each target community will be identified and differentiated on the basis of their source and level of income. The survey will focus on land and various productive assets including wages. This information will be used to determine the nature and extent of livelihood support/assistance (over and above the provisions made for compensation) required to restore adequate income levels. All these measures will be taken only after consulting the affected families and wider community. This approach will help the OCTM project in achieving its objective of ensuring that no affected household becomes poorer with the intervention.

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45. Encroachment: One of the key issues that requires deliberation is the issue of encroachment. OCTMP’s RPF has been developed premised on the following Orissa Policies (pp 11; paragraph 41 of RFP).

• Orissa Resettlement and Rehabilitation Policy 2006 (with amendments dated 4th June, 2007)

• The Orissa Prevention of Land Encroachment Act, 1972 • Orissa Prevention of Land Encroachment Rules, 1985. • The Land Acquisition Act 1894

Orissa Resettlement and Rehabilitation Policy of June 4, 2007 (latest) provides for making available lands even for an encroacher. This is probably only one of its kinds in India. No state, so far, has ever made a provision for lands for encroachers. But this provision is made only for such encroachers who are in possession of lands for 10 years and above. Against this context, the project has envisaged two categories of encroachers – one, 10 years and above and those less than 10 years. According to the Orissa Prevention of Land Encroachment Rules, 1985 an "encroacher" means a person who unauthorisedly- (i) Occupies any land (ii) Obstructs by dumping earth or any other materials, rubbish or filth on it; or (iii) Puts any fence around it; or (iv) Takes up any construction or cultivation on it; OCTM project will follow the following process for the identification of encroachers.

Process Agency responsible Tools/Procedures Preliminary estimation of the extent of encroachment, identity of encroacher

Pani Panchayat (Water Users Association) and Support Agency (NGO)

Transect walk and discussion

Preliminary estimation of the cut-off date of encroachment

PP and SA will report the survey findings in the Gram Sabha

Date of encroachment as established through transect walk, discussion shall be the end date for computation

Official verification of the record

Revenue Inspector Revenue Inspector will decide based on the Revenue Records which are built using the specified form (Form G) and filled in each year and sent for compilation within 15 days of the close of each financial year. These forms are compiled and stored at the office of the Tehsildar. These registers will form the basis for determining the ten year stay-put. This will be checked against start date and end date as established during transect (chronological data) and number of years of encroachment will be estimated. RI will prepare and submit the report to the DPU and Sub-Collector’s office. After checking/ verification, the records will be shared for discussion with WUA and Gram Sabha. Should there be any discrepancies, or disagreements, this will be referred to the ROG at the Office of the Sub-Collector.

Preliminary settlement Revenue Inspector and District Project Unit

After the reports are finalized, then the district unit shall settle the compensation as per the entitlement matrix.

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Livelihood assistance of Rs. 25000 is arrived at based on the norms developed for the Government of India’s Anti Poverty Program- SGSY (Swarna Jayanti Gram Swarojgar Yojana). The financial help will provide for creation of income generating assets enabling micro enterprises such as crops, sericulture, animal husbandry, dairy, fisheries, poultry, goatery, piggery, handicrafts or secondary food processing e.g. preparation of puffed rice, flattened rice, pickles, etc. While the choice of an activity will rest with the concerned affected person, investments will be such as to ensure, in the least, the restoration of pre-acquisition incomes, and on the outer side a minimum of Rs 25,000 per annum, coinciding with the above poverty line. Thus, it will be ensured that no affected person shall be poorer.

Entitlement for Project Affected Families Matrix

46. The Entitlement Matrix has been developed for the above categories of families. This Matrix can be used as a guide for designing Rehabilitation Action Plans for individual tanks. As stated earlier, all the families are entitled to two broad categories of assistance- (1), compensation for land loss and livelihood assistance; and (2) livelihood (rehabilitation) assistance for starting some income generation activity, which may include the purchase of lands, as decided by the PAF. The livelihood assistance in the matrix are rather indicative (as they are average figures), whereas, the actual assistance will relate to, at the minimum restoring, if not enhancing the pre-land loss income levels. It may also be noted that livelihood assistance figures have been worked out such as to yield an annual income of Rs 24,000 per family, an income level corresponding to the initial ladder of the Above Poverty Line.

Table 4 Entitlement for Project Affected Families Sl.No Category Project Affected Family Compensation Rehabilitation Entitlement Livelihood Assistance

Landless – encroachment more than 10 years

• Up to a maximum of one acre of land • In case of non-availability of land, cash

equivalent will be provided up to a maximum of Rs. 1,00,000/- per acre of irrigated land and Rs.50,000/- per acre of non-irrigated land, including the cost of reclamation and registration.

Income Generating Activity (IGA) Support - Rs. 25,000 per family

Marginal Farmers – encroachment more than 10 years



Incase Displaced - • Maintenance Allowance @

Rs.2,000/- per month per displaced family for a period of one year from the date of vacation.

• An assistance of Rs.10,000/- shall be provided to each displaced family for construction of a temporary shed.

• Transportation allowance of Rs.2,000/- or free transportation to the resettlement habitat or their new place of inhabitance, shall be provided to each displaced family

Income Generating Activity (IGA) Support - Rs. 25,000 per family

Landless – encroachment less than 10 years

- - Income Generating Activity (IGA) Support- Rs. 25,000 per family

Marginal Farmers – encroachment less than 10 years


Small Farmers – encroachment more than 10 years


1

Encroacher (ST)

Small Farmers – encroachment less than 10 years


2 Encroacher (Others)

Landless – encroachment more than 10 years


equivalent will be provided up to a maximum of Rs. 1,00,000/- per acre of irrigated land and Rs.50,000/- per acre of non-irrigated land, including the cost of reclamation and registration



• An assistance of Rs.10,000/- shall be provided to each displaced family

Income Generating Activity (IGA) Support- Rs. 25,000 per family

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Sl.No Category Project Affected Family Compensation Rehabilitation Entitlement Livelihood Assistance

Marginal Farmers – encroachment more than 10 years



for construction of a temporary shed.



Landless – encroachment less than 10 years - - -


Marginal Farmers – encroachment less than 10 years


Small Farmers – encroachment more than 10 years


Small Farmers – encroachment less than 10 years


3

Only Homestead Land along with House

-

• 0.10 acre or cash equivalent @ Rs. 50,000 for

each displaced family opting for self-relocation elsewhere

• A House Building Assistance of Rs. 1,50,000/- to each displaced family, which includes cattle shed.






