MAHARASHTRA NATURAL RESOURCE MANAGEMENT PROJECT
DRAFT TERMS OF REFERENCE FOR SOCIAL AND ENVIRONMENTAL IMPACT ASSESSMENT
1.Background:
1.1 Forests in Maharashtra state, as also in many parts of India, are among the most important natural resources, which have played a fundamental role in supporting the livelihood of the people, mainly the poor rural masses. Historically, the forests provided the basic resources for survival and economic development. However, in recent years factors such as population increase, incidence of poverty and industrial growth, suggest that demand trends are far outstripping the forest’s natural ability to sustain these frequently conflicting needs. Even with the increased pace of plantations, the forest resource supply is not likely to meet demand. This will result into accelerated degradation of the state’s forest resource.
1.2 On the other hand, pressure is also mounting to recognise the forests as source of other social and environmental services., Forest resources in Maharashtra, as per changing public expectation, should be managed- not just as supplier of raw materials- but as means to secure poverty alleviation for the forest-fringe dwelling communities, as habitat for wildlife, for recreational/aesthetic uses and for protection of ecological functions. The changing social values are forcing the Public Forestry Institutions (PFIs) in Maharashtra to reorient the nature and scope of their role as forest resource managers.1.3 In early nineties, the Maharashtra Forestry Administration was supported by the World Bank (through the International Development Association) through Maharashtra Forestry Project (MFP) to improve the performance of the forestry sector of the state as a whole. The project was implemented during April,1992 to March,2000.
1.4 Participation of local people in various forestry activities like Nursery, plantation, harvesting works, etc. has traditionally been limited to providing employment only. However, their involvement in the true sense through participation in the forest management as laid down in the National Forest Policy,1988, was introduced in Maharashtra State with the advent of World Bank Aided Maharashtra Forestry Project in the year 1992 as a sequel to the objective related to generation of rural income and improving equity in rural areas through increased community participation.
1.5 The implementation of Joint Forest Management (JFM) programme has been based on a long term strategy supported by a Government Resolution of 16th March,1992, setting out the governing legislation and benefit sharing
arrangements by the forest dependent village communities. The programmes, though introduced late during 1996-97 during Mid Term Review (MTR) of the MFP was, implemented in 602 villages in the state against a target of 200 villages. This programme has contributed significantly by mobilising VSSs support to protect about 2,00,000 Hectares of forest and raising plantation over an area of 25,671 ha.
1.6 Due to fairly successful implementation of JFM in 602 villages during Phase-I of the Maharashtra Forestry Project, a conducive working relationship has developed between the local people and the Forest Department and degraded Forest lands have been regenerated successfully in some villages. However, it will be necessary to continue the various activities, at least for another term of 5-6 years, so that Forests start giving benefit to the people and the gains made under the previous Project are consolidated. The implementation of JFM has provided alternate employment opportunities to the Forest dependent people. Some income from Non-Timber Forest Products like fodder grass and gum etc. has already started flowing to the people. The landless and the poor, especially the Tribals are looking for the continued support. Withdrawing support to the on going activity, particularly at this stage, will adversely affect the poor and sustainability or the programme will become difficult.
1.7 It is in this backdrop that Maharashtra Natural Resource Management Project Phase II is being planned, where JFM approach would be further refined so that, it becomes a programme for rural poverty alleviation.. To have better focus on poverty alleviation, it is proposed to take up this Phase II, Project in 14 districts, where there are maximum number of poor Tribals and Forest dependent people. (List of districts is enclosed in Appendix-1). The focus is now shifted from Forest protection and regeneration to involvement of local villagers for poverty alleviation through "Sustainable Natural Resource Management". The Project seeks to achieve the objective of alleviation of rural poverty in the forest fringe Villages through improving the productivity of forests for sustained growth and increase in income and by strengthening the institution of Vana Samrakshana Samiti (VSS) through Participatory JFM approach.
