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HIS MAJESTY’S GOVERNMENT OF NEPAL

MINISTRY OF LOCAL DEVELOPMENT

DEPARTMENT OF LOCAL INFRASTRUCTURE DEVELOPMENT AND AGRICULTURE ROADS

ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK

RURAL ACCESS IMPROVEMENT PROJECT

FINAL DRAFT NOVEMBER 29, 2004

Abbreviations Acronyms

APP Agricultural Perspective PlanB.S. Bikram SambatCAS Country Assistance StrategyCBO Community Based OrganizationCDC Compensation Determination CommitteeCDO Chief District OfficerCFUG Community Forestry User GroupsCOI Corridor of ImpactDDC District Development CommitteeDOLIDAR Department of Local Infrastructure Development and Agricultural RoadsDTMP District Transportation Master PlanEA Environmental AssessmentEIA Environmental Impact AssessmentEMG Environmental Management GroupEMP Environmental Management Action PlanEMP Environmental Management PlanEPA Environmental Protection ActEPA 97 Environmental Protection Act 1997EPR 97 Environmental Protection Regulation 1997 (amendment 1999)ESA Environmental and Social AssessmentESAF Environmental and Social Assessment FrameworkESIA Environmental and Social Impact AssessmentHMG His Majesty's GovernmentHMG/N His Majesty’s Government of NepalIBRD International Bank for Rural DevelopmentIDA International Development AssociationIEE Initial Environmental ExaminationIP Indigenous PeopleIUCN International Conservation UnionLCF Land Compensation FrameworkLEF Land Entitlement FrameworkLIL Learning and Innovation LoanMoH Ministry of HomeMoLD Ministry of Local DevelopmentMoLRM Ministry of Land Reform and ManagementMoPE Ministry of Population and EnvironmentMoWT Ministry of Works and TransportNGO Non-Governmental OrganizationNPC National Planning CommissionNRATSP Nepal Rural Accessibility and Transport Service ProjectPAF Project Affected FamiliesPWD Public Works DirectivesRAP Resettlement Action PlanRIP Rural Infrastructure ProjectROW Right of WaySA Social AssessmentSAP Social Action PlanSPAF Seriously Project Affected Families

TABLE OF CONTENTS

EXECUTIVE SUMMARY.............................................................................................................i

1. INTRODUCTION....................................................................................................................1

Project Description..............................................................................................................2

Project Components.............................................................................................................2

Project Districts...................................................................................................................4

2. APPROACH AND METHODOLOGY..................................................................................7

Objectives And Scope Of The Environmental And Social Management Framework..........7

Environment Aspects............................................................................................................7

Social Aspects......................................................................................................................9

3. POLICES, REGULATIONS AND GUIDELINES.............................................................12

Relevant HMGN Policies...................................................................................................12

HMGN’s Legislative Framework and Guidelines.............................................................13

HMGN Policies Supporting Vulnerable Communities......................................................15

World Bank Environment and Social Safeguard Policies.................................................17

Comparison of HMGN and World Bank Policies on involuntary resettlement and land acquistion....................................................................................................................20

Recommendations..............................................................................................................23

4. IDENTIFICATION OF ENVIRONMENTAL AND SOCIAL IMPACTS......................24

General..............................................................................................................................24

Environmental Review.......................................................................................................24

Environmental impacts on sample raip sub-projects.........................................................30

Social Review.....................................................................................................................30

Conclusions........................................................................................................................35

5. ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK........................36

General..............................................................................................................................36

Environment Assessment And Management......................................................................37

Environmental Screening Process........................................................................37Environmental Screening Criteria........................................................................37

Environmental Assessment Process for RAIP....................................................................38

Initial Environmental Examination....................................................................................38

Environmental Impact Assessment....................................................................................41

Rural Access Improvement Project Environment and Social Management Framework

Environmental Impact Prediction......................................................................................42

Environmental and Social Mitigation Measures in RAIP..................................................45

Approach to Mitigation Measure..........................................................................45Implementation Mitigation Measures for RAIP.................................................................46

Implementation of Mitigation Measures............................................................................47

Environmental Management Plan.....................................................................................50

Capacity building...............................................................................................................52

6. RESETTLEMENT POLICY FRAMEWORK....................................................................53

Description and Objectives................................................................................................53

Social Screening.................................................................................................................53

Voluntary Land Donation..................................................................................................54

Involuntary Resettlement and Land Acquisition................................................................54

Eligibility Criteria..............................................................................................................55

Subproject Resettlement Action Plans...............................................................................59

Implementation Process.....................................................................................................59

Grievance Redress Mechanisms........................................................................................59

Funding Arrangements......................................................................................................60

Consultation /Participation...............................................................................................60

Monitoring and Evaluation................................................................................................60

Capacity Building..............................................................................................................61

7. VULNERABLE COMMUNITY DEVELOPMENT FRAMEWORK..............................62

Description And Objectives...............................................................................................62

Policies Strategies And Actions.........................................................................................62

Subproject Vulnerable Communities Development Plans....................................62Social Uplift Activities.........................................................................................63Strategy for Vulnerable Communities Development............................................63

8. Consultation/Information Dissemination/Documentation Activity Supporting Monitoring and Evaluation of RAIP Implementation............................................................................66

9. IMPLEMENTATION ARRANGEMENTS........................................................................69

Institutional Arrangements................................................................................................69

General..................................................................................................................69Institutional Arrangement for ESMF Implementation..........................................69

Monitoring And Evaulation...............................................................................................73

Pre-Construction Monitoring............................................................................................74

Construction Phase Monitoring.........................................................................................74

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Operation Phase Monitoring.............................................................................................75

Central And District Level Monitoring..............................................................................75

Community Based Performance Monitoring System (Cbpm)............................................75

Auditing..............................................................................................................................76

Environmental and Social Monitoring Framework..............................................77Monitoring and Evaluation Indicators..................................................................80

ANNEX 1.......................................................................................................................................83

Physical Environment of RAIP Districts............................................................................83

Land Use Pattern...............................................................................................................84

Project District Development Spending.............................................................................84

Road Length.......................................................................................................................85

ANNEX 2: STUDY OBJECTIVES, CONSULTANT TERMS OF REFERENCE AND EXPECTED OUTCOMES....................................................................................................86

Study Objectives.................................................................................................................86

Scope of Work....................................................................................................................86

Approaches and Methodologies.........................................................................................87

ANNEX 3: LIST OF PEOPLE PARTICIPATING IN CONSULTATIONS.........................89

ANNEX 4: SURVEY QUESTIONNAIRE FOR SOCIAL SCREENING AND SOCIO-ECONOMIC PROFILE........................................................................................................93

ANNEX 5: FORMAT TO DOCUMENT VOLUNTARY LAND DONATIONS UNDER THE RURAL ACCESS IMPROVEMENT PROJECT (RAIP)..................................................97

ANNEX 6: EXAMPLES OF SIMPLE ENVIRONMENTAL CLAUSES IN CONTRACT SPECIFICATIONS................................................................................................................98

Installation of Work Site.......................................................................................98ANNEX 7: LOCAL LEVEL GUIDELINES FOR IMPLEMENTING ESMF.....................99

ANNEX 8: ENVIRONMENTAL ASPECTS OF SAMPLE RAIP SUB-PROJECTS.........100

ANNEX 9 ENVIRONMENTAL SCREENING CHECKLIST..............................................105

ANNEX 10 Field verification of environmental screening checklist......................................109

ANNEX 11 TERMS OF REFERENCE FOR INITIAL ENVIRONMENTAL EXAMINATION (IEE)......................................................................................................................................120

REFERENCES............................................................................................................................128

TABLES

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Table 1.1: District Participation Framework..........................................................................................5Table 1.2: First Year Program Districts and Beneficiary Population.....................................................6Table 3.1: Principal Steps in the Land Acquisition Process.................................................................13Table 3.2: Identified Program Areas for Dalits by the Tenth Plan......................................................16Table 3.3: Population of Dalits in Sample RAIP Districts...................................................................17Table 3.4: Applicable World Bank Environment and Social Guidelines.............................................20Table 4.1: Social Impacts in Sample RAIP Projects............................................................................31Table 4.2: Percentage of Indigenous and Dalit Population in 13 Sample RAIP Districts...................33Table 4.3: Vulnerable Groups Consulted during Field Visit................................................................34Table 5.1: Environmental and Social Assessment within the Project Cycle........................................36Table 5.2: Screening Criteria for Selecting IEE or EIA.......................................................................37Table 5.3: Work Schedule of IEE requiring approval..........................................................................39Table 5.4: Table of Content of IEE......................................................................................................41Table 5.5: Checklist for Environmental Impact Prediction..................................................................43Table 5.6: Approach to Mitigation Measure........................................................................................46Table 5.7: Environmental Mitigation Measures Appropriate To RAIP...............................................46Table 5.8: Mitigation Implementation..................................................................................................49Table 5.9: Environmental Code of Conduct for Rural Access Infrastructure Development.....................51Table 6.1: Entitlement Policy Matrix..................................................................................................57Table 7.1: Vulnerable Communities Development Strategy................................................................64Table 8.1: Information Dissemination and Community Mobilization in RAIP implementation.........67Table 9.1: ESMF Implementation Mechanism for RAIP.....................................................................69Table 9.2 Institutional Arrangements for EMF Management..............................................................71Table 9.3 Framework For Monitoring Environmental Issues..............................................................77Table 9.4: Framework For Monitoring Social Issues...........................................................................79Table 9.5: Monitoring and Evaluation Indicators for RAIP Process...................................................80Table 9.6 Potential Monitoring and Evaluation Indicators for RAIP Impacts.....................................82

FIGURES

Figure 7.1: Institutional Framework for Implementing VCDP............................................................65Figure 9.1: Flow Chart for Environmental Assessment.......................................................................70Figure 9.2: ESMP Implementation.......................................................................................................70Figure 9.3: ESMF Implementation.......................................................................................................73

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EXECUTIVE SUMMARY1. Nepal’s economic and social development is inextricably linked to its geography and accessibility. An estimated 50 percent of Nepal’s population lives at least four hours walk from the nearest dry-season road where a bus or jeep may transit1; and only about 30 percent have access to all-season transport services2. Many in these isolated communities rely on foot trails and mule tracks and some in the mountain districts walk days to reach the nearest dry-season road. Inadequate and inefficient rural transport service therefore is a major factor constraining the use of social services and markets by communities, including education, medical facilities and agriculture markets. Economic and social surveys show that children in remote districts are more likely to be malnourished, die before they reach five years of age, and less likely to attend school than children living in more accessible districts3. Similarly, per capita incomes are 50 to 65 percent lower in the more remote Far West Hill and Mountain Districts than they are in the more accessible Terai and Central Hill Districts.

2. The Local Infrastructure Development Policy (August 2004) and National Strategy for Rural Infrastructure Development aims to reduce rural poverty through improvements in rural infrastructure services to rural enhance the accessibility of rural communities to social services and accelerate agricultural productivity. The Local Infrastructure Sector Development policy will be implemented within the context of, and in support of decentralization and empowerment of local bodies. Although decentralization has been pursued in Nepal for quite some time, its form and modality have varied depending on the legal provisions made. The policy of devolving development authority and service delivery responsibility to local bodies has been institutionalized through the Local Self-Governance Act (LSGA) 1999. Under the Act, Village Development Committees (VDCs), municipalities and District Development Committees (DDCs) are responsible for development programs and service delivery in their respective localities. The Act provides local bodies to follow planned development programs and prioritize programs that can increase productivity, contribute to upgrading living standards and generate income and employment opportunities. The Act also requires that local programs provide direct benefits to women and disadvantaged groups, and use community groups (such as Road User Committees) in the planning and execution of development programs.

3. The recently approved sector policy for the local infrastructure is also is designed to make local infrastructure policy and strategy consistent with the LSGA, harmonize donor and government practices in the sector and support the goals of HMGN’s Poverty Reduction Strategy/Tenth Plan (2002-2007) to achieve: (i) broad-based economic growth (especially of agriculture and the rural economy); (ii) accelerate human development through better delivery of social services; (iv) ensure social and economic inclusion of the poor; and (iv) pursue good governance. To support these objectives, the proposed Rural Access Improvement Project (RAIP) will adopt the following approaches:

(a) Candidate districts and specific subprojects will be selected on the basis of poverty level, accessibility and potential for agriculture development, thereby supporting both the agriculture productivity and poverty reduction objectives;

(b) Improvements in rural transport services will enhance the ability of the rural poor to access quality health care and education services;

1 Nepal Living Standards Measurement Survey (World Bank, 1996).2 Transport Indicators Survey (World Bank, May 2004). 3 Nepal Central Bureau of Statistics.


(c) The project will emphasize and mainstream the use of labor-based methods for civil works and subsequent maintenance and operation of roads, and consistent with HMGN policy, it will give priority for hiring laborers from the disadvantaged communities, and thereby extending project benefits to the most vulnerable; and

(d) The project will be implemented by DDCs, with participation from community groups in the planning, implementation and monitoring of the project; thereby deepening HMGN’s objective for decentralization and improving governance structure and accountability in the rural road sector.

4. The Rural Access Improvement Project (RAIP) will finance rural transport infrastructure improvements to: (i) support candidate districts to rehabilitate and upgrade about 1200 km of existing roads to all-weather standard; (ii) upgrade about 600 km of existing tracks to dry-season standard in remote hill districts; (iii) carry out road maintenance of about 1600 of km of rural roads; (iv) support the construction of 313 short span trail bridges in 13 district; and, (v) funding for qualified communities for the development of rural infrastructure in their communities. An institutional and policy development component will also be supported by the project.

5. Participating districts will be selected based on a District Participation Framework (DPF), which has been prepared by the implementing agency, the Department of Local Infrastructure and Agricultural Roads (DOLIDAR), and endorsed by the Ministry of Local Development (MOLD) and the National Planning Commission (NPC). The first year program of consists of road works on 24 roads in 13 districts.

6. To facilitate the assessment and management of the potential environment and social impacts likely to arise from the project, DOLIDAR has prepared an Environmental and Social Management Framework (ESMF). Based on HMGN’s relevant legislation and guidelines, including the Environmental Protection Act and Environmental Rules (1977) and the Land Acquisition Act (1977), as well as relevant World Bank safeguard policies regarding Environmental Assessment, Natural Habitats, Forests, Physical and Cultural Resources, Disclosure, Involuntary resettlement and Indigenous Peoples.

7. The ESMF aims to provide inputs into the design of RAIP, through identification of key environmental and social issues related to the project, mitigate potential impacts and concerns and, devise opportunities to enhance the benefits. The framework integrates environmental and social considerations into all stages of project preparation, implementation, monitoring and operation and is applicable to all subprojects funded under RAIP. Key objectives of the ESMF are:

(a) Review HMGN’s existing policies, regulations, operational guidelines and institutional arrangements to address and mitigate environmental and social impacts of rural roads.

(b) Assess the compatibility of core principles of HMGN policies and World Bank policies; identify any gaps, and present recommendations for addressing these gaps;

(c) Identify potential adverse impacts due to rural access infrastructure and prepare draft environmental codes of practice.

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(d) Develop guidelines for identifying and assessing the nature and magnitude of environment and social impacts, including preparation of environmental and social screening criteria to select projects for implementation under RAIP and determine the level of social and environmental assessment/studies required.

(e) Prepare guidelines for impact prediction and assessment.

(f) Suggest modalities for the preparation of site-specific subproject mitigation measures.

(g) Recommend measures to strengthen project implementation mechanisms and institutional arrangements.

8. The methodology adopted for preparation of the ESMF included: (i) review of relevant HMGN environmental and land acquisition legislation and operational guidelines; (ii) identification of stakeholders and environmental and social issues; (iii) identification of adverse environment and social impacts and strategies of how they could be minimized or mitigated; (iv) identification of positive impacts and how they could be enhanced; (v) incorporation of these findings into project design; (vi) establishment of indicators and mechanisms for monitoring and evaluation; and, (viii) examination of institutional arrangements.

9. The study commenced with the collection and analysis of existing data on environmental and social issues associated with rural roads, and an extensive review of HMGN’s relevant policies, regulations, and legal framework with the World Bank’s to identify policy gaps and develop recommendations to address these gaps. The data required for the study was collected through primary (field based investigations) and a desk review of secondary sources of information.

10. Consultations with key stakeholders and beneficiaries were then carried out in randomly selected sample subprojects in the terai and hill districts. A sample of 11 representative villages in 3 districts were visited. The key objective of these focus group discussions was to disseminate information about the project and to understand the perceptions and concerns of project affected people about RAIP’s potential environmental and social impacts. Consultations were also carried out with secondary stakeholders, including VDCs, DDC’s, Local Road User Groups (LRUG), local NGOs, as well as other HMGN departments. Separate interviews were held with vulnerable community members (Dalits, ethnic/indigenous groups, women, the disabled, elderly and landless) to understand their views about the project, its potential impacts and explore how the project could provide assistance targeted specifically to meet their needs. The proceedings of these stakeholder meetings and list of participants have been documented.

11. Environmental and social screening criteria to identify the project’s environmental and social impacts has been agreed with the World Bank and fully integrated into DOLIDAR’s operational guidelines. The social screening criteria will identify the loss of land, assets, structures, livelihoods, the willingness of affected people/communities to voluntarily donate any required land, the presence of indigenous, ethnic, vulnerable people and other significant social impacts. Social screening will also enable the categorization of subprojects based on their levels of impacts. Where the extent of adverse social impacts is minor and no displacement or loss of assets or livelihoods expected, no further action is required. However, where the social screening indicates that land acquisition, relocation, or loss of assets is unavoidable, appropriate mitigation instruments (subproject

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resettlement action plans) will need to be prepared. Environmental and social screening has been carried out as part of the feasibility studies for a sample of randomly selected subprojects.

12. Based on the outcomes of stakeholder consultations and environmental and social screening, access to motorable transport and social services, reduction in travel time and transport costs, employment/income generation opportunities from work on the project’s physical works, improved management of drainage and stabilization of slopes were identified by beneficiary communities as the most positive impacts of the project. Adverse impacts and key issues were identified as:

Improper alignment and design of the rural roads can cause landslides and erosion in the mountain areas and flooding in the terai;

As part of road upgrading interventions in the terai district, subprojects may require the acquisition of small strips of land, for widening the road to meet engineering design requirements. Any land required for this purpose is expected to be donated voluntarily. There is a strong willingness among beneficiary communities to voluntarily donate land for enhanced accessibility and road improvements.

A small number of residential houses and structures within the road’s carriageway will need to be relocated.

There are groups of Dalits and small pockets of indigenous groups encroaching on land along the road or in the road’s Right of Way (ROW) who may need to be relocated. These people are living in extreme poverty and have expressed a strong willingness to participate in basic literacy and skill training on income generating activities.

Greater need to ensure the inclusion of vulnerable people in consultations, project decision making, and opportunities from project related construction activities.

Mechanisms for monitoring and evaluation of environmental and social issues are weak and ineffective.

Current process for information dissemination and outreach to beneficiary communities is weak.

13. The environment and social issues identified through consultations as well as the outcomes of the environmental and social screening process also provided the analytical underpinnings for preparing the ESMF, and the mitigation strategies presented in this document. The ESMF is applicable to all proposed subproject activities and through all stages of the subproject cycle: pre-planning, planning and design, implementation, and post-implementation. The design flow of ESMF activities will be coordinated and integrated into the project cycle. In addition, the mainstreaming of environmental and social aspects in the project cycle will be achieved through:

Incorporation of environmental and social activities in the Operational Guidelines. Development of supportive programs in the areas of vulnerable communities development,

resettlement and rehabilitation, and monitoring and evaluation. Establishment of appropriate institutional arrangements for environmental and social impact

management. Training and capacity building on environmental and social impact management. Development of a communications/information dissemination strategy.