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Land Owners with title deed (Scheduled Tribes)

Loss of Agricultural Land which is more than 75% of the total land holding

• Up to a maximum of Two-and-a-half acres of

irrigated agricultural land or five acres of non-irrigated agricultural land.

• In case of non-availability of land, cash equivalent will be provided up to a maximum of



• An assistance of Rs.10,000/- shall


Sl.No Category Project Affected Family Compensation Rehabilitation Entitlement Livelihood Assistance

18

Rs. 1,00,000/- per acre of irrigated land and Rs.50,000/- per acre of non-irrigated land, including the cost of reclamation and registration.

Incase Displaced- • @ 0.10 acre or cash equivalent @ Rs. 50,000

for each displaced family opting for self-relocation elsewhere


Loss of Agricultural Land which is less than 75% of the total land holding

• Up to a maximum of Two-and-a-half acres of irrigated agricultural land or five acres of non-irrigated agricultural land.

• In case of non-availability of land, cash equivalent will be provided up to a maximum of Rs. 1,00,000/- per acre of irrigated land and Rs.50,000/- per acre of non-irrigated land, including the cost of reclamation and registration.



be provided to each displaced family for construction of a temporary shed.



5 Land Owners with title deed (Others) Loss of Agricultural

Land which is more than 75% of the total land holding

• Up to a maximum of Two acres of irrigated agricultural land or four acres of non-irrigated agricultural land.



for each displaced family opting for self-




• Transportation allowance of Rs.2,000/- or free transportation to the resettlement habitat or their new place of inhabitance, shall be


19

Sl.No Category Project Affected Family Compensation Rehabilitation Entitlement Livelihood Assistance relocation elsewhere


Loss of Agricultural Land which is less than 75% of the total land holding

• Up to a maximum of Two acres of irrigated agricultural land or four acres of non-irrigated agricultural land.




provided to each displaced family


Definitions used in the Framework 1. “Displaced person” means a family ordinarily residing in the project area and on account of acquisition of his/her homestead land is displaced from such area or required to be displaced. 2. “Family" means the person and his or her spouse, minor sons, unmarried daughters, minor brothers or unmarried sisters, father, mother and other members residing with him or her and

dependent on him or her for his / her livelihoods. Each of the following categories will be treated as a separate family for the purpose of extending rehabilitation benefits under this Policy. ( R & R Policy, 2006) a) A major son irrespective of his marital status. b) Unmarried daughter / sister more than 30 years of age. c) Physically and mentally challenged person irrespective of age and sex; (duly certified by the authorized Medical Board). For this purpose, the blind/ the deaf/ the orthopedically

handicapped/ mentally challenged person suffering from more than 40% permanent disability will only be considered as separate family. d) Minor orphan, who has lost both his/her parents. e) A widow or a woman divorcee

3. “Affected family” is a family whose land is affected by the project. 4. “Encroachment” is unauthorized occupation of government land. 5. A “landless encroacher” is an encroacher as defined in the OPLE Act, 1972. 6. “Marginal Farmers” means a farmer who is left with less than or equal to 2.5 acres of land after acquisition. 7. “Small Farmers” means a farmer who owns more than 2.5 acres but less than 5 acres after acquisition. 8. “Other Farmers” are farmers who own more than 5 acres of land after acquisition. 9. Livelihood Support Assistance (LSA) is meant towards Rehabilitation Assistance, to ensure, in the least, restore pre-acquisition incomes. 10. Income Generating Activity includes both on-farm and off-farm livelihood options, such as kitchen gardening, introduction of new HYV varieties and techniques, allied vocations (poultry,

goatery, fishery, etc.) basket weaving, handicrafts, NTFP, etc. 11. Eligibility of the landless/encroachers should be as per Para 9 (a) and 9 (b) of the R&R Policy 2006 12. The information related to income levels of project affected households from the baseline survey will be used for deciding the livelihood assistance entitlement for encroachers.

Legal Framework

47. The land related issues under the OCTM Project will be governed by 5 policies and acts. Relevant sections from these acts have been provided Annexure 3.

48. The Orissa Resettlement and Rehabilitation Policy 2006 (with amendments dated 4th June, 2007) provides guidelines for identifying project affected families and defining their compensation and rehabilitation entitlements. The Orissa Prevention of Land Encroachment Act, 1972 deals specifically with procedures for managing encroachment and deciding claims of encroachers. The Orissa Scheduled Areas Transfer of Immovable Property, 1956 restricts transfer of tribal land to a non-tribal in a scheduled area. 49. The Panchayat Extension to Scheduled Areas (PESA) Act, 1996 will play a major role in the context of the OCTM Project as about 27% preliminarily identified 1572 tanks fall in scheduled areas. All land issues related to tribals in a scheduled area will be governed by provisions of PESA. 50. The Land Acquisition Act 1894 lays down procedures and statutes for acquiring land. A standard Land Acquisition Process takes 13 months (386 days approx.). Keeping in mind the project timeframe the following options can be explored to reduce the time process-

• The LA Act provides an emergency clause (section 17) which empowers the Government to take possession of land after declaration under section 6 of the Act and section 9 is issued. Section 17 allows the Collector to take possession of the land after 15 days of issuing notice under section 9 and 80% of award amount is paid.

• The Project Proponent may also opt for direct buyout of land on the basis of negotiated price after issue of notification requiring acquisition of land under relevant Act (s).

• Negotiated Settlement/Consent Award- Under the consent award, the land loser negotiates with the Collector for the loss of land. The process of consent award is initiated after the approval of preliminary value of land. Under the consent award system, benchmark market rates for land required would be established by the District Collector.

OCTMP RPF Vs Orissa State and World Bank (WB) Policies 51. OCTMP policy is premised on the Orissa State as well as WB policies, but provides an elaboration in terms of: (i) categories of PAFs (ii) definitions of terminologies; (iii) methods for reducing delays in settling compensation and rehabilitation assistance. The OCTM Project Policy’s principal objective is to ensure that no affected household becomes poorer with the intervention. At the minimum, pre-acquisition incomes will be restored, if not enhanced. Towards this, apart form compensation, livelihood assistance for Income Generating Activity (includes both on-farm and off-farm livelihood options), such as kitchen gardening, introduction of new HYV varieties and techniques, allied vocations (poultry, rearing of goats, fishery, etc.) basket weaving, handicrafts, NTFP, etc has also been provided.

