US Agency for International Development (USAID) / India
INITIAL ENVIRONMENTAL EXAMINATION (IEE)
Narmada Landscapes Rejuvenation Project
Program/Project/Activity Data:
Activity/Project Title: Narmada Landscapes Rejuvenation
Project
Solicitation #: N.A.
Contract /Award Number (if known): N.A
Geographic Location : India; 386,
Originating Bureau/Office: USAID/India, Clean Energy and
Environment (CLEEO)
Supplemental IEE: ☐ Yes ☒No
Amendment: ☐Yes ☒No
Programmatic IEE: ☐Yes ☒No
DCN and date of Original document: N.A
DCN and ECD link (s) of Amendment (s): N.A
Amendment No: N.A
Funding Amount: $1.75 Million
Life of Project Amount: $3.5 Million
Implementation Start/End: FY 2019/ FY 2023
Prepared By: Soumitri Das
Date Prepared: April 21, 2019
Expiration Date (if any):
Reporting due dates (if any): N.A
Environmental Media and /or Human Health Potentially Impacted
(check all that apply)
None ☒Air ☐ Water ☐ Land ☐ Biodiversity ☐Human Health ☐Other
☐
Recommended Threshold Determination:
☒Negative Determination ☒With Conditions
☒Categorical Exclusion
☐Positive Determination
☐Deferral
☐Exemption
☐USG Domestic NEPA action
Climate Change
☐GCC/Adaptation ☐GCC/Mitigation ☒Climate Change Vulnerability
Analysis (included)
Adaptation/Mitigation Measures: Not Applicable
SUMMARY OF FINDINGS
Pursuant to 22 CFR 216.2(a), environmental analysis/evaluation
is required for new projects, programs or activities authorized by
USAID. This Initial Environmental Examination (IEE) evaluates the
Narmada Landscapes Rejuvenation Project activity under the
USAID/India Partnerships APS over a period of four years.
RECOMMENDED ACTION:
(i) Categorical Exclusion (approximately $1.75 million amounting
to 50 per cent of budget). Pursuant to 22 CFR 216.2(c) (3), the
originator of the activities (USAID/India Clean Energy and
Environment Office (CLEEO)) has determined that “core” program
activities, which include technical assistance, training and
capacity building are environmentally neutral actions, (Table I),
consist of types of interventions entirely within the categories
listed in 216.2(c) (2) and are therefore recommended to be
categorically excluded by falling under the following classes of
actions:
· The action does not have an effect on the natural or physical
environment {22 CFR 216.2(c)(1)(i)};
· Education, technical assistance, or training programs except
to the extent such programs include activities directly affecting
the environment (such as construction of facilities, etc.) {22 CFR
216.2(c)(2)(i)};
· Document and information transfers {22 CFR
216.2(c)(2)(v)}.
(ii) Negative Determination with Conditions (NDC) (approximately
$1.75 million amounting to 50 per cent of budget): A Negative
Determination with Conditions is recommended for certain
interventions, namely the interventions in the north and south
banks of river Narmada. Interventions in the north bank focus on
forestry activities such as reforestation, soil and moisture
conservation and rainwater harvesting measures. In the South Bank,
the interventions focus on reducing the use of fertilizers and
chemicals in agriculture and promoting organic farming. No USAID
funds will be used for procurement or use, or both, of pesticides.
All small-scale construction activities such as for sunken pits,
percolation tanks, poly houses will be in accordance USAID best
practice guidelines[footnoteRef:1]. To ensure compliance, the
Implementing Partner shall complete environmental data form review
report (EDF/RR) and climate risk screening and based on its
findings shall develop an Environmental Mitigation and Monitoring
Plan (EMMP) at the overall Activity level which will be reviewed
and approved by the AOR and the Mission Environmental Officer (MEO)
and Climate Integration Lead (CIL). The AOR shall also carry out
random site visits to ensure compliance with the mitigation,
monitoring and reporting measures listed in the EMMP. The
Implementing Partner shall ensure compliance with all relevant
national and state regulations on environment and forestry. The
Implementing Partner will also undertake training and educational
efforts to improve the awareness of beneficiaries and sub grantees
on environmental regulations and climate change impacts. [1:
http://www.usaidgems.org/Documents/SectorGuidelines/SectorEnvironmentalGuidelines_Construction_2014.pdf]
(iii) Climate Risk Screening: The initial screening of the
project against the climate change effects indicate that the
activities pose moderate social or environmental risks. Based on
the information none of the proposed project activities will effect
climate change and eco-systems and cause GHG emissions. In fact the
activity is focused on reforestation activities using local and
native tree species, which will reduce GHG emissions and increase
sequestration. The project interventions are at medium risk of
floods considering its location. However, the project activities
will mitigate the impact of flooding on the adjoining
settlements.
1. BACKGROUND AND ACTIVITY DESCRIPTION
1.1 Purpose and Scope of the IEE
The purpose of this IEE is to reflect on potential environmental
impact under the India Partnership APS environment activity – the
‘Narmada Landscapes Rejuvenation Project’ to be implemented over
four years.
1.2 Background
The U.S. Agency for International Development (USAID) is
committed to increasing dramatically the sustainable impact of its
development assistance programs in India through partnerships
between the public and private sectors. Given that the flow of
private resources far surpasses the flow of official development
assistance, this India Partnerships Annual Program Statement (APS)
recognizes and seeks to capitalize on this opportunity.
Public-private Partnerships enable the Agency to leverage private
sector innovation, markets, expertise, interests, and assets, along
with public resources from a variety of contributors, in a manner
that solves critical development problems and promotes effective,
sustainable development, either through market-led solutions or
public pathways. This India Partnership APS is designed to
catalyze, facilitate, and support such collaboration.