2. MAHARASHTRA NATURAL RESOURCE MANAGEMENT
PROJECT. (PHASE-II)
2.1 The overall goal of the M.N.R.M. project is "Rehabilitation, maintenance & utilization of forest resources on sustainable basis for the benefit of the community".
2.2 The development objective for the Maharashtra Natural Resource Management Project (MNRMP) is "to enhance livelihood means of forest fringe communities on sustained basis through participatory natural resource management". It is envisaged that the forest should be managed for conservation and productivity enhancement through active participation of the forest fringe poor communities in micro planning, implementation and monitoring processes aimed at forest conservation and natural resource management.
2.3 The project aims at expanding the participatory forest management arrangement in mainly the forested regions of Maharashtra inhabited with majority of the forest dependent communities facing high and growing incidence of poverty due to rapid degradation of the valuable forests.
3. Project components and Activities
The major components and activities of the project is given in the table below:
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4. NEED FOR SOCIAL ASSESSMENT AND ENVIRONMENTAL ASSESSMENT.
The implementation of the proposed Maharashtra Natural Resource Management Project, is likely to influence the society, particularly the rural communities in the forest fringe villages to be selected for special treatment. There are a number of social issues and biotic factors that may affect the success or otherwise of the project. It is necessary to study all such related issues and to identify effective strategies to tackle these factors. Similarly, the project may have its impact on environment due to the inextricably inter-twined nature of the environment and social issues. Hence, environmental impacts will be analysed to tackle the adverse impacts if any. The SA and EA are expected to contribute substantially to evolve appropriate and improved project design and strategy to achieve the project goal of rural poverty alleviation. Hence SA & EA exercise is considered essential before the preparation of Project Implementation Plan to help ensure that the project is socially acceptable and beneficial and environmentally sound and sustainable.
5. OBJECTIVES OF SOCIAL ASSESSMENT.
5.1 To assess the present socio-economic status and needs of primary stake holders in the programme and to evolve strategies to deal with different groups amongst them to ameliorate their economic status.
5.2 To identify and examine various socio-economic factors including gender issues influencing the living conditions of the forest dependent poor communities including the tribals and examine how they can contribute to forest development and derive the benefits by sharing the usufructs from natural resources developed with their participation.
5.3 To identify the likely points of conflict that may arise during the implementation of the participatory approach of the NRM project and suggest conflict resolution measures.
5.4 To study the present land use pattern of all forest and non-forest private and common land resources of the village and to suggest ways to increase their productive potential for enlargement of the economic base of the village community, leading to increase in community income and consequent reduction of pressure on natural forest resources.
5.5 To assess the socio-economic implications of the current use of village livestock population. Study of the attitude or mindset of various groups for acceptance of stall feeding, their perception of equitable utilization of fodder resources by way of removal of cut-grass, how the village community can impose restriction of open grazing in the degraded forest lands to permit their rehabilitation or eco-restoration. To assess the current status of fodder and strategies to augment and utilize the same need to be evolved in consultation with village community particularly the poorer sections who had been using the public and community lands for open grazing, which is one of the major adverse factors causing degradation and denudation of Natural Forest Resources.
5.6 To study the status of employment and self-employment opportunities available in the village. The extent of migratory population moving out in search of employment and suggest ways to provide gainful employment at village level.
6. SCOPE OF SOCIAL ASSESSMENT.
6.1 Social Assessment, will be carried out to identify feasible areas of interventions and participatory planning, implementation and monitoring arrangements. The present socio-economic situation (incomes, livelihood and standard of living) of the population shall be assessed by a compressive SA, in 30 villages out of 3000 villages of proposed Maharashtra Natural Resource Management project area, as a baseline for later monitoring of effects and impact evaluation, and to detect areas needing special attention during further preparation and/or implementation.
6.2 Specially the SA aims to establish sufficient social information and documentation to design the project in accordance with (a) the needs and priorities of the poor and vulnerable people in the project area; (b) ensuring an opportunity for informed participation of poor and vulnerable people in the area in planning, implementation, and Monitoring and Evaluation, throughout the project; (c) the existing institutional and organisational capacity of the communities and/or groups and individuals within these to manage and implement project activities, and (d) adhering to the Operational Directive 4.20 (Indigenous Peoples) of the World Bank. Simultaneously, the social assessment exercise provides an opportunity to initiate involvement (consultation and participation ) 0f project interested groups (stakeholders).
6.3 The required information falls into four broad elements or the "four pillars" strategy (World Bank’s G. P. 10.5 SA) These are:
(a) Identification of key social development and participation issues.
(b) Evaluation of institutional capacity and social organisational issues.
(c) Definition of the patucipation framework, and
(d) Establishment of benchmarks and mechanisms for monitoring and evaluations.
6.4 The need to undertake primary field work must be determined on already existing studies and knowledge.. The following studies/surveys are expected to be carried out for in the 30 selected sample villages :
(a) Land Use Survey, including forest, non-forest, community and private lands.
Household survey of sample villages selected in each district.
Village/community studies, including use of focus group discussions.
Institutional study of village/community and government level organizations. including an assessment of the capacity, strengths and constraints.
6.5 Design a Tribal Development Strategy for poverty alleviation: In order to ensure that the project be designed in such a way that Scheduled Tribal population, and Scheduled Caste population can identify and take advantage of project activities, specific measures may need to be incorporated into the project design. This is required as per the World Bank Policy on Indigenous Peoples ( OD 4.20). The Tribal people form a majority among the communities involved in Natural Resource Management in forest fringe villages. The study should suggest a plan to enhance project benefits to tribals and to mitigate any likely adverse impact as a result of the project, like eviction of an encroacher on forest land leading to displacement etc. Similarly, rights and privileges of tribals shall have to be safeguarded.
6.6 Definition of Participation Framework
Define Implementation Arrangements. As feed back from intended beneficiaries and others is desirable and important, it is equally important that the project can respond to this feed back. Therefore, the SA must propose arrangements for implementation for the project that is transparent, flexible, and participatory. On the basis of the stakeholder dialogue to ensure ownership and commitment to JFM policy, the SA will define the specific responsibilities and monitorable contributions of each stakeholder group ( e.g. local government agencies, NGOs, Gram Panchayat and Forest Department ). The dialogue will also help determine implementation options including institutional changes, capacity building, and incentives etc. The implementation plan will also include a joint evaluation of the social-development benefits and risks, including potential conflicts and costs.
7. Social Assessment Methodology:
7.1 The Consultant should adopt the ‘four pillars’ strategy for social assessment as described by the World Bank’s G.P.10.05 Social Analysis through Social Assessment; indicated under para 6.3 supra viz. identification of key social development and participation issues; evaluation of institutional and social organizational issues; definition of a participation framework; and establishment of social-based indicators for monitoring and evaluation. The Consultant should follow the draft social assessment guidelines in conducting the SA. The Consultant should adopt the approach outlined in the World Bank Operational Policy on Environmental Assessment(4.01) to conduct the EA, Operational Directive 4.30 on involuntary Resettlement and 4.20 on indigenous People’s to develop a policy frame work and Plan to mitigate any adverse impact of the project and Indigenous People’s Development Plan.
7.2 As regards social aspects of the study, primary data would be collected though quantitative and qualitative surveys using formal and informal sources. Using Participatory Rural Appraisal techniques (including structured interviews and focus group discussions) relevant data/information will be collected from house holds, different social groups, VSS members, local institutions, concerned Government Officials at Village, Taluka and District level, NGOs and other identified groups in the representative Sample population in the Project area. Information would also be collected from secondary sources for correlating the findings from primary data. Baseline information would be established for the village and VSS selected for the study. The data collected should be computerized so that it can be easily integrated into the Project Monitoring & Evaluation system. The consultant, in their proposal, should indicate the sampling methodology for beneficiary assessment, PRA exercises and group discussions.
7.3 Meetings would be organized with stakeholders to share the information. Consultation will be held through holding workshops with project stakeholders at different levels- VSS, Taluka, district and state level.. All consultations will be well documented.
7.4 Method of Sampling:
The N.R.M. Project is top be implemented in 14 selected Districts of Maharashtra State in about 3000 forest fringe villages. Keeping the quantum of work and the time frame in view, 2 villages in each district should be covered for SA and 2 additional villages should be selected at random out of the villages where JFM has been reported as successful during the Phase-I of Maharashtra Forestry Project. Thus, in all 30 villages shall be taken up and randomly selected to eliminate any bias but covering all the eco-zones in the target area of the project.
7.5 Compliance with Operational Policies and Directives:
The studies will also be conducted in accordance with GOI, GOM policies and then World Bank operational policies and directives. The Consultant should become familiar with the policies and directives and ensure that the SA/EA fully addresses the policies and directives.
Environmental Assessment(4.01) under Operational Policies and Business Procedures.
Involuntary Resettlement(4.30) : under Operational Directives
Indigenous People(4.20): under Operational Directives.
Hardcopies of the above documents can also be obtained by contacting the World Bank New Delhi office.
8.0 Outputs of Social Assessment expected:
The Output of Social assessment will be in the form of inception report, issues brought out in the workshops and a final report incorporating all the suggestions that will be useful for preparation of the Project document. It should describe the Social situation in the villages, resource base, legal frame work for the resources, social and economic stratification, sources of livelihood and skills for different social groups. There would be specific analysis on women and other vulnerable sections. It should contain recommendations for Project design reflecting the needs and views of the interest groups at different stages of the Project cycle and develop guidelines for preparation of plan of action to address the issues relating to women, other disadvantaged groups and indigenous people. The following out puts are specifically expected from the study.
a Participative and consultative strategies.
b Base line information and communication strategy,
c Criteria for selection of Project site.
d Policy guidelines and entitlement frame work to mitigate
adverse impacts,
e Resettlement Action Plan (wherever applicable),
f Framework for Tribal Development.
g Indigenous People’s Development Plan,
h Provide guidelines for conducting social assessment at
VSS level during the course
of project implementation.
i The final report should be in the format given in Appendix
III.
9.00 OBJECTIVCES OF ENVIRONMENTAL ASSESSMENT.
9.1 To assess the present Environmental Status of the Project Area with special reference to
a. Forest or Tree Resources on Forest and Non-forest
lands(Timber, fuel, fodder,
Bamboo, NTFP including medicinal plants)
b. Biodiversity ( both floral and faunal)
c. Present status of Soil Moisture and sources of water and
potential for
augmentation.
d Intangible benefits of the Forests and wildlife.
e Biotic factors influencing Flora and Fauna and causing
man-animal conflicts.
9.2 To examine and identify major Environmental issues and impacts with respect to proposed Project Interventions, viz grazing and grazing policy and environmental impact of open grazing with special reference to its adverse impact on overall productivity of fodder as well as on bio-diversity, including wildlife soil erosion, depletion of soil moisture regime and suggest suitable alternate options or measures to mitigate the impacts and to ensure improved sustainability of livelihoods. Similarly, measures to resolve any likely man-animal conflicts should also be suggested.
9.3 To examine the phenomenon of encroachments on forest lands, its environmental impact with special reference to loss of habitat, bio diversity, wildlife, soil erosion and associated aspects and suggest measures to mitigate the adverse impact by putting such lands to better alternate use through agro-forestry, clonal plantation, NTFP and cultivation of medicinal plants etc. but without any adverse impact on the encroachers by safeguarding their interest in the system of Participatory Natural Resource Management, so that it conforms to the National Policy on encroachments as well as to operational Policies of World Bank.
9.4 To assess the use of chemical and Bio-pesticides and chemical and organic/ Bio fertilizers and their impact on productivity and marketing of produce affecting the overall income generation of the village.
9.5 To identify monitoring indicators for assessment of impact of each component of the Project Intervention on identified environmental issues and suggest measures to mitigate adverse impacts if any.
9.6 To suggest a monitoring mechanism for ensuring environmental safeguard, conforming to the National and State policies as well as conforming to the Operational Policies of the Bank.
10.0 SCOPE OF EA
10.1 EA is intended to be a document that would serve to guide the proposed project activities to better incorporate environmental considerations. This should make a comprehensive assessment of issues of environmental significance in the proposed project and follow guidelines as per the Bank’s policy on Environmental Assessment OP 4.01. The Consultant is to develop a document with focus on the core assessments required before the project commences and suggest how to address negative and positive environmental impacts of the project.
10.2 EA scope involves a broad definition of the natural environment and its inter-linkages for analysing impacts of project components. As it relates to sustainable natural resources management. It is important that the EA helps fully integrate environmental concerns and objectives into the project.
10.3 EA would give an overview of the environmental conditions of the regions and their trends, assess adverse impacts associated with project activities and, identify critical and vulnerable eco-system, recommend any suggestions or modifications to project components, establish suitable mechanisms for project components and activities, and establish the institutional and monitoring arrangements for project implementation both for adverse impacts and positive environmental benefits of the project components.
10.4 EA should involve outlining the project components, analyzing the environmental risks in an inter-disciplinary framework, screening criteria for environmental issues in the components, collection and analysis of relevant data, recommendations for inclusion of environmental issues, consultation, monitoring strategies and Environmental Management Plan for the project. Efforts should be make to use all availing existing information as relevant and to outline issues in a clear, unambiguous, multi-disciplinary and as quantitative a manner as possible to assist the settlement of environmental issues in the project.
11. 0 Social and Environment Assessment team:
The team of experts engaged for Social and Environmental Assessment should be a multi disciplinary team and should include:
1. A social scientist with exposure in Forestry sector.
2. A Forester having good experience in Forest management techniques and JFM.
3. A professional in rural development with practical experience of working on rural development issues.
4. an expert in community mobilization and organization and
5. a professional environmentalist.
12.0 Time Schedule. The entire process of the SA and EA is expected to take about four months, including field work.
Activities & Schedule
In summary, the project would primarily involve:
(a) Frequent Contact/Consultation. The Consultant will be in frequent contact with the Forest Department, Government of Maharashtra and designated representatives, and with the World Bank and designated representatives.
Timing: Throughout the SA & EA process.
(b) Consultative Meetings. Public consultation with groups in the region impacted by the project, including potential project beneficiaries, NGOs, academics, etc.
Timing: Through the SA & EA time-frame.
(c) Field Visits. The Consultant will visit the concerned district at least once before submission of the final report to collect and validate information, and develop fact sheets and case studies as part of the project. The schedule and scope of these visits can be determined in consultation with the Forest Department, Government of Maharashtra.
Timing: Before submission of Interim report unless agreed upon otherwise with Government of Maharashtra.
(d) Collection and Analysis of Data & Reports. The Consultant shall uti9lize the information and reports gathered from the Government of Maharashtra, the World Bank and other sources (including other development agencies, institutes such as the Central and State Institutes, NGOs, journal articles, etc.) to present
useful maps and tables and to outline lessons learned from previous and ongoing projects on environmental issues.
Timing: Throughout the SA and EA process.
(e) Seminar. The Consultant will present a summary of the EA and the SA at an appropriate forum to be decided in consultation with Government of Maharashtra and the World Bank.
Timing: Within two weeks of submission of the final reports.
13.0 PRODUCTS & SCHEDULE
(a)Inception Report. Inception report describing methodology, progress, outline of final EA and SA with brief description of each section. In addition, brief description of how environmental and social issues will be integrated in the EA and SA process. This report will be rapidly reviewed by the Government of Maharashtra and the World Bank and comments provided within a fortnight.
The Inception Report is due on (within four weeks of start of assignment)….
(b)Interim Report describing methodology, progress, summary of current recommendations and a table of contents and outline and final EA and SA with description of each section.
The Interim Report is due on (within eight weeks of start of assignment)….
(c)Draft Final Report. The Consultant will produce a EA and SA report as outlined in this TOR. The reports should be developed in a clear, logical and readable manner. Suggested outline of the EA and SA is given in Annex-III. This will include an executive summary of not more than 15 pages. Comments will be provided by the Government of Maharashtra and the World Bank and should be addressed by the Consultant. The Consultant will also submit any additional material that was collected as part of the project that may be of use to the proposed project. An electronic version of the reports will also be submitted (e.g. in MS Word format) for dissemination and discussion purposes.
The Draft Final EA and SA Report is due on (3.5 months after start of assignment)….
Final EA and SA Report. Draft final modified as per comments.
The Final EA and SA Report is due on…( 4 months after start of assignment)
14.0 THE PAYMENT SCHEDULE
Sr. Mile stone
Time frame
Schedule for payment.
No
_______________________________________________________________________________
(1) Entering into agreement
20% of contracted amount
against Bank Guarantee.
(2) Inception report
Four weeks of
20% of contracted amount
entering into
against Bank Guarantee.
agreement.
(3) First progress report
Eight weeks of
20% of contracted
amount.
entering into agreement
(4) Draft final report
Fourteen weeks of 20% of contracted
amount.
entering into agreement.
(5) Final report
Sixteen weeks of
20% of contracted amount.
entering into
agreement.
________________________________________________________________________________
15.0 RESOURCES AVAILABLE
The Consultant will be extended the full support of the Project Preparation Team created for the proposed Maharashtra Natural Resource Management Project. The Government of Maharashtra and the World Bank, through their designated representatives (see Annex V), would pr0vide data and information that would be relevant to the preparation of the EA and SA (including documents from the past, ongoing, proposed projects in the region and other relevant information), identify contacts in the project states, and facilitate consultation with agencies, affected groups, potential project beneficiaries and others. The Consultant would be responsible for contacting the individual identified and synthesize and analyze the information available.
Non public information that the Consultant will be privy to from the Government of Maharashtra and the World bank will be returned after the completion of the EA and the SA and confidentiality of such information will be maintained. The Consultant involved in EA and SA. Development may become ineligible for involvement in this project, if there is an issue of conflict of interest as determined by the Government of Maharashtra or the World Bank.
APPENDIX-I
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APPENDIX II
SUGGESTED OUTLINE OF THE SOCIAL AND ENVIRONMENTAL ASSESSMENT FINAL REPORT.
The Assessment will include a clear and concise executive summary, and sections outlines below that describe the social and environmental issues associated with the proposed project in a regional context. Data that is relevant to the consideration of environmental issues should be attached as a data annex. The report (with all graphics in common formats) should also be made available to the Client in an electronic format.
Executive Summary (15 pages)
Introduction
Project Description
Baseline Social and Environmental information
Lessons from Previous and Ongoing Project
Project Social and Environmental Impacts &
Alternatives Assessment.
Social and Environmental Screening
Monitoring Strategy
Participation and Consultation Strategy
Institutional and Policy Issues
Social Development Action Plan
Environmental Management Plan
Resettlement Action Plan Framework (as required)
Indigenous People’s Development Plan (as required)
Maps
Tables/figures/graphs/photographs
ANNEXURES
Fact sheets – Project Components
Case Studies
Inventory of Other Plans and Projects of Relevance
Data Annex
Information sources/bibliography
ANNEXURE-III
KEY CONTACTS.
Forest Department :
Social Forestry Department,
Forest Development Corporation of Maharashtra Ltd.
Overall EA Contacts as Government of Maharashtra.
Primary EA Contacts at Government of Maharashtra.
State-level Contacts:
To be determined……..
The World Bank.
EA and SA Contacts at the World Bank.