20

Methods of valuing affected assets 52. The major assets involved will be new land which has to be acquired or encroached land which is part of the existing structures of the tank system. Under the project design the Pani Panchayat members, Support Organizations, Irrigation and Revenue Department representatives will have a major role to play in the entire LA process. They will actively support and carry out the estimation of land requirement (quantum, exact location, titleholder etc.) based on the renovation activities planned. 53. The loss of land by the PAF can be compensated by providing the project affected family with either land or the cash equivalent of land based on its market value. In the case of the OCTM project, it is expected that about 50-60% of the cases, replacement of land lost can be made by providing similar patches of land elsewhere. In the remaining cases, the Orissa R & R policy provides for a cash equivalent of up to Rs. 1,00,000 for irrigated land and Rs. 50,000 for unirrigated land. The market value of the land will be calculated on the basis of the benchmark valuation fixed at the Tehsil (sub-district) level. The valuation of the land will be based on the market value subject to the limit eshtablished by benchmark valuation. Benchmark Valuation 54. As per the Orissa Stamp Rules, 1952, under Rule 37, District Level & Sub-district Level Committees are constituted under the Chairmanship of the Collector & Sub-Collector respectively. The Sub-district Level Committee collects information on the value of properties & furnishes the same to the District Level Committee. The Sub-Registrars furnish information in respect of agricultural & non-agricultural land in rural areas. They also furnish average value of land. The Sub-District Valuation Committee then shall analyze the data & propose value of the land to District Valuation Committee. The District Valuation Committee shall analyze the date & fix the bench mark valuation and send the same for approval by the Government. Tehsil is the unit for Bench mark valuation. The Benchmark valuation will vary as per the type of land. 55. Preparation of bench mark guidelines for all the 30 districts is on the verge of completion. The Bench mark valuation will be used for compensation calculation for all categories of land existing in any Tehsil. The method for calculating the market value of land has been provided vide Annexure II.

Redressal of Grievances

56. All grievances related to land acquisition will be resolved through the provisions available in the R & R Policy, 2006. According to the policy, a Grievance Redressal Committee will be set up at the district level (under the leadership of the Distrct Collector) to deal with grievances of the project affected people relating to land acquisition and encroachment. To supplement and/ or complement the efforts of this committee, the project will also have a grievance redressal mechanism which will be through the Pani Panchayat (Water Users Assocation) at the tank level; the Support Agency (NGOs) and representatives from the District Project Unit at the district level. Thus, Grievance Redressal Mechanisms will be available at four levels : (i) Village – through Pani Panchayats; (ii) Sub- District level – through Support Agencies (NGOs); (iii) Project Level within a district – through the

21

Distrcict Project Manager (DPM); and (iv) District level – through the office of the Collector. Macro level issues beyond the purview of the ‘District’ like inclusion of a certain category of PAF into the beneficiary list or any suggested policy amendment will be managed by the State Project Unit.

Table 5 Grievance Redressal Mechanism Level Agency Time period for

redressal of grievances

Issues likely to emerge

Responsibility

Tank Pani Panchayat Maximum of one week

Executive Body of Pani Panchayat

Sub-District

Support Organisations, District Support Unit

Maximum of two weeks

Representative of SO Representative of District

Support Unit vis-à-vis the issue at hand like – finance, livelihood etc.

Project District Project Management Unit

Maximum of three weeks.

District Project Manager

District District Level Committee

Maximum of one month

District Collector

State State Project Unit

Maximum of two months

Encroachment Land

acquisition Livelihood

Assistance Compensation

Project Director Representative of State

Project Unit vis-à-vis the issue at hand like – finance, livelihood etc.

Consultation

57. In order to ensure participation of all stakeholders’, consultations will be held with all stakeholder groups prior to planning and implementation of each new intervention under the project. Also periodic consultations will be held with all stakeholder groups for monitoring the ongoing project activities. Consultations should be held with the following groups at regular intervals- Project Affected Persons, Pani Panchayat members, tribals etc. The main stages when consultations are required are during –

• Estimation of land requirement (quantum, exact location, titleholder etc.) based on the renovation activities planned.

• Identification and preliminary verification of Encroachers • Socio-economic survey for preparing the socio-economic baseline of the

displaced/affected families. • Motivation of titleholders and encroachers to facilitate the Land Acquisition process.

They will also provide support in execution of the communication plan (for the project) for awareness creation in affected areas.

• Identifying livelihood support programmes for project affected communities. • In addition to these activity specific consultations, a quarterly consultation should be

held with all stakeholder groups at the tank level.

22

58. The main parties for conducting these consultations will be the District Project Unit, the Support Organisation and the Pani Panchayats. The Pani Panchayats and the Support Organizations will be responsible for conducting these consultations at the Tank level. The District Project Unit will be responsible for the consultations at the district level. All major consultations at the state level will be coordinated by the State Project Unit.

V Institutional & Implementation Arrangement

Institutional arrangements

59. The institutional arrangement for managing land related issues will be customized to the OCTM Project requirements. However certain players who are already part of the set up and certain others who will be involved especially for the OCTM project implementation will provide support for certain activities. 60. The following institutions/ agencies will play a major role in managing all land related activities: Pani Panchayats, Support Agencies (SA) (mostly NGOs), Government Line Departments (chiefly, Revenue and Minor Irrigation) and the OCTM Team. 61. The Pani Panchayat (PP) consists of all the water users, as constituted within a specified hydraulic boundary of the minor irrigation project also including representatives of members of the SHG groups etc. The PP will be the primary actor at the Tank level. The Support Organizations will be selected for a cluster of tanks within a particular geographical boundary. They will be primarily responsible for providing handholding support to the PPs on a day to day basis. The various government line departments with cross-cutting agendas will also provide support to the activities of the project. Infact various government department representatives will sit on the various committees formed for project implementation and monitoring. 62. The OCTM team will play a major coordination role at the district and state level. In order to ensure that local communities are involved in addressing social and environmental concerns at the tank level, the following institutional arrangements would be adopted with adequate and appropriate staffing:

• State Level: Two specialists (one in social and the other in environment) in the Institutional Development Unit of the SPU will ensure that social and environmental management plans are in conformity with the project Social and Environment Management Framework (SEMF) and that necessary guidance and budget is provided to implement these plans.

• District Level: Similar arrangements are envisaged in DPUs to ensure all TIMPs

include social and environment management plans in conformity with the SEMF, and to ensure proper planning, implementation and monitoring of SEMF activities at the

23

district level, and coordination between the DPUs and PMU.