14. The following frameworks/strategies have been prepared to mitigate identified adverse impacts and described in detail in the ESMF:

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Environment Assessment and Management Framework. The environmental assessment and management framework outlines the institutional mechanisms and procedures for carrying out environmental assessment and management procedures during the implementation of the project. The steps include the environmental screening process for project identification, IEE, EIA and Environmental Management Plan preparation. The framework also identifies the potential environmental impacts of each activity and the mitigation measures necessary to reduce its impacts. Site specific environmental assessment will be conducted for each rural road and the appropriate action outlined in an Environmental Management Plan. The plan includes technical measures, institutional mechanisms and capacity building needs necessary for the implementation of the plan. The appropriate mitigation measures will be agreed upon in a joint Memorandum of Understanding (MoU) by the local community representatives, VDC/DDC representatives and contractor before the implementation of the final design and works. The communities will play an active role in monitoring the implementation of the mitigation activities.

Resettlement Policy Framework. The Resettlement Policy Framework (RPF) has been prepared to address impacts arising from: (i) loss of land; (ii) loss of homes/structures; (iii) loss of livelihood; and, (iv) loss of community property resources such as religious or cultural structures. The RPF defines the legal, institutional and implementation framework to guide the compensation for lost assets, livelihoods, community property and resettlement and rehabilitation of project affected people in accordance with the World Bank’s Operational Policy 4.12 on Involuntary Resettlement and HMGN’s relevant legislation and guidelines.

Vulnerable Communities Development Framework. A Vulnerable Communities Development Framework (VCDF) has been prepared to define the policy and implementation framework to address impacts on vulnerable peoples, ensure meaningful consultations with these people thorough out project preparation and implementation, and ensure that they are provided assistance in accordance with their own priorities. The VCDF has been prepared in accordance with the World Bank’s Operational Directive 4.20 on Indigenous Peoples and relevant HMGN policies articulated in the Tenth Plan.

15. To ensure that environmental and social issues are adequately addressed in project design and implementation, as part of the RAIP Project Preparation Team (PPT), DOLIDAR has assigned from its department staff an environmental engineer and a sociologist to be the focal persons responsible for all environment and social aspects of the project. These focal persons, who are supported by a Geo-Environmental Adviser and a Social Development Adviser, are charged with ensuring:

All proposals undergo environmental and social screening. All district level environment and social focal points are properly trained. IEE or EIA are prepared for projects that require these reports according to the EPR 97. EMPs are prepared for all projects. Subproject RAPS and VCDPs prepared as required. Regular environmental and social monitoring is carried out for all projects. Monitoring results are properly evaluated. EMP, subproject RAP and/or VCDP violations are minimized or rectified.

16. At the district level, the District Engineer will serve as a focal point for environmental issues and a district-level Social Development Consultant officer will serve as a focal point for social issues. They will be responsible for ensuring the compliance of the EMP and subproject RAPs and VCDPs at

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the field level. All these personnel will receive training on ESMF implementation. The International Labor Organization (ILO), a partner in the proposed project, is supporting a Training Needs Assessment and currently preparing training modules, including ones on environmental and social aspects that will be used to train all district and central staff before project launch.

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1. INTRODUCTION1.1 Nepal’s economic and social development is inextricably linked to its geography and accessibility. An estimated 50 percent of Nepal’s population lives at least four hours walk from the nearest dry-season road where a bus or jeep may transit4; and only about 30 percent have access to all-season transport services5. Many in these isolated communities rely on foot trails and mule tracks and some in the mountain districts walk days to reach the nearest dry-season road. Inadequate and inefficient rural transport service therefore is a major factor constraining the use of social services and markets by communities, including education, medical facilities and agriculture markets. Economic and social surveys show that children in remote districts are more likely to be malnourished, die before they reach five years of age, and less likely to attend school than children living in more accessible districts6. Similarly, per capita incomes are 50 to 65 percent lower in the more remote Far West Hill and Mountain Districts than they are in the more accessible Terai and Central Hill Districts.

1.2 Nepal’s road network consists of about 16,000 km of main roads (4,627 km black top, 3,883 km graveled, and 7,490 km earthen), and about 5,000 km of dry-season village and agriculture roads, bringing the total road network in Nepal to 21,000 km. By regional comparisons, Nepal’s total road stock, network density and quality are very low. Among Nepal’s 75 district headquarters, 17 are not connected by a motorable road, and 60 percent of the main road network and almost all rural roads are dry-weather tracks that are not operational during the rainy season.

1.3 Although decentralization has been pursued in Nepal for quite some time, its form and modality have varied depending on the legal provisions made. The policy of devolving development authority and service delivery responsibility to local bodies has been institutionalized through the Local Self-Governance Act (LSGA) 1999. Under the Act, Village Development Committees (VDCs), municipalities and District Development Committees (DDCs) are responsible for development programs and service delivery in their respective localities. The Act provides local bodies to follow planned development programs and prioritize programs that can increase productivity, contribute to upgrading living standards and generate income and employment opportunities. The Act also requires that local programs provide direct benefits to women and disadvantaged groups, and use community groups (such as Road User Committees) in the planning and execution of development programs.

1.4 The administrative decentralization for the road sector in Nepal has received a boost with the recent HMGN approval of the Local Infrastructure Development Policy (August 2004). This combined policy and strategy is based on the 1997 National Strategy for Rural Infrastructure Development and is designed to make local infrastructure policy and strategy consistent with the LSGA and to harmonize donor and government practices in the sector. Within the updated policy framework, His majesty’s Government of Nepal (HMGN) remains committed to the decentralized governance system for rural infrastructure development and operation in districts, and for using the institutional structure and resources of Department of Local Infrastructure and Agriculture Roads (DOLIDAR) to coordinate donor support and to provide technical backstopping to DDCs, while leaving direct implementation, planning and operation of rural infrastructure within the respective DDCs.

1.5 HMGN’s Poverty Reduction Strategy Paper (PRSP)/Tenth Plan (2002-2007) outlines a four-pillar strategy: (i) achieving broad-based economic growth (especially of agriculture and the rural economy); (ii) accelerating human development through better delivery of social services; (iv) ensuring social and economic inclusion of the poor; and (iv) pursuing good governance. To support

4 Nepal Living Standards Measurement Survey (World Bank, 1996).5 Transport Indicators Survey (World Bank, May 2004). 6 Nepal Central Bureau of Statistics.

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these goals, the proposed Rural Access Improvement Project (RAIP) will adopt the following proactive approaches:

(a) Candidate districts and specific subprojects will be selected on the basis of poverty level, accessibility and potential for agriculture development, thereby supporting both the agriculture productivity and poverty reduction objectives;

(b) Improvements in rural transport services will enhance the ability of the rural poor to access quality health care and education services;

(c) The project will emphasize and mainstream the use of labor-based methods for civil works and subsequent maintenance and operation of roads, and consistent with HMGN policy, it will give priority for hiring laborers from the disadvantaged communities, and thereby extending project benefits to the most vulnerable; and

(d) The project will be implemented by DDCs, with participation from community groups in the planning, implementation and monitoring of the project; thereby deepening HMGN’s objective for decentralization and improving governance structure and accountability in the rural road sector.

PROJECT DESCRIPTION

1.6 The Rural Access Improvement Project (RAIP) is designed to replicate and scale up the positive lessons and good practices from the Rural Infrastructure Project (RIP) financed under the International Development Association (IDA) Learning and Innovation Loan. The development objective of RIP was to strengthen the institutional capacity of the decentralized local governance system and improve district’s planning and managing capabilities to enhance the quality, efficiency, and sustainability of rural roads. RIP was designed to test implementation modalities and community participation at the district level, and its results were to be evaluated, monitored and scaled up and replicated in a follow up operation7. The RAIP is based on the lesson learned and good practices from RIP. The Project Development Objective (PDO) of RAIP is as follows:

Participating communities utilize improved rural transport infrastructure and services to become increasingly integrated to the economy, improve their productivity and access social and agriculture services.

1.7 Outcome Indicators. The PDO will be monitored with the following indicator:

50 percent increase in motorized and non-motorized trips by beneficiaries to education and health facilities, markets, and other economic and social services by End of Project (EOP).

20% reduction in travel time to key social services and economic centers.

PROJECT COMPONENTS

1.8 The project will have two main components: (a) Rural Transport Infrastructure Improvement, and (b) Policy and Institutional Development and Implementation Support Component. Under each component, there will be several subcomponents as follows:

Rural Transport Infrastructure Improvement Component

7 For Details on RIP, Please see the Project Appraisal Document (Report No. 19171, May 12, 1999) and Implementation Completion Report (Report No. 27565, January 28, 2004

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1.9 All-season Rural Roads Subcomponent. This subcomponent will support candidate districts to rehabilitate and upgrade about 1200 km of existing district roads to all-weather standard. The civil works will include construction of drainage, culverts, small bridges and causeways, improving surfaces, and widening (when necessary) to minimize closure during the rainy season.

1.10 Dry-season Rural Roads Subcomponent This subcomponent will support candidate districts to upgrade about 600 km of existing tracks to dry-season road standard in remote hill districts. Consistent with the phased construction method to be applied in this project, the dry-season roads may subsequently be upgraded to all-season road under the above component if environmental conditions permit.

1.11 Rural Road Maintenance Subcomponent This sub-component will support candidate districts to carry out road maintenance of about 1600 km rural roads, covering routine, recurrent and periodic maintenance of maintainable rural roads in participating districts. The source of funding for this component will mostly come from government sources including districts own funding and Roads Board Nepal (RBN). Participating DDCs will prepare annual maintenance plans (following RBN guidelines) from their respective DTMPs, and seek matching funding from the RBN; the proposed RAIP will fund any shortfall. In addition, before seeking funding under the above subcomponents, DDCs will have to show that their maintenance requirement is fully funded

1.12 Trail Bridges Construction. This sub-component will be parallel financed with the Swiss Agency for Development and Cooperation (SDC). It will support the construction of about 313 short-span trail bridges in 13 RAIP districts and 15 other non-road served districts.

1.13 Demand-driven Community Infrastructure Subcomponent.. This will be an open subcomponent from which qualified communities can access RAIP funding for the development of small, rural infrastructure in their communities, such as the construction of markets, ropeways, and community trails and roads.

Institutional and Policy Development and Implementation Support Component

1.14 Accessibility Planning, Investment Needs Assessment and Updating DTMPs. This subcomponent will support the preparation of a GIS-based Transport Master Plan for Nepal, and develop a spatial profile of population/settlements that are/are not within four hours of walking from the nearest all-weather road. And on this basis, DOLIDAR will undertake a needs assessment to determine the investment requirements to bring settlements with a population of 5000 people or more within four hours of walking to the nearest all-weather road. This Transport Master Plan will be used to facilitate donor coordination and attract funding to the sector in a coordinated and holistic way. In addition, this subcomponent will support DOLIDAR and DDCs to mainstream the use of Integrated Rural Accessibility Planning (IRAP) for multi-sector accessibility planning and, on this basis, prepare DTMPs and provide multi-sector input to district’s Periodic Plan. With technical support from the ILO, DOLIDAR has begun applying IRAP tools for the preparation DTMP in Rasuwa District. The proposed RAIP will support additional 30 districts (RAIP and non-RAIP) to use IRAP tools to prepare DTMPs and provide input for district’s Periodic Plan. The subcomponent will support RAIP districts as well as other districts, including non-road served districts, which will be supported to prepare intra-district transport master plan.

1.15 Rural Transport Services Study and Policy Development). This subcomponent will support an assessment of the demand and supply of rural transport services. The study will assess the mobility and transport needs of the rural population and study travel patterns of rural population. The study will also examine the industrial organization of rural transport service providers, including reviewing institutional, regulatory, and entrepreneurial impediments for an adequate and effective rural transport in Nepal. On this basis, the Study will recommend a Rural Transport Policy, which will be discussed widely within Nepal and approved by HMGN during project implementation.

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Furthermore, the study will make a recommendation to pilot a government intervention to promote motorized and intermediate transport services in participating districts.

1.16 Socioeconomic Impact Monitoring Study. Support a study to undertake an assessment of the magnitude and distribution of the direct and indirect socioeconomic impacts of rural access transport interventions and determine the extent to which interventions under the proposed RAIP cause changes in the well being of target population. TA services under the supervision of DOLIDAR will undertake the study. A baseline survey will be undertaken before project implementation starts, and two repeat surveys will be undertaken: one after civil works are completed; and the second two to three years after project closing. The funding for the latter will come from HMGN, while the first two surveys will be funded under the proposed RAIP. The TOR and procurement plan for the consultancy service will be ready by appraisal.

1.17 The institutional development (ID) component will support various training and technical assistance at DDC and DOLIDAR level for capacity-building and organizational strengthening activities.

1.18 Training. Implementation of the ILO-sponsored Training Needs Assessment, including training of trainers. The training will be provided to staff from DOLIDAR, DDC, private sector and community groups.

1.19 District-Level TA. Participating DDCs will receive TA to support the implementation of approved programs, sub-projects and associated local initiatives, including project development and implementation, design and supervision of works, social mobilization and community participation and monitoring.

1.20 DOLIDAR-level TA. DOLIDAR will receive support for various immediate capacity-building priorities initially, while being assisted to address longer-term functional and organizational change goals set by HMGN for this sector. Hence early support to DOLIDAR under the ID component will focus on strengthening the effectiveness of DOLIDAR in its responsibilities as the RAIP executing agency, on improving the department’s capabilities for effective guidance, monitoring and mentoring of DDCs on RAIP-supported activities, and on implementation by DOLIDAR of an effective, sustainable multi-level performance monitoring and evaluation framework to meet both ongoing HMGN and RAIP requirements.

1.21 Goods, Logistical Support, Increment Cost. To facilitate the implementation of the above components, the project will support the procurement of goods, and providing funding to cover logistical and incremental costs by DOLIDAR and participating DDCs during project implementation. The specific goods to be procured are being identified by DOLIDAR and DDCs, and will be ready by appraisal.

PROJECT DISTRICTS

1.22 Participating districts will be selected based on a District Participation Framework (DPF), which has been prepared by DOLIDAR and endorsed by MOLD and NPC. The purpose of the DPF is to create institutional incentives and competition among districts by setting an objective, fair and transparent rules for selecting candidate districts. The DPF will also help ensure districts’ readiness to implement the project and secure continued good performance throughout the project implementation period. Accordingly, the DPF comprises a District Selection Criteria for districts to be candidates, an Entry Condition for districts to participate in the proposed project, and a Performance Criteria for districts to receive continued funding support from the project. Table 1.1 presents an overview of the District Participation Framework.

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Table 1.1: District Participation Framework

District Selection Criteria (Finalized)

District Entry Condition and Participation Criteria (Draft)

District Performance and Output Criteria for Continued Support (Draft)

Good performance participation in RIP

Current level of accessibility

Poverty profile and ranking (according to HMGN criteria)

Connectivity to the Strategic Road Network

Extent of involvement by other major donors.

DTMP existing or under to be completed before project appraisal

Commitment to review and update DTMP

Adopt a program approach for road sector investment and maintenance program

Consolidate road sector revenues (from all sources) into a single road sector budget

Develop a rolling three-year

road sector investment and maintenance expenditure and budget framework

Engage dedicated project staffs (Project Manager, Engineer, Overseer, Social Mobilizer Accountant etc.)

, and make the staff available for pre-project launch training

Commitment to comply Environmental and Social Safeguard Requirements

Commitment to Agreed Project Preparation and Implementation Modalities

Commitment for other WB and HMG/N compliance requirements

Establishment of a financial management and auditing system

Continued meeting the Entry Condition and Participation Criteria

Road sector investment generation and expenditure (budgeting) is followed per agreed plans

Financial Management and audit reports are timely and to quality standards

Compliance to all agreed project implementation modalities

Monitoring and Evaluation System is in place

Compliance to environment and social safeguard policies

Transparency and community participation is fostered in project works

1.23 The first year program of the project consisting of road works on 24 roads in 13 districts. For each road, the investment costs and the road length represent the expected road works over the project period and not just the road works that will be contracted the first year of the program. Table 1.2 shows the beneficiary population, which indicates that (i) around 776 thousand persons will benefit from the first year program of the project that will provide all-weather access to a network of 602 km; (ii) the average number of beneficiary population per kilometer is around 1,270 persons; and (iii) around 92 percent of the beneficiary population lives within 30 minutes of the road (Z0 and Z1) on Terai and valley plains and 45 percent of the beneficiary population lives within 30 minutes of the road (Z0) on hills and mountains.

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Table 1.2: First Year Program Districts and Beneficiary Population

Household Beneficiaries within Beneficiary Beneficiary Length Zone of Influence Population PopulationDistrict Proposed Sub-project Terrain (km) Z0 Z1 Z2 Z3 Total Total per km

BankeMRM - Titihiriya -Sonpur - Udharapur Terai 17.5 1,610 1,309 1,888 0 4,807 29,227 1,670

KapilvastuSiwalawa - Labani - Lakhanchock(MRM) Terai 31.8 2,054 2,631 600 0 5,285 32,133 1,012

KapilvastuImiliya- Maharajgunj- Hardauna Terai 25.5 2,506 636 551 0 3,693 22,453 881

RupandehiMukundagadh-Semera-Thikahawa Terai 13.4 1,096 0 0 0 1,096 6,664 497

Nawalparasi Daldale- Dhawadi Terai 22.0 1,750 811 177 0 2,738 16,647 757

NawalparasiPanchanagar- Maheshpur Terai 18.6 2,370 287 355 0 3,012 18,313 985

PalpaAryabhanjayng-Rampur Hill 40.0 5,787 2,174 1,633 1,212 10,806 57,596 1,440

PalpaHarthok- Chhahara -Tingire Hill 25.5 2,032 395 899 2,611 5,937 31,644 1,241

Palpa Banstari- Jhadewa Hill 23.5 1,808 727 502 83 3,120 16,630 708Syanja Rangkhola-Biruwa Hill 17.5 787 619 567 946 2,919 15,558 889

Syanja

Mirdi - Jagatbhanjayng- Chapakot Hill 25.5 1,286 943 1,384 1,234 4,847

25,835 1,013

KaskiLamachaur-Machhapuchre Hill 16.0 1,840 300 158 0 2,298 12,248 766

Kaski Rakhi - Mijure Hill 19.0 3,660 645 395 160 4,860 25,904 1,363

DhadingDhadingbesi – Salyantar Mountain 35.0 978 1,490 1,491 2,592 6,551 34,917 998

DhadingBhimdhunga - Lamidanda Mountain 30.0 946 1,394 1,564 1,231 5,135 27,370 912

Makwanpur Hatiya - Raigaun Hill 15.0 1,818 564 329 676 3,387 18,053 1,204Sarlahi Karmaiya-Hathiaul Terai 54.0 12,170 2,081 0 0 14,251 86,646 1,605Sarlahi Kodena – Janakinagar Terai 15.0 5,241 0 0 0 5,241 31,865 2,124

MohottariJaleshwor - Rauja - Krishnapur - MRM Terai 41.0 7,879 4,454 2,183 0 14,516 88,257 2,153

Mohottari

Maitihani - Pipra - Bhrahampura – Mahadaiya Terai 25.0 8,932 496 0 0 9,428

57,322 2,293

SirahaLahan - Bhagawanpur – Thadi Terai 18.0 5,590 510 0 0 6,100 37,088 2,060

Siraha Zeromile – Bariyarpatti Terai 18.0 6,700 218 0 0 6,918 42,061 2,337Udayapur Gaighat - Nepaltar Hill 30.0 1,538 948 970 502 3,958 21,096 703

UdayapurGaighat - Beltar – Chatara Hill 25.0 2,271 1,077 648 0 3,996 21,299 852

Total 601.8 776,825 Average 1,269

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2. APPROACH AND METHODOLOGY

OBJECTIVES AND SCOPE OF THE ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK

2.1 The Environmental and Social Management Framework (ESMF) has been prepared on the basis of an extensive policy review, consultations with key stakeholders and project affected people, and the proposed project design for a randomly selected sample of subprojects. The framework is applicable to all subprojects funded under RAIP. Key objectives of the ESMF are:

Review HMGN’s existing policies, regulations, operational guidelines and institutional arrangements to address and mitigate environmental and social impacts of rural roads.