The catchment of the river Narmada in peninsular India is
experiencing enormous land use pressures. Forest loss and
degradation has resulted in increased topsoil erosion, reduced
groundwater recharge and increased sedimentation in Narmada’s
tributaries. Irrigation-intensive agriculture and associated
overuse of pesticides and fertilizers are also polluting the soil
and water, thereby adversely affecting the quantity and quality of
water in the river system. This has serious implications for water
and livelihood security of the forest and agrarian communities in
the catchment. This also has an impact on the availability of clean
water for the bigger cities such as Indore.
The river Narmada originates in Madhya Pradesh and flows through
the state of Gujarat before draining into the Gulf of Khambat in
the Arabian Sea. The Sardar Sarovar Projects in the river Narmada
constitute one of the largest water resources projects ever
undertaken in India; their impact extends over an immense area and
affects a very large number of people. The Sardar Sarovar project
was a vision of India’s first Deputy Prime Minister, Sardar
Vallabhbhai Patel. The foundation stone of the project was laid out
by India’s first Prime Minister Pandit Jawaharlal Nehru on April 5,
1961. The project had been the subject of much controversy for
decades; first, the dispute over the means of distributing the
Narmada water among the three states- Gujarat, Maharashtra and
Madhya Pradesh; and later, the non-compliance with the
environmental and social conditions set up the then Ministry of
Environment and Forests. The Sardar Sarovar Projects (which include
the dam, canal and irrigation system) are intended to bring
drinking water to Kachchh and other drought-prone regions of
Gujarat, and to irrigate a vast area of Madhya Pradesh as well as
two districts of Rajasthan.
Under this new activity, USAID is partnering with the Global
Green Growth Institute (GGGI) and NTPC Ltd to improve the quantity
and quality of water of two of the tributaries of river Narmada in
Madhya Pradesh through sustainable landscape management
interventions. The activity interventions are expected to bring a
positive change in the lives of forest-dependent and agrarian
communities such as improved access to natural resources, improved
livelihood, and reduced chemical exposure. This would incentivize
the catchment communities to participate and sustain these
interventions. At the same time, the improved water quality and
availability in the tributaries of river Narmada is expected to
generate evidence to incentivize end-users to invest in the
sustainable management of the landscape for the ecosystem services
(such as water) provided. One such major end-user is the municipal
corporation that supplies water to the city of Indore, a major city
in Madhya Pradesh. 94 percent of municipal water supply to Indore
is drawn at Maheshwar Dam on the river Narmada, downstream of the
two tributaries under the activity.
GGGI is a treaty-based Inter-Governmental organization with 28
Member Countries and 27 Country Programs in 4 thematic areas of
sustainable energy, sustainable landscapes, water & sanitation,
and green cities. NTPC Ltd is an Indian Public Sector Undertaking,
engaged in the business of generation of electricity and allied
activities.
The activity has a total investment of $3,500,000 of which GGGI
has leveraged $1,750,000 from NTPC. USAID is contributing
$1,750,000 over four years for this activity.
1.3 Description of Activities
The project seeks to improve quantity and quality of water of
two tributaries of river Narmada through sustainable landscape
management interventions. The interventions will be implemented
over an area of 10,000 hectares (ha), covering 5000 ha in the north
and south bank each. In the north bank, interventions are proposed
in forest-dominated watersheds of three villages located on river
Choral, a tributary of river Narmada. In the south bank,
interventions are proposed in agriculture-dominated watersheds of
villages along three streams that meet river Khadkai, a tributary
of river Narmada.
In the north bank, afforestation/reforestation/revegetation
activities will be implemented with the support of Joint Forest
Management Committees (JFMCs) under the supervision of Barwaha
Forest Division of Madhya Pradesh Forest Department. These
include:
i. Agroforestry through local communities, wherever the
potential exists (no chemical or fertilizers will be used)
ii. Soil and moisture conservation work (Drainage line treatment
and area treatment at strategic locations) such as sunken pits to
control soil erosion and slow down overland flow for augmenting
infiltration (these will be small-scale construction).
iii. Rainwater harvesting measures such as check dams,
percolation tanks, farm ponds and contour trenches to address water
scarcity of the local communities, to improve flow of water in the
tributary channel and facilitate groundwater recharge (these will
be small-scale construction).
iv. Riparian buffers will be restored given the importance of
these vegetated areas for sediment, nutrient and pollutants
interception, bank stabilization and biodiversity impacts.
In the south bank, farmer groups will be encouraged to take up
organic farming and crop diversification measures. The specific
interventions would include:
i. Agro-silvi-horticulture (agroforestry) propagation so that
fruit-bearing trees and shrubs improve the quality of runoff,
reduce soil erosion and improve groundwater recharge. It will also
diversify the farmer’s sources of income and is expected to improve
their resilience to natural calamities.
ii. Poly-house sheds in order to improve resource efficiency of
farmers, increase their productivity as well as profit margins
(these will be small-scale construction).
iii. Strengthening of government schemes like the National Soil
Health Card scheme, which focuses on reducing the rampant use of
fertilizer by the farmers in the absence of information on the soil
condition.
iv. Rainwater harvesting measures to address water scarcity of
the local communities, to improve flow of water in the tributary
channel and facilitate groundwater recharge
v. Riparian buffers will be restored given the importance of
these vegetated areas for sediment, nutrient and pollutants
interception, bank stabilization and biodiversity impacts (these
will be small-scale construction).
vi. Drainage line treatment and area treatment to improve flow
of streams.
The organic market linkage will involve supporting farmers to
switch to organic farming. During the conversion period,
registration of a Farmer Producer Organization (FPO), organic
certification based on national and international standards, and
branding and marketing of the products from the FPO at Indore
organic markets will be organized. Livelihood development and
skills training activities around NTFP collection, sustainable
livestock management, organic farming and crop diversification will
also be undertaken under the project.
Most of the interventions on the North bank will be through
USAID funds while funds from NTPC will be used for the
interventions on the South Bank.
In accordance with ADS 204.3.9(a), a due diligence was conducted
on the proposed partner’s past record of environmental
accountability. No adverse findings were reported. Attachment 1
includes relevant documentation pertaining to the policies and
activities of the partner (GGGI and NTPC) related to environment
and social responsibility.
Leverage: The activity has a total investment of $3,500,000 of
which GGGI has leveraged $1,750,000 from NTPC. USAID is
contributing $1,750,000 over four years for this activity. The
leverage is 1:1.
Geography and Beneficiaries: The program will be implemented in
the state of Madhya Pradesh. Beneficiaries include forest-dependent
communities, local farmers in the project area, landless laborers,
Indore Municipal Corporation (IMC) and Government of Madhya
Pradesh
2. RECOMMENDED THRESHOLD DECISIONS AND MITIGATION ACTIONS
Categorical Exclusion and Negative Determination with Conditions
(Please refer to the Summary Section).
The justification for recommending a determination of
Categorical Exclusion for activities under the project is due to
their nature, such as technical cooperation, training programs,
capacity building, knowledge management and communication, and
other similar types of environmentally neutral actions. For certain
activities, a determination of NDC has been made.
The table below lists the major activities of the Program
according to Reg. 216 requirements and recommends Threshold
Decisions and environmental compliance actions.
Components and illustrative activities
Effect on Natural or Physical environment
Threshold decisions and Reg.216 actions required
1
North bank activities
Insignificant effect
Negative Determination with Conditions:
· Implementing Partner shall complete environmental data form
review report (EDF/RR) and climate risk screening.
· Based on above, the Implementing Partner will develop an
Environmental Mitigation and Monitoring Plan (EMMP) at the overall
Activity level which will be reviewed and approved by the AOR and
Mission Environmental Officer (MEO)/CIL.
· The Implementing Partner shall ensure compliance with all
relevant national and state regulations on environment and
forestry. The AOR shall carry out random site visits to ensure that
the mitigation measures listed in the EMMP are implemented.
· The Implementing Partner will also undertake training and
educational efforts to improve the awareness of its beneficiaries
and sub grantees on environmental regulations.
2
South bank activities
Insignificant effect
Negative Determination with Conditions:
· Implementing Partner shall complete environmental data form
review report (EDF/RR) and climate risk screening.
· Based on above, the Implementing Partner will develop an
Environmental Mitigation and Monitoring Plan (EMMP) at the overall
Activity level which will be reviewed and approved by the Mission
Environmental Officer (MEO).
· The Implementing Partner shall ensure compliance with all
relevant national and state regulations on environment and
forestry. The AOR will carry out random site visits to ensure that
the mitigation measures listed in the EMMP are implemented.
· The Implementing Partner will also undertake training and
educational efforts to improve the awareness of its beneficiaries
and sub grantees on environmental regulations.
3
Training and Outreach
No effect
Categorical Exclusion: No action required.
3. MITIGATION, MONITORING & EVALUATION
3.1 Specific Responsibilities
The AOR and the MEO/CIL will review and approve environmental
compliance documentation, conduct spot checks to ensure that
conditions in the IEE are met, mitigating measures identified are
implemented, and adequate measurement protocols are in place to
ensure their implementation, and provide guidance when required to
the Implementing Partner.
3.2 Reporting Requirements
The Implementing Partner will regularly report to USAID on and
have a section on environmental compliance in its Annual Work
Plans. The partner will also include results of monitoring against
benchmarks including for climate adaptation and mitigation in
compliance with the GOI commitments. The Final Report will also
have a section that will summarize activities related to
environmental compliance and will describe results, including
information on any positive or negative environmental effects of
Activity interventions.
4. LIMITATIONS OF THE IEE
This IEE does not cover activities involving:
· Assistance for the procurement, use or recommendation for use
of pesticides
· Assistance, procurement or use of genetically modified
organisms (GMOs)
· Development Credit Authority (DCA)
· Procurement or use of Asbestos, Lead, Mercury Containing
Materials (ALMCM)
· Non-native potentially invasive species. (If non-native,
invasive species analysis shall be conducted and approved by
BEO/Asia and Asia Biodiversity Lead).
5. REVISIONS
Pursuant to 22 CFR 216.3(a) (9), if new information becomes
available which indicates that activities to be funded by the
project might be “major” and their effects “significant,” this
determination will be reviewed and revised by USAID/India and
submitted to the Bureau Environmental Officer (BEO) for approval,
and, if appropriate, an environmental assessment will be prepared
in accordance with the procedures stipulated in 22 CFR 216. It is
the responsibilities of the AOR to timely inform the Mission
Environment Officer and BEO of any changes in the scope and nature
of the approved activities, which may require the revision of the
approved Threshold Decision.
APPROVAL OF ENVIRONMENT ACTION RECOMMENDED
Clearances:
Activity Manager: ______________________Date:_________
Soumitri Das
Mission Environmental Officer
______________________Date:_________
& Climate Integration Lead
Monali Zeya Hazra
Regional Environmental Advisor
______________________Date:_________
for Central and South Asia and OAPAAndrei Barannik
Regional Legal Advisor:______________________Date:_________
Diana Weed
Deputy Mission Director:______________________Date:_________
Ramona M EL Hamzaoui
Approval:
Mission Director:______________________Date:_________
Keith E. Simmons
Concurrence:
Bureau Environmental
Officer:______________________Date:_________
William Gibson
Attachment 1
Due Diligence on the Global Green Growth Institute, GGGI and
NTPC Ltd for the ‘Narmada Landscapes Rejuvenation’ project.
As per the Global Development Alliance (GDA) requirements a due
diligence was conducted in accordance with ADS 204 on the partners
(Global Green Growth Institute, GGGI as the implementing partner
and NTPC Ltd as a resource partner) under the ‘Narmada Landscapes
Rejuvenation’ project to evaluate the risks and benefits.
Per ADS 204.3.9(a), as part of the due diligence investigation
of a potential alliance partner, it is essential to investigate
what is often called the “triple bottom line”, whether the
prospective partner is socially responsible, environmentally
accountable and financially sound. Information was gathered from
resources such as Factiva, and Dun & Bradstreet through USAID’s
Knowledge Service Centre. Desk research was also undertaken by the
technical office covering the various aspects of the due diligence.
The due diligence covered five areas including corporate image,
social responsibility, environmental accountability, financial
soundness, and policy compatibility. The details of the assessment
are provided below for each partner respectively:
Global Green Growth Institute, GGGI:
GGGI is an intergovernmental organization that supports
developing country governments
transition to a model of economic growth that is environmentally
sustainable and socially inclusive. GGGI delivers programs in 27
partner countries with technical support, capacity building, policy
planning & implementation, and by helping to build a pipeline
of bankable green investment projects. GGGI’s 4 thematic areas of
work are (i) sustainable energy, (ii) sustainable landscapes, (iii)
water & sanitation and (iv) green cities.
Brief summary of the due diligence is produced below:
· Corporate Image/Reputation:
A check of public records database indicates no filings for GGGI
on business-related suits, liens, judgments, legal cases and
bankruptcies. GGGI has received an A+ rating in the UK Department
for International Development (DFID)’s 2017 Annual Review,
highlighting the excellent progress made last year. GGGI has
performed exceptionally well in the areas of finance and knowledge
generation and continuously showed improvement in the quality of
its reporting, assurance and risk management systems. GGGI has been
working also to strengthen its results-based management system and
corporate results reporting to fully meet its obligations to donors
for accountability, transparency and good governance. It does not
expect an exclusive relationship with USAID.
· Social Responsibility:
The GGGI Accountability Framework houses GGGI's Good Governance
related Rules and Policies including GGGI's Project Level
Sustainability and Safeguards Rules (SSR) see at:
http://gggi.org/site/assets/uploads/2018/03/V2-Sustainability-Safeguards-Rules.pdf.
The SSR is aligned with commonly recognized international standards
for Environmental and Social Safeguards (ESS) i.e. the WB
Performance Standard, that ensure project level safeguarding of
communities and people impacted by GGGI activities. GGGI Child
Protection Rule ensures safeguarding of children impacted by GGGI
activities or in contact with GGGI contracted personnel. GGGI Staff
Rules demands compliance with GGGI Code of Conduct and includes
procedures due process and contract termination in the case of
non-compliance. Rigorous recruitment screening and performance
management supports the implementation of these rules. No negative
references were found on labor standards, discrimination, or child
labor. The GGGI Gender Policy 2016-2020 guides GGGI's approaches to
the mainstreaming of gender equality and poverty reduction in
GGGI's Program. This includes also the implementation of the GGGI
Gender Equality and Poverty Reduction Policy Markers on all our
projects. The Corporate Results Framework uses gender disaggregated
indicators for participation in GGGI Capacity Building events.
· Environmental accountability:
GGGI collects and publishes its carbon footprint every year to
monitor its carbon emission level and works towards reducing it
each year. No negative reports were found on environmental
performance of the company. GGGI recently had its HQ office LEED
certified (Gold) and plans to certify other offices, starting this
year. GGGI interventions emphasize change in four priority areas it
considers to be essential to transforming countries’ economies, and
that includes Sustainable Landscapes. Sustainable Landscapes
centers on sustaining healthy and functioning forests, agrarian
landscapes, waterways, coastal and marine ecosystems. Forests,
soils, wetlands (including peatlands and mangroves) as well as
marine systems are natural assets or natural capital which are
interconnected and provide services which are of significant value
to sustaining local and global economies. Sustainable management
and restoring the functions of these forests, waterways, agrarian,
coastal and marine systems is critical for inclusive and
sustainable economic growth – green growth.
Through its Sustainable Landscapes Strategy, the Global Green
Growth Institute (GGGI) therefore supports partner countries pursue
economic growth while protecting, restoring, and using productive
landscapes in ways that are inclusive and sustainable.
http://gggi.org/site/assets/uploads/2018/03/V2-Sustainability-Safeguards-Rules.pdf
· Financial Soundness:
As part of GGGI’s effort to expand its partner network, the
Institute has worked with the USAID to qualify as a Public
International Organization (PIO) in order to be eligible for USAID
financing opportunities worldwide. This PIO status allows GGGI to
engage with USAID missions in its Member countries in a
country-specific approach to seek joint opportunities in the
implementation of green growth objectives. GGGI publishes its
annual reports and its audited financial statements.
· Policy Compatibility:
Company is not listed in any U.S. Government restricted
list.
NTPC Ltd
NTPC Ltd (www.ntpcindia.com) is India’s largest energy
conglomerate and dominant power major with presence in the entire
value chain of the power generation business. From fossil fuels it
has forayed into generating electricity via hydro, nuclear and
renewable energy sources. This foray will play a major role in
lowering its carbon footprint by reducing green house gas
emissions. To strengthen its core business, the corporation has
diversified into the fields of consultancy, power trading, training
of power professionals, rural electrification, ash utilisation and
coal mining as well.
· Corporate Image/Reputation:
NTPC Ltd became a Maharatna company in May 2010, one of the only
four companies to be awarded this status. NTPC Ltd was ranked 400th
in the ‘2016, Forbes Global 2000’ ranking of the World’s biggest
companies. There have not been any tensions between the community
and the company because of its exemplary performance in CSR domain,
where it has spending more than 2% of its profits. The company also
has CSR and R&R policy in place.
There is no indication from the management that it is
anticipating an endorsement from USAID or an exclusive relationship
with USAID.
· Social Responsibility:
NTPC endeavors to improve the quality of life in neighborhood
community through various community development initiatives under
its Initial Community Development (ICD) policy, Rehabilitation
& Resettlement (R&R) policy and Policy for Corporate Social
Responsibility (CSR) & Sustainability
https://www.ntpc.co.in/sites/default/files/downloads/CSR%26Sustainability2016.pdf
The company has in place Code of Conduct for directors and
senior Management Personnel with a view to enhance ethical and
transparent process in managing the affairs of the company. Also,
NTPC adheres to statutory and regulatory requirements related to
payment of wages and benefits. NTPC’s Human right policy clearly
prohibits any kind of child labor or forced labor in its
premises.
https://www.ntpc.co.in/sites/default/files/downloads/NTPCHuman%20RightsPolicy_0.pdf
· Environmental Accountability:
No negative reports were found on environmental performance of
the company. The company collects all the information regarding its
social and environmental impacts and performances and communicates
the same to all relevant stakeholders through its annual
sustainability reports and annual reports. The company has safety
policy, Environment Policy in place to provide the guideline for
preventing, mitigating, and controlling serious environmental and
health damage from their operations.
https://www.ntpc.co.in/sites/default/files/downloads/EnvironmentPolicy2017.pdf
NTPC Ltd has set internal and external targets each year for its
environmental, health and safety performances. The MoU between
Ministry of Power (GoI) and NTPC mentions the environmental
targets:
https://www.ntpc.co.in/en/power-generation/mou
· Financial Soundness:
Dun & Bradstreet rates the Financial Strength as 5A and Risk
Indicator as 2. The Dun & Bradstreet Rating of 5A2 indicates:
Financial Strength of INR over 645,950,000 based on net worth and a
Risk Indicator which is Good
· Policy Compatibility:
Company is not listed in any U.S. Government restricted
list.
Attachment 2
Partner Due Diligence Questionnaire:
Global Green Growth Institute, GGGI
A. Corporate Image
1. What is the company’s public image? Have there been any
tensions between the community and the company?
The Global Green Growth Institute (GGGI) is a treaty-based
international, inter-governmental organization headquartered in
Seoul, The Republic of Korea, and with offices in 33 countries.
GGGI has not experienced tensions in any community, and is
rather seen as dedicated to supporting and promoting strong,
inclusive and sustainable economic growth in member countries.
GGGI has received an A+ rating from the UK Department for
International Development (DFID)’s 2017 Annual Review, highlighting
the excellent progress made that year.
DFID conducts rigorous annual reviews of activities, assessing
performance standards for all programs financially supported by the
UK.GGGI has performed exceptionally well in the areas of finance
and knowledge generation and continuously showed improvement in the
quality of its reporting, assurance and risk management
systems.
The rating clearly demonstrates that GGGI is strategically
moving in the right direction in scaling up its in-country impact
by being an effective organization that has a sound risk appetite
and achieves increased value for money, through the smart delivery
of its programmatic interventions.
2. Has there been anything in the media that would reflect
negatively upon the company? If so, how has the company dealt with
significant negative publicity?
No
3. Are there any pending lawsuits against the company?
No
4. Is the company looking solely for PR opportunities by
aligning itself with USAID?
GGGI is not looking solely for PR opportunities. GGGI aspires to
objectives of sustainable development similar to USAID’s. GGGI
acknowledges shared and complementary expertise among our two
institutions, and how together, we can affect positive impacts and
outcomes in countries of intervention.
5. Is the company only or primarily looking for procurement
opportunities or money from USAID?
GGGI is not primarily looking for procurement opportunities or
money from USAID.
GGGI looks forward to forming a long-term productive
relationship with USAID to advance our mutual objectives of
sustainable development around the globe.
GGGI has sought from USAID and has qualified as a Public
International Organization (PIO), allowing GGGI to engage
strategically with USAID, and with USAID missions in its Member
countries, in a country-specific dialogues, and primary seeking
alignment and complementarity of our interventions.
6. Is the company willing to engage with USAID in a transparent
manner without expecting an exclusive relationship (i.e., barring
competitors)?
Yes, GGGI is willing to engage with USAID in a transparent
manner without expecting an exclusive relationship.
7. Is the company willing to accept limitations on the publicity
(i.e., press and media coverage) of the alliance so as to ensure
that USAID is not perceived to be endorsing the company or its
products and services?
Yes. GGGI is willing to accept limitations on the publicity.
B. Social Responsibility
1. Is the company primarily involved in the manufacture or sale
of firearms or narcotics, i.e., involvement in these activities
constitutes a significant share of company’s total portfolio?
No
2. Does the company have a good reputation (no serious red flag
issue areas), especially in areas of corporate social
responsibility (CSR)? In the case of new companies or companies
with past CSR troubles, are they committed to instituting/improving
a sound CSR policy?
The Global Green Growth Institute (GGGI) is seen as dedicated to
supporting and promoting strong, inclusive and sustainable economic
growth in member countries, and has not had in the past any serious
red flag issues areas
3. Does the company have policies barring harmful child labor or
forced labor?
The GGGI Accountability Framework houses GGGI's Good Governance
related Rules and Policies including GGGI's Project Level
Sustainability and Safeguards Rules (SSR). The SSR is aligned with
commonly recognized international standards for Environmental and
Social Safeguards (ESS), i.e. the WB Performance Standard, that
ensure project level safeguarding of communities and people
impacted by GGGI activities. GGGI Child Protection Rule ensures
safeguarding of children impacted by GGGI activities or in contact
with GGGI contracted personnel. GGGI Staff Rules demands compliance
with GGGI Code of Conduct and includes procedures due process and
contract termination in the case of non-compliance. Rigorous
recruitment screening and performance management supports the
implementation of these rules.
4. Does the company have a non-discrimination policy governing
the hiring and promotion of minorities, women?
The GGGI Gender Policy 2016-2020 guides GGGI's approaches to the
mainstreaming of gender equality and poverty reduction in GGGI's
Program. This includes also the implementation of the GGGI Gender
Equality and Poverty Reduction Policy Markers on all our projects.
The Corporate Results Framework uses gender disaggregated
indicators for participation in GGGI Capacity Building events.
5. Is the company accepting of unions or attempts to organize a
union?
GGGI has a Staff Association. Except for Executives (Director
General, Deputy Director General, Assistant Director General), any
staff member, regardless of their duty station, is a member of the
Staff Association – unless they opt out in writing to the Staff
Council.
The Staff Council’s mission serves the interests and needs of
all GGGI staff and consultants, ensure favorable working conditions
and a sense of common purpose as they strive to achieve the
organizations mission and goals. Toward this effort, the Staff
Council promotes understanding and cooperation by facilitating
communication between Staff and Management, and by serving as an
advocate for staff wellbeing.
6. Does the company have a health and safety action plan for
workers, including the handling of hazardous materials and the
prevention of environmental accidents?
GGGI has guidelines for workplace health and safety, including
the handling of hazardous materials, and all foreseeable risks, and
to respond rapidly and appropriately when these occur.
7. Does the company have a policy for codes of conduct, labor
standards?
GGGI has a Code of Conduct that elaborates on the basic
principles set out in Article 2 of the Staff Regulations on the
duties and obligations of staff members. Upon appointment to GGGI
and at each new appointment, every staff member must sign and
submit a form that includes a declaration that they have read,
understood and would comply with the Code of Conduct.
C. Environmental Accountability
1. Does the company collect and evaluate adequate and timely
information regarding the environmental, health, and safety impacts
of their activities?
Yes, GGGI collects and publishes its carbon footprint every year
to monitor its carbon emission level and works towards reducing it
each year. In addition, GGGI monitors indoor air quality levels
throughout number of country offices to make sure that the working
environment is ideal and healthy.
2. Does the company set targets for improved environmental
performance, and regularly monitor progress toward environmental,
health, and safety targets?
Yes, GGGI recently had its HQ office LEED certified (Gold) and
plans to certify other offices, starting this year.
3. Does the company assess, and address in decision-making, the
foreseeable environmental, health, and safety-related impacts
associated with the processes, goods and services of the enterprise
over their full life cycle? Does the company provide the public and
employees with adequate and timely information on the potential
environment, health and safety impacts of the activities of the
enterprise?
GGGI Procurement Rules reflect GGGI’s values of green growth,
and require to meet GGGI’s needs for Services, Goods, and Works,
whilst generating benefits not only to the organisation but should
also be cognizant of the incorporation of green growth aspects
GGGI has supported national and municipal governments in the
development of green procurement guidelines in Peru, Indonesia, and
still supporting Rwanda.
The company provides the public and its employees with adequate
information.
4. Does the company maintain contingency plans for preventing,
mitigating, and controlling serious environmental and health damage
from their operations, including accidents and emergencies; and
mechanisms for immediate reporting to the competent
authorities?
Yes, through GGGI’s Guidelines for workplace health and safety,
which includes emergency guideline for HQ and all other country
offices, and all GGGI staffs are subscribed to International SOS
membership, which provides insights and emergency aids around the
world.
5. Does the company continually seek to improve corporate
environmental performance, by encouraging, where appropriate, the
adoption of technologies and operating procedures in all parts of
the enterprise that reflect environmental best practices? Are its
products or services designed to have no undue environmental
impacts, be safe in their intended use, and be efficient in their
consumption of energy and natural resources? Can they be reused,
recycled, or disposed of safely?
As part of its environmental sustainability efforts, GGGI
promotes awareness through various initiatives and campaigns such
as Green Office Month and publication of an internal magazine
(“Greenism”) to showcase individual and organizational efforts for
a greener lifestyle.
All GGGI offices have progressed on their pledges in 2018 to go
green in their respective locations, such as minimizing energy use,
holding greener events, improving waste management systems, using
less paper, implementing community outreach programs, and
prioritizing green procurement. To promote and ensure a healthy
workplace, GGGI has installed air quality assessment systems in its
offices to collect data that can be used for reporting and
evaluation to help improve working environment. As part of our
corporate social responsibility (CSR) initiative, education
outreach programs for local students are organized, in Seoul and
other country program, to promote awareness on global environmental
problems and sustainability and encourage conversation to combat
these issues
GGGI is continuously focusing on globally greening in-house
operations and ensuring that GGGI positions itself as a green
international organization.
6. Does the company have a green audit for environmental
performance?
As a result of GGGI’s effort to go green, the U.S. Green
Building Council awarded in November 2018 to GGGI HQ Office with
certification of Gold rating for LEED v4 ID+C: CI, becoming the
second office to be awarded with such green building award in the
whole of Seoul.
7. Is the company ISO certified?
No, as an intergovernmental organisation, GGGI has not sought
ISO certification
8. Does the company have a natural habitats policy? A forestry
issues policy?
GGGI interventions emphasize change in four priority areas in
which we consider to be essential to transforming countries’
economies, and that includes Sustainable Landscapes
Sustainable Landscapes centers on sustaining healthy and
functioning forests, agrarian landscapes, waterways, coastal and
marine ecosystems. Forests, soils, wetlands (including peatlands
and mangroves) as well as marine systems are natural assets or
natural capital which are interconnected and provide services which
are of significant value to sustaining local and global economies.
Sustainable management and restoring the functions of these
forests, waterways, agrarian, coastal and marine systems is
critical for inclusive and sustainable economic growth – green
growth.
Through its Sustainable Landscapes Strategy, the Global Green
Growth Institute (GGGI) therefore supports partner countries pursue
economic growth while protecting, restoring, and using productive
landscapes in ways that are inclusive and sustainable.
9. Is the company free from regulatory lawsuits?
As a treaty-based international, inter-governmental
organization, GGGI has privilege and immunities that preclude us
from any lawsuit in our member countries.
D. Financial Soundness
1. Is the company a publicly traded company?
GGGI is a treaty-based international inter-governmental
organization and the evidence of our status is the treaty itself –
the Agreement on the Establishment of the Global Green Growth
Institute. Article 1 of the Establishment Agreement establishes
GGGI as an international organization and, pursuant to Article
5(1), membership of GGGI is limited to member states of the United
Nations and regional integration organizations. As an international
inter-governmental treaty-based organization, GGGI is not
registered as a corporate entity under any national law.
Please find GGGI Establishment Agreement at:
http://gggi.org/site/assets/uploads/2017/10/Headquarters-Agreement.pdf;
and
GGGI Headquarters Operations Agreement at:
http://gggi.org/site/assets/uploads/2017/10/Agreement-on-the-Establishment-of-the-GGGI.pdf
2. Does the company publish an annual report?
Yes, GGGI publishes its annual reports
3. Does the company have audited financial statements?
Links to the most recent Audited Financial Statements for 2015,
2016 and 2017 are below:
http://report.gggi.org/2017/wp-content/uploads/2018/04/18002_GGGI_FINANCIAL_STATEMENTS.pdf;
https://report.gggi.org/2016/wp-content/uploads/2017/06/3b_MPSC-2017-3-Audited-Financial-Statements-FY2016_v3.pdf;
http://gggi.org/site/assets/uploads/2018/08/C_2016_DC_5-Decision-on-the-FY2015-Audited-Financial-Statements_web-1.pdf;
4. Has the company been in business for several years?
GGGI was established as an Intergovernmental Organization in
2012.
Attachment 3
Partner Due Diligence Questionnaire: NTPC Ltd
Please provide answers for your organization’s policies and
practices on all the areas listed below. Please include website
links if available in public domain/website such as policies,
newspaper articles, etc. Please also note any written
organizational policies mentioned in this questionnaire must be
submitted for USAID records.
If your organization does not currently have a written policy in
the areas listed below, please provide a detailed explanation on
how your organization will address the topic.
A. Corporate Image
1. What is the company’s public image? Have there been any
tensions between the community and the company?
NTPC is a Government of India (GoI) owned company and one of few
Maharatna Public Sector Units. The company has got a very good
repute among communities.
There have not been any tensions between the community and the
company because of its exemplary performance in CSR domain, where
it has spending more than 2% of its profits. The company also has
CSR and R&R policy in place.
2. Has there been anything in the media that would reflect
negatively upon the company? If so, how has the company dealt with
significant negative publicity?
In past, there have been some issues related to safety. But, as
of now there is nothing in media that would reflect negatively upon
the company.
3. Are there any pending lawsuits against the company?
No pending lawsuit
4. Is the company looking solely for PR opportunities by
aligning itself with USAID?
No, the company seeks to create a benchmark in improving the
environment footprint by undertaking innovative and sustainable
projects.
5. Is the company only or primarily looking for procurement
opportunities or money from USAID?
No, the company intends to get expertise in the subject area as
well strict monitoring mechanism through the association with
USAID.
6. Is the company willing to engage with USAID in a transparent
manner without expecting an exclusive relationship (i.e., barring
competitors)? 7. Is the company willing to accept limitations
on the publicity (i.e., press and media coverage) of the alliance
so as to ensure that USAID is not perceived to be endorsing the
company or its products and services?
Yes.
7. Is the company willing to accept limitations on the publicity
(i.e., press and media coverage) of the alliance so as to ensure
that USAID is not perceived to be endorsing the company or its
products and services?
Yes.
B. Social Responsibility
1. Is the company primarily involved in the manufacture or sale
of firearms or narcotics, i.e., involvement in these activities
constitutes a significant share of company’s total
portfolio? –No
2. Does the company have a good reputation (no serious red flag
issue areas), especially in areas of corporate social
responsibility (CSR)? In the case of new companies or companies
with past CSR troubles, are they committed to instituting/improving
a sound CSR policy? Yes.
Link:
https://www.ntpc.co.in/sites/default/files/downloads/CSR%26Sustainability2016.pdf
3. Does the company have policies barring harmful child labor or
forced labor? Yes
Link for human rights policy which bars child labour and forced
labour:
https://www.ntpc.co.in/sites/default/files/downloads/NTPCHuman%20RightsPolicy_0.pdf
4. Does the company have a non-discrimination policy governing
the hiring and promotion of minorities, women?
Yes , we have a human rights policy , diversity and equal
opportunities which ensures no discrimination is made on the basis
of gender, marital status, sexual orientation etc.
Link:
https://www.ntpc.co.in/sites/default/files/downloads/NTPCHuman%20RightsPolicy_0.pdf
5. Is the company accepting of unions or attempts to organize a
union? Yes
6. Does the company have a health and safety action plan for
workers, including the handling of hazardous materials and the
prevention of environmental accidents?
Yes, the company has safety policy and Environment Policy and
the associated action plans for employees and workers to ensure
there is no safety hazard or environmental accidents. There is
strict guideline for regular health check of all employees and
workers. Kindly refer the below links:
https://www.ntpc.co.in/sites/default/files/downloads/SafetyPolicy2016.pdf.
https://www.ntpc.co.in/sites/default/files/downloads/EnvironmentPolicy2017.pdf
Also, training programmes for contractors’ employees are being
conducted at all sites on regular basis covering all relevant
topics on occupational health and safety. Regular medical
examination are conducted for our workers at work place.
7. Does the company have a policy for codes of conduct, labor
standards? The company has in place Code of Conduct for directors
and senior Management Personnel with a view to enhance ethical and
transparent process in managing the affairs of the company. Also,
NTPC adheres to statutory and regulatory requirements related to
payment of wages and benefits. Our Human right policy clearly
prohibits any kind of child labor or forced labor in our
premises.
Link:
https://www.ntpc.co.in/sites/default/files/downloads/NTPCHuman%20RightsPolicy_0.pdf
C. Environmental Accountability
1. Does the company collect and evaluate adequate and timely
information regarding the environmental, health, and safety impacts
of their activities?
Yes, the company collect all the information regarding its
social and environmental impacts and performances and communicate
the same to all relevant stakeholders through its annual
sustainability reports and annual reports.
2. Does the company set targets for improved environmental
performance, and regularly monitor progress toward environmental,
health, and safety targets?
Yes, the company set internal and external targets each year for
its environmental, health and safety performances. Kindly refer the
below link for MoU targets between Ministry of Power (GoI) and NTPC
which has some environmental targets.
https://www.ntpc.co.in/en/power-generation/mou
The internal MoU targets between NTPC and its plants are
separate based on their impact zones and capability to meet
environmental and safety targets.
3. Does the company assess, and address in decision-making, the
foreseeable environmental, health, and safety-related impacts
associated with the processes, goods and services of the enterprise
over their full life cycle? Does the company provide the public and
employees with adequate and timely information on the potential
environment, health and safety impacts of the activities of the
enterprise?
The company assess the foreseeable environmental, health, and
safety-related impacts partially over the life cycle. Before start
of any project, NTPC conducts Environmental Impact Assessment (EIA)
and take all measures to avoid or minimize the negative impacts.
During the operation phase the companywide risk management
framework assess all the present and future business risks
including health, safety and environmental risk and includes these
factors in decision-making.
Yes, the company provide the public and employees with adequate
and timely information on the potential environment, health and
safety impacts of the activities of the enterprise through various
forums such as monthly communication meetings, CMD and Directors
address and publications such as sustainability reports.
4. Does the company maintain contingency plans for preventing,
mitigating, and controlling serious environmental and health damage
from their operations, including accidents and emergencies; and
mechanisms for immediate reporting to the competent
authorities?
Yes, the company has safety policy, Environment Policy in place
to provide the guideline for preventing, mitigating, and
controlling serious environmental and health damage from their
operations, including accidents and emergencies. The mechanisms for
immediate reporting to competent authorities have clearly been
framed and available publicly on intranet and internet sites.
5. Does the company continually seek to improve corporate
environmental performance, by encouraging, where appropriate, the
adoption of technologies and operating procedures in all parts of
the enterprise that reflect environmental best practices? Are its
products or services designed to have no undue environmental
impacts, be safe in their intended use, and be efficient in their
consumption of energy and natural resources? Can they be reused,
recycled, or disposed of safely?
Yes, the company continually seek to improve corporate
environmental performance through technology up gradations and
process innovations. Kindly refer the below link for all the recent
activities in this domain:
https://www.ntpc.co.in/en/sustainability/compliances-and-reports/publications
NTPC only manufactures electricity which is by its intrinsic
nature is exhausted once used. It cannot be reused, recycled, or
disposed of safely. Its consumption do not have any negative
environmental impacts but efficient use of electricity by end user
gives environmental benefits. Improper handling of electricity and
appliance causes safety hazards.
6. Does the company have a green audit for environmental
performance?
Yes, the company conducts, environmental performance, audit
internally of all its stations annually.
7. Is the company ISO certified?
Yes, all NTPC stations are ISO 9001, ISO 18001, ISO 14001
certified.
8. Does the company have a natural habitats policy? A forestry
issues policy?
Yes, the company has Biodiversity Policy in place which
addresses both natural and forestry issues.
https://www.ntpc.co.in/sites/default/files/downloads/BiodiversityPolicy2018.pdf
9. Is the company free from regulatory lawsuits?
Yes There is no pending lawsuits.
D. Financial Soundness
1. Is the company a publicly traded company? –Yes
2. Does the company publish an annual report?-
Yes, kindly refer the link below
https://www.ntpc.co.in/en/investors/annual-reportsYes
3. Does the company have audited financial statements?
Yes. The details are mentioned in the annual reports only.
4. Has the company been in business for several years?
Yes, since 7 November 1975
Attachment 4
Climate Risk Management Summary Table
Tasks / Defined or
Illustrative Interventions
Climate Risks
List key risks related to the defined / illustrative
interventions identified in the screening and additional
assessment.
Risk Rating
Low / Moderate /
High
How Risks are Addressed
Describe how risks have been addressed in activity design and/or
additional steps that will be taken in implementation. If you chose
to accept the risk, briefly explain why.
Opportunities to Strengthen Climate
Resilience
Describe any opportunities to achieve multiple development
objectives by integrating climate resilience or mitigation
measures.
Afforestation/ reforestation in the north bank of the river
Narmada and agroforestry in the south bank
Increasing temperature will impact the survival of seedlings
Flooding in the river Narmada will have impact on the
afforestation/ reforestation activities.
Moderate
Drainage line treatment at strategic locations to control soil
erosion and for augmenting infiltration will be undertaken.
The activity will increase the resilience of the rural
communities through increased water availability and more products
from forests and agroforestry systems.
Implementing Partner will also undertake training and
educational efforts to improve the awareness on climate change
impacts and adaptation.
Organic farming promoted in the river catchment as an
alternative to the present practices.
Changing climate can be a stress to the new farming practice to
be promoted
Flooding in the river Narmada will have impact on the farming in
the landscape.
Moderate
Reducing the use of fertilizers and pesticides will also reduce
the associated requirement for water.
The activity will increase the resilience of the rural
communities through increased livelihood benefits arising from
access to the organic market.
Implementing Partner will also undertake training and
educational efforts to improve the awareness on climate change
impacts and adaptation.