• Tank level: The responsibility of facilitating planning and implementation of SEMF activities at the tank level is vested with the SA and WUA. The TOR for the SA would include specific responsibilities to manage social and environmental management activities. The project will develop capacities at both the WUA and SA level through training and other information sharing measures to plan and implement social and environmental management activities. As part of their TORs, the external M&E agency would also undertake audits at mid-term and project completion stage to assess the implementation of the Social and Environment Management Framework of the project.

63. While the Minor Irrigation Department will provide technical assistance to the project, as whole, departments like agriculture, fisheries, horticulture and animal husbandry will assist in managing livelihood assistance activities. Revenue Department has the formal mandate for resettlement, in initiating as well as managing the processes. The following table depicts the role and responsibilities of the major resettlement players.. Table 6: Key Players Sl No

Level Agency Role and Responsibilities

1 TANK Pani Panchayat (WUA)

• Estimation of land requirement (quantum, exact location, titleholder etc.) based on the rehabilitation activities planned.

• Provide support in all engineering related survey activities • Identification and preliminary verification of Encroachers • Socio-economic survey for preparing the socio-economic baseline of the

displaced/affected families. • Motivation of titleholders and encroachers to facilitate the Land

Acquisition process. They will also provide support in execution of the communication plan (for the project) for awareness creation in affected areas.

• Provide support in the survey of land to be acquired and drawing up compensation and R & R entitlements

• Provide support in identifying livelihood support programmes for project affected community.

• Implementing RAP at the tank level

2 Tank and Sub-District

Support Agency (NGO)

• Provide Support to the Pani Panchayat in all Land related activities • Work with PPs in tank areas, in identifying R&R issues, if any. • Facilitate preparation and implementation of RAP • Ensure that PAPs use R&R entitlements for Productive purpose. • Monitor and provide technical guidance in maintaining productive

assets. • Liaison with revenue, agriculture, fisheries, livestock, rural

development, tribal development, and other related departments to dovetail the on-going schemes for the benefit of PAPs.

• Estimation of land requirement (quantum, exact location, titleholder etc.) based on the rehabilitation activities planned along with the Pani Panchayat.

• Provide support in all engineering related survey activities to the MI department

24

• Identification and preliminary verification of Encroachers in tandem with the Revenue Department Officials

• Socio-economic survey for preparing the socio-economic baseline of the displaced/affected families as per the R & R policy.

• Motivation of titleholders and encroachers to facilitate the Land Acquisition process. They will also provide support in execution of the communication plan (for the project) for awareness creation in affected areas.

• Provide data to the M & E agency/expert/team

3 District/ State (Project Specific)

OCTMP --District Project Management Unit --State Project Management Unit

Overall activities • Selection and Identification of Support Organizations (SO) • Training and Capacity Building of SOs and Pani Panchayat on Land and

Livelihood related issues. • Monitor planning and implementation of RAP at the tank level • Coordination between various other players and actors in LA process • Design of livelihood packages suited to a tank system. State Level • Provide guidance in the preparation and implementation of RAP • Follow-up on LA/Land Appropriation cases • Monitor the process and progress of compliance with R&R Policy

framework • Ensure that RAP implementation is in accordance with the agreed R&R

framework District Level • Provide technical support to PP/ SOs in assessing resettlement issues

and preparing RAPs wherever required. • Ensure that RAPs prepared conform to the agreed R&R framework • Approve RAP prepared at the tank level • Provide technical assistance to PPs in all matters including

implementation of Compensation & R&R framework • Provide assistance in dovetailing other programs particularly for

benefiting PAPs • Coordinate with other line departments particularly with revenue

department on land acquisition and RAP • Provide/organize training required on R&R social issues to SOs and PPs

4 Sub-District

Junior Engineer, MI Revenue Inspector (RI) Land Acquistion Officer (lAO) Sub-District Collector

Identification of PAFs Approval of Resettlement Action Plans

Collector Overall Responsibility including initiating the process, ROG and monitoring and evaluation

PRIs (Scheduled Areas)

Approval and Consultation incase of Scheduled Areas • Submission of proposal to Gram Sabha & Zilla Parishad • Hearing Objections Award and documentation of approval

5

District

Other Line Departments

Livelihood Assistance Activities

25

Implementation Arrangements 64. The implementation arrangement consists of detailed steps to be followed in dealing with land related issues phased out as per the OCTM project cycle, role to be played by various players and the institutional arrangement for the flow of these activities which have been provided vide table number 7.

Table 7 Implementtion Arrangements for Land related issues Responsibility Activity

Primary Secondary Assessment Review/

Approval Motivation and Awareness Generation for the project

SO DPU (Communication

unit)

SPU (Communication

unit)

SPU

Preliminary estimation of Land requirements by Pani Panchayat (Ayacutdars in absence of PPs) supported by Support Agencies

JE, SO RI / Tehsildar DPU LAO, GoO

Preliminary Identification of encroachers & titleholders ( for LA) by Pani Panchayat supported by Support Agencies

JE/SO RI / Tehsildar DPU LAO, GoO

Socio-economic Survey3 (socio-cultural resource mapping and infrastructural survey) for identification of displaced/affected families and preparing their socio-economic baseline

SO DPU (IB unit) SPU (IB unit) SPU

Compilation of list of families to be affected/displaced & Estimation of requirement of land for acquisition ( exact plots, verification of RoRs, physical survey by RI/Amin etc. from Revenue Department)

PP and LAO SO and DPU SPU LAO, GoO

Resettlement Action Plan Prepared - Valuation of land and

Compensation Calculation - Finalization of Entitlement Matrix for various categories of PAFs - Livelihood Assistance Plan (includes Focused linkage of PAFs with other developmental programs)

LAO,RI/ Tehsildar,

DPU

PP,SO SPU LAO, GoO

Public notification of list of affected/displaced families

LAO, RI/Tehsildar,

DPU

SPU GoO

Receipt, Hearing and Disposal of Objections

LAO, RI/Tehsildar,

DPU

SPU GoO

Gram Sabha & Zilla Parishad Approval and Consultation incase of Scheduled Areas • Submission of proposal to Gram

Sabha & Zilla Parishad • Hearing Objections

LAO, RI/Tehsildar,

DPU

SPU GoO

3 As per R&R policy of the state

26

Responsibility Activity Primary Secondary

Review/ Assessment Approval

• Award and documentation of approval

Approval of the list of Project Affected Families and issue of notification

Collector, GoO

- Firming up of the RAP, Livelihood Assistance Plan - Release of funds

Financial Advisor,

DoWR and DLSC/ DPU

Livelihood assistance initiatives undertaken (for PAFs and others) - Training,

Demonstration, credit linkage, dovetailing of resources under govt. programs, credit linkage, etc.