Assess the compatibility of the core principles of HMGN policies and World Bank policies, identify gaps, and present recommendations for addressing these gaps.

Identify potential adverse impacts due to rural infrastructure and prepare draft environmental codes of practice.

Prepare guidelines for identifying and assessing the nature and magnitude of environment and social impacts, including preparation of environmental and social screening criteria to select projects for implementation under RAIP and determine the level of social and environmental assessment/studies required.

Prepare guidelines for impact prediction and assessment.

Suggest modalities for the preparation of site-specific subproject mitigation measures.

Recommend measures to strengthen project implementation mechanisms and institutional arrangements.

Details of the study objectives, including the terms of reference for the preparation of the ESMF are presented in Annex 2.

2.2 The methodology adopted for the preparation of the ESMF included: (i) review of relevant HMGN environmental and land acquisition legislation and operational guidelines; (ii) identification of stakeholders and environmental and social issues; (iii) identification of adverse environment and social impacts and strategies of how they could be minimized or mitigated; (iv) identification of positive impacts and how they could be enhanced; (v) incorporation of these findings into project design; (vi) establishment of indicators and mechanisms for monitoring and evaluation; and, (viii) examination of institutional arrangements.

ENVIRONMENT ASPECTS

2.3 The EA and ESMF was prepared in the following approach:

Review of existing HMGN environmental legislation and institutional frameworkExtensive review of the existing HMGN environmental legislation and institutional requirements for environmental assessment and management was conducted and compared with World Bank safeguard policies. All the applicable procedures and requirements were adopted under RAIP and the weaknesses in implementation capacity were taken into consideration. The ESMF outlines extensive capacity building of DOLIDAR, DDC, VDC and communities to be better equipped to carry out the environmental management responsibilities.

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Preliminary assessment of potential environmental impacts arising from road construction in mountain and Terai terrains based on secondary sources.

The physical environment of project districts, land use patterns, and data on existing roads is presented in Annex 1.

Desk screening and Field investigation of potential environmental impacts in selected sites

Potential environmental impacts of the proposed road projects were first determined and were verified through detailed field investigation of each site of randomly selected rural road projects. Walk-throughs were conducted on each site and site specific environmental impacts were identified. Baseline data on the environmental setting of the project site, such as, existence of protected and forested areas, landslides and erosion prone areas, water bodies, cultural sites were recorded. Existing environmental problems were identified and the potential impacts that would be caused by road construction were indicated. Detailed maps were drawn of the alignment of the road in relation to the environmental conditions. Communities were consulted to determine what kind of environmental issues they had experienced in the past and what concerns they may have. The environmental screening checklist is presented in Annex 9 and 10. The summary of the potential environmental impacts can be found in Annex 8.

Stakeholder consultations

Consultations with beneficiaries of in randomly selected subprojects were held in selected Terai and Hill districts. These consultations were conducted along with the field consultations for the social assessment and the details are explained below.

Environmental and Social Management Framework

Based upon the findings of the secondary source analysis and field investigations, an environmental and social management framework has been prepared. The framework identifies step by step environmental and social needs in the entire project cycle form project identification, project design, implementation and monitoring. All the proposed sub-projects will undergo environmental screening to determine whether they should be considered under RAIP based upon the extent of their potential environmental impacts. Once the sub-projects are considered for funding either IEE or EIAs will be conducted and detailed, site specific environmental management plans prepared in close consultation with the community. The implementation mechanism for ESMF at the local level is presented in Annex 7. Sample of environmental clauses in contract specifications is presented in Annex 6, sample terms of reference for the IEE is presented in Annex 11. The DDC and communities will be directly responsible for the periodic monitoring of the implementation of the environmental mitigation measures.

Development of field environmental management guidelines

Based upon the needs identified through consultations with the stakeholders, DOLIDAR, DDC and VDC officials, it was determined that a environmental management field manual would facilitate the implementation of environmental management by the community, VDC and DDC. Therefore, a manual has been prepared in English and will be translated into Nepali.

SOCIAL ASPECTS

The approach underlying the assessment of social impacts and developing appropriate mitigation strategies is based on the principles of local participation and consultations with stakeholders, including vulnerable groups, during all stages of the project from initial design to implementation.

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The broad methodology and methodological tools adopted for the preparation of the social aspects of the ESMF are detailed below.

Socio-economic Profile and Baseline

2.4 A socio-economic profile for the project areas has been prepared based on secondary sources and provides an overview of the districts where the project will be implemented and their levels of socio-economic development. A baseline survey based on a 10% sample of households has been proposed as a follow-up and initial task of project implementation. The objective of this baseline survey is to evaluate the broad socio-economic conditions of project affected people prior to the implementation of project interventions, which will provide a baseline against which project impacts (both positive and negative) can be measured at the completion of the project. The sample baseline survey is to be undertaken prior to the commencement of first year subprojects and will supplement the larger baseline study planned for the project.

Policy Review

2.5 Key provisions of HMGN’s Land Acquisition Act (1977) and the World Bank’s Operational Policy 4.12 on Involuntary Resettlement and Operational Directive 4.20 on Indigenous Peoples were compared , policy gaps identified and recommendations made to address these gaps. The results of this policy review and agreement between the World Bank and HMGN on recommendations to bridge identified policy gaps formed the underlying basis for preparing a Resettlement Policy Framework (RPF) including a policy matrix for entitlements to compensate losses from project interventions. In addition, a Vulnerable Communities Development Framework (VCDF) has also been prepared to ensure that provisions of HMGN’s policy articulated in the Tenth Plan on the uplift of indigenous, ethnic and vulnerable groups as well as the provisions of the World Bank’s OD 4.20 on Indigenous Peoples are addressed by the project. Both of these frameworks are discussed in subsequent chapters of this document.

Stakeholder Consultations

2.6 Consultations with key stakeholders and beneficiaries were carried out in randomly selected sample subprojects in the terai and hill districts. A sample of 11 representative villages in 3 districts were visited. The objective of these focus group discussions was to understand the perceptions and concerns of project beneficiaries and primary stakeholders, including vulnerable community members (Dalits, ethnic/indigenous groups, women, the disabled, elderly, and landless), about environmental and social issues. Consultations were also carried out with secondary stakeholders, including VDCs, DDC’s, Local Road User Groups (LRUG), local NGOs, as well as other HMGN departments. Separate individual interviews were held with vulnerable members of the community to disseminate information about the project, to understand their views about the project and its potential impacts and explore how the project could provide targeted assistance to these groups (i.e. through training and income generation). The proceedings of these stakeholder meetings and list of participants has been documented. The outcomes of these consultations subprojects are discussed in detail in chapter 4.

2.7 Stakeholder consultations during all stages of the project, from initial design to implementation, underpin the assessment of social impacts and development of social impact management strategies defined in the ESMF. To facilitate ongoing participation during the project, regular consultations are planned with beneficiary communities to share project related information, provide a feedback mechanism for these communities to voice their concerns and issues, and to the extent possible address these concerns.

Social Screening and Identification of Social Impacts

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2.8 Social screening will be carried out as part of the feasibility studies for each subproject and social screening criteria will be fully integrated into DOLIDAR guidelines. Social screening will identify the potential for loss of land, assets/structures, livelihoods, willingness of the community to voluntarily donate land to the project, the presence of indigenous/vulnerable people and any specific impacts on these people, as well as other significant social impacts. Social screening will also enable the categorization of subprojects based on their level of social impacts. Where the extent of adverse social impacts is minor and no displacement or loss of assets or livelihoods is expected, no further action is required. However, where the social screening indicates that land acquisition and/or loss of assets is unavoidable, appropriate resettlement plans will be prepared.

2.9 The outcomes of the social screening carried out for a group of randomly selected subprojects indicate that enhanced access to motorable transport and social services, reduction in travel time and transport costs, and employment opportunities for work on project interventions are viewed by beneficiary communities as the most positive impacts of the project. Although no major impacts from resettlement or large scale land acquisition are expected, social screening outcomes indicate the possibility of the acquisition of small strips of land required for road improvements. This land is expected to be voluntarily donated by the communities/landowner. The screening also indicates the loss of a small number of houses and structures belonging to poor Dalit communities encroaching on public land in the road’s Right of Way (ROW), and along the road sections where project works are planned.

Development of Social Impact Management Guidelines

2.10 The environment and social issues identified through stakeholder consultations as well as the outcomes of the social screening process provided the analytical underpinnings for preparing the ESMF and the development of appropriate mitigation strategies. A RPF have been prepared to define the policy and institutional framework to guide the compensation/entitlement for loss of land, assets, livelihoods and other social impacts. Similarly, a VCDF has been prepared to address impacts on vulnerable groups and ensure their inclusion in the project activities. The ESMF is applicable to all proposed subproject activities and through all stages of the subproject cycle: pre-planning, planning and design, implementation, and post-implementation.

Resettlement Policy Framework

2.11 Based on the findings of the policy review, stakeholder consultations and social screening outcomes, a Resettlement Policy Framework (RPF) has been prepared to address impacts arising from: (i) loss of land; (ii) loss of homes/structures; (iii) loss of livelihood systems/income opportunity (due to the lost of productive land or impact to a structure where a livelihood activity is being carried out); and (iv) loss of community property resources such as religious and cultural structures.

2.12 The RPF defines the legal, institutional and implementation framework to guide the compensation for lost assets, livelihoods, community property, and resettlement and rehabilitation of project affected people in accordance with the World Bank’s Operational Policy 4.12 on Involuntary Resettlement and HMGN guidelines and legislation. Key provisions of HMGN’s Land Acquisition Act (1977) and the World Bank’s policy were compared, policy gaps identified and recommendations made to address these gaps. This review formed the basis for developing the RPF, especially the policy matrix for entitlements for losses suffered under the project. The RPF will be applicable to all sub-projects funded under RAIP.

2.13 To the extent possible, the project will consider alternative engineering designs or locations to minimize adverse social impacts and land acquisition. Where the social screening indicates that land acquisition is unavoidable, a subproject Resettlement Action Plan (RAP) will be prepared for which the RPF provides overarching guidance on principles and procedures. Subproject RAPs will be

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prepared at the planning and design stage and submitted to the World Bank for review at least three months before the initiation of any land acquisition activities.

Vulnerable Communities Development Framework

2.14 A Vulnerable Communities Development Framework (VCDF) has been prepared to define the policy, institutional and implementation framework to address impacts on vulnerable groups (all ethnic minority/indigenous groups present in the terai and hill districts as categorized by HMGN, women headed households, the most poor-based on poverty line and local wealth ratings, the disabled, elderly and landless/kamaiya families), ensure meaningful consultations with these people throughout project preparation and implementation and ensure that they are provided assistance in accordance with their own priorities. The VCDF has been prepared in accordance with the World Bank’s Operational Directive (OD) 4.20 on Indigenous Peoples and relevant HMGN policies, including those articulated in the Tenth Plan.

2.15 To the extent possible, the project will consider alternative sites and engineering designs to avoid or minimize impacts on vulnerable people. Where the social screening indicates the presence of vulnerable groups in a subproject site, a subproject Vulnerable Communities Development Plan (VCDP) will be prepared for which the VCDF provides overarching guidance on principles and procedures. Subproject VCDPs will be prepared at the planning and design stage and submitted to the World Bank for review at least three months before the commencement of any project activities.

2.16 To effectively monitor project impacts on the vulnerable, the socio-economic baseline established for the project will include data on representative vulnerable households. Monitoring indicators will include gender and vulnerability specific indicators, and monitoring reports will present data disaggregated by gender and vulnerability. Indicators that can be monitored for this purpose can include, how many vulnerable people participated actively in project activities, benefited from targeted assistance to enhance livelihoods, documentation of their opinions on project impacts and if any of their specific concerns were addressed during implementation.

2.17 Conclusion. The approach underlying the assessment of social impacts and development of associated mitigation strategies presented in the ESMF is based on the methodology discussed above and is detailed in subsequent chapters.

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3. POLICES, REGULATIONS AND GUIDELINES

RELEVANT HMGN POLICIES

3.1 The Constitution of the Kingdom of Nepal, 2047. The Constitution of Nepal, 2047 B.S., as supreme law of the land, has guaranteed the right to property for Nepalese citizens. According to Article 17 of the Constitution, the State may acquire the property from its owner only for the purpose of public interest, and the State is required to provide due compensation to owner of property for land acquired, as prescribed by law.

3.2 Local Self-Governance Act, 2055 and Local Self- Governance Rule, 2056. The Local Self-governance Act has been enacted to provide greater political, administrative and financial autonomy to local bodies and facilitate community participation at the local level. In accordance with the Act, local bodies have been formed at three levels: Village of Development Committee (VDC) at village level, Municipality at town level, District Development Committee (DDC) at district level. The Act empowers these local bodies to formulate and implement periodical and annual plans within their own jurisdiction.

3.3 Explosive Material Act, 2018. If construction activities require the use of explosive, in accordance with the Explosive Material Act 2018, prior approval of the Chief District Officer (CDO) is needed to purchase explosives.

3.4 Public Road Act, 2031. The Public Road Act is the governing legislation for construction and operation of roads in Nepal. The Act prohibits the construction of permanent structures (buildings) in a defined distance from the rural road, i.e., the road agency has the authority over everything within the right of way. If road projects temporarily require land and/or other properties during construction, rehabilitation and maintenance, compensation is determined by the DDC. Provisions are also detailed for compensation for the extraction of construction materials.

3.5 Environmental Protection Act 2053 (1997) and Environmental Protection Regulations 2054 (1997). Environmental Protection Act (EPA) and Environmental Protection Regulation (EPR) have been enacted and enforced to prevent or minimize adverse environmental impacts likely to be caused by development activities. According to the EPA, all development projects, including roads, should first be screened using criteria that are based on project type, size and cost, stipulated in the Regulation to determine the level of environmental assessment required. Small projects that are not expected to cause significant environmental damage, such as rehabilitation of rural roads, are not required to do any environmental assessment. Projects that could result in some environmental impacts are required to conduct Initial Environmental Examination (IEE) and large projects that can result in major environmental impacts are required to go through an Environmental Impact Assessment (EIA) process.

3.6 Forest Act, 2049. The use of forestland for rural road project is subject to forest law and regulation. As rural roads pass through different patches of forests and/or privately owned trees the Forest Act and the Forest Rules also become applicable. The road projects need to comply with the provisions of forest law when it requires the use of forestland for road construction.

3.7 Land Acquisition Act 2034 and Land Acquisition Regulations 2026. The Constitution of the Kingdom of Nepal, 2047 (1990) Article 17 (3) provides for compensation to be paid to the individual if the state takes land for development purposes. The Land Acquisition Act 2034 (1977) and the Land Acquisition Rules 2026 (1969) are the two main legal instruments that specify procedural matters of land acquisition and compensation. The land acquisition rules were set up under the Land Acquisition Act 2018 (1962) that was replaced by the 1977 Act, but the rules, published in 1963, were never

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updated. The rules are therefore older than the relevant Act and the Constitution that enshrines the principle

HMGN’S LEGISLATIVE FRAMEWORK AND GUIDELINES

3.8 Environmental Guidelines. In order to integrate the environmental aspects in development projects and programs, the government has developed the National EIA Guidelines (1993), a Road Sector EIA Guidelines (1997). An Environmental Management Guidelines (EMG) for roads was also developed in 1997 and adopted as environmental policy document by the Department of Roads (DOR) in January 2000. The EMG provides guidance to project proponent on integrating environmental mitigation measures, particularly on the management of quarries, borrow pits, stockpiling of materials and spoil disposal, operation of the work camps, earthworks and slope stabilization, location of stone crushing plants, etc.

3.9 Land Acquisition Guidelines. The Land Acquisition Act 2034 (1977) empowers HMGN to acquire any land, on the payment of compensation, for public purposes and works. This policy is supplemented by guidelines and procedures for land acquisition as presented in Table 3.1.

Table 3.3: Principal Steps in the Land Acquisition ProcessStep Action Responsibility Time Required Clause No.

in LAA1 Identifies the areas of land to be acquired and requests

authorization from the concerned Ministry or Department to proceed with acquisition

Project Manager (PM)

Determined during feasibility/ engineering design work

3,4

2 Ministry/Department officially authorizes the PM to initiate preliminary action for land acquisition

Ministry of Department

½ month 5

3 Issues notice of preliminary action and affix it in proper places for information.

PM 1 month 6 (1)

4 After 3 days, begins survey of land and prepares map, measures dimensions of houses/walls, counts trees to be felled and assesses the amount of standing crops to be cut, etc. Estimates compensation for lost houses, trees, crops, etc. Completes preliminary action within 15 days and submits all documents to Chief District Officer (CDO) for further action.

PM 1-2 months 6 (2,3)78 (1)

5 May complain to the CDO about the amount of compensation for houses, trees, crops, etc.

Land Owner ½ month 7 (3)

6 Review's PM's documents from preliminary action and decides on complaints of compensation for losses. CDO's decision is final.

CDO 2 months 9 (1)

7 Issues a land acquisition notice which should be displayed at the following places: The local office of the concerned project District Administration Office The concerned VDC/Municipality offices Land Administration or Revenue office Thoroughfares located around the concerned lands Such other places as the CDO may deem appropriate

The notice should also indicate that the land owners shall submit an application claiming compensation within a minimum time limit of 15 days, with evidence of the land ownership certificate. The time limit will be allowed for the owners to fell trees or cut standing crops, demolish houses or walls to the land owners.

CDO 2-3 months 9 (2)

8 Informs land owners who may not see the notice. CDO ½ month 9 (3)9 After receiving the land acquisition notice, suspends

any land transaction until the CDO directs it to lift the suspension.

Land Revenue Office

½ month 9 (4)

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Step Action Responsibility Time Required Clause No. in LAA

10 CDO forms a Compensation Fixing Committee (CFC) of the following officers to determine the amount of compensation payable: CDO Land Administrator of Chief of the Revenue office PM in the case of a project and officer designated by

the CDO for other purposes A representative of the DDC

CFC will determine the amount of compensation considering:

Current price of land Value of standing crop, houses, walls, sheds, etc. Loss incurred as a result of shifting residence or

place of business

CFC 2 months 13 (2)

11 CDO prepares list of persons entitled to compensation and issues notice of the same.

CDO ½ month 18 (1)

12 Any person who is not satisfied with the list may file a complaint to Ministry of Home (MoH) within 15 days.

CDO 1 month 18 (2)

13 May complain to MoH through the CDO within 7 days giving reason why his land should not acquired.

Land Owner ½ month 11 (1)

14 Before taking a decision on the complaint filed, the MoH shall consult the officer responsible for preliminary action and, if necessary, the CDO. MoH shall exercise the powers vested in a district court, such as summoning witnesses recording statements, or procuring document. MoH will notify the CDO about the final decision of the complaint.

