1. ADB Safeguard Policy Statement (2009)
                                                                                    
Policy Principles and Requirements

2. Scope of Application
- Applies to all ADB-financed and/or ADB-administered projects and their components regardless of the source of financing, including investment projects funded by a loan; and or grant; and/or other means, such as equity and/or guarantees
Safeguards are important because they:
Prevent and mitigate undue harm to people and the environment in the
development process
improve environmental & social sustainability of projects thus improving
development outcomes
address reputational risk to ADB

3. Policy Objectives
avoid adverse impacts of projects on the environment and affected people, where possible;
minimize, mitigate, and/or compensate for adverse project impacts on the environment and affected people when avoidance is not possible; and
help borrowers/clients to strengthen their safeguard systems and develop the capacity to manage environmental and social risks.

4. Safeguards Requirements
Environmental Safeguards (SR1)
Involuntary Resettlement Safeguards (SR2)
Indigenous People Safeguards (SR3)
Environment Policy (2002)
Involuntary Resettlement Policy (1995)
Indigenous People Policy (1998)

5. National Capital Region Urban Infrastructure Financing Facility
Project Number
Financing
Public sector (Sovereign)
Approval Date
10 Aug 2010
Geographical Location
NCR and CMAs
Sector / Subsector Classification
Multi-sector
Safeguard Categories
Environment: FI
Resettlement: FI (B)
Indigenous People: FI (C)
The project's impact is to improve the quality of life and economic well-being of urban residents in India's National Capital Region (NCR) and counter magnet areas (CMAs). The project's outcome is that urban residents in the intervention cities of the NCR and CMAs use improved growth-supporting and public health and environmental urban infrastructure services in accordance with the priorities of Regional Plan 2021.
Project Data Sheet

6. ADB Environmental Safeguards Policy
Requirements and Management

7. Safeguard Requirements 1: Environment
Objectives
Ensure the environmental soundness and sustainability of projects
Support the integration of environmental considerations into the project decision-making process

8. Safeguard Requirements 1: Environment
Policy Triggers
If a project is likely to have potential environmental risks and impacts

9. Environmental Safeguards Requirements
1. Project screening and categorization 2. Environmental assessment (any sensitive areas or project features requiring Category A?) 3. Alternatives examination (Category A only) 4. Environmental management plan 5. Consultation and grievance redress mechanism 6. Information disclosure 7. Monitoring and reporting 8. Biodiversity protection and natural resources management 9. Pollution prevention and abatement 10. Occupational and community health and safety 11. Physical cultural resources

10. Screening and Categorization
Projects are assigned to one of the following categorization:
A - EIA
B - IEE
C - No EA required
FI - ESMS

11. ESMS Operational Procedures Screening and Categorization
ADB
ESMS
MoEF
NCRPB Requirement
MOEF Requirement A E1
Full EIA
Full EIA (MOEF Level) B E2 B1
Limited EIA / IEE
Limited EIA (State Level) B2
Detailed Questionnaire (State Level)
No Category
No EIA required C E3
Definition of the different scenarios:
E1 – significant impacts or in ecosensitive areas
E2 – limited environmental impacts (site-specific, few if any of them are irreversible, and in most cases mitigation measures can be defined)
E3 – no environmental impacts (likely to have minimal or no adverse environmental impacts)
The table also provides the likely MOEF categorization of the project as well as the ADB categorization. For E2 projects, NCRPB will determine the MOEF category using the EIA Notification Once the NCRPB’s Environmental Categorization is done, the appropriate EIA requirement will be specified to the project proponent/IA. In addition, NCRPB will also advise the project proponent /IA of the MOEF categorization and what needs to be done by the project proponent/IA.
Once the MOEF category is determined, NCRPB will have to ensure that the project proponent/IA follows their MOEF process and requirements.

12. Environmental Assessment (EA)
Required to identify potential impacts:
Physical
Biological
Socioeconomic
physical-cultural resources
Cumulative impacts
Induced impacts in the context of the project’s area of influence.
Socioeconomic - including impacts on livelihood through environmental media, health and safety, vulnerable groups, and gender issues

13. Environmental Management Plan (EMP)
EMP will include:
minimization and mitigation measures
monitoring and reporting requirements
institutional arrangements
capacity development and training measures
implementation schedule
cost estimates
performance indicators

14. ESMS Operational Procedures E1 Projects
NCRPB will advise the project proponent/IA that ADB will be involved in the appraisal process from the very early stages.
As part of due diligence, ADB will:
Review environmental information collected
Determine any additional information needed
Assist in determining appropriate mitigation measures
Specify conditions under which the projects may proceed
ADB will clear the EIA before project approval and will disclose the draft EIA report 120 days before approval of the project.
For E1 projects, NCRPB will advise the project proponent/IA that ADB will be involved in the appraisal process from the very early stages.

15. Involuntary Resettlement and Indigenous People Safeguards Requirements (Social Safeguards)

16. Basic Principles Avoid or minimize adverse impacts
Enhance or restore livelihoods
Improve the living standards of the displaced poor and vulnerable people
Meaningful consultations
Ascertain consent (IP)

17. Why ADB Safeguards Policy
Gaps on DMC’s land acquisition laws
Replace lost assets at replacement cost
Rehabilitate livelihood (for the titled and non-titled
Protect poor and vulnerable groups (IP/EM)
Develop rehabilitation strategies
Impoverishment risks from development activity
Resettlement as development opportunity

18. Not Doing IR - IP Right
Costly delays Public opposition Reputational risks Credibility loss of ADB and Borrower
Costly delays: ADB management could ask the government to stop any civil works activity and stop disbursement of fund for any violation of agreed covenants/ ADB policy. This will increase the project cost significantly as the contractor will charge the project for any delays in construction due to this matter.
Opposition: (1) social actions (demonstration) , (2) submission of complaints through ADB accountability Mechanism (Consultation/ OSPF and Compliance Review Panel), (3) ADB NGO Forum was formed to monitor ADB projects all over Asia.
Courtesy of Urban Resource Centre Karachi 

19. Safeguard Requirements 2 : Involuntary Resettlement
Scope and Triggers:
“Physical and economical displacement as result of”
Acquisition of assets*
Land use changes
Restricted access
* Full or partial; permanent or temporary

20. Eligible Displaced Persons
Titled Legalizable Nontitled/ informal squatters
Legalizable: A person that eligible to have legal title but for one thing or another did not have one. Due to poverty, uninformed, loss of documentation, informal arrangement, etc.
Nontitled: no title at all (i.e. squatters, nomad, etc.)

21. Safeguard Requirements 3 : Indigenous People
Scope and Triggers:
“If project directly or indirectly affects”
IP Dignity or human rights
IP Livelihood systems or culture
IP Territories or cultural resources

22. Indigenous People – Working Criteria
Distinct
Self identification
Collective attachment
Cultural/ customary institution
Vulnerable

23. Basic Requirements Inform the AP/IP early
Prepare the RP/IPP in consultation with AP/IP
Disclose and get RP/IPP endorsement from the AP/IP
Compensate and provide other assistance before physical and/or economical displacement
Monitor the process

24. Project Categorization – ESMS
ADB
ESMS
Impact
NCRPB Requirement A S1
Significant
RP – IPP to ADB for review B S2
Less Significant
(S)RP – IPP to ADB for review C S3
No impact NA
Each ADB funded project is categorized based on the impacts of the project to the affected population.
Significant : >200 DP or 10% productive assets
Required Documents: Depending on the project lending modality -

25. Safeguards Compliance Flowchart
Project Categorization
Safeguards Document Preparation (EA/IA)
RP disclosed to AP and endorsed
S1 –S2 subproject RP/IPP submitted for ADB review and approval
Upload at ADB website
RP Implementation and report submission of RP/IPP implementation to ADB for S1 subproject
Civil works starts
Submission of Semiannual Monitoring Report and ESMS Annual Independent Audit Report

26. Information Disclosure – Monitoring - Reporting

27. Information Disclosure
Social
Environment
draft EIA reports for category A projects (120-day rule)
draft EARF before project appraisal
final or updated EIA/IEE,
environmental monitoring reports (annual/ semiannual/ quarterly)
Draft endorsed RP/ IPP and/or RF/IPPF before project appraisal
Final endorsed RP/IPP upon completion
Updated/new RP/IPP or CAP during project implementation
Semiannual monitoring reports

28. Information Disclosure
NCRPB will be required to:
(i) Submit to ADB the safeguard documents for disclosure
(ii) Provide relevant information, including information from the above documents in a timely manner, in an accessible place and in a form and language(s) understandable to AP and other stakeholders

29. Monitoring and Reporting
NCRPB will:
Retain qualified and experienced external experts or NGOs to verify its monitoring information, for Cat. A projects
Prepare monitoring reports that describe progress with implementation of the EMP, and corrective actions if any

30. Monitoring and Reporting
Submit to ADB :
semiannual reports during construction;
quarterly reports for highly complex and sensitive projects
annual monitoring report (ESMS)
annual independent auditor report (ESMS)

31. Consultation - Grievance Redress Mechanism – ADB Accountability Mechanism

32. Consultation & Grievance Redress Mechanism
The borrower/client will carry out meaningful consultation with affected people (AP) and other concerned stakeholders

33. Grievance Redress Mechanism
The project to establish a mechanism to receive and facilitate resolution of APs grievance
Scaled to the risks and impacts
Address AP’s complaints promptly, using a transparent process that is gender responsive and readily accessible to the AP
Does not impede access to the country’s judicial or administrative remedies
Inform AP about the mechanism

34. Consultation Meaningful consultation is a process that:
begins early and is carried out on an ongoing basis
provides timely disclosure of relevant and adequate
information accessible to affected people
is undertaken in an atmosphere free of intimidation
is gender inclusive and responsive, and tailored to the needs of vulnerable groups
enables the incorporation of all relevant views

35. ADB Accountability Mechanism 2012 (1)
An independent forum for people adversely affected by ADB-assisted projects where they can: (i) voice their concerns and seek solutions to their problems, and (ii) request a review of alleged noncompliance by ADB with its operational policies and procedures

36. ADB Accountability Mechanism (2)
Who?
2 or more adversely affected people
AP authorize representative
NGO – Board members
How?
Write a letter/ / fax in any official or national language to:
Complaint Receiving Officer at ADB HQ in Manila
Any ADB RM office
When?
Any time during project’s life but no more than 2 years after project closing date