- Market linkage, exhibitions/buyer-seller meets

PP & SO DPU (Livelihood unit)

SPU (Livelihood unit)

SPU

Physical Possession of Land LAO, RI/Tehsildar,

DPU

SPU GoO

Award of Compensation LAO, RI/Tehsildar,

DPU

SPU GoO

Monitoring by PP PP SO and DPU (Social Unit)

SPU (Social Unit)

SPU

Sub-Project Evaluation (general project evaluation and specific evaluation of impact of rehabilitation on PAFs) - Income level of PAFs restored - Livelihoods for PAFs:

Establishment & Improvement - Income level of other tank users

enhanced - Livelihood of other tank users established

SPU DPU World Bank GoO

Phasing of the Activities

65. Since 70 % of the project activities are concentrated on civil works within the tank system, land related issues have to be addressed before commencing any construction work in the tank system. However there might be a spillover of livelihood activities in the project cycle from one phase to the other.

27

Table 8: Phasing of land related activities

OCTM Project Cycle Steps

Identification Phase (-

4 to -1 months)

Pre-Planning Phase ( 1-4

months)

Planning Phase

(5-8 months)

Implementation Phase

( 9-26months)

Post-Implementation

Phase ( 27 -36 months)

Motivation and Awareness Generation for the project

Preliminary estimation of Land requirements by Pani Panchayat (Ayacutdars in absence of PP) supported by Support Agencies

Preliminary Identification of encroachers & titleholders ( for LA) by Pani Panchayat supported by Support Agencies

Socio-economic Survey4 (socio-cultural resource mapping and infrastructural survey) for identification of displaced/affected families and preparing their socio-economic baseline

Compilation of list of families to be affected/displaced & Estimation of requirement of land for acquisition ( exact plots, verification of RoRs, physical survey by RI/Amin etc. from Revenue Department)

Resettlement Action Plan Prepared - Valuation of land and

Compensation Calculation

- Finalization of Entitlement Matrix for various categories of PAFs - Livelihood Assistance Plan (includes Focused linkage of PAFs with other developmental programs)


Receipt, Hearing and


28

29

OCTM Project Cycle Steps

Identification Phase (-

4 to -1 months)

Pre-Planning Phase ( 1-4

months)

Planning Phase

(5-8 months)


( 9-26months)

Post-Implementation

Phase ( 27 -36 months)

Disposal of Objections Gram Sabha/ Palli Sabha Approval and Consultation incase of Scheduled Areas • Submission of

proposal to Gram Sabha

& Zilla Parishad • Hearing Objections • Award and

documentation of approval

Approval of the list of Project Affected Families and issue of notification

- Firming up of the RAP, Livelihood Assistance Plan - Release of funds

Physical Possession of Land

Award of Compensation Monitoring by PP Sub-Project Evaluation (general project evaluation and specific evaluation of impact of rehabilitation on PAFs) - Income level of PAFs

restored - Livelihoods for PAFs:

Establishment & Improvement

- Income level of other tank users enhanced

- Livelihood of other tank users established

Integrating Social / Resettlement Issues into the Overall Project Cycle

While, for the purpose of convenience, we have dealt social/ resettlement issues separately, in reality, this necessarily has to be integrated into the overall sub-project cycle. The integrated implementation arrangements are presented in Table – 9 (Chapter VI below).

VI Integration of Implementation Arrangement with Project Cycle

Table 9 Tank Renovation Process Map Responsibility Sl

No Activity

Primary Secondary Assoc. Review/ Approval

Identification Phase

1 Identification -- Preparation of Long List of Tanks MI – WR Department DPU (Technical Unit) SPU (Technical Unit) GoO

Pre-Planning Phase 2 Orienting Line Departments – Water Resources, Agriculture, & Animal

Resources, Fisheries, Revenue, SC/ST Department, Women and Child welfare DPU SPU GoO

3 Deployment of, and orienting Support Organizations DPU SPU 4 Launch IEC Campaign SO DPU(Communication unit) SPU (Communication

unit) SPU

5 Preliminary Hydrological and Engineering Assessments MI – WR Department DPU (Technical Unit) SPU (Technical Unit) GoO 6 Environmental Assessments MI – WR Department DPU (Technical Unit) SPU (Technical Unit) GoO 7 Preliminary Estimation of Land Requirements – Encroachment and/ Acquisitions LAO, PP RI / Tehsildar DPU GoO 8 Preliminary Estimation of Tribal population in tank commands PP/GP/SO DPU 9 Preliminary Cost and Community Contribution computations DPU GoO 10 Technical Feasibility Done MI – WR Department DPU (Technical Unit) SPU (Technical Unit) GoO 11 DECISION: GO / NO GO MI – WR Department DPU (Technical Unit) SPU (Technical Unit) GoO 12 Community Endorses Participation (Zilla Parishad and Gram Panchayat in case

of Scheduled areas) PP/GP SO DPU (IB unit) SPU

13 Tank Selection Completion MI – WR Department DPU (Technical Unit) SPU (Technical Unit) GoO 14 Schemes Approved (Gram Panchayat in case of Scheduled Areas) MI – WR Department DPU (Technical Unit) SPU (Technical Unit) GoO

Planning Phase

15 Community Mobilized and PP formed/ renewed SO DPU (IB unit) SPU (IB unit) SPU 16 Socio-Economic Survey SPU GoO 17 Engineering Surveys MI – WR Department DPU (Technical Unit) SPU (Technical Unit) GoO 18 Identification of Encroachers and Assessment of lands to be acquired PP and LAO SO and DPU SPU GoO 19 Resettlement Action Plan Prepared

- Entitlements Matrix - Implementation Plan Agreed

LAO,RI/Tehsildar, DPU

SPU GoO

20 Tribal Development Plan (TDP) Prepared PP SO DPU

30

Responsibility Sl No

Activity Primary Secondary

Review/ Assoc. Approval

21 Engineering Designing and Cost Estimates MI – WR Department DPU (Technical Unit) SPU (Technical Unit) GoO 22 Community Capacity Building Plans PP & SO DPU (IB unit) SPU (IB unit) SPU 23 Livelihood Assistance Plan PP & SO DPU (Livelihood unit) SPU (Livelihood unit) SPU 24 Environment Management Plan MI – WR Department DPU (Technical Unit) SPU (Technical Unit) SPU 25 Gender Action Plan PP & SO DPU (IB Unit) SPU (IB unit) SPU 26 Community Cost Contribution plan prepared and started - 5% upfront cash

contribution (out of the 10% contribution by the community) PP & SO DPU SPU

27 Micro Plan Prepared PP SO DPU SPU 28 AGREE-TO-DO: PLEDGED PP GoO 29 Micro-plan aggregated into TIMP - MOU Signed PP DPU and SO SPU


30 Implementation of capacity building plan of PP - Training on leadership, accounts, water management, livelihood issues, etc. - Exposure visit

SO DPU (IB unit) SPU (IB unit) SPU

31 Service providers (Contractors) mobilized – contracts finalized MI – WR Department DPU (Technical Unit) SPU (Technical Unit) GoO 32 Community contribution received (O&M fund created) – The balance 5%

community contribution mobilized in labour/cash PP DPU SPU

33 Implementation of RAP - Public notification - Consultation PRI (e.g.Gram Sabha/ Palli Sabha) approval in case of scheduled

area) - Approval of list of PAFs and notification - Firming up of RAP, Livelihood Assistance Plan - Release of funds - Acquisition process started and possession - Compensation awarded

LAO, RI/Tehsildar, DPU

SPU Collector Financial Adviser, DoWR, DLIC/DPU Collector

34 Implementation of Gender Action Plan (GAP) 35 Implementation of Environmental Management Plan started

- Tank safety - Integrated Pest Management (IPM) / Integrated Pest & Nutrient Mgt. (IPNM) - Water management (water allocation, distribution and drainage)

MI – WR Department DPU (Technical Unit) SPU (Technical Unit) SPU

36 Civil (tank renovation) work started MI – WR Department DPU (Technical Unit) SPU (Technical Unit) SPU 37 PP engaged in tank renovation work PP & SO DPU SPU 38 Livelihood assistance initiatives started (for PAFs and others)

- Training, demonstration, credit linkage, dovetailing of resources under govt. PP & SO DPU (Livelihood unit) SPU (Livelihood unit) SPU

31

32

Responsibility Sl No

Activity Primary Secondary Assoc.

Review/ Approval

programs, credit linkage, etc. - Market linkage, exhibitions/buyer-seller meets

39 Tank civil work completion certificate issued PP DPU SPU 40 Social Auditing undertaken PP SO and DPU (IB Unit) SPU (IB Unit) SPU 41 O&M plan prepared PP SO DPU SPU

Consolidation Phase 42 PPs trained on O&M and started contributing in O&M SO & DPU MI – WR Department SPU 43 Network of PPs formed PP & SO DPU SPU 44 Vision building and future course of action of PP, MI and other departments

finalized PP, SO and MI department

DPU SPU

45 MOU signed with MI and PP on tank O&M PP and MI dept. DPU SPU 46 Sub-project Evaluation (General project evaluation and specific evaluation

of impact of rehabilitation on PAFs) - Income level of PAFs restoration - Livelihoods for PAFs: Establishment and Improvement - Income level of other tank users enhancement - Livelihoods of other tank users establishment - Gender Impact Assessments

SPU DPU World Bank GoO

47 Submission of Sub-project completion report SPU GoO * Abridged Version. Detailed one is available in Project Implementation Plan (PIP) Abbreviations: PP-Pani Panchayat; SO-Support Organisation; GP-Gram Panchayat; SPU-State Project Unit; DPU-District Project Unit; LAO-Land Acquisition Officer; RI-Revenue Inspector; MI-Minor Irrigation, WR-Water Resource, IB Unit: Institutional Building Unit

VII Indicative Budget

66. The budget for dealing with land related issues has been worked out on the basis of the following assumptions-

• 900 tanks have been taken as the basis for calculation of the indicative budget. • About 30% of the tanks will have issues related to land. So approximately 300 tanks

will face land related issues while renovation. Encroachment Cases

• 30% of the above mentioned tanks will have issues related to encroachment. So approximately 90 tanks will face encroachment issues while renovation.

• Average number of encroachers per tank will vary from 7-10 (this number can go up to 20 in some cases). Approximately 25% (75 nos.) of the above mentioned 30 % tanks will have a maximum of 10 encroachers per tank. And the balance 5 % (15 nos.) will have 20 encroachers.

• The average land encroached per encroacher will vary in between 0.6 - 1 acre ( this estimate can go up to 2 acres incase of large tanks)

• Of the total encroachers, approximately 80% will belong to the marginal and landless category whereas the balance 20 % will belong to the small farmer’s category.

• The Government will settle 50 % of the Land requirement for encroachers with compensatory land and the balance 50 % with cash.

Table 10 Indicative Budget for Encroachers Sl.No Details Assumptions Tanks Affected HH Amount (INR)

1 Total No of Tanks Identified 900 2 Land Issues Expected in Tanks 30% 300

3 Tanks with 10 nos. of Encroachers ( as a % of Sl.No 2) 25% 75 750

4 Tanks with 20 nos. of Encroachers ( as a % of Sl.No 2) 5% 15 300

5 Total Encroachers (Sl No. 3 +4) 1050

6 Landless& Marginal (63%+26%) about 80% of Sl.No. 5 800

7 Small about 20% of Sl.No. 5 250

8 Out of landless and marginal encroachers land for land ( as a % of Sl. No. 6) 50% 400

9 Out of landless and marginal encroachers cash for land ( as a % of Sl. No. 6) 50% 400

10 Compensation for encroachers (marginal+landless) INR 50,000 20,000,000

11 Livelihood assistance for encroachers (marginal+landless) INR 25,000 20,000,000

12 Livelihood assistance for encroacher who are small farmers INR 15,000 3,750,000

13 Total compensation for encroachers INR 43,750,000

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Land Acquisition Cases

• 15% (45 nos.) of the above mentioned 30 % tanks will need Land Acquisition. • Average number of Ayacutdars per tank is 100 • Of the total project affected families, approximately 80% will loose 1 acre of land and

20 % will loose 2 acres of land. • For the 80 % who loose 1 acre of land, the Government will settle 50 % of the Land

acquired with compensatory land and the balance 50 % with cash. For the 20 % who loose 2 acres of land, the Government will settle 100% of the Land acquired with cash.

Table 11 Indicative Budget for Land Acquisition Sl.No Details Assumptions Tanks Affected HH Amount (INR)

1 Total No of Tanks Identified 900 2 Land Issues Expected in Tanks 30% 300

3 Land Acquisition Issues ( as a % of Sl.No 2) 15% 45

4 Average no ayacutdars/tank Nos 100

5 Ayacutdars who will loose land per tank ( as a % of Sl.No 4) 15% 15

6 Total no of ayacutdars who will loose land Nos 675

7 Households loosing 1 acre ( as a % of Sl. No. 6) 80% 540

8 Households loosing 2 acre ( as a % of Sl. No. 6) 20% 135

9 Out of household loosing 1 acre land for land ( as a % of Sl. No.7) 50% 270

10 Out of household loosing 1 acre land for cash for land ( as a % of Sl. No. 7) 50% 270

11 Compensation for Households loosing 1 acre INR 100,000 27,000,000

12 Livelihood assistance for Households loosing 1 acre INR 25,000 13,500,000

13 Compensation for Households loosing 2 acre INR 200,000 27,000,000

14 Livelihood assistance for Households loosing 2 acre INR 25,000 3,375,000

15 Total Compensation for Land Acquisition INR 70,875,000

The total budget for managing land related issues is – Table 12 Indicative Budget for managing Land related issues Sl.No Budget Head Amount (INR) 1 Total Compensation for encroachers

43,750,000

2 Total Compensation for Land Acquisition

70,875,000

3 Compensation for other issues (Displacement related) 25% of Sl No. (1+2)

28,656,250

Total Budget for Land Related Issues 143,281,250

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VIII Land Acquisition in Scheduled Areas

67. As per the Panchayat Extension to Scheduled Areas (PESA), Orissa Act, the Gram Sabha/ Palli Sabha will have to be consulted before making the acquisition of land in the Scheduled areas for developmental projects and before re-settling or rehabilitating persons affected by such projects in the Scheduled areas. 68. Also the Orissa Scheduled Areas Transfer of Immovable Property, 1956, restricts the transfer of tribal land in a Scheduled Area to tribals only. As per the law “Notwithstanding anything contained in any law for the time being in force any transfer of immovable property by a member of a Scheduled Tribe, except by way of mortgage executed in favour of any public financial institution for securing a loan granted by such institution for any agricultural purpose, shall be absolutely null and void and of no force or effect whatsoever, unless such transfer is made in favour of another member of a Scheduled Tribe”. 69. Also the Scheduled Tribes are entitled to higher benefits incase of land loss owing to acquisition.

IX Monitoring and Evaluation

70. Project monitoring, learning and evaluation (MLE) framework has been designed to facilitate: (a) results-based management; (b) learning and process enhancement (through process monitoring by participatory methods, involving group self-ratings, reviews, score cards, satisfaction surveys, etc); and (c) impact evaluation (involving use of appropriate baseline and controls). 71. The SPU, through its dedicated MLE unit which would include one MLE expert and one data analysis and documentation expert, will have overall responsibility for planning and coordinating MLE activities. In this role, the SPU will coordinate MLE activities of the three sets of entities that will undertake the bulk of the data collection and analysis work: (i) the implementing departments/agencies at the state and district levels; (ii) an external M&E agency (to be engaged as consultants for the duration of the project); and (iii) beneficiaries, primarily WUAs and various project-supported farmer interest groups. The process of participatory MLE by beneficiaries will be facilitated by local SOs, by the external M&E agency and SPU/DPU as appropriate. The SPU will have overall responsibility for developing systems and procedures for appropriate analysis and presentation of the collected MLE data to ensure appropriate use of the indicators for project management and learning. 72. MLE activities would include: baseline study; regular performance tracking of inputs and outputs by concerned implementing agencies; concurrent performance monitoring (on a sample basis) by external M&E agency; systematic (“panel data” type) analysis of project impacts through repeated monitoring of the same sample set of households through project lifetime; mid-term and final impact evaluations; and continuous participatory MLE by beneficiary groups at various levels. Reports from these MLE activities will be generated in agreed format according to a set schedule.

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73. Resettlement Monitoring. Resettlement Monitoring. A framework comprising tasks to be monitored, outputs expected, processes to be adopted, responsible person/ agency and correspondingly the user of the information generated are captured in the following framework.

A framework comprising tasks to be monitored, outputs expected, processes to be adopted, responsible person/ agency and correspondingly the user of the information generated are captured in the following framework.

M, E & L Expert State OCTDM Pro

Support Organisations

M, E & L Expert District Project Unit

ject Unit

Tank & Block Level

District Level

State Level

Table 13 Monitoring Framework

Key Tasks to be Monitored

Monitoring outputs Monitoring process to be followed Responsibility User of Information

Preparation of database format/data collection instrument and guideline

State M&E expert

Share the M&E plan with state and district level

State M&E expert

Orientation of the district M&E expert

State M&E expert

Orientation of SA M&E expert and JE/AE for collection of same information

District M&E expert

Collection of information through one to one and community meetings

SA, M&E expert (along with JE/AE, RI/LAO and PP members)

Quality check on the process and type of information collected

State and District M&E expert

Tank wise block level and district level compilation of the same – data consolidation and analysis

SA M&E expert (Block level) District M&E expert (district level) State M&E expert (state level)

Preliminary Identification of Land requirements according to the renovation plan Identification of encroachers & titleholders ( for LA)

Tank/Project wise database on: • Incidence of land

encroachments (tank wise)

• Number & extent of land encroachers

• Land required for new construction

Sharing of compiled information with district project unit and state project unit for review, feedback and decision making for initiation of future course of action

District M&E expert (district level) State M&E expert (state level)

Preparation of database format/data collection instrument and guideline

State M&E expert

Orientation of the district M&E expert

State M&E expert

Orientation of SA M&E expert for ollection of same information c

District M&E expert

Socio-economic survey for identification of displaced families and preparing their socio-economic baseline Compilation of list of families to be

Tank/Project wise detail database on: • Demographic profile of

the households / persons to be affected

• Social & economic profile of households such as caste, family

Collection of information through household interview (census survey)

SA M&E expert (along with the support from JE/AE,

State Level • Secretary, DoWR • PD, OCTDMP • Chief Engineer, Minor Irrigation • World Bank • Social, Livelihood and Technical

Experts of state project unit • Rehabilitation and Resettlement

officer, MI department • State Revenue Department District Level • District Collector • Sub-collector • Executive Engineer • LAO • Social, Livelihood and Technical

Experts of district project unit Block & Tank Level • JE/AE, MI department • RI • Social, Livelihood and Technical

Experts of SA • PP members

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RI/LAO and PP members)



Collection of filled-up formats from SA, M&E expert and onward submission of the same formats at state level

District M&E expert

Data entry and analysis at the state level

State M&E expert

affected/displaced type, land holdings, income, agricultural productions, occupations, etc.

Sharing with District and State project units on the list of families to be affected and their socio economic status for review and developing next course of action plan

State M&E expert

Tracking the date and content of notification and the channels used for

fication noti



Information on the contents of notification and various channels used for notification Preparation of complete database on

the same at both district and state level for any future reference and verification

SA M&E expert (tank level) District M&E expert (district level) State M&E expert (state level)

Estimation of requirement of land for acquisition

Information on : • Exact quantity of land

required • Details of RoR for the

identified plots

Preparation of database format/data collection instrument and guideline Review of survey methodologies and verification of RoRs

SA, M&E expert (along with the support from JE/AE, RI/LAO and PP members)

A socio-cultural resource mapping and infrastructural survey5

Tank/Project wise detail database on :

Collection of information through household interview (census survey)

SA, M&E expert (along with the support from JE/AE, RI/LAO and PP members)


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Collection of filled-up formats from SA, M&E expert and onward submission of the same formats at state level

District M&E expert

Data entry and analysis at the state level

State M&E expert

• Social indicators • Cultural diversity • Infrastructure base like

roads, schools, drinking water, communication etc.

• Other community resources like social capital, human capital etc.

Sharing with District and State project units on the list of families to be affected and their socio economic status for review and developing next course of action plan, in particular occupational pattern as well as income levels.

State M&E expert

Review of IEC material prepared

Track the amount of dissemination like number of communication events held etc.

Motivation and Awareness Generation for the project

• IEC material • Communication plan

etc.

Review the quality of communication events and materials

SA, M&E expert (tank level) District M&E expert (district level) State M&E expert (state level)

Track the number of meetings held

Track outcome of meetings and documentation

Gram Sabha Approval and Consultation incase of Scheduled Areas

• Gram Sabha Meeting • Presentation of project

details in the sabha • Deliberations written

approval for the project

Track approval and objections raised


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Track the old and new government schemes introduced at the district nd state level a

Track coordination and linkages lished with various line

departments. estab

Dovetailing of other developmental programmes in the district with R & R packages

• Information on ongoing developmental programmes in the district

• Coordination with various line departments

Track implementation and progress of such programmes


Track the old and new government schemes introduced at the district and state level

Track village and WUA meetings held to discuss livelihood options

Develop database format for keeping track of livelihood support provided

Provision of Livelihood Support

• List of existing livelihood options in the area

• Alternate livelihood options for displaced/affected people

• Training and capacity building support for livelihood promotion

Track number of training programmes held, number of people trained, follow-up of trainings done


72. Post Land Acquisition Incomes and Quality of Life Improvements - Audit. SAs will, as a matter of routine, track incomes, whereas, an external audit will be conducted after the end of each batch. 73. Evaluation Framework Purpose: To evaluate whether the project has achieved the expected outputs planned for land acquisition and rehabilitation of households Evaluation Mechanism

• External agency to carry out the evaluation • Needs to take-up a mid-term and end-term evaluation

Table 14 Mid-Term Evaluation Plan

Mid-term Evaluation

Time Frame: at the end of the Initiation Phase – 5th month Objective Tasks and process level outputs to

be evaluated Process of Evaluation Responsibility

• To assess the progress of tasks being undertaken with regard to land acquisition and rehabilitation

• To suggest any mid term correction or modification necessary for effectively taking up measures for land acquisition and rehabilitation

Tasks to be evaluated

•• Public Announcement of Project launch

•• Preliminary Identification of Land requirements according to the renovation plan

•• Identification of encroachers & titleholders ( for LA)

•• Socio-economic Survey for identification of displaced families and preparing their socio-economic baseline

•• Compilation of list of families to be affected/displaced

•• Public notification of list of affected/displaced families

•• Estimation of requirement of land for acquisition

•• A socio-cultural resource mapping and infrastructural survey

•• Motivation and Awareness Generation for the project

•• Gram Sabha/ Palli Sabha approval incase of Scheduled Areas

•• Dovetailing of other developmental programmes in the district with R & R

Rapid Assessment Exercise (visit to sample tanks, FGD or one to one interaction with affected persons/HHs, interaction with block, district and state level project officials and key stakeholders

State M&E Expert – Needs to prepare a detail ToR for appointment of an external agency for the same task

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Mid-term Evaluation

Time Frame: at the end of the Initiation Phase – 5th month Objective Tasks and process level outputs to

be evaluated Process of Evaluation Responsibility

packages

Provision o•• f Livelihood

Process level Outputs to be

Support

evaluated

•• cy of compensation Adequa

•• nd

•• and

Con ation of

t Levels

ment and other

Adequacy of project staff atraining programmes for handling the LA process

Effectiveness Transparency of the Grievance redressal mechanisms

sultation and participstakeholders, specially women and tribals (if they are amongst the PAF)

Outpu

Income, employquality of live improvements

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Table 15 End-Term Evaluation Plan

End-term Evaluation( Implementation Phase – 9th month)

Time Frame: at the end of the Planning Phase – 9th month

Objective Outputs to be Evaluated Process of Evaluation Responsibility

• To assess and measure achievements against the expected outputs of the tasks planned for land acquisition and rehabilitation

•• Amount of Land alienated and restored to the project

•• No. of families affected through such alienation and no. of persons identified per family to be compensated and rehabilitated (eligibility vis-à-vis achievement)

•• No. of families paid compensation and other allowances

•• Utilization of compensation amount and rehabilitation assistance

•• Process and effectiveness of income restoration programmes

oo numbers that availed the assistance,

oo kind of skills and training programmes people opted for,

oo availability of micro-credit and loans,

oo number engaged in type of on-farm and non-farm activities

•• Employment opportunities created and availed of: income increase/decrease from the baseline socio-economic data

•• Specific opportunities for women and tribals

•• Sample survey of affected households using interview schedule

•• FGD with affected persons

•• Interaction with officials at different levels of project operation

•• Review of project information/data base and documents

•• Comparing with base line information (especially measuring some output level changes as far as rehabilitation of households are concerned)

•• Suggestion for any future course of action

State M&E Expert – Needs to prepare a detail ToR for appointment of an external agency for the same task

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