MoH 3 months 11 (2)11 (3)

15 Takes possession of the concerned land and hands it over to concerned office for which it is acquired after:Finalization of the amount of compensation by the CFCDecision has been made on complaint, orAt any time after expiry of the time limit for filing complaints

CDO 2 months 12 (10

16 Notifies the amount of compensation payable by the concerned Ministry of Department.

CDO ½ month 19

17 Authorizes the PM to make compensation payment to the land owners.

Ministry or Department

½ month 13 (1)

18 PM makes payment to land owners in presence of Revenue Officer, CDO and DDC officers' representatives.

PM 2 months 13 (2)

19 Must receive compensation amount within a time limit of 3 months after which he will not be entitled to any compensation

Land Owner 3 months 37

20 Takes possession of the land and hands it over to the concerned Ministry or Department and notifies HMG/N.

CDO 2 months 22

21 Obtains land ownership certificate and deposits copies with concerned ministry, department and project office.

PM 1 month

Source: HMGN, 2002. Public Works Directives, PWD Management Unit, MoPPW

3.10 Two sets of guidelines related to land acquisition are significant for RAIP. They are the Land Acquisition Guidelines of 1989 and guidelines issued by HMGN pursuant to section 16 and 17 of the Land Acquisition Act 2034 in 1977. These guidelines specify two categories of affected families, Project Affected Families (PAF) and Seriously Project Affected Family (SPAF). A PAF consists of the members of a household including elderly dependents and minor children (under 18 years of age) residing under one roof and operating as a single economic unit, who are adversely affected by the project. SPAF is defined as a family who looses over 25% of its total land holdings or whose land is reduced to an uneconomic holding (less than 5.0 katha) or who is being displaced.

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3.11 Under these guidelines the concerned officials, with the assistance of the project team, are to carry out assessments of project affected families to identify their standard of living and types of assets. Valuation of land and asset lost were to be based on comparative market values of similar assets in the vicinity. The guidelines also included arrangements for rehabilitation of project affected families. For PAF's, the compensation package includes cash for assets acquired or damaged by the project and a rehabilitation grant to cover any suffering and hardship. For SPAF's, the compensation additionally include employment for one family member and provision of skill training.

3.12 The Guidelines specify the establishment of an Acquisition and Rehabilitation Committee (also known as Compensation Fixation Committee, “CFC”) consisting of the concerned Chief District Officer (Chair), Land Revenue Officer, representative of the District Panchayat (now DDC) and the Project Manager and others as deemed necessary. The Committee is responsible for acquiring land and paying compensation. In 1993, a second set of guidelines reduced the Acquisition and Rehabilitation Committee to a four-member Compensation Fixation and Rehabilitation Management Committee by dropping the Land Revenue Officer and other appointees by HMGN. The functions and powers of the committee were clarified as were methods of payment and means of ensuring fair valuation of land quality.

HMGN POLICIES SUPPORTING VULNERABLE COMMUNITIES

3.13 Nepal does not have a standalone policy on Indigenous Peoples, However in the Tenth Plan significant emphasis has been placed on delivering basic services to the disadvantaged and indigenous people, Dalits, women, disabled and other vulnerable groups including the Adibasi/ Janajati indigenous people. One of the main thrusts of the Tenth Plan is the implementation of targeted programs for the uplift, employment and basic security of Dalits, indigenous people and disabled class. The policy provision also outlines that the government should pilot strong and separate package of program of basic security for vulnerable sections of society.

3.14 HMGN’s Tenth Plan is the guiding policy document for any development project to integrate programs aimed at poverty reduction, especially among the poor people. The Targeted Program (TP) is one of the four strategic poverty reduction pillars upon which the Tenth Plan is formulated and being implemented. Targeted programs in the context of poverty reduction are meant to enhance the capability of those communities and areas which are lagging behind in the main stream of development. The Plan states that targeted and empowerment programs shall be promoted to enhance the welfare of vulnerable, disadvantaged and exploited groups, the Dalits and indigenous scheduled caste groups.

3.15 The objective of the targeted program is to raise productive capabilities of people belong to marginalized, deprived, disadvantaged, remote and isolated areas. The expected results of TP are:

Various targeted programs designed for the upliftment and employment of dalits, indigenous people, deprived groups are created.

Deprived and indigenous communities are empowered for self-help development Empowerment of disabled, and Remote area and isolated communities empowered for self-help development.

3.16 The Tenth Plan also defines that the areas where more than 50 percent of population is poor and the families have no extra income other than their own household production and which is sufficient for less than 9 months are designated as the poor areas. Likewise families whose income is sufficient for less than three months is categorized as ultra poor who need to be supported for their livelihoods.

3.17 Construction of Local Level Infrastructure and Local Development Program: One of the targeted programs of HMGN as outlined in the Tenth Plan is the construction of local level

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infrastructure development. Infrastructure like drinking water, minor irrigation, foot/ mule trails, school and health posts are amongst such programs.

3.18 Programs of Increasing Income Generating Opportunities: There is also increased emphasis in implementing different types of income generation supportive programs targeting the poor and vulnerable people.

3.19 It is also recognized that some dalit groups like Kami (blacksmith) Damai (tailor), Sarki (cobbler) etc have been losing markets of their traditional occupations. The imported cheaper goods in the market have greatly replaced the demand of local made goods both in urban and rural areas. Towards solving this problem, it seems necessary to design and implement different types of skill training programs aiming at specified groups.

3.20 The National Dalit Commission: The National Dalit Commission (commission for oppressed) was constituted in the Ninth Plan for the protection of their rights and inclusion in the mainstream of development programs. The acts and regulations of the commission are formulated as well as work related to setting up institutional structure has been undertaken.

3.21 Strategies: As stated in the Tenth Plan it is necessary to undertake programs of correcting various human development index related for the Dalits and neglected communities through targeted programs since they are generally isolated from development mainstream. The Plan outlines four major strategies aiming at inclusion and greater representation of Dalits and neglected communities as follows.

By identifying oppressed, downtrodden, neglected communities the social oppression and discrimination against them will be abolished through the economic and social development of this class.

Through social and economic empowerment their knowledge, skills and intelligence will be mainstreamed in the development process, and their possible contribution in the national level will be identified and encouraged put into practice.

The traditional occupations of the downtrodden and oppressed community will be modernized and the goods produced by them will be made competitive. Necessary arrangements for marketing their products will also be undertaken.

The Dalits and oppressed’s social dignity promoting programs will be emphasized while appropriating national productive resources and opportunities.

3.22 Programs: In line of the above strategies, the Tenth Plan clearly elucidates different programs aiming at social and economic upliftment of dalits and neglected communities. A summary list of different programs to be designed for these groups is as presented below.

Table 3.4: Identified Program Areas for Dalits by the Tenth Plan S.No. Sector Program Details 1 Social Program Programs to discourage religious and social conservatism among non dalits; capacity

building and leadership development of dalits and women. 2 Educational

ProgramFree education up to secondary level to the children of Dalits; easy access to higher education, mainly technical and vocational; appointment of dalit females in teaching position; types and amount of scholarship for dalits to be raised; development of dalit student oriented curriculum; special education programs for dalits.

3 Heath Program Awareness raising of dalits on health food and sanitary condition; increased access to primary health; provision of safe drinking water; basic and primary health care services; programs on reducing infant mortality, child mortality and family planning among dalits;

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selection of dalit women for female workers if possible. 4 Economic

Program Priority in land distribution for homeless dalits; preference in foreign employment; modernization of traditional skills and knowledge through training; provide access to loans to run commercial enterprises etc.

Population Of Dalits

3.23 Dalits are traditionally the most poor and vulnerable communities elsewhere in the country leaving a very few exceptions who are educated and economically better off. The customary practice while defining the poor is that all dalits are put in to this category implying the fact that poverty is prevalent widely among the dalits of Nepal.

3.24 According to census survey (CBS, 2001), NPC has estimated a total of 3.1 million population as dalits who belong to more than 20 different ethnic groups. This figure accounts for 13.3 percent of the total population of Nepal. The hill dalits include mainly Damai, Kami Sarki Gaine, Pode Kusle, Kasai etc while the terai dalits constitute Teli, Dusadh, Chamar Musahar etc.

Table 3.5: Population of Dalits in Sample RAIP Districts

S.No.Project Districts

Dalit Population (No) %

1 Banke (T) 43,266 5.02 Dhading (H) 34,714 4.03 Kapilbastu (T) 74,130 8.54 Kaski (H) 56,359 6.55 Mahottari (T) 102,775 11.86 Makwanpur (H) 16,456 1.97 Nawalparasi (T) 74,044 8.58 Palpa (H) 30,154 3.59 Rupandehi (T) 117,301 13.510 Sarlahi (T) 115,872 13.311 Siraha (T) 128,976 14.812 Syangja (H) 42,965 4.913 Udayapur (H) 31,917 3.7

Grand Total 868,929 100.0Source: Population Census, CBS, 2001H= Hill, T= Terai

As depicted in the table above, the population of dalits differ quite significantly across the districts. Nevertheless, their presence is found in all districts that are proposed for first particularly regarding the protection, preservation and promotion of the languages, religions and cultures of the indigenous peoples.

WORLD BANK ENVIRONMENT AND SOCIAL SAFEGUARD POLICIES

3.25 The environment and social safeguard policies applicable to RAIP are the following:

3.26 Environmental Assessment (EA) OP 4.01: An Environmental Assessment is conducted to ensure that Bank-financed projects are environmentally sound and sustainable, and that decision-making is improved through appropriate analysis of actions and of their likely environmental impacts. Any World Bank project that is likely to have potential adverse environmental risks and impacts in its area of influence requires and EA indicating the potential risks, mitigation measures and environmental management framework or plan.

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3.27 Natural Habitats (OP 4.04) . Natural habitats are land and water areas where most of the original native plant and animal species are still present. Natural habitats comprise many types of terrestrial, freshwater, coastal, and marine ecosystems. They include areas lightly modified by human activities, but retaining their ecological functions and native species. The Natural habitats policy is triggered by any project (including any subproject under a sector investment or financial intermediary loan) with the potential to cause significant conversion (loss) or degradation of natural habitats, whether directly (through construction) or indirectly (through human activities induced by the project). The policy has separate requirements for critical (either legally or proposed to be protected or high ecological value) and non-critical natural habitats. The Bank’s interpretation of “significant conversion or degradation” is on a case-by-case basis for each project, based on the information obtained through the EA.

3.28 Forestry (OP 4.36). This policy is triggered by forest sector activities and other Bank sponsored interventions which have the potential to impact significantly upon forested areas. The Bank does not finance commercial logging operations but aims to reduce deforestation, enhance the environmental contribution of forested areas, promote afforestation, reduce poverty and encourage economic development.

3.29 Physical Cultural Resources (OP 4.11). Physical cultural resources are defined as movable or immovable objects, sites, structures, groups of structures, natural features and landscapes that have archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance. Physical cultural resources may be located in urban or rural settings, and may be above ground, underground, or underwater. The Bank seeks to assist countries to manage their physical cultural resources and to avoid or mitigate adverse impact of development projects on these resources. This policy is triggered for any project that requires an EA.

3.30 Involuntary Resettlement (OP 4.12). Key objectives of the World Bank’s policy on involuntary land acquisition are to avoid or minimize involuntary resettlement where feasible, exploring all viable alternative project designs; assist displaced persons in improving their former living standards, income earning capacity, and production level, or at least in restoring them; encourage community participation in planning and implementing resettlement; and provide assistance to affected people regardless of the legality of land tenure. The policy covers not only physical relocation, but any loss of land or other assets resulting in relocation or loss of shelter; loss of assets or access to assets; loss of income sources or means of livelihood whether or not the affected people must move to another location. When the policy is triggered, a Resettlement Action Plan (RAP) must be prepared. An abbreviated plan may be developed when less than 200 people are affected by the project. In situations, where all the precise impacts cannot be assessed during project preparation, provision is made for preparing a Resettlement Policy Framework (RPF). The RAP/RPF must ensure that all the Bank’s policy provisions detailed in OP 4.12 are addressed particularly the payment of compensation for affected assets at their replacement cost.

3.31 Indigenous Peoples (OD 4.20). Key objectives of the Indigenous Peoples policy are to: (i) ensure that indigenous people affected by World Bank funded projects have a voice in project design and implementation; (ii) ensure that adverse impacts on indigenous peoples are avoided, minimized or mitigated; and (iii) ensure that benefits intended for indigenous peoples are culturally appropriate. The policy is triggered when there are indigenous peoples in the project area, if there is a potential of adverse impacts on indigenous peoples, and if indigenous peoples are the intended beneficiaries. When the policy is triggered an Indigenous Peoples Development Plan (IPDP)/Vulnerable Communities Development Plan (VCDP) is prepared to identify whether there are any adverse impacts on indigenous peoples and how these will be mitigated as well as measures to ensure consultations throughout project preparation and implementation.

3.32 Disclosure requirements . There are disclosure requirements at every part of the project preparation and implementation process. Consultation with affected groups and local NGOs should

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take place during scoping and before TORs are prepared; when the draft EA is prepared; and throughout project implementation as necessary. The Borrower makes the draft EA and any separate EA report available in country in a local language and at a public place accessible to project-affected groups and local NGOs prior to appraisal.

3.33 Table 3.4 summarizes how the ESMF addresses applicable World Bank Safeguard Policies.

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Table 3.6: Applicable World Bank Environment and Social Guidelines World Bank Policy Applicable due to Addressed in ESMF

Environmental Assessment OP 4.01

Project is likely to have impact on both social and natural environments. Particularly, air, water land, human safety, natural habitats, forestry, involuntary resettlement and indigenous peoples

Preparation of detailed environmental management framework and resettlement and participation framework to address the environmental and social issues

Natural Habitats OP 4.04

Project passes through or adjacent to national parks and / or protected forests.

Preparation of an environmental management plan to address impacts. if any, on biodiversity (flora and fauna)

Forestry OP 4.36 Project passes through or adjacent to major forest areas

Preparation of an environmental management plan to address impacts, if any, on forest areas

Physical Cultural Resources OP4.11

Project may pass through culturally significant areas Avoid as much as possible.

Involuntary Resettlement OP 4.12

Project may require private property acquisition (land, commercial, residential and other structures) leading to resettlement.

Preparation of a Resettlement Framework and entitlement policy.

Indigenous Peoples OD 4.20

Project may be implemented in areas where there are indigenous/ethnic people present.

Preparation of a Vulnerable Communities Development Plan

COMPARISON OF HMGN AND WORLD BANK POLICIES ON INVOLUNTARY RESETTLEMENT AND LAND ACQUISTION

3.34 Table 3.4 presents a comparison of HMGN and World Bank policies on involuntary resettlement/land acquisition, and presents recommendations to bridge identified gaps.

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Table 3.5: Comparison of HMGN and World Bank Policies on Entitlement for Land Acquisition, Gaps and Recommendations

Type of Impact Entitlement Unit HMGN Policy World Bank Policy Recommendations to Bridge GapsA. LAND

Loss of private Land Families, households Cash compensation rates established by a Compensation Fixing Committee( CFC), consisting of: (i) Chief District Officer; (ii) Revenue Board Land Administrator; and, (iii) a DDC representative.

Compensation at full replacement cost.

For agriculture land pre-project or pre-displacement, which ever is higher, market value of land of equal productive potential within the same vicinity.

For urban land, pre-displacement market value of land of equal size and use, with similar facilities and sources within the same vicinity.

Replacement land of equivalent productive potential.

Cash compensation equivalent to the amount as per Land Acquisition Act; andResettlement allowance in cash equivalent to the difference between compensation as per the Land Acquisition Act and full replacement value as per current values in the same vicinity, plus value of all land transaction fees and charges.

Families who become landless allotted land as per provisions of the Land Act.

Non-title holder (squatters and encroachers)

Resettlement assistance in lieu of compensation for land occupied (land, cash, other assets, employment) to at least restore their livelihoods and standards of living to pre-displacement levels.

Resettlement assistance to those most vulnerable to restore pre-displacement level livelihoods. Vulnerable groups may include but not be limited to ethnic minority groups present in the terai and hill districts as categorized by HMGN, women headed households, the most poor (based on poverty line and the local wealth ratings), the disabled, the elderly and landless/kamaiya families.

Encroachers will not be entitled to any compensation for their affected unauthorized/illegal extensions over public land. Vulnerable encroachers with economic losses may be entitled to assistance as a vulnerable group.

B. HOMES/STRUCTURES

Families, households, Cash compensation determined by Compensation at full replacement cost. Cash compensation in accordance to the

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structure owners Compensation Fixing Committee on the current value of houses and structures, in accordance with the Land Acquisition Act and Land Acquisition Regualtions.

For houses and structures the market cost of the materials and labor to build a replacement structure of a similar quality or better than the affected structure.

Land Acquisition Act. To ensure compensation is at replacement cost, additional resettlement assistance in cash equivalent to cover depreciation over and above compensation amounts provided.

C. ECONOMICASSETS

Families, households Compensation at full replacement cost. Compensate and replace lost assets at the their replacement cost.Compensation for perennial crops and trees calculated as annual net product value multiplied by number of years for new crop to start producing.Compensation in cash for lost standing crop.

D. INCOME

Affected person, families, households

Measure to assist affected people in improving their former living standards, income earning capacity, and production levels, or at least restoring them.

Rehabilitation assistance for lost or diminished livelihoods.

E. Community Resources

Affected communities/families

Measures to assist impacted communities to re-establish or re-develop lost community resources.

Compensation for re-establishing or re-constructing lost community resources such as religious and cultural structures.

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RECOMMENDATIONS

3.35 The results of this policy review and agreement between the World Bank and HMGN on recommendations to bridge identified policy gaps formed the basis for the development of a Resettlement Policy Framework (RPF) including a policy matrix for entitlements to compensate losses from project interventions. The RPF is discussed in chapter 6 of the report. In addition, a Vulnerable Communities Development Framework (VCDF) has also been prepared to ensure that provisions of HMGN’s policy articulated in the Tenth Plan on the uplift of indigenous, ethnic and vulnerable groups as well as the provisions of the World Bank’s OD 4.20 on Indigenous Peoples are addressed by the project. The VCDF is discussed in chapter 7 of this report.

4. IDENTIFICATION OF ENVIRONMENTAL AND SOCIAL IMPACTS

GENERAL

4.1 Detailed field investigations were carried out by a DOLIDAR social and environmental specialist in randomly selected subprojects to identify environmental and social impacts. These were supplemented by field based consultations also carried out at these sites by expert environment and social consultants. The consultations identified potential environmental and social impacts and perceptions of the affected communities about the project’s benefits and impacts. On the basis of these consultations, it appears that RAIP will have will have no major environmental and social impacts, for the following reasons:

Almost all of the sub-projects consist of upgrading or improving existing roads. Therefore, there will be minimal adverse impacts, such as loss of land, damage to local infrastructure, loss of vegetation, and slope cutting, that are related to opening up of new tracks.

Hill roads often suffer from problems related to slope failure and erosion. In the case of RAIP, the project will improve existing areas with unstable slopes, using protection structures and bio-engineering and it will use labor-based technology which will minimize damage to fragile slopes.

In the Terai, almost all the proposed roads are north-south roads. The potential for flood damage is less in these roads than east-west roads. Furthermore, as some of the north-south roads also function as embankments, the roads will assist in flood control.

All roads will have an Environmental Management Plan which will prepared during the design stage.

Local communities will be involved in road construction as well as monitoring.

4.2 There appears to be broad consensus people consulted to provide assistance (i.e. voluntarily donate land) and participate in the project. In many roads, particularly those constructed by local communities or DDCs, there are local users groups that can be mobilized to assist in community level monitoring. In cases where such groups are not present, they can be formed. Local communities believe that there will be very little, if any, adverse environmental and social impacts and many expect the project to improve environmental conditions caused by existing roads. These mainly include poor drainage conditions in the Terai and unstable slopes in some areas in the hills. They also view improved accessibility resulting from the project to improve their standard of living. The list of persons who participated in the field consultations is given in Annex 3.

ENVIRONMENTAL REVIEW

4.3 Undesirable social and environmental consequences generally resulted from road development and particularly observed in the rural areas are summarized in the following paragraphs. Wherever applicable, these issues should be addressed during planning, construction and operation of the roads. Many of the environmental issues are inter-related. For example, soil erosion may be caused by various factors acting alone or in combination. The issues are described under separate headings for clarity but should be viewed in totality so that inter-linkages become apparent.

4.4 Some construction approaches and practices are considered more sensitive to natural environment than others. For example, in mountain terrain gradual widening, i.e. construction of narrow track of typically 2 m width in the first year and widening later, provides opportunity to natural stabilization of the slopes and growth of vegetation. This helps to control slope failure and soil loss in the hills and mountains. Similarly, use of labor and hand tools instead of heavy machinery and blasting will lessen the chances of instability and soil loss. Balancing cut and fill and other construction methods and

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practices that incorporate soil and vegetation conservation aspects are desirable. The road construction approach should give due consideration to the above aspects and use precautionary and mitigation measures wherever possible.

4.5 Instability, Landslide and Soil Erosion. Instability, landslide and soil erosion are the major environmental impacts associated with road construction in Nepal. This is particularly so in the hilly and mountainous terrain and is mainly a problem in weak and vulnerable geological areas. The problem generally results from interaction between water flow and soil, both of which are disturbed by road construction. The situation gets worse if vegetation is also cleared. Fresh cut slopes and embankments are relatively more vulnerable to landslides and soil erosion, particularly due to improper water management in the vicinity. During the construction period, instability, landslides and soil erosion problems may result because of:

steeper cut and fill (embankment) slopes and their construction qualities haphazard disposal of construction spoils unsuitable locations of quarry sites and borrow pits rash quarrying and borrowing activities construction carried out in rainy season without proper water control and drainage facilities;

and improper construction methods which leave soils exposed unnecessarily, etc. During the

operational phase the instability, landslides and soil erosion result not only from the road and its structures but also from the activities of road neighbors. The common causes of the problem are:

o deficiency of or improper drainage structures,o modification of water paths leading to concentrated flows (may also be caused by

blocked ditches),o high gradient in cut or fill slopes, ando cleared areas which have been left without re-plantation.

4.6 Improperly disposed construction spoil may worsen this situation. There are many instances of ploughing the road reserve for cultivation to the very edge of road which make the land susceptible to erosion and landslides. Similarly, water leaking from the irrigation canals located near the road or from the irrigated land adjacent to the road, quarrying of soil (for mud plastering of houses) and stone from road slopes, destruction of vegetation due to animal grazing, fodder collection (mowing), slash and burn cultivation in road corridors and road reserves, etc. may also result in landslides and soil erosion.

4.7 These problems may be avoided by choosing the right alignment, reducing the area of ground clearance, re-plantation in the slopes promptly and their routine maintenance, controlling speed and volume of water flows, etc. Construction practices that are sensitive to and incorporate soil conservation aspects are necessary. The practice should encourage protection of trees and vegetation in the road vicinity and re-vegetation of cut slopes as soon as possible. There should be minimum destruction to the vegetation in the right-of-way. The quality of ‘cut and fill’ mode of construction and the drainage structures is important in this regard.

4.8 Consequences of landslides and soil erosion not only affect the safety and serviceability condition of roads but also have chain effects on the farmers (loss of crops or farmland), land (degradation due to silt/debris deposition), water (degradation of quality), river and streams (change in regime), vegetation (loss and impact) and on other infrastructures like reservoirs (silting).

4.9 Replanting cleared areas/exposed slopes and management of water are the most effective measures to reduce or control soil erosion and landslides. This should be undertaken as early as possible during the construction process. Otherwise, the erosion might become too hazardous. The Department of Roads publication entitled “Vegetation Structures for Stabilizing Highway Slopes - A Manual for Nepal” may be used as a reference for designing re-planting plans and programs.

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However, there are a variety of measures such as jute netting, bamboo terracing, turfing, construction of hessian-bag walls, dry-stone retaining walls, gabion walls, drainage ditches/works, etc. that may be used for slope protection. Change of road alignment may also become necessary at some instances. The sophisticated techniques like the use of traditional retaining walls should only be adopted in the most difficult cases when there is no other viable solution. Other precautionary measures include undertaking cut and fill activities during dry season, construction of drains and ditches to avoid the damages by water flow and the regular maintenance of the slope protection measures.

4.10 Type, size, frequency and location of the landslides and mass movement are important information needed for their control and management. It is necessary to periodically check the conditions and effectiveness of protective measures in use and reasons of mass movement.

4.11 Encroachment into Forest and Disturbance to Wildlife. A road that passes through forest areas takes up forest land and may disturb the activities of the wildlife. There is a high chance of occupying forest areas by a rural road as rural road development expects land contribution without compensation. Road may contribute to increased hunting and poaching of wildlife as it provides easier access to its habitat. It may restrict movements and breeding of the wildlife, alter/destroy the existence of habitat. Accessibility made easier by road may also cause pressure on and encroachment to the forests (national parks, wildlife reserve areas, community forests, religious forests, private forests, etc.). Activities of the work-force that create pressure on the forest and forest resources include firewood collection and hunting birds/animals. With the roads, the forests become easily accessible and render animal grazing, firewood collection, hunting, timber export, etc. easier. This can lead to increased timber cutting (legal or illegal) and illegal collection and export of medicinal plants. Development stimulated by the road may promote activities such as use of firewood to meet the hot-water demand of tourists that consumes forest resources and increases pressure on it. All these factors may cause significant deforestation and degradation of the forests.

4.12 Measures that may be employed to avoid/minimize such pressure are the establishment of barriers to control entrance to forest areas, strict enforcement of environmental work-code, reduction of human dependency on forest or forest resources, supply of alternate energy such as kerosene, bio-gas, micro-hydropower, etc. Similarly, preparation of land-use plan that incorporates environmental sensitive locations of at least the environmental influence corridor and strict adherence to the same can help to preserve the forest and wildlife.

4.13 Disruption to Natural Drainage System. Construction of roads may modify the overland (surface) flow patterns causing no flow or reduced flow in some natural channels and high/concentrated flow (floods) in the others. The actions that result in such modifications are diversion of or obstruction to the natural drainage system. In many cases, the speed of water flow may be increased. Road may also disrupt or alter sub-soil drainage, for example, road cut may intersect water-table. Interruption of sub-surface flow may be indicated by the seepage on the exposed road-cut surfaces. This may cause significant changes in the sub-surface flow leading to reduction in/drying-up of local spring flow or may cause instability in the cut slope. Road drainage and excavation can lower the water table, while embankment and structures can raise the water table by restricting the natural flow.

4.14 The changes in flow of surface water and ground water may lead to a variety of consequences like increased bank-cuttings, inundation of areas which were normally not inundated (flooding), creating water-logging in some areas, non-availability of water in other areas, scouring and siltation of streams, instability, erosion, deterioration of soil and vegetation, loss of water for drinking and agriculture use, etc. These changes in turn can have substantial effects on natural vegetation, fish, wildlife and human. These chain effects extend well beyond the immediate vicinity of the road.

4.15 Some common problems likely to be encountered in Nepal's rural roads are termination of road drains on agricultural land which gets damaged by silt and gravel deposits, creation of new water bodies in the borrow pits, and flooding of farms and settlements because of inadequate number of

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culverts and their improper placing (particularly in Terai and in the upstream side of the embankments).

4.16 It is, therefore, advisable that natural drainage patterns be left undisturbed as far as possible. Whenever it is necessary, appropriate mitigation measures and drainage works such as flow reduction measures, settling basins, intercepting drains, energy dissipaters (like cascade), etc. be provided. A well-designed road drainage system can also improve the surrounding environment by retaining water for human and nature benefits or by reducing floods or/and by draining out the unhealthy stagnant water.

4.17 Effects on Water Quality. Uncontrolled construction activities such as cutting and filling, disposal of construction waste and spoil, erosion and soil movement due to road construction activities like quarrying and borrowing, etc. cause increase in turbidity/silt content of streams and rivers. Improper sanitation of workers or local inhabitants may also pollute water, particularly drinking water sources. Surface water may be polluted by road run-off containing oil, grease, lubricants and other chemical spills. Other water pollution sources include wastewater generated by the new activities (hotels, industries, settlements) and bad sanitation practices (open field defecation, discharging wastewater into water bodies, dumping solid wastes into or near to the water bodies, etc.). The construction camp, if needed, should be provided with appropriate waste disposal and sanitation facilities in order to avoid such pollution. Typical effect of water pollution could be health hazards to the downstream water users. Water may become unfit for bathing, drinking, animal consumption, irrigation, etc. or effect on fish and other aquatic life. Increased silt content could also cause unnecessary sediment deposition in downstream which causes the rising of river beds resulting floods in downstream areas.

4.18 Protection measures that may be used are soil erosion control measures, construction of settling basins, good house-keeping of construction activities, reuse or controlled disposal of oil/grease/chemicals, precaution to avoid accidental spills, controlling of open-field defecation and restricted entrance to drinking water sources.

4.19 Air and Noise Pollution. Air pollution due to vehicle emission and noise are generally not major issues in rural roads since the traffic volume is extremely low. However, the dust raised and blown by vehicles may significantly pollute the air in the areas adjacent to construction sites or earthen/gravel roads. Direct effects of dust could be health hazards to road workers, residents adjacent to road and/or interference on plant/crop growth in the vicinity. Careful management of construction sites, storage of construction materials, management of road surface and simple dust control measures like water sprinkling in sensitive places can reduce this problem.

4.20 Implication on Public Health. Stagnant water bodies created due to road construction such as borrow-pits and quarries may become breeding sites for disease vectors. This may contribute to increase in number and type of disease vectors and incidence of water-related infectious diseases. Increased movements of people (from or to outside) may introduce new diseases to the area (particularly, communicable diseases like Tuberculosis, VD, AIDS, etc.).

4.21 Dust raised by construction activities and blown by air may pose health risks to the workers and inhabitants near the road alignment. Construction practice should employ dust control practices/measures and construction activities should be scheduled taking this into account.

4.22 Gathering of people and contact among them may lead to transmission of various infectious/communicable diseases. Regular health check-ups help to detect and control transmission of such diseases. Timely and appropriate landscaping, filling and draining of stagnant water can avoid or reduce chances of water-borne infectious diseases while public awareness is important in the control of STD.

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4.23 Encroachment into Marginal Lands and Common Property. Road may promote occupation of marginal lands, risky areas and common properties and the same may be used inappropriately e.g. building houses/hotels in river banks, unstable locations, high slope areas, flood-prone areas; illegal invasion of right-of-way; occupation of public open grounds, grazing areas and religious areas. Land-use control in the right-of-way and immediate vicinity may be helpful in this regard.

4.24 Cultural and Historical Areas. Cultural and historic sites may be threatened by road construction and associated works such as quarrying. It can destroy the sites or alter their character. Road may result in illegal occupation or encroachment of the culturally and historically important areas (temples, shrines, shattal/pati, religious sites, mela/jatra sites, caves, graveyards, forts, palaces, etc.) or the land belonging to these sectors. On the other hand, the increased accessibility may attract visitors to these areas which encourages better use, care and conservation of the same. Road development works should, wherever appropriate, include measures to protect such sites.

4.25 Induced Roadside Development and Road Neighbors’ Activities. Road attracts people to migrate to roadside (from outside the area or local people). It may lead to development of new settlements or old settlements may become larger. Temporary houses or sheds built during the construction period may become permanent and continue to be used during the operation period also. Road generally stimulates ribbon settlement along its alignment. Establishment of industries, increase in commercial activities like general shops, lodges, hotels, liquor shops, etc. may lead to the increase (or in some cases decrease) in land values (adjoining and others). Operation of road may bring about changes in the agricultural practices, productivity, crop-variety, etc. and land-uses (increase in built-up areas, decrease in agricultural areas, forest areas, etc.), farmers’ livelihood and may also encourage tourism. The induced changes are not necessarily limited to the immediate vicinity of the road route. Both positive and negative social and environmental consequences are possible from such changes.

4.26 Some of the undesirable activities of road neighbors are over-grazing of roadside, unauthorized and inappropriate collection of firewood/fodder/mowing from road reserve and vicinity, cultivation without terracing in the immediate vicinity of road, cultivation to the very edge of terraces or cut slopes, uncontrolled quarrying of stone and clay from the road cut slopes, poor construction and maintenance of irrigation canals causing water to seep into road slopes and slash and burn cultivation in road vicinity.

4.27 Road construction activities may cause damage or increase risks to the communities living in the right-of-way or in the vicinity. Special precaution is required at the time of construction if such risk is unavoidable. Location of and activities at construction camps may also create problems and conflicts. Where construction camps are necessary, the sites should be properly located from social point of view and they should be carefully managed. The activities of workers living in the camp or working in the project may create social conflicts. To avoid conflicts, alcohol consumption and other socially unacceptable activities should be controlled. Adequate efforts should be made to maintain social harmony and co-operation among the workers and local residents. Other social issues during construction are payment to the workers/labors (in time and adequately); protection, improvement and integration of approach trails and tracks, chautaras, etc. to the road as special features; road-side new income generation activities (tea-stalls, liquor shops, aggregate production, etc.); fate of traditional activities (cultivation, portering, etc.).

4.28 The introduction of rural road leads to increased land values and more intensive land-use, especially for lands adjacent to the road. This may cause shift in ownership or rights of resource use from poorer to wealthier classes. Changes in the agricultural practices may have negative effects on local nutrition levels. The increased mobility can result in the spread of diseases and pests. The road will have effects on traditional means of transportation such as animal drawn carts, mules, porters, etc. which in turn can affect the people surviving from such means.

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4.29 Aesthetic Qualities. A road can be visually attractive or unsightly depending on its physical layout within the surrounding landscape and how far the attention is given to detailed designs, road-side planting and maintenance. Road can result in landscape distorted by cuts, quarries, slides, etc. These will lead to depreciation and loss of scenic values and sites, view points, etc. Road induced activities may lead to the generation and mismanagement of wastes (solid and liquid) in the roadsides and create scars on the landscape. Proper and controlled disposal of construction wastes and use of good-house-keeping are some ways which can help maintain good aesthetic qualities. Construction of road may cause loss of or encroachment to unique geological and geographical sites, natural beauty spots and scenic sites and sites of scientific interests.

4.30 Safety Issues Associated with Road Works and Traffic. Construction of road involves occupational health and safety risks. Accidents may occur during the construction and operation of roads causing injuries or loss of property and life. Some common reasons for accidents in rural road works include unsafe excavation, collapse of trenches, injuries from unsafe tools/equipment, lack of protective clothing, debris falling from hill slopes, inappropriate disposal of construction wastes, etc. Similarly, traffic operation may result in accidents because of careless driving, inadequate traffic signs, inappropriate road standards and designs, natural disasters, etc.

4.31 Repair and Maintenance Aspects. Quite often, rural road suffers from lack of proper attention to the road surface, road structures, drainage structures, environmental mitigation measures and general repair and maintenance. The following issues are important for maintaining the road in serviceable condition.

(a) Conditions of Roadside Drains : Road drains may be fully functional or filled and blocked or damaged.

(b) Conditions of Road Surface : There can be reels, pot holes, cracks, erosion, debris, etc. on the road surface (locate them in the map, describe and recommend necessary actions).

(c) Road Surface Damage Due to Local Residents’ Activities : There may be damages to the road surface due to water from nearby irrigation canal, drinking water pipe crossing over the road surface, disposing of wastewater on to the road surface and similar other local residents’ activities.

(d) Conditions of Check Wall and Breast Wall : Following aspects of check wall and breast wall are important: debris deposited near the wall by surface run-off, bulging out of wall, under cutting of

wall foundation by run-off, removal of stones from wall, exposition of tree roots and leaning of nearby tree (likely to fall and damage the wall).

(e) Conditions of Stone Causeway : Following aspects of the causeway are important: erosion of surface, condition of stream immediately upstream of causeway, deposition

of debris on causeway. change of course by the stream, crossing the road away from the causeway. depression of causeway surface, effect (erosion, cutting, etc.) of water flowing down

from the causeway.

(f) Conditions of Culverts and Bridges: Following aspects of culverts and bridges areimportant:

deposition of debris inside the bridges and culverts, scouring of foundation, conditions of streams/rivers immediately upstream and downstream of the culverts/bridges.

(g) Conditions of Slopes in the Immediate Vicinity of the Road: scouring and erosion of areas by run-off water, indication of mass movements in the

up-hills and down-hills of the road.

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(h) Conditions of Hume-pipes: pipe fully open/partially blocked? water leaking from the pipe joints? immediate upstream/downstream conditions?

(i) Conditions of Flood-ways: boulders, gravel and debris deposited on the flood-ways? scouring of foundation, upstream and downstream areas?

ENVIRONMENTAL IMPACTS ON SAMPLE RAIP SUB-PROJECTS

A summary of the potential environmental impacts of sample subproject districts are given in Annex 8. The main issues that have been identified are related to slope instability and drainage. There are no major environmental issues foreseen in the sample roads. There are some roads that may pass through forested areas and attention will be given to ensure that damage to the forests are avoided as much as possible.

SOCIAL REVIEW

4.32 To identify any social issues and impacts arising out project interventions social screening has been conducted in randomly selected sample subprojects. This social screening has been supplemented by field based consultations with primary stakeholders and secondary stakeholders undertaken by an environment and social expert in at the same sites. Primary stakeholders consulted included: beneficiaries, road side farmers, shopkeepers, women, dalits , other local key informants, DDCs and DOILDAR. Secondary stakeholders consulted included: interest groups such as local NGOs, CBOs, and community representatives, as well other HMGN departments. The objective of these consultations was to: (i) identify social impacts and issues; (ii) discuss the project with beneficiary communities and seek their views and perceptions; (iii) discuss the project with vulnerable groups present in the communities and ascertain and impacts on these groups; (iv) identify the priorities and needs of vulnerable groups for economic and social uplift programs; (v) review current procedures and mechanisms for voluntary land donation; and (vi) verify the findings of the social screening undertaken for first year project sites. A table listing participants in focus group discussions and key informant interviews is presented in Annex 2.

4.33 Field observation by these experts and the results of the social screening indicate that RAIP is expected to have minimal environmental and social impacts. This is mainly because almost all of the sub-projects consist of upgrading or improving existing roads. Since minimal adverse impacts, are expected, such as loss of land, damage to local infrastructure, loss of vegetation, and slope cutting, that are related to opening up a new tracks. Community members identified enhanced access to motorable transport, reduction in travel time and transport costs, and employment opportunities and income generation from work on project interventions as the most positive impacts of the project. The most negative impacts identified by community members was the potential for loss of small parcels of land and structures to the project interventions. However, according to a majority of the primary stakeholders, the positive benefits of the project outweigh impacts from minor losses of land. It appears that most people would be willing to voluntarily donate land required by the project. No major negative impacts were anticipated through the loss of large parcels of land, assets, livelihoods and relocation during project implementation. However, there was a clear expectation that equitable compensation would be provided for losses related of land, assets, and structures to the project. Key social impacts and issues identified through social screening and field based consultations are summarized in Table 4.1 and discussed below.

As part of road upgrading interventions in the terai districts, subprojects may require the acquisition of small strips of land, when required, for widening the road to meet

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engineering design requirements. Any land required for this purpose is expected to be donated voluntarily. There is a strong willingness among beneficiary communities to voluntarily donate land for enhanced accessibility and road improvements.

A small number of residential houses and structures within the road’s carriageway will need to be relocated.

There are groups of Dalits and small pockets of indigenous groups encroaching on land along the road or in the road’s Right of Way (ROW) who may need to be relocated. These people are living in extreme poverty and have expressed a strong willingness to participate in basic literacy and skill training on income generating activities.

Greater need to ensure the inclusion of vulnerable people in consultations, project decision making, and opportunities from project related construction activities.

Mechanisms for monitoring and evaluation of environmental and social issues are weak and ineffective.

Current process for information dissemination and outreach to beneficiary communities is weak.

Table 4.7: Social Impacts in Sample RAIP Projects

Hill DistrictsDistricts/ sub-projects

Land Acquisition/ Loss

Loss of Structures Vulnerable Communities

Remarks

1. Dhading District (Dhadingbesi-Salyantar Road-)

The road has been in existence for several years and does not require land acquisition.

1 residential / shop house of Tamang (Janajati) likely to be damaged in Golabhanjyang bazar 1 house in Muralibhanjyang.

In Muralibhanjayng of Dhadingbesi-Salyantar Road, some 12-14 Kami (Dalit) families are living.

While asked they were interested to participate in Dalit focused programs.

2. Kaski District (Lamachour- Machapuchhre Road)

Some land acquisition may be necessary in the section beyond 12 km for widening road. Local people have committed to contribute land voluntarily.

In Lamachaur –Machapucchere road, 2 houses of Chhetry familiy with tea shop and retail shop at Thanti need to be shifted during upgrading at a turning. These families have no other lands at all and also loose their earning source when removed.

In Rakhi-Mijure road at Kalika village, about 150 hhs of cobbler caste (Dalits) are residing both on the left and right side of the road. In Gharni village of Lamachaour - Machapuchhre road, there are about 80 hhs of Damai (Dalits) families.

The poor are doing share cropping and unskilled labor works and demanded various skill training and IGA programmes. Women of Dalit families showed interest to join sewing/ knitting and other training / literacy courses.

3. Syanja District (Rangkhola-Biruwa and

No problem in land acquisition.

Some structures located along road ROW in the market

In Rangkhola- Biruwa road, there are about 12

Dalits depend on unskilled labor works and

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Road) Most of the road sections pass through government / forest lands.

area. indigenous ethnic minorities and many dalit families. In Rangdang village, about 50 dalit families are close to road side settlement. In Mirdi road, 17-18 Damai (Dalit) hhs and indigenous people (Kumal and Bote 150 hhs) are amongst the vulnerable ones.

enquired for skill training and supports for IGAs. Higher wage rates for skilled labor would benefit them directly if trained.

4. Palpa District (Aryabhanjyang-Rampur Road)

No issues recorded on land acquisition as the road is in existence for several years.

do Darai, Magar and Dalits are amongst the vulnerable groups.

Need VCDP to improve livelihoods of poor who are in large numbers.

Terai Districts1. Rupandehi District (Mukundaghad-Semara Road)

No major issue in land acquisition.

5 houses are at risk in Sisau Semara and 1 temple lies at the road centre and needs to be relocated.

The communities include Dhobi (washermen) and other socially excluded groups in the area.

-

2. Nawalparasi District (Daldale-Dhawadi Road)

The road upgrading would not require land acquisition.

No structures located along the road.

There are Tamangs, Magars and other ethnic minorities in the road ROW and the subproject area.. Slash and burn is practiced along ROW by local poor people and grow maize and other upland crops.

Poor people need supports for improved farming and IGAs to increase their income.

3. Sarlahi District (Kaudena-Janakinagar Road)

In Raniya village, a section of the road is about 3 m width and needs land for widening. People viewed that they would manage to provide necessary land

2 permanent structures are built close to formation width and may need to be partially dismantled while widening.

The Raniya village along the road side is inhabited densely by very poor people of dalit caste. In spite of their poor economic condition, they were found eager to support the project.

Women group of dalit caste expressed desire to participate in basic literacy courses and undertake IGAs as well as training for their income generation.

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from both side of the road.

4. Siraha District (Zeromile – Bariyarpatti)

Land acquisition already made including full ROW and hence no problem noted.

All permanent structures constructed beyond road ROW. Only a few mobile shops (Ghumti) are set up temporarily in road ROW in market centre like Sukhipur.

The sub-project consists of communities from dalit and excluded groups.

Dalit women of Sukhipur bazaar showed interest to participate in literacy courses, skill training and IGAs with support of the project.

4.34 Vulnerable Communities: Separate consultations were carried out in these communities with vulnerable people to disseminate information about the project and ascertain their views and perceptions. Table 4.2 table presents the population distribution of vulnerable groups in sample RAIP districts.

Table 4.8: Percentage of Indigenous and Dalit Population in 13 Sample RAIP DistrictsProject Districts Adibasi/ Janajati Dalit Religious Group Others (Caste Groups) Total

Banke (T) 149,922 (38.9) 43,266 (11.2) 91,886 (23.80) 100,766 (26.1) 385,840 Dhading (H) 186,090 (54.9) 34,714 (10.3) 4,008 (1.20) 113,846 (33.6) 338,658 Kapilbastu (T) 190,786 (39.6) 74,130 (15.4) 96,215 (20.00) 120,845 (25.1) 481,976 Kaski (H) 140,503 (36.9) 56,359 (14.8) 7,427 (2.00) 176,238 (46.3) 380,527 Mahottari (T) 246,794 (44.6) 102,775 (18.6) 75,670 (13.70) 128,242 (23.2) 553,481 Makwanpur (H) 268,075 (68.3) 16,456 (4.2) 3,907 (1.00) 104,166 (26.5) 392,604 Nawalparasi (T) 285,086 (50.6) 74,044 (13.2) 28,769 (5.10) 174,971 (31.1) 562,870 Palpa (H) 159,560 (59.4) 30,154 (11.2) 4,590 (1.70) 74,254 (27.6) 268,558 Rupandehi (T) 302,108 (42.6) 117,301 (16.6) 70,242 (9.90) 218,768 (30.9) 708,419 Sarlahi (T) 314,092 (49.4) 115,872 (18.2) 49,864 (7.80) 155,873 (24.5) 635,701 Siraha (T) 300,896 (52.8) 128,976 (22.6) 42,612 (7.50) 97,396 (17.1) 569,880 Syangja (H) 122,198 (38.5) 42,965 (13.5) 9,698 (3.10) 142,459 (44.9) 317,320 Udayapur (H) 167,189 (58.1) 31,917 (11.1) 3,949 (1.40) 84,634 (29.4) 287,689 Grand Total 2,833,299 (48.2) 868,929 (14.8) 488,837 (8.30) 1,692,458 (28.8) 5,883,523

Source: Population Census, 2001, CBS.

4.35 Field visits verified that the concentration of vulnerable people is high in some subproject areas in the terai. There are groups of Dalit communities and small pockets of indigenous people encroaching on land along the road or in the road’s Right of Way (ROW) whose residential houses and structures may need to be relocated. The precise impact on the number of people will be confirmed after the finalization of detailed engineering design.

4.36 Out of 11 groups consulted along the Road ROW in five sample subprojects in the terai, three were entirely Dalit women groups and one indigenous group known as Mallaha (fishermen). Discussions with these groups indicated that regardless of their ethnicity and occupation all of them are living in extreme poverty and need support to improve their livelihood through the intervention of appropriate programs. The vulnerable groups, especially the Dalits and indigenous groups (Mallaha) living along the road ROW feared that their conditions might worsen further as compared to other people affected by the project if they were not provided with alternative opportunities of income generation

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4.37 During field consultations, the vulnerable groups comprising mainly Dalit women in three sample survey sites of Siraha and Sarlahi district expressed their willingness to participate in basic literacy courses, skill training and income generating activities (IGAs) if they are provided with such opportunities. Potential activities identified for supporting the Dalit women in the subproject areas include adult literacy course, training in various IGAs like improved vegetable production, poultry, piggery, goat and buffalo raising, duck keeping as well as skill training in safe motherhood, child and maternity care etc. Likewise, males of Dalit and indigenous families identified potential training needs in technical areas such as mechanics, plumbing, house wiring as well as modern farming and fishing. Discussions with DDC officials in these area, indicated that there a number of local NGOs who are working in these communities and providing IGA training. In Siraha about 36 NGOs are currently working actively and some providing basic literacy and skill/IGA training.

4.38 Table 4.3 summarizes the key findings of the consultations with vulnerable groups. subprojects.

Table 4.9: Vulnerable Groups Consulted during Field Visit

District Sub-projects Locations/ Place Remarks1. Siraha 1. Zeromile-

BariyarpattiSukhipur old bazaar, Dalit tole

About 10 women of low caste Dalit families were consulted. The women showed interest to participate in different training and IGAs to improve their condition.

2.Siraha-Mirchaiya

Aranama village, Ward no.2, Arnama VDC

The Dalit women expressed their desire to participate in suitable IGAs and skill training program. The males also showed concerns to support the women.

Maisotha tole, Ward 7, Siraha Municipality

The indigenous fishermen are the major groups living in the ROW (government land). Although many families still depend on fishing they want to diversify their profession and showed interest to participate in skill training such as plumbing, mechanics, house wiring, driving etc.

2. Sarlahi 1. Kaudena-Janakinagar

Raniya Village, Hempur VDC

Dalit males and females of the village were consulted. The potential activities for these groups were identified as mobilization of seed money for IGAs like poultry, piggery, goat farming, duck keeping for women. For men, skill training in construction works, mechanics, plumbing, house wiring, fishing, vegetable cultivation were considered appropriate.

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CONCLUSIONS

4.39 Based on the findings of the social screening and on these stakeholder consultations, it appears that although the project will largely have positive social benefits from enhanced accessibility, reduction in travel time and transport costs, and income generation opportunities, negative impacts from loss of small parcels of land, loss of a few structures and houses, loss of small shops and consequently livelihoods and impacts on dalit households who are residing/squatting along the side of roads where project interventions are planned, are possible. The acquisition of land is expected to be all voluntary, to the extent possible engineering designs altered to avoid loss of homes, shops and impacts on dalait groups living along the road sections to be upgraded by the project.

4.40 To ensure adequate mitigation of social impacts further action needs to be taken to: (i) develop clear procedures for the voluntary donation of land and ensure that any voluntary land donation transactions are carried out in transparent manner and satisfactorily documented; (ii) define the policy, institutional and implementation framework to guide the compensation for loss of land and assets and ensure that no person’s land is acquired without proper consultation and compensation; (iii) develop mechanisms to foster greater participation of more passive members of the community, including women and vulnerable groups; (iii) develop clear procedures for disseminating information about the project to all affected communities and provide a feedback mechanism for these communities to voice their concerns and address these concerns during project implementation. The Resettlement Policy Framework (RPF) presents mechanisms to address these issues, monitor the effectiveness of these approaches and make modifications to strengthen them as and when required during project implementation. More specifically, to facilitate community outreach and project information dissemination, as well as to enhance the knowledge of communities about entitlements to mitigate adverse social impacts, an information pamphlet in the local language summarizing the key principles of voluntary land donations and entitlements presented in the RPF, will be distributed to each village impacted by project interventions . Furthermore, a simple operational manual in the Nepali will be prepared and made available to DDCs to clearly detail the process steps that need to be followed to ensure the effective implementation of the RPF. Social impact management training modules are being prepared and will be delivered early in project implementation to build capacity in DDCs and DOLIDAR.

4.41 The concentration of dalits appear to be high in proposed RAIP districts. Small pockets of indigenous peoples and other vulnerable groups are also present in these areas. Based on the consultations with these people, there is a clear need for the project to involve these people in ancillary economic activities and provide income generating opportunities. This also supports a key strategic pillar of HMGN’s Tenth Plan requiring development projects to integrate/include targeted programs aimed at poverty reduction through the economic and social uplift of dalits, indigenous and other deprived groups. The Vulnerable Communities Development Framework (VCDF) has been prepared to define the policy and implementation guidelines to address impacts on vulnerable groups, maintain meaningful consultations with these people throughout the project cycle, and provide assistance in accordance with their own priorities. Consultations with these groups was used to identify their needs and priorities for economic and social uplift activities. The project will work with local NGOs at these sites to develop training programs accordingly.

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5. ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK

GENERAL

5.1 The purpose of the ESMF is to provide a sectoral guiding principles for Environmental Assessment (EA) and Social Assessment (SA) of all physical works to be undertaken under the proposed RAIP. It will help to systematically identify, predict, and evaluate beneficial and adverse environmental and social impacts of development activities, designing enhancement measures for beneficial impacts, and implement mitigating measures for adverse impacts. The EA and SA are integral part of the project identification and feasibilities studies, as well as project implementation and operation. Table 4.1 provides how the EA and SA fit in the project cycle for RAIP.

Table 5.10: Environmental and Social Assessment within the Project Cycle

Stages in Project Cycle

Steps in the Assessment Process

Project Identification & Pre-Feasibility Studies

1. Environmental and Social Screening 2. Environment Management Plans for projects not requiring IEE/EIA

Project Design 3. Initial Environmental Examination (IEE): Assess environmental impacts to determine if EIA is required; its recommendations are incorporated into the project design.

4. Scoping: identify significant potential impacts and project alternatives, and propose terms of reference for the EIA and SIA.

5. Baseline Data Collection: identifies current and future environmental and socio-economic conditions without the project.

6. Predict Environmental and social Impacts: assess impacts in terms of characteristics such as magnitude, extent and duration in quantitative terms as far as possible; describe all reasonable alternatives, including preferred and ‘no action’ options.

7. Design Mitigation Measures: to avoid, reduce and minimize adverse environmental and social impacts and enhance beneficial impacts.

8. Public Consultation and Participation: occurs at various stages in the assessment process to ensure quality, comprehensiveness and effectiveness, and that stakeholders’ views are adequately addressed.

9. Prepare EIA Report and SA Report: summarizes all information obtained, analyzed and interpreted in a report form; should contain a non-technical summary including methods used, results, interpretations and conclusions.

Project Appraisal/Approval

10. Review and Approval of EIA and SA Report: reviews report to assess if all possible issues have been adequately addressed and to facilitate the decision-making process; decide if project should proceed, or if further alternatives must be examined.

Implementation Plan

Engineering Design

11. Prepare Environmental Management Action Plan (EMP): determines specific actions to take during engineering design and construction stages to minimize or mitigate impacts. Prepare Resettlement Action Plan and/or Vulnerable Communities Development Plan, if required.

Engineering Design & Construction of Works

12. Environmental and Social Monitoring: determines compliance with EMP and social mitigation plans.

Post-Construction 13. Environmental Audit: conducted two years after project completion

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ENVIRONMENT ASSESSMENT AND MANAGEMENT

Environmental Screening Process

5.2 Every sub-project proposal to be funded under RAIP will undergo an environmental and social screening process before it is selected for implementation. The screening process will establish the level of environmental and social assessment required, as well as help RAIP project offices to understand environmental and social issues related to the project before they are considered for implementation and assist in the decision making process. To the extent possible, environment and social screening will be done together with technical and economic screening.

Environmental Screening Criteria

5.3 According to Environmental Protection Regulation (EPR 97), there are two levels of environmental assessment, namely, Initial Environmental Examination (IEE) and Environmental Impact Assessment (EIA). Schedule 1 of the EPR lists projects that require IEE and Schedule 2 lists projects that require EIA. These criteria are based on the nature or size of the project and its cost. In addition, the EPR also list of environmentally sensitive areas, where any proposal, regardless of the size or cost will require an EIA.

5.4 Screening criteria for road projects that require EIA and IEE as defined by the EPR are presented in Table 5-2.

Table 5.11: Screening Criteria for Selecting IEE or EIA

SN Screening Criteria for Selecting IEE Screening Criteria for Selecting EIA

1 Clear felling or rehabilitation of national forests with an area of not more than 5 hectares.

Clear felling or rehabilitation of forests with an area more than 5 hectares.

2 Construction of following roads:1. District Roads2. Urban Roads3. Rural Roads4. Small Feeder Roads

Construction of following roads:1. National Highways2. Main Feeder Roads

3 Construction of 1 to 5 km long ropeways.

Construction of more than 5 km long ropeways.

4 Constructing 1 to 5 km long cable car routes.

Construction of more than 5 km long cable car routes

5 Improvement of the standard, rehabilitation, and reconstruction of national highways and feeder roads.

6 The activities relating to construction of 1 to 5 km long agricultural roads.

The activities relating to construction of more than 5 km long agricultural roads.

7 Project implementation in sensitive areas, such as:1. Historical, cultural, and archeological sites.2. Environmentally weak and wet areas.3. National Parks, Wildlife Sanctuaries, and Conservation Areas.4. Semi-Arid, Mountainous, and Himalayan regions.5. Flood prone and other dangerous areas.6. Residential, school, and hospital areas.7. Areas with main sources of public water supply.

8 Projects with investment cost of Rs.10 million to Rs.100 million

Projects with investment cost of over Rs.100 million.

Source: Environment Protection Regulations, 1997

5.5 For the purpose of RAIP, environmental screening will be carried out in two stages. The first stage is desk screening by DOLIDAR Environmental and Social Team based on information collected by the relevant DDC/RAIP District Implementation. In the second stage, the findings of the desk

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screening will be verified in the field by the DOLIDAR team. These procedures will be elaborated in a separate Field Manual to be developed by DOLIDAR. The Screening outcome will be one of the following three: a) Sub-project exempted from formal environmental appraisal: no IEE or EIA required but requiring EMP; b) Sub-projects requiring Initial Environmental Examination (IEE); and c) Sub-project requiring Environmental Impact Assessment (EIA).

5.6 Each RAIP supported Sub-Project should have its EMP, irrespective of the environmental screening outcome. EMP for Sub-projects requiring IEE and EIA will be prepared at the time of IEE and EIA preparation. EMP for sub-projects exempted from formal IEE or EIA will be prepared using the Environmental Management Field Manual to be prepared for this purpose. Preparation of EMP for this category of sub-project will be a follow up of the field verification exercise carried out at the time of sub-project screening. The Sub-project In-Charge will constitute an EMP Team, which will walk through the proposed road Sub-project, make observation and simple measurements, and hold consultations with communities as well as other institutions at the district. A half-day workshop participated by all relevant stakeholders will be organized to discuss draft EMP.

5.7 Simple hazard mapping should also be carried out and included in project document as an integral part of the RAIP sub-project.

ENVIRONMENTAL ASSESSMENT PROCESS FOR RAIP

5.8 Once the screening determines the level of environmental assessment that will be necessary, the DDC/ RAIP District Implementation Unit with necessary support from DOLIDAR/Central RAIP Implementation Unit, will commission IEE and EIA of sub-projects in accordance with HMGN procedure and best practice as outlined in the ESAF.

INITIAL ENVIRONMENTAL EXAMINATION

5.9 An IEE is carried out to determine whether potentially adverse environmental effects are significant or whether mitigation measures can be adopted to reduce or eliminate these adverse impacts. An IEE requires more in-depth analysis than applied in the screening procedure. Consequently, an IEE involves more time and resources and requires technical input from environmental specialists. When an IEE is sufficient enough to provide a definite solution to environmental problems, EIA will not be necessary. Regardless of whether an IEE or EIA is carried out, each will result in a detailed, site specific Environmental Management Plan. Draft Terms of Reference for IEE is presented in Annex 11. Steps for conducting an IEE are outlined below:

Step 1: Preparation and Approval of IEE work Schedule (Terms of Reference)

5.10 The EPR 1997 requires that the project office prepare a work schedule in the format prescribed in Schedule 3 before going ahead with an IEE. The concerned ministry must approve this work schedule. The work schedule is summarized in the Table 4.3.

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Table 5.12: Work Schedule of IEE requiring approvalSN Required Outline of IEE Work Schedule

1 Name and address of the individual or institution preparing the report2 Proposals:

a. General introductionb. Relevancy of the proposal

3 Procedure to be adopted while preparing the report4 Policies, laws, rules, and manuals to be taken into account while preparing the report5 Preparation of the report:

a. Timeb. Estimated budget

6 Specific impact of the implementation of the proposal:a. Social and economicb. Cultural and Physicalc. Chemicald. Biological

7 Alternatives for the implementation of the proposal:a. Designb. Project sitec. Technology, procedure of operation, time schedule, raw materials to be used

8 Matters concerning prevention of impacts of implementation of the proposal on the environment9 Matters to be monitored while implementing the proposal10 Other necessary matters

(Ref.: EPR 1997 Schedule 3)

Step 2: Publish Public Notice

5.11 The proponent shall inform the VDC/Municipality, DDC or other stakeholders, individual or organizations, concerning the implementation of the project and its impacts through a 15-day notice to be published in a national daily newspaper and notified at VDC/Municipality, DDC, school, hospital/health post. Comments and suggestions received through such a notice needs to be included in the IEE report.

Step 3: Baseline Information Collection

5.12 Baseline information is important reference for conducting IEE. Normally, information is collected from secondary sources or the field investigations. Baseline data are collected for two main purposes. They are:

to provide a description of the status and trends of environmental factors against which predicted changes can be compared and evaluated in terms of importance; and

to provide a means of detecting actual change by monitoring once a project has been initiated.

5.13 Baseline information is collected in terms of:

Social or Socio-economic Environment Physical Environment Biological Environment Cultural Environment

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Step 4: Identify and Analyze Potential Impacts

5.14 A checklist, which lists project activities to be implemented and natural resources to be affected can be useful in identifying potential impacts. Table 4.6, in the form of matrix , illustrates the process of identifying significant impacts. The columns in the matrix describe the proposed project activities and the rows the environmental parameters that might be affected. The response of each environmental parameter to each project activity is represented by an interaction cell which should be checked by a rating number ranging from 1 to 3; 1 representing no significant impact, 2 representing moderate impact and 3 representing significant impact by the project activities.

Step 5: Prescribe Mitigation Measures

5.15 Mitigation measures should be designed to maximize project benefits and minimizing undesirable impacts. A wide range of mitigation measures may be proposed, but the following are relevant to most rural infrastructure development projects.

consideration of project alternatives in terms of scale, technology used, location, alignment, design and time schedule to minimize impacts;

introduction of compensatory measures to restore, rehabilitate damaged resources; and introduction of corrective and preventive measures such as bioengineering and slope

protection.

Step 6: Prepare Monitoring Plan

5.16 Environmental monitoring of RAIP projects is necessary during both the construction and operation phases. Monitoring is done to ensure the use of appropriate practices, record the environmental impacts, and provide feedback to improve the infrastructure quality.

Step 7: IEE Report Preparation and Approval

5.17 IEE report is essential for its approval. Table below summaries the content as prescribed in Schedule 5 of the EPR.

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Table 5.13: Table of Content of IEE

SN Subject Matter Required in IEE Report

1 Name and address of individual or institution preparing the report2 Summary of the proposal

Objectives of proposalImpacts on land-useAdverse impacts on the environment, impacts on human life, and population pressureDamage to be suffered by local goods or objectsOther necessary matters

3 The following matters must be explicitly mentioned in respect to the proposal:Type of proposalIf related to delivery, the nature and type of goods to be deliveredProposal's installed capacity and number of hours to be operatedMaterials to be used (quality and year to be mentioned)Emissions resulting from the implementation of the proposalEnergy to be usedManpower requirementsResources required for the implementation of the proposalsDetailed particulars of the area where the project is to be implementedManufacturing processesDetails of the technologyOther necessary matters

4 Impacts of implementation of the proposal on the environment:Impacts on social, economic, and cultural domainBiological impactsPhysical impacts

5 Alternatives for implementation of the proposal6 Measures to reduce or control the impact of implementation of the proposal on the environment7 Matters to be monitored while implementing the proposal8 Other necessary matters9 Data, maps, photographs, tables, charts, graphs, etc. as required

(Ref.: EPR 1997, Schedule 5)

5.18 Upon submission of IEE report, with all the necessary documents, the concerned Ministry can provide an approval within 21 days of submission. In case the IEE recommends further EIA, the proponent has to carry out the full scale EIA

ENVIRONMENTAL IMPACT ASSESSMENT

5.19 The IEE or screening determines whether the proposed rural road project requires a further EIA or not. If it is determined that the project requires an EIA, then the scoping is carried out to determine the coverage or scope of the EIA study. The necessary steps in conducting an EIA are listed below:

Step 1: Scoping

5.20 Scoping is a process to identify issues relevant for EIA consideration and determine assessment methods to be used. The process includes the publication of a 15-day notice in a national daily requesting for comments and concerns from stakeholders. If the environmental impacts will be of the type normally associated with standard rural road construction, the measures outlined in the environmental framework will be used to address the general environmental issues. Where there is a likelihood of adverse impacts requiring specific interventions such as roads passing through forest lands, sanctuaries, and protected areas and requiring additional environmental impact analysis, a

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separate alternative site assessment will be conducted. The project will avoid any activity in protected areas.

Step 2: Preparation of Terms of Reference

5.21 Terms of Reference (ToR) for the EIA study is normally prepared as an output of the scoping exercise. Format for ToR for EIA study is presented in Schedule 4 of the EPR. The ToR needs to be approved by the Ministry of Population and Environment before proceeding with the EIA.

Step 3: Baseline Data Collection

5.22 Baseline data pertaining to physical, biological, cultural domain is collected to describe the status and trends of environmental factors against which predicted changes can be compared and evaluated.

Step 4: Identify Environmental Impacts

5.23 The EIA exercise will identify potential impacts and assess its significance. The categories of impacts, direct, indirect or cumulative, should be indicated.

Step 5: Design Mitigation Measures

5.24 The mitigation measures should include analysis of project alternatives, compensatory measures, corrective measures and preventive measures.

Step 6: Public Consultation and Participation

5.25 The EIA should consider public perspective and include them in the assessment process.

Step 7: Develop Environmental Management Action Plan (EMP)

5.26 The EMP should be developed primarily to document key environmental issues likely to arise from project implementation, prescribe mitigation measures to be integrated in the project design, design monitoring and evaluation schedules to be implemented during project construction and operation, and estimate costs required for implementing mitigation measures. This plan must be reviewed by the project management and approved before any construction activity is initiated by the sub-project.

Step 8: Prepare EIA Report

5.27 An EIA report should be prepared as prescribed in the schedule 6 of the EPR.

ENVIRONMENTAL IMPACT PREDICTION

5.28 It is very important that the environmental assessment and its recommendations are carried out according to its spirit in order to achieve the expected outcomes of the project being implemented. Therefore, it is very essential that a proper analysis is carried out during the project conception period. In this regard, the impact prediction plays a vital role as these predictions are used for developing mitigation measures and alternative options. For this purpose, the RAIP may refer to the checklist given below for possible impact prediction.

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Table 5.14: Checklist for Environmental Impact Prediction

Project Undertakings Baseline Condition

Possible Environmental

ImpactField Analysis

Impact Prediction & Monitoring

Mitigation Measures

I M S

Opening of trailEstablishment of RoWRemoval of vegetation

Physical Environment

Land use pattern along the road alignment

Loss of agricultural and forest area within RoW

Loss of private land Loss of forest Compensation

Topography of the alignment, soil and geology/slope inclinations

Slope instability resulting land slides and erosion

Number and size of landslides along the alignment

Soil erosion and land slides initiated by the clearance of vegetation

Water bodies near project

Sedimentation of the streams and siltation to agricultural land

Turbidity in streams and soil condition of adjoining agriculture land

Natural drainage pattern

Disturbance to natural drainage

Water logging Design of drainage

facilitiesBiological EnvironmentType, area, and condition of forest along road alignment

Loss of trees and vegetation

Quantity of forest and trees extracted during alignment clearance

List of locally found &endangered

Disturbance to wildlife population


Earthworks (cut and fill equalization)


Topography of the alignment, soil & geology

Accelerated erosion resulting slope instability and landslides

Number and locations of landslides

Extent of civil and bioengineering works for stabilizing eroded and unstable areas?

Water bodies near project

Siltation of surface water Turbidity in streams

Biological Environment

Forest located along the alignment and its area/type/condition

Destruction of vegetation

Quantity/number of trees felled

List of locally found & endangered species

Disturbance to wildlife

Wildlife sitting in the area according to locals

Operation of quarries and borrow pits


Location/topography/ soil/geology

Disruption of natural land contour resulting slope instability and landslide/ erosion

Quarrying method and possibility of slipping of overburdens

Quantify specifications like restriction to small area, confined to existing quarry sites, not close to tree cover, 60 m away from dwellings, 200 m away from archaeological and cultural sites


Disturbance to natural drainage patterns resulting in water logging

Water logging

Water bodies nearby Contamination of surface water bodies Turbidity

Biological EnvironmentForest located along the alignment, area/type/condition

Removal of vegetation

Any vegetation removal from quarry site, their quantity

List of locally found & endangered species


Wildlife siting in the area according to locals

Spoil and construction

Physical EnvironmentLocation/ Scouring of valley Spoil disposal

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waste disposal

Topographyside slopes resulting landslides and erosion

practice adopted by the project. Landslides Spoil disposal

practice (designated site/ compaction/leveling/rehabilitation with planting vegetation)

Land used/Area Destruction of property (agriculture land, irrigation etc.)

Land use nearby disposal site


Disruption of natural drainage

Water logging Cross road drainage /

side, drainage/surface drainage construction

Water bodies Siltation of surface water Turbidity

Biological EnvironmentLocation/vegetation type

Disturbance to vegetation

Area of vegetation disturbed and condition

Locally found aquatic life in the Water bodies

Disturbance to Aquatic life due to siltation

Turbidity of the water bodies/change in availability of aquatic life

Work camp operation


Use of machineries and local ambience

Short-term air and noise pollution from machine operation

Site observation

Water bodies nearbyContamination of water bodies due to run-off

Water quality of the nearby stream

Area and type of land occupied or hired

Temporary loss of land

Location of work camp

Water bodies nearby Contamination of water

Runoff to water bodies nearby, sanitary condition, water quality

Provision of rehabilitation after the project completion


Location/vegetation type

Disturbance to vegetation due to site clearance

Area of vegetation disturbed and condition

Locally found wildlife including endangered species

Possibility of illegal hunting/trapping/fishing

Illegal hunting, trapping of wildlife

Labor camp


Area and type of land occupied or hired

Temporary loss of land (agriculture land/forest land)

Previous land use of the camp/condition of the camp site

Location Solid waste disposal issues

Waste disposal site and waste disposal system

Provision of rehabilitation after the project completion


Area/Type/condition of forest nearby

Pressure to the forest vicinity for fuel wood

Fuel wood consumption by workers

Condition of forest in vicinity

Locally found fauna including endangered ones

Possibility of illegal hunting/trapping/fishing

Illegal hunting, trapping of wildlife

Locally found aquatic lives

Impact due to surface and ground water contamination from unsanitary disposal of toilet waste

Number and condition of toilets at camp

Stockpiling of construction materials

Water bodies nearby

Siltation of surface water resulting from uncontrolled runoff from storage piles

Visual turbidity of surface waters

Disturbance to tree and vegetation

Disturbance to houses and prime agricultural land

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b. Operation Phase

Project Undertaking

Baseline Information Possible Impact Field Analysis

Impact Prediction

Observation/Comment

I M S

Operation of trafficMaintenance works

Traffic volume Road safetyAccidents resulting in hospitalization/loss of lifeInstallation of traffic safety signs

Traffic volume Air Pollution Traffic generating significant dust and vehicular exhaust

Condition of the forest in vicinity

Illegal harvesting of forest resources

Condition of forest in vicinity of road alignmentComplains from Users groups

Local fauna including endangered species

Illegal hunting and trapping of wildlife Illegal hunting


Disturbance to natural drainage

Formation of water logsDesign of drainage slope

Topography/slope/slope stability measures adopted in construction

Slope instability

Landslides Erosion or gully developmentDebris falling or being washed on to farmland

c. Social Components

Component Baseline Information Possible ImpactImpact

Prediction

Observation/

CommentI M S

Resource Use

Forestry

Existing CFUGs/LF nearby the alignment and other components of the road

CFUG and LF user groups affected due to acquisition of their forest land

Flow of the migrants/their sources of forestry product

Conflict for the use of forestry resources between locals and in-migrants

Agriculture Existing cropping pattern and agricultural practices Disturbance to agricultural production

Water supply and use Existing water supply system Disturbance/demolition of water supply

infrastructuresLand use by migrants Changing land use pattern Acquisition of land and property

Health Existing medical facilities/ Prevailing disease type and number of complains

Possibility of introduction of new communicable diseases

Socio-EconomicPopulation/Demography Possibility of flow of migrants In-migration affecting the local social and

economic conditions

Community Infrastructure

Existing Public infrastructure and that might be affected by Acquisition of public infrastructure

Existing public service facilities Local public infrastructure unable to cope with increased population

Employment/Income

Existing occupation/availability of skilled and unskilled laborers Less employment opportunity to locals

Cultural Heritage

Existing important sites in the area Site of historical / cultural/ architectural / archaeological importance being disturbed

ENVIRONMENTAL AND SOCIAL MITIGATION MEASURES IN RAIP

Approach to Mitigation Measure

5.29 The mitigation measures have to be developed following some common approaches such that the development project indeed is viable, practical, and cost effective, which in turn would supplement its environmental and social sustainability.

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Table 5.15: Approach to Mitigation Measure

SNMitigation Measure

Practice

1 Seek Alternatives to avoid particular impacts.

Consider alternatives to a proposed project activity.Examine alternative ways to achieve the objectives to maximize benefits and minimize undesirable impacts.

2 Arrange Compensation where particular impacts are unavoidable.

Restore damaged resources, such as, water source, irrigation system, forest.Proper rehabilitation scheme, such as, skills training, new employment.Adequate compensation payments to affected persons for damage or loss of property, livelihood and provision of rehabilitation measures.

3 Take Corrective Measures to reduce unavoidable effects.

Consider corrective measures to reduce adverse impacts to acceptable standards, such as, remove spoil material during construction, replace or relocate community water source, assist in school expansion to handle influx of laborers' children, and others.

4 Implement Preventive Measures to avoid some impacts altogether.

Pre-preparation for minimizing adverse impacts, such as, implement health education program, initiate public awareness programs.

Source: Reference Manual for Environmental and Social Aspects of Integrated Road Development, 2003, DoR.

IMPLEMENTATION MITIGATION MEASURES FOR RAIP

5.30 Realizing the impacts, potential problems and effects, and taking into consideration the above mitigation approaches, the appropriate mitigation measures suitable to the RAIP is suggested in the table below.

Table 5.16: Environmental Mitigation Measures Appropriate To RAIP

Category Potential Problem Appropriate Mitigation Measures

Slope stability Landslides or other forms of mass instability on the slopes

Geological/geomorphological studies conducted to investigate and recommend best available options.Civil engineering structures and bio-engineering measures used.Measures taken to avoid undercutting of slope toes.Quarrying prohibited in river beds, where flood discharge is significant.

Development of erosion or gullying Check dams and bio-engineering measures used as necessary.Road crosses major areas of deep- seated instability

Width and surfacing slander (relaxed for short lengths, as required.

Spoil disposal High volume of waste/spoil Minimize spoil by balancing cut and fill wherever possibleSpoil tipped away from designated areas

Safe tipping areas identified and enforced.

Spoil failing or being washed on the farmland

Spoil traps constructed.Land owner compensated.

Water management

Scour and erosion below unprotected drainage out falls

Mattresses, check dams and other protection measures constructed as necessary.Cascades constructed, to be as long as necessary.

Disruption of drinking or irrigation water

Measures to resolve these problems incorporated into project works, or compensation paid.

Land use Houses need to be removed Compensation paid to house owners.Loss of agricultural land Compensation paid to land owners.Loss of forest land Forest User Groups compensated for trees and products lost.

Check impacts are limited to compensated trees and products.Plants and wildlife

Large numbers of trees being removed

Felled trees replaced, using the same species if appropriate.Trees planted wherever land is available.

Disturbance to wildlife Damage to wildlife habitats avoided as far as possible.Habitats re-created on marginal roadside land.

Quarries and borrow pits

Pollution, disturbance and danger from quarry operations

Construct bunds to screen noise and dust.Enforce access restrictions.

Safety risks from abandoned quarries or borrow pits

Quarries made safe by re-grading slopes and installing structures as necessary.

Land seriously disturbed or lost from production

Quarry and borrow areas rehabilitated to productive plantations using bio-engineering techniques.

Quarries continue to be used by unauthorized persons

Unauthorized quarrying stopped, where necessary by working with the Districts Development Committee.

Stone crushing & asphalt plants

Dust and noise pollution Plants re-sited or compensation arranged if pollution is caused.Large earth bunds constructed and vegetated to reduce hazard.

Hazardous materials

Spills, leaks or injuries from any type of hazardous material (e.g.

Checks to ensure that storage is good and that there are no losses or leaks.Checks to ensure that protective clothing and safety measures are used.

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Category Potential Problem Appropriate Mitigation Measures

bitumen, cement, paint, explosives, fuels, lubricants)Bleeding bitumen Appropriate chippings spread and rolled into the affected areas.

Camp operation Pollution from work and labor camps

Checks to ensure that camps are not polluting neighboring areas, especially from sewerage and rubbish disposal.

Laborers cut trees for firewood Kerosene stoves and kerosene provided to laborers.Land remains damaged after construction

Checks to ensure camp areas are fully restored, including re-top soiling and tree planting if appropriate.

Dust and noise Dust generated from construction works

Speed controlled using speed bumps. If water is available, the road surface can be sprayed on a frequent schedule.

Dust from a road with an earth or gravel surface

Permanent speed bumps installed in villages and bazaars to reduce traffic speeds in inhabited areas.Bitumen surface constructed in bazaars, with speed controls.Dense vegetation planted on roadside.

Noise from large work sites Large earth bunds constructed and vegetated to reduce noise.Work schedule to minimize disturbance.

Social issues Positive impact of road confined to wealthier sections of society

Other agencies encouraged to develop activities beneficial to poor and excluded sections of society.

Local people excluded from project activities

Designs incorporate methods within the skills of local people.Contractors encouraged using local labor wherever possible.

Promises were made to local people during feasibility and planning phases

Checks to ensure that the promises are fulfilled; if they prove to be not possible, reasonable alternatives must be negotiated.

Significant disparities emerge in levels of compensation

Compensation levels rationalized to ensure reasonable parity.

Road Safety: faster traffic resulting from a new, smoother road surface

Traffic safety measures installed, such as warning signs, delineators and barriers.Awareness of road safety raised among affected communities.Road safety audits carried out and recommendations implemented.

Source: Environment Assessment in the Road Sector, Policy Document, DoR..

IMPLEMENTATION OF MITIGATION MEASURES

5.31 The mitigation measures should be integrated into project design and tender documents. Using this approach, the mitigation measures will automatically become part of the project construction and operation phase. By including mitigation measures in the contract or in specific items in the Bill of Quantities, monitoring and supervision of mitigation implementation could be covered under the normal engineering supervision provisions of the contract.

5.32 Project Design. The mitigation measures should be integrated in the design of the project itself. Such a step will enhance the mitigation measures in terms of specific mitigation design, cost estimation of the mitigation measure, and specific implementation criteria. The mitigation measure integration in the design phase will also help in strengthening the benefits and sustainability of the project.

5.33 Project Contract. The project contractor should be bound by the parameters identified in the environmental and social assessment pertaining to specific mitigation measures in the contract. The final acceptance of the completed works should not occur until the environmental clauses have been satisfactorily implemented. (Refer Annex :6)

5.34 Bill of Quantities. The tender instruction to bidders should explicitly mention the site-specific mitigation measures to be performed, the materials to be used, labor camp arrangements, and waste disposal areas, as well other site specific environmental requirements. Such a definition would clearly exhibit the cost requirement to undertake mitigation measures, which otherwise might be lost as the bidders in an attempt to be more competitive may not include the price realistic enough to fund mitigation measures and other protection measures.

5.35 Supervision and Monitoring. The purpose of supervision is to make sure that specific mitigation parameters identified in the environmental and social assessment and as bound by the

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contract is satisfactorily implemented. Likewise, monitoring is necessary such that the mitigation measures are actually put into practice.

5.36 A categorized mitigation measures, its implementation is given in the table below.

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Table 5.17: Mitigation ImplementationMitigation Activity

Implementation Responsibility PartyProject Design Contract Bill of Quantity Monitoring*

1 Slope stability Specify bio-engineering and relevant techniques.

Contractor shall comply with clauses pertaining to mitigation in the contract.

Identify stabilization area.Provide list of vegetation to be planted.

Adequacy, quality of vegetation.Survival rate of plants.

2 Spoil disposal Identify mass balance techniques.Safe tipping areas identified and enforced.Design spoil traps.

Do Quantify disposal and extraction volume.

Presence of scouring, erosion, damage to property, water supply disruption.Complaints from local people

3 Water management

Design safe discharge drainage and techniques (check dam) to natural water course.

Do Physical works for safe discharge drainage listed.

Evidence of fresh surface erosion, presence of gullies, increase in water turbidity, loss of agriculture forest land.Slope condition.Public complaints.

4 Land use Explore use of marginal land.Check impacts are limited to compensated trees and products.

Do - Quantify actual land use pattern for construction and other activities.Public complaints.

5 Plants and wildlife

Consider construction affecting forests and productive plots.

Do - Check habitats re-created on marginal roadside land.

6 Quarries and borrow pits

Design bunds to screen noise and dust.Design re-grading slopes.Use bio-engineering techniques for rehabilitation.

Do Quantify restoration costs and present technical specifications.

Check for water ponding, formation of gullies, water turbidity.Check unauthorized quarrying activities.

7 Stone crushing and asphalt plants

- Do Amount to be included in contractor's own expense.

Dust control equipment being utilized.Public complaints.

8 Hazardous materials

Specify storage facilities for explosives and toxic materials.

Do Amount to be included in contractor's own expense through rate for supplying materials.

Checks to ensure that storage is good and that there are no losses or leaks.Checks to ensure that protective clothing and safety measures are used.

9 Camp operation

Identify camping grounds.

Do Amount to be included in contractor's own expense through work camp item expense.

Latrine construction and effective waste disposal.Check disruption in water supply.Replantation, rehabilitation of site.

10 Dust and noise

Indicate use of safe pollution level equipment.

Do Specify buffer area requirements.Amount to be included in contractor's own expense through work camp item expense.

Air pollution control equipment.Dust deposition on crops and vegetation.Survival rate of plants.Public complaints.

11 Social issues Incorporate socially acceptable design specifications.

Do - Check issues pertaining to social concern.

5.37 Monitoring and evaluation is important during all stages of project implementation. The monitoring and evaluation system is described in Chapter 6 with necessary institutional mechanisms for RAIP sub-projects implementation.

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ENVIRONMENTAL MANAGEMENT PLAN

5.38 A project's environmental management plan (EMP) consists of the set of mitigation, monitoring, and institutional measures to be taken during implementation and operation to eliminate adverse environmental and social impacts, offset them, or reduce them to acceptable levels. The plan also includes the actions needed to implement these measures. To prepare a management plan, the borrower and its EA design team (a) identify the set of responses to potentially adverse impacts; (b) determine site-specific, detailed requirements for ensuring that those responses are made effectively and in a timely manner; and (c) describe the means for meeting those requirements. Any construction will not begin before an EMP is prepared and approved by the project management team.

5.39 The EMP includes the following components.

5.40 Mitigation. The EMP identifies site-specific, cost-effective and detailed measures that will reduce the identified adverse environmental impacts to acceptable levels. The Plan should include compensatory measures if mitigation measures are not feasible, cost-effective, or sufficient.

5.41 Monitoring. Environmental monitoring during project implementation should include a systematic assessment of key environmental indicators that determine the degree of environmental impacts of the project and the effectiveness of mitigation measures. Such information enables the borrower and the Bank to evaluate the success of mitigation as part of project supervision, and allows corrective action to be taken when needed. Therefore, the EMP identifies monitoring objectives and specifies the type of monitoring, with linkages to the impacts assessed in the EA report and the mitigation measures described in the EMP.

5.42 Capacity Development and Training. To support timely and effective implementation of environmental project components and mitigation measures, the EMP draws on the EA's assessment of the existence, role, and capability of environmental units on site or at the agency and ministry level. If necessary, the EMP recommends specific, targeted training for project staff, contractors, and community groups, to ensure the implementation of EA recommendations. In addition, the EMP, when necessary, should provide specific recommendations for operational arrangements to carry out mitigation and monitoring measures.

5.43 Implementation Schedule and Cost Estimates. For all mitigation, monitoring, and capacity development, the EMP provides (a) an implementation schedule for measures that must be carried out as part of the project, showing phasing and coordination with overall project implementation plans; and (b) cost estimates and sources of funds for implementing the EMP. These figures are also integrated into the total project cost tables.

5.44 Integration of EMP with Project. The borrower's decision to proceed with a project, and the Bank's decision to support it, are predicated in part on the expectation that the EMP will be executed effectively. Consequently, the Bank expects the Plan to be site specific and detailed in its description of the individual mitigation and monitoring measures and its assignment of institutional responsibilities, and it must be integrated into the project's overall planning, design, budget, and implementation. The EMP must be prepared before tendering of civil work contracts, and reviewed and approved by DOLIDAR. Such integration is achieved by establishing the EMP within the project so that the plan will receive funding and supervision along with the other components.

5.45 Environmental Code of Conduct. Following is a list of environmental parameters, which has close links with social and cultural outfit of the area, which require critical thinking while planning, implementing, and operating rural access infrastructure development. These procedures, if followed, would yield benefits for longer period in terms of financial and environmental sustainability.

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Table 5.18: Environmental Code of Conduct for Rural Access Infrastructure Development

SN Environmental Issue Potential Impact Codes of Conduct

Pre-construction/Construction Phase

1 Land Use

Road alignment may pass through cultivated and forested land resulting in a permanent loss of the resources.

While the landowner has to part away with his land ownership, the environmental effects can amplify if proper operation and maintenance schedules are overruled.

Plan road alignment to minimize loss of resources. Avoid width of road of more than 4.5 m in hilly area. Demarcate RoW to avoid encroachment.

2 Material Use

Excess extraction of local resources, such as wood, sand, soil, boulders, etc.

Degradation of forests, erosion and landslide at steep locales due to boulder, stone extraction.

Change in river/stream ecosystem due to unchecked sand extraction.

Extract materials only on need basis. Avoid sensitive areas, such as steep slopes and water-ways.

3 Slope Stability

Extraction of forest products and cutting of trees in the steep slopes increases soil erosion/landslide due to loss of soil binding materials.

Wrong alignment can trigger slope failure Haphazard disposal of construction waste

can disturb slopes Improper drainage facilities can result in

erosion and landslides

Extract carefully and secure the top soil within 25 cm from the surface. Limit down grading of the road to 50. If down grading exceeds 70, construction of side drainage is necessary. Keep optimum balance in extraction and filling of soil works. geo-hazardous assessment and mapping Use designated disposal site and avoid sidecasting of spoil Provide proper drainage Use bio-engineering on exposed slopes

4 Wildlife

Wildlife habitats at forests, shrub land along road alignment are affected from the road construction activities.

Wildlife and human conflicts increase as wildlife might destroy the crops or attack the construction worker.

Avoid as much as possible areas with high biodiversity. Efficient movement of machinery and other traffic. Control poaching activities and regulate movement of labor force and their dependents into the forest area. District Forest Office and its subsidiary body should be involved in monitoring the activities of the construction workers and officials to minimize wildlife harassing, trapping and poaching.

5 Drainage

Higher flow rate of surface water and water logging induce land slides, erosion.

Quality of road diminishes due to poor drainage such as water logging, immense flow rate of surface water.

It is strongly recommended that the cross drainage outlets must be channeled to the confirmed natural drains. If horizontal slope exceeds 5%, construction of flow control device necessary every 20m.

6 Protection of Vegetation

Protected areas and highly forested areas. Degradation of forest areas. Degradation of agricultural land.

Use minimum and efficient use of wood products for construction. Initiate plantation at damaged and damage prone areas. Increase liability of local forest user groups. Avoid protected areas or densely forested areas

7 Disposal of Construction Wastes

Dumping of wastes along the road or elsewhere.

Selected spoil dumping sites should be used. After disposal, the area should be leveled and compacted.

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SN Environmental Issue Potential Impact Codes of Conduct

It is recommended to conserve the soil by planting indigenous plants including grasses. Wastes could also be used as leveling materials along the roadside.

8 Disposal of Sanitary Wastes

Unmanaged sanitary waste disposal creating health problems and public nuisance.

Proper sanitation area needs to be demarked. Check for hygiene of work force.

9Impacts on amenities along RoW

Road crossings at water supply, irrigation lines may be disturbed/damaged.

Avoid as much as possible the crossing over such amenities.

10 Pollution

Dust generation from construction activities, construction vehicular movement increases air pollution.

Noise pollution likely from construction machinery operation and vehicular movement.

Sanitary problems likely at the construction and workforce quarters.

Possibly construction period should be during August to December when soil moisture content is most. Consider construction of road at 50 m from settlement. Enforce speed limit of vehicles and construct the road according to volume and size of traffic movement.

Operation Phase

1 Encroachment Unmanaged settlement, construction along the RoW.

Establish RoW properly and enforce its limits.

2Interruption of Water Flow along RoW

Concentrated flow left unattended might have severe impact at the downhill alignment of the road.

Cross drain structures, namely pipe culverts, slab culverts, box culverts, need to be maintained. Outlet of these structures would be carrying the concentrated run off flow of the respective catchment, which will be quite high during rainy season, which in turn would require proper planning of drainage systems.

3Pollution/Vehicular Emission

Dust generation from vehicular movement increases air pollution.

Noise pollution likely from vehicular movement.

Enforce speed limit of vehicles. Maintain traffic size movement. Discourage use of horns.

4 Aesthetics

Road construction is likely to increase landscape scars along the road alignment.

In addition if the construction spoils are disposed off improperly, the ground vegetation would be destroyed which will be visible from a distance.

Such damage cannot be avoided but can be minimized through re-plantation of indigenous species and greenery development.

CAPACITY BUILDING

5.46 Extensive capacity building for environmental assessment and management will be carried out throughout this project. A separate detailed “Training needs assessment” has been carried out which outlines the training that will be given to communities, VDC, DDC, DOLIDAR staff, contractors and consultants. Each person will be given a general orientation course on environmental management and the principles to be followed under RAIP. Depending on the technical ability and the responsibility of the persons, they will be given detailed engineering training on bio-engineering, slope stabilization and road alignment or training on how to recognize environmental issues, prepare environmental management plans and monitor environmental impacts.

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6. RESETTLEMENT POLICY FRAMEWORK

DESCRIPTION AND OBJECTIVES

6.1 Subproject interventions proposed under RAIP are expected to be small and cause minimal negative social impacts. Resettlement is unlikely under the project. However, as a precautionary measure, a Resettlement Policy Framework (RPF) has been prepared to address unavoidable impacts that may arise from: (i) loss of land; (ii) loss of homes/structures; (iii) loss of livelihood systems/income opportunity (due to the lost of productive land or impact to a structure where a livelihood activity is being carried out); and (iv) loss of community property resources (religious structures, grazing land).

6.2 The RPF defines the legal, institutional and implementation framework to guide the compensation for lost assets, livelihoods, community property, and resettlement and rehabilitation of project affected people in accordance with the World Bank’s Operational Policy 4.12 on Involuntary Resettlement and RGOB guidelines and legislation. Key provisions of HMGN’s Land Acquisition Act (1977) and the World Bank’s policy were compared, policy gaps identified and recommendations made to address these gaps. This review formed the underlying basis of developing the RPF, especially the policy matrix for entitlements for losses suffered under the project. The RPF will be applicable to all subprojects funded under RAIP.

6.3 Stakeholder consultations and social screening during the feasibility stage of each subproject will identify and categorize the level of impacts and what modalities need to be followed, including those for voluntary land donations and compensation/entitlements for involuntary land acquisition and other defined losses to the project.

SOCIAL SCREENING

6.4 To assess the precise nature and magnitude of social impacts, social screening will be carried out as part of the feasibility studies for each subproject. To ensure consistency in the application of social screening criteria a standard social screening format, presented in Annex 4 has been prepared which builds upon the current Department of Roads (DOR) screening guidelines and includes:

Loss of land. Loss of structures. Loss of livelihoods. Impacts on vulnerable groups. Impacts on common community resources. Willingness of communities to volunteer land.

6.5 To the extent possible, social and environment screening will be carried out together with technical and economic screening.

6.6 Social screening will identify the potential for loss of land, assets/structures, livelihoods, willingness of the community to donate land to the project, and other significant social impacts. Social screening will also enable the categorization of subprojects based on their level of social impacts. Where the extent of adverse social impacts is minor and no displacement or loss of assets or livelihoods is expected, no further action is required. However, where the social screening indicates that land acquisition and/or loss of assets is unavoidable, appropriate resettlement plans will be prepared in accordance with the provisions of the RPF.

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VOLUNTARY LAND DONATION

6.7 RAIP is expected to cause only marginal impacts without major economic or physical loss and displacement. Obtaining land for small rural roads and infrastructure has typically been based on voluntary donations. RAIP envisages the acquisition of almost all lands by voluntary donation where:

The impacts are marginal (based on a loss of up to 10% of productive assets.) Impacts do not result in displacement of households or cause loss of household’s incomes and

livelihoods. The households making voluntary donations are direct beneficiaries of the project. Land donated is free from any dispute on ownership or any other encumbrances. Consultations with the affected households are conducted in a free and transparent manner. Transfer of titles or Memorandum of Agreement supports land transactions. Proper documentation of consultations, grievances and actions taken to address such

grievances. Remaining assets are not rendered economically unviable. Project affected people are fully aware of required procedures and entitlements defined in the

RPF.

6.8 A memorandum of agreement will be established as a means of recording the location and size of land being donated as well as the written consent and names of local witnesses for those community members donating lands voluntarily. It will contain specific provisions to record that the land being donated is free of squatters, encroachers or other claims or encumbrances. These will be recorded in a Memorandum of Agreement, a suggested format for which, is presented in Annex 5.

6.9 Different impacts will affect these groups differently, depending on the reason for their vulnerability under the project. The project will pay special attention to these vulnerable groups who will receive targeted support and be provided with more options and support mechanisms as appropriate. These mechanisms are discussed in more detail in chapter 7.

INVOLUNTARY RESETTLEMENT AND LAND ACQUISITION

6.10 If subproject social screening indicates that the acquisition of privately owned land, displacement, and/or loss of livelihoods and assets due to project interventions is unavoidable, mitigation/compensation for these impacts will be guided by the following policy principles and objectives:

Avoid or minimize involuntary resettlement and land acquisition where feasible, exploring all viable alternative project designs.

Assist displaced persons in improving their former living standards, income earning capacity, and production levels, or at least in improving them.

Provide full information and carry out consultations with affected people on resettlement and compensation so that resettlement becomes a participatory process.

Provide assistance to affected people regardless of legality of land tenure.

Applies not only to physical relocation, but loss of any land or other assets resulting in: (i) relocation or loss of shelter; (ii) loss income sources or means of livelihood, whether or not the affected people must move to another location; and (iii) loss of community resources.

Take special measures to protect socially and economic vulnerable groups, such as female headed households, people living in extreme poverty, marginal landowners and the landless.

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Provide compensation for acquired land and assets at replacement values.

Compensation for loss of perennial crops and trees calculated as annual net product value multiplied by number of years for new crop to start producing.

Provide replacement residential and agriculture land as close as possible to the land that was acquired by the project and which is acceptable to the affected person.

Synchronize construction schedules with land acquisition to ensure that all land acquisition activities are completed prior to commencement of construction at that site.

Implement subproject resettlement plans after consultations with the affected people.

Ensure that the entire cost of resettlement or other social development programs are included in the subproject and budgeted in the annual and overall implementation plans of the project.

Establish adequate institutional arrangements to ensure the effective and timely monitoring of all social impacts.

Establish effective mechanisms for hearing, recording and resolving grievances.

ELIGIBILITY CRITERIA

6.11 The following groups of people are entitled to compensation and assistance under the project:

(a) Project Affected People includes any person or persons or households who because of project activities would have their: (i) standard of living adversely affected; (ii) legally recognized title, or interest in any house, land (including residential, agricultural and grazing land) or any other moveable or fixed assets acquired or possessed, in full or in part, permanently or temporarily, and; iii)place of work or residence or habitat adversely affected, with or without displacement.

(b) Seriously Affected Families (SPAFs). Families who lose 25 percent or more of their land or income or a residential house because of project activities

(c) Project Affected Families. All members of a project affected household residing under one roof and operating as a single economic unit, who are adversely affected by the project or any of its components. For resettlement purposes, affected persons will be considered as members of affected households.

(d) Squatters. People who are occupying land in violation of the laws of Nepal are not entitled to compensation for loss of land under this policy. However, they are entitled to resettlement assistance if displaced as well as compensation for loss of assets other than land, in particular, structures and crops.

(e) Encroachers. People who have trespassed into RGOB/private/community land to which they are not authorized.

(f) Marginal farmer. A farmer whose land holding is less than .5 hectare.

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(g) Landless/Agricultural Laborer. A person who hold not agricultural land himself or jointly with any family member. Persons who work as agricultural laborers will be also be placed under this category.

(h) Vulnerable Groups. Distinct groups of people who are socially distressed or economically backward and who might suffer disproportionately from resettlement effects. These include, but are not limited to the following: all ethnic minority/indigenous groups present in the terai and hill districts as categorized by HMGN, women headed households, the most poor (based on the poverty line and local wealth ratings), the disabled, elderly and landless/kamaiya families.

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Table 6.19: Entitlement Policy MatrixType of Impact Entitlement Unit Entitlement ResponsibilityA. LAND

Loss of private Land Affected person/families Cash compensation equivalent to the amount as per Land Acquisition Act; and Resettlement allowance in cash equivalent to the difference between compensation as per the Land Act and full replacement value as per current values in the same vicinity, plus value of all land transaction fees and charges.

Families who become landless allotted land as per provisions of the Land Act.

DDCs/DOLIDAR

Vulnerable groups and non-title holder (squatters and encroachers)

Resettlement assistance to those most vulnerable to restore pre-displacement level livelihoods. Vulnerable groups may include but not be limited to: ethnic/indigenous minorities, women headed households, the most poor, the disabled, elderly and landless/kamaiya families.

Encroachers will not be entitled to any compensation for their affected unauthorized/illegal extensions over public land. Vulnerable encroachers with economic losses may be entitled to assistance as a vulnerable group.

DDCs/DOLIDAