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SRAP Monitoring and Implementation BTC & ACG Phase 1 Projects

SOCIAL AND RESETTLEMENT ACTION PLAN (SRAP)

MONITORING IMPLEMENTATION

TERMS of REFERENCE

For

Baku – Tbilisi - Ceyhan Pipeline South Caucasus Pipeline

Azeri – Chirag - Gunashli Phase 1 Project

SRAP ToR Rev. 0 (29 September 2003 with ACG Update) of 16


TABLE OF CONTENTS

1. BACKGROUND..............................................................................................3

2. PURPOSE OF THE SOCIAL AND RAP MONITORING IMPLEMENTATION TOR.............................................................................4

3. RAP MONITORING APPROACH.................................................................4

4. MONITORING TASKS ..................................................................................5

5. REPORTING .................................................................................................10

6. ORGANIZATION AND HUMAN RESOURCES .......................................10

7. LOGISTICS ...................................................................................................10

8. PROGRAM....................................................................................................14



1. Background

Most social impacts are related to land acquisition and temporary disruption of economic activities along the pipeline route and these are addressed in the Resettlement Action Plans (RAPs), but other social impacts are addressed in the Environmental and Social Action Plan (ESAP). Monitoring of the RAP is the primary purpose of this Terms of Reference (ToR), but an overall review of other social impacts which are monitored as part of the ESAP monitoring and evaluation process is also included.

Requirements for monitoring and evaluation of the implementation of the Baku-Tbilisi-Ceyhan Pipeline RAP1 and the ACG Phase 1 RAP for expansion of Sangachal Terminal are defined in the following instruments:

World Bank Operational Directive 4.30 Involuntary Resettlement (the reference policy for the BTC Pipeline Project RAP and the ACG Phase 1 Project RAP)

BTC RAP ACG Phase 1 RAP

Requirements for monitoring of other social aspects are contained in the Environmental and Social Action Plan (ESAP) and its component Contractor Control Plans (CCPs).

The BTC Pipeline RAP encompasses impacts and mitigation measures for both BTC and the South Caucasus Pipeline (SCP) projects. This ToR envisages that all monitoring activities will be conducted under the umbrella of the projects’ operator, BP Explorations (Caspian Sea) Limited (“BP” or the “Operator”). This ToR does not attempt to differentiate activities, budgets or reporting requirements between the two projects. Monitoring for the BTC Project therefore effectively refers to monitoring for both the BTC and SCP Projects.

The BTC Pipeline RAP establishes the broad framework for the BTC and SCP Projects’ resettlement monitoring. Similarly the ACG Phase 1 RAP establishes the broad framework for resettlement monitoring associated with expansion of Sangachal Terminal and construction of marine pipelines. This ToR describes the actions and logistical preparations necessary to implement the Social and RAP monitoring and evaluation program. Except where necessary for clarity, this paper does not repeat the content of the RAPs or ESAP but refers to them.

The logistical demands and time required to conduct Social and RAP monitoring over the 1,760 kilometres of pipeline through three countries should not be underestimated. However, if basic data collection, record keeping and grievance procedures are made an integral part of project operations and administration at the outset, the task can be made relatively straightforward.

1 The BTC Pipeline RAP encompasses most land, asset and livelihood impacts for both the SCP and BTC Pipeline Projects. There are some gaps however. For example, the BTC Pipeline RAP Part C for Georgia does not cover acquiring rights and associated compensation for ‘restrictions of use’ that will apply to the Shah Deniz gas pipeline.



2. Purpose of the Social and RAP Monitoring Implementation ToR

The objectives of this ToR are as follows:

To describe the concrete steps necessary to implement the monitoring and evaluation program

To define organizational resources and logistical requirements for internal and external monitoring

To expand on the framework established in the RAP in terms of monitoring implementation

The ToR is not intended to pre-empt the Expert Consultant Panel’s formulation of monitoring protocols in consultation with country Environmental and Social Departments.

