INTEGRATED SAFEGUARDS DATA SHEETCONCEPT STAGE

Date ISDS Prepared/Updated: 3 1-Jul-2015

6 ~Report No.: JSDSC 14624

A. Basic Project Data

Country: India Project ID: P150571

Project Name: Uttar Pradesh Solid Waste Management Project (P1 5057 1)

Task Team Shenhua Wang,RaJesh Balasubramanian

Leader(s):

Estimated 22-Jun-2016 Estimated 13-Dec-2016Appraisal Date: Board Date:

Managing Unit: GSUl2 Lending Investment Project Financing

Instrument:

Sector(s): Solid waste management (100%,)

Theme(s): Infrastructure services for private sector development (15%), City-wideInfrastructure and Service Delivery (50%), Land administrati on andmanagement (20%), Pollution management and environmental health (15%)

Financing (In USD Million)

Total Project Cost: 120.00 Total Bank Financing: 85.00Financing Gap: 0.00

Financing Source Amount

Borrower 35.00

T (International Bank for Reconstruction and Development 85.00

Total 120.00

Environmental A - Full Assessment

Category:

Is this a No

Repeaterproject?

B. Project Objectives

The project development objective (PDO) is to improve solid waste management in selected urbanlocal bodies in Uttar Pradesh.

C. Project Description

The proposed project will finance the first phase of the SWM improvement program ofGoUP, which

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

will comprise development of 3 to 5 regional landfills to serve up to about 60 ULBs. Inclusion ofULBs with large waste generation will be given priority to assure efficient and viable wastemanagement operations. The project will comprise the following two components.

O

U Component 1. Solid Waste Collection, Processing and Disposal comprising:(a) Waste Collection and Transport: including: (i) door-to-door collection including waste

separation at source, recovery of recyclable wastes, and transport to processing plants; (ii) separatecollection of inert fraction of street sweepings;(b) Waste Processing Plants: including: (i) secondary separation; (ii) composting biodegradablewaste; and (iii) separation of combustible waste;(c) Regional Sanitary Landfills: Collection of inert waste, including inert street sweepings fromprocessing plants; treatment and disposal of inert non-combustible fraction of solid wastes in sanitarylandfills, including leachate and boreholes for monitoring groundwater quality.

Component 2: Monitoring and Management Support:(a) Design and implementation of an intensive IEC campaign to achieve behavioral change incitizens;(b) Technical assistance to SWOM to monitor and manage performance of service providers,administer contracts on behalf of ULBs;(c) Development of proposals for enhancing ULB revenues to meet O&M obligations to serviceproviders;(d) On-the-job training for ULB officials on management and monitoring of solid wasteoperations working with SWOM Cell.

Tentative Cost Estimate and Financing Plan. The tentative project cost estimate is about US$120million. The preliminary financing plan for the proposed UP-SWMP is for 70% Bank loan and 30%counterpart funding, i.e., World Bank: US$85 million (IBRD loan) and GoUP/Gol: US$35 million.

Proposed Strategy for the UP-SWMP. The primary goal of the project is to improve solid waste

management in ULBs, and avoid service interruptions due to defaults by ULBs or operators. Keyfeatures of the strategy include: (i) selection of regional landfills owned and managed by the Statethat can serve clusters of ULBs within a 50 km radius, with each cluster having about 15 ULBs, onaverage; (ii) selection of 3 to 5 clusters each with total waste generation exceeding 250 tons/day, for

a financing under the proposed project; (iii) introduction of door-to-door collection, incorporatingwaste separation at source, complemented with an intensive and continuous IEC campaign; (iv)secondary waste separation done at the processing plant or transfer station to: remove morerecyclables; separation of organic wastes for composting, and combustible wastes for RDF or wasteto energy; and non-combustible inert waste for disposal at landfills; (iv) individual or decentralizedwaste processing, depending upon economies of scale; (v) use of existing informal sector marketingsystems for recycled waste and inputs for refuse derived fuel production; (vi) retention of the currentlivelihoods of informal sector waste pickers (of recycling activities) without change, and explorationof workable options to incorporate them in waste collection; (vii) earmarking Central and StateGovernment transfers to ULBs, to meet payment obligations to operators; (viii) establishment ofsolid waste operations management (SWOM) unit in C&DS, to monitor performance of serviceproviders and administer contracts, on behalf of ULBs; and (vi) revenue enhancement in ULBs tomeet O&M payment obligations to operators.

D. Project location and salient physical characteristics relevant to the safeguardanalysis (if known)

The Project is expected to improve solid waste management in about 60 ULBs in the state of UttarPradesh in India, through development of appropriate waste collection, transportation, processing anddisposal arrangements. This also includes development of regional waste disposal facilities byclustering ULBs. Based on the initial work done by UP Jal Nigaam, about 9 clusters have beenidentified and these are located near Ghaziabad, Bijnor, Hardoi, Kanpur, Mirzapur, Rampur andGazipur cities of the state.

Considering the varied distribution of these cities across the state, the project is expected to* encounter diverse socio-economic and environmental features that are present in Uttar Pradesh (UP).

UP is India's most populous state and has number of environmental, religious, cultural, historicalfeatures of significance. Important of these features include, the River Ganga, iconic Taj Mahal,Dudhwa National Park, about 5 wild life sanctuaries and over 14000 sq.km (6% of the total area ofthe state) of forest area. Depending on the actual location of various facilities of the project, theimpacts (if any) on these features will have to be assessed and appropriate avoidance / mitigation /management will have to be integrated in the project.

E. Borrowers Institutional Capacity for Safeguard Policies

The overall management of the project will be carried out by the Construction &Design ServicesUnit of Uttar Pradesh Jal Nigam (UPJN). This unit will be strengthened with appropriate technicaland safeguard specialists, to facilitate the preparation of the project. The agency has neverimplemented investment projects supported by the World Bank and hence their capacity in theimplementation of safeguard policies is weak. However, UPJN as an executing agency of theongoing Ganga Project supported by the Bank, is exposed to the safeguard policies of The WorldBank. The project proposes build on this experience and strengthen the capacity during projectpreparation and implementation through orientation programs and deployment of qualified SafeguardSpecialists. In addition appropriate staffing and capacity will also be ensured at the local agencies,depending on the overall institutional design of the project.

F. Environmental and Social Safeguards Specialists on the Team

U5 Harinath Sesha Appalarajugari (GENDR)

Mridula Singh (GSURR)O

II. SAFEGUARD POLICIES THAT MIGHT APPLY

Safeguard Policies Triggered? Explanation (Optional)Environmental Assessment Yes OP 4.01 is triggered as the project will supportOP/BP 4.01 construction of waste processing and disposal

facilities, which could involve significantenvironmental impacts, if not designed anddeveloped with suitable avoidance / management andmitigation measures.

The project hence has been identified as 'CategoryA' and Environmental Assessment will be carriedout, for each of the sub-project in compliance to thesafeguard policies of The World Bank. A projectlevel Environmental and Social ManagementFramework will also be prepared to guide the

implementing agency in the overall design andimplementation of the project.

Natural Habitats OP/BP 4.04 No Based on the available information on the initial sitesidentified for the clusters, no impacts on naturalhabitats is envisaged. The project will ensure thisduring the preparation and implementation and willnot support any activities that require triggering OP4.04. This will be included as part of the ESMF.

Forests OP/BP 4.36 No Based on the available information on the initial sitesidentified for the clusters, the project activities doesnot require triggering OP 4.36. The project willensure this during the preparation andimplementation and will not support any activitiesthat require triggering OP 4.36. This will be includedas part of the ESMF.

Pest Management OP 4.09 No Based on the available information on the initial sitesidentified for the clusters, the project activities doesnot require triggering OP 4.09. The project willensure this during the preparation andimplementation and will not support any activitiesthat require triggering OP 4.09. This will be includedas part of the ESMF.

Physical Cultural Resources TBD Based on the available information on the initial sitesOP/BP 4.11 identified for the clusters, the project activities does

not require triggering OP 4.11. Depending on thelocation of the project facilities, possible discoveryof archeological sites or random findings during theexecution of works, can't be ruled out. This will becarefully assessed during preparation andapplicability of this policy will be confirmed prior toappraisal.

Indigenous Peoples OP/BP No OP 4.10 is not triggered. The geographical location4.10 does not cover settlements within Scheduled area V

and VI. The project will be in Urban and Peri-Urbanareas and none of the characteristics stated in OP4. 10to trigger the policy is prevalent in the proposed

project area.

Involuntary Resettlement OP/ Yes OP 4.12 is triggered. The project design is such thatBP 4.12 it may lead to adverse impact on people as a result of

either private/ government land required for disposalof waste. The project does not envisage economicdisplacement of primary stakeholders such as rag-pickers, rather it will provide opportunities toenhance the working environment of the affected.Whichever land may be used for disposal of waste, itis likely that there may be resistance to the site from

neighboring settlements. There could be numerouscauses for such resistance such as, local communitymay perceive it as a health hazard, adversely impactland prices, etc.

The project will carry out Social Assessment toprepare ESMF, appropriate mitigation plansincluding community engagement plan to complywith World Bank's Policy OP 4.12. For identifiedsub-projects, social impact assessment will be carriedout to prepare Resettlement Action Plan inconsultation with the directly and indirectly affectedcommunities. The need for RPF may arise if theproject will displace (Physically or economically)people who are dependent on government land,identified for the facilities. The project proposes touse only encumbrance free government land and notacquire private land. Under such circumstances,standalone RFP may not be essential.

Safety of Dams OP/BP 4.37 No Project Activities does not involve any activitiesrelating to dams and their safety and hence nottriggered.

Projects on International No Project activities are not located / does not involveWaterways OP/BP 7.50 the international waterways and hence not triggered.

Projects in Disputed Areas OP/ No Project activities are not located in disputed areasBP 7.60 and hence not triggered.

III. SAFEGUARD PREPARATION PLANo

A. Tentative target date for preparing the PAD Stage ISDS: 20-Jun-2016

B. Time frame for launching and completing the safeguard-related studies that may be needed.The specific studies and their timing1 should be specified in the PAD-stage ISDS:

Considering the magnitude and significance of the project activities, the project is categorized"Category is A". The safeguard preparation plan includes development of an 'Environmental andSocial Management Framework (ESMF)' for the overall project and carrying out specific'Environmental and Social Assessments' including Resettlement Action Plan for the sub- projectsthat will be implemented in the first year of the project. These documents will be prepared andfinalized by appraisal.

IV. APPROVALS

Task Team Leader(s): Name: Shenhua Wang,Rajesh Balasubramanian

Approved By:

Safeguards Advisor: Name: Maged Mahmoud Hamed (SA) Date: 21-Aug-2015

Practice Manager/ Name: Ming Zhang (PMGR) Date: 22-Aug-2015Manager:

1 Reminder: The Bank's Disclosure Policy requires that safeguard-related documents be disclosed before appraisal (i) at the InfoShop and (ii) in country, at publicly accessible locations and in aform and language that are accessible to potentially affected persons.