3. RAP Monitoring Approach

3.1 General

Various models for undertaking RAP monitoring were considered as part of the RAP planning phase, with particular consideration of the role and composition of the External Monitoring Panel. A management consensus was reached that the RAP monitoring process should be set up to provide practical guidance and troubleshooting advice to the projects’ management teams on how to solve problems that arise during the land acquisition and reinstatement process, rather than simply to identify areas of compliance and non-compliance. For this reason, it was determined that a panel comprised of international resettlement and social development experts would best meet the needs of the project. The Expert Panel will also undertake a compliance review.

3.2 Monitoring Framework

There are three components of the RAP monitoring framework for the BTC Pipeline and ACG Phase 1 Projects:

Internal monitoring by BTC Co.’s Environmental and Social Department (“E&S Department”) in conjunction with the Land Acquisition Teams in Azerbaijan and Georgia BOTAS in Turkey, and augmented by inputs from local NGOs or consultants where warranted

Monitoring by a three-person Expert Monitoring Panel RAP Completion Audit by the Expert Monitoring Panel

The scope of each type of monitoring is briefly described in Section 4.

3.3 Performance Indicators

Specific social and resettlement performance indicators for the projects are prescribed in the respective project RAPs. (See BTC RAP, Part A, Table 5.2; and relevant affected group sections in the ACG Phase 1 RAP).



3.4 Composition of the Expert Monitoring Panel

It is proposed that the external monitoring panel will consist of the following international resettlement and social development experts:

Mr. Robert Barclay Mr. Frederic Giovannetti Ms. Tasneem Salam

Given the duration of the RAP monitoring period (5 years), circumstances may arise where it is necessary to replace one or more of the panel members. Should this prove necessary, BTC & ACG and the remaining panel members will reach agreement on a suitably qualified and experienced replacement. The curriculum vitae of any replacement person will be circulated to the Lender Group.

4. Monitoring Tasks

4.1 Internal Monitoring Teams

4.1.1 Objectives

The objectives of internal monitoring are:

To measure and report progress against the RAP schedule

To verify that agreed entitlements are delivered in full to affected people

To identify any problems, issues or cases of hardship resulting from the resettlement process, and to develop appropriate corrective actions, or where problems are systemic refer them to the management team

To monitor the effectiveness of the grievance system

To periodically measure the satisfaction of project affected people

4.1.2 Activities

The RAP identifies the following activities for the internal monitoring teams:

i. liaison with the Land Acquisition Team, construction contractor, local land partner NGOs (CLEE, APLR, RUDF), and project affected communities to review and report progress against the RAP;

ii. verification that land acquisition and compensation entitlements are being delivered in accordance with the RAP;

iii. verification that agreed measures to restore or enhance living standards are being implemented;

iv. verification that agreed measures to restore or enhance livelihood are being implemented;

v. identification of any problems, issues, or cases of hardship resulting from the resettlement process;



vi. assessment of project affected peoples’ satisfaction with resettlement outcomes through informal village head and household interviews;

vii. collation of records of grievances, follow-up that appropriate corrective actions have been undertaken and that outcomes are satisfactory;

viii. when required, assist with verification activities to support the expert panel; and, ix. preparation of brief quarterly progress and compliance reports for BTC & ACG

Management, and the Expert RAP Monitoring Panel.

4.1.3 Implementation

The way in which internal monitoring is implemented will vary between countries. In Azerbaijan, most of the activities will be undertaken by BTC Co.’s Environmental and Social Department. In Georgia, the Environmental and Social Department will work in collaboration with the Land Acquisition Team to undertake the internal monitoring. In Turkey, where the primary internal monitoring role will be undertaken by BOTAS, BTC Co. staff will collate information for reports from BOTAS, and will also periodically review BOTAS’s monitoring system, record keeping and grievance processes. In all countries, the projects’ Community Liaison Officers will provide an ongoing monitoring service working both proactively and reactively to community and individual issues as they arise.

Internal monitoring teams’ activities might involve 30 percent of time in the office and 70 percent of time in the field.

Typical office review activities might entail:

i. liaison with Land Acquisition Teams to collate up-to-date information on land acquisition progress such as agreement signing, compensation disbursement, RAP Funds milestones and disbursement, land areas under construction, land areas reinstated and the like;

ii. review of RAP Fund milestones and disbursement, including liaison with organizations or agencies undertaking RAP Fund activities;

iii. review of grievance register and basic analysis of grievance types, numbers, and closures; and,

iv. report preparation.

Fieldwork activities might entail:

v. liaison with the Community Liaison officers to gather information about progress, incidents, grievances and issues;

vi. spot checking on complainants who had lodged grievances to verify outcomes of corrective actions;

vii. liaising with and learning from local land partner NGOs (CLEE, APLR, RUDF); viii. conduct semi-structured interviews with a cross-section of affected households

including vulnerable groups to verify receipt of entitlements, review effectiveness of measures, assess satisfaction with outcomes;

ix. conduct interviews with other key informants; and, x. issues identification.



4.2 Social and Resettlement Action Plan Expert Monitoring Panel

Most social impacts for BTC/SCP are related to land acquisition and temporary disruption of economic activities along the pipeline route. ACG involves resettlement of a small number of people as well as social and economic impacts on nearby communities arising from ACG construction and operations activities. Whilst the primary purpose of the Expert Monitoring Panel is to provide an external review of implementation activities undertaken in terms of the RAPs, the panel will also provide an overview of other activities undertaken to address social impacts identified in the Environmental and Social Action Plan (ESAP). This will ensure that an holistic overview of the monitoring of social impacts is obtained, that any significant issues are not missed, and that any necessary corrective actions are applied synergistically.

4.2.1 Objectives

The RAP identifies the following objectives for the expert monitoring panel:

To assess overall compliance with the RAP To verify that measures to restore or enhance project affected peoples’ quality of life and

livelihood are being implemented and to gauge their effectiveness To assess the extent to which the quality of life and livelihoods of affected communities

have been restored

The panel will also assess overall compliance with other mitigation measures to address social impacts contained in the ESAP and its component Contractor Control Plans (CCPs). SRAP monitoring reviews will encompass those social management related commitments that require actual visits and interaction with community members in order to verify whether the commitment has been implemented or complied with. Environmental and social commitments that can be verified on project sites through discussion with project personnel, and by review of project documentation, will remain as part of the Quarterly and Six-monthly Environmental and Social Lender Monitoring visits for BTC and ACG respectively.

The types of commitments that would be verified within the RAP monitoring programme include:

Pollution prevention - dust and noise management in communities. Community safety - awareness raising programmes in communities on communicable

diseases; community awareness of project traffic routes and traffic safety briefings Infrastructure and services - reinstatement of damaged infrastructure and compensation

process; project use of water not affecting communities; and roads used by project are maintained in reasonable condition.

Community liaison - Community awareness of project activities; complaints procedures; camp rules; recruitment process; project traffic speed limits; pre-warning of noisy activities and other planned disruptions; procurement process and regular community meetings and access to CLOs.

Grievance management – follow up of grievances reported; accessibility of CLOs; community awareness of complaints procedures and complaints close out.



The main findings of the Environmental Lender Group monitoring visits will be supplied to the SRAP Expert Panel ahead of each review.

4.2.2 Activities

The RAP identifies the following activities for the expert monitoring panel:

i. review of internal monitoring procedures and reporting to ascertain whether these are being undertaken in compliance with the RAP;

ii. review internal monitoring records as a basis for identifying any areas of non-compliance, any recurrent problems, or potentially disadvantaged groups or households;

iii. review grievance records for evidence of significant non-compliance or recurrent poor performance in resettlement implementation;

iv. discussions with BTC Co. E&S Department staff, and others involved in land acquisition, compensation disbursement or livelihood restoration to review progress and identify critical issues;

v. interview a representative cross-section2 of affected households and enterprises to gauge the extent to which project affected people’s standards of living and livelihood have been restored or enhanced as a result of the project;

vi. interviews with a cross section of affected community people and key informants to ascertain effectiveness of non-RAP related social measures defined in the ESAP and CCPs;

vii. assess overall compliance with the RAP requirements and OD 4.30; viii. prepare a summary compliance report for BTC Co. Management and Lenders on

resettlement progress, any issues arising and any necessary corrective actions; ix. attend close out meetings with the BTC Co. and ACG Phase 1 E&S Department staff

and Management Team to feed back key findings in each country; x. meet with and liaise with contractor community liaison teams to discuss on-the-

ground implementation challenges; and, xi. receive notification of Class III Changes (as defined by the ESAP), and review such

Changes for social and RAP implications, and advise accordingly.

The expert monitoring panel will also undertake a review of the following monitoring activities from the ESAP and its component CCPs:

xii. review the ESAP Commitments Register, monitoring reports (internal and external), audits and Action Tracking System as a basis for identifying any non-compliance or recurrent problems with respect to overall social issues (including, but not limited to: employment and labour; economic environment; public safety; and, access to project

2 This cross-section should be as representative as possible of the various situations existing along the route. It may also take into account particular situations of concern as raised for instance by local and international NGOs, to the extent that they are regarded relevant by the Panel. This selection is eventually a decision of the Expert Monitoring Panel.



benefits and opportunities; induced social impacts; health- e.g., incidence of HIV/AIDS; vulnerable groups; social conflict and grievance resolution);

xiii. review Community Investment Programs (CIP) and monitoring reports as a basis for assessing the overall contribution of these “value-added” programs towards sustainable social development of pipeline affected communities; and,

xiv. review the PCDP and reports on on-going consultation, and other ESAP monitoring reports with respect to consultation, as a basis for providing an external overview of the effectiveness of overall community liaison and identifying any critical issues that need to be addressed.

4.2.3 Implementation

The logistics and time that would be taken for the three person Expert Monitoring Panel to visit (as a panel) all three countries every six months would be onerous on the project and the panel. The following alternative approach will be followed:

Every six months:

i. the Expert Monitoring Panel will initially convene by teleconference or in person and discuss the review agenda - overall and country-by-country;

ii. each Expert Monitoring Panel member will then travel to one of the three countries along the route - this will be done on a rotational basis so that each panel member will review a different country, each six monthly period;

iii. in-country, a panel member will:

Spend time in the project office reviewing internal monitoring reports, grievance registers, interviewing internal monitoring team members, project / government officers, NGOs as necessary to assess functioning of monitoring and grievance systems, assess progress against the RAPs and social issues addressed in the ESAP and identify issues arising

Brief/ prepare terms of reference for asset and livelihood restoration verification surveys, when required

Spend a period in field interviews with affected people, partner NGOs, key informants, project field staff, contractor CLOs, and the like

iv. all panel members will then re-convene to run through country findings and develop key conclusions and recommendations;

v. panel members will return to home offices to draft and finalize the six-monthly external monitoring report; and,

vi. all panel members would sign-off on the final draft of each report.

Based on the above, the input from each expert monitoring panel member would be approximately 30 days per six-monthly monitoring report.

The report will include an Overview section which brings together key themes, and discusses, explains differences in approaches and any other cross country issues.

Expert Panel review reports will be available for public disclosure within 60 days of field trips having been completed.



4.3 RAP Completion Audit

A key objective of the RAP is that resettlement actions and mitigatory measures should lead to sustainable restoration or enhancement of affected peoples’ pre-project living standards and income levels. At such time as affected peoples’ quality of life and livelihood can be demonstrated to have been sustainably restored, the resettlement process can be deemed “complete”.

Resettlement planning for the BTC/SCP Projects assumes that livelihood restoration of affected landowners will be complete when the productivity of agricultural land affected by pipeline construction has been fully restored and community and social investment programs are well established. This is anticipated to occur within three years of pipeline construction completion. It is proposed that the resettlement completion audit be conducted by the Expert RAP Monitoring Panel 36 months following pipeline construction completion or at such time as the Expert RAP Monitoring Panel determines affected peoples’ living standards and income levels have been fully restored, whichever occurs earlier.

For ACG Phase 1 it is proposed that a one-off resettlement completion audit be conducted by the Expert RAP Monitoring Panel 24 months after completion of physical resettlement or at such time as the Expert RAP Monitoring Panel assesses living standards & livelihood restoration is complete.

5. Reporting

Reporting requirements are defined in the BTC Pipeline RAP and the ACG Phase 1 RAP, and repeated in the projects’ Environmental and Social Action Plans. Reporting Requirements for the BTC/SCP Pipeline and ACG Phase 1 are summarised in Tables 5.1 and 5.2.

6. Organization and Human Resources

An organizational framework for the current BTC and SCP RAP monitoring is illustrated in Figure 6.1. The current organizational framework for ACG Phase 1 is illustrated in Figure 6.2.

7. Logistics

For each six monthly visit by an expert panel member, the following types of logistical support will be required to cover office reviews and fieldwork. Six monthly visits will occur for the five-year period 2003 –late 2008.

Visa and arrivals documentation, HSE and security inductions, In-country transport, Orientation / local guides – for locating particular land parcels or affected households or

officials, Interpreting and occasional translation of documents, and Field accommodation.



Table 5.1 Summary of SRAP Monitoring Reports for BTC/SCP

Report Type Frequency Prepared By For Comment Internal RAP Monitoring Report

Quarterly BTC E & S Department

BTC Co. Management Team / ACG/SCP Management Team (as applicable) - may also be reviewed by the Expert RAP Monitoring Panel during 6-monthly reviews

10-15 page report (plus supporting documentation) summarizing progress against the RAP; outline of any issues and agreed related actions; summary schedule of grievance status; minutes of any stakeholder or affected people consultations or meetings.

External Social and Resettlement Action Plan (SRAP) Monitoring Report

Six monthly Expert SRAP Monitoring Panel, comprising 3 international resettlement and social development consultants

BTC Co. Board / and Lenders Full findings to be made available publicly after presentation to the BTC Co. Board.

25-35 page report (plus supporting documentation) summarising assessment of progress towards living standard restoration, livelihood restoration; OD 4.30 compliance; discussions of any RAP and social issues of concern; identification of any areas of non-compliance and agreed corrective actions; and summary of resettlement status. Identification of any areas of non-compliance with CCPs determined by dialogue with communities..

RAP Completion Audit Report

For BTC: one –off, 36 months after construction completion or at such time as the Expert RAP Monitoring Panel assess living standards & livelihood restoration is complete. Expert RAP Monitoring Panel assess living standards & livelihood restoration is complete.

Expert RAP Monitoring Panel

BTC Co. Board / SCP partners (as applicable), and Lenders Full findings to be made available publicly after presentation to the BTC Co. Board.

RAP Completion Audit to verify BTC Co./SCP Partners. have complied with undertakings defined by the RAP and that land acquisition and compensation has been completed in accordance with the OD 4.30 principles.



Table 5.2 Summary of Monitoring Reports – ACG/SD

Report Type Frequency Prepared By For Comment Internal RAP Monitoring Report

Quarterly ACG/SD E & S Team

ACG and SD Management Team (may also be reviewed by the Expert RAP Monitoring Panel during 6-monthly reviews)

3 – 5 page report (plus supporting documentation) summarizing progress against the RAP; outline of any issues and agreed related actions; summary schedule of grievance status; minutes of any stakeholder or affected people consultations or meetings.

External Social and Resettlement Action Plan (SRAP) Monitoring Report

Six monthly Expert SRAP Monitoring Panel Member/s

ACG / SD Management and Lenders Full findings to be made available publicly after presentation to the ACG and SD Project partners

10 - 15 page report (plus supporting documentation) summarising assessment of progress towards living standard restoration, livelihood restoration; OD 4.30 compliance; discussions of any RAP and social issues of concern; identification of any areas of non-compliance and agreed corrective actions; and summary of resettlement status.

RAP Completion Audit Report

One –off, 24 months after physical resettlement has been completed or at such time as the Expert RAP Monitoring Panel assesses living standards & livelihoods restoration is complete

Expert RAP Monitoring Panel Member/s

ACG / SD Management and Lenders Full findings to be made available publicly after presentation to the ACG and SD Project partners

RAP Completion Audit to verify ACG/SD has complied with undertakings defined by the RAP and that land acquisition and compensation has been completed in accordance with the OD 4.30 principles.



Figure 6.1 BTC/SCP Pipeline Current Monitoring Organizational Framework

BTC Co SCP Partners

BP ManagementTeam

Azerbaijan E & SManager

Georgia E & SManager

Turkey E & SManager

Social Coordinator

CommunityLiaison team

Social Coordinator

CommunityLiaison Team

NGOs undermonitoringcontract

Social Coordinator

BOTASHead of

ExpropriationMonitoring

Field Monitors Head Office GIS /Data Recording

CommunityLiaison Team

Expert SRAPMonitoring Panel

Figure 6.2 ACG Phase 1 Current Monitoring Organizational Framework

ACG Partners Shah DenizPartners

ACG BPManagement

Team

SD BPManagement

Team

ACG E & SManager

SD E & SManager

Delivery UnitsSocial Manager

CommunityInvestment

CommunityLiaison Social

Social Managers CommunityInvestment

CommunityLiaison

Expert SRAPMonitoring Panel




8. Program

An indicative program for ongoing monitoring reviews and report delivery is summarised in Table 8.1. The timing varies slightly from the RAP in order to: (i) shift external monitoring reviews outside of periods of heavy snow cover in Georgia and Turkey and (ii) to reflect the fact that the first internal monitoring review will be later than March 2003 as documented in the RAP. Some notes on the program are as follows:

The schedule below assumes that BTC and SCP pipeline construction is completed within a three year construction period

Internal review reports (2 no.) should be completed and available ahead of the six-monthly expert monitoring reviews

In the event, the expert consultant team determines that livelihood restoration is completed earlier than the December 2008; the Expert Panel can perform the Completion Audit at that time



Table 8.1 Schedule of Internal and External Monitoring

Monitoring Event Review Period Report Issued Report to be publicly disclosed

Internal review April 2003 Late April 2003 Internal review July 2003 Late July 2003 External review August 2003 October 2003 Internal review October 2003 Late October 2003 Internal review January 2003 Late January 2003 External review February 2004 April 2004 Internal review April 2004 Late April 2004 Internal review July 2004 Late July 2004 External review August 2004 October 2004 Internal review October 2004 Late October 2004 Internal review January 2005 Late January 2005 External review February 2006 April 2006 Internal review April 2004 Late April 2004 Internal review July 2004 Late July 2004 External review August 2004 October 2004 Internal review October 2004 Late October 2004 Internal review January 2005 Late January 2005 External review February 2006 April 2006 Internal review April 2006 Late April 2006 Internal review July 2006 Late July 2006 External review August 2006 October 2006 Internal review October 2006 Late October 2006 Internal review January 2007 Late January 2007 External review February 2007 April 2007 Internal review April 2007 Late April 2007 Internal review July 2007 Late July 2007 External review August 2007 October 2007 Internal review October 2007 Late October 2007 Internal review January 2008 Late January 2008 External review February 2008 April 2008 Internal review April 2008 Late April 2008 Internal review July 2008 Late July 2008 External review August 2008 October 2008 Internal review October 2007 Late October 2007 Internal review January 2008 Late January 2008 Completion Audit Final Quarter 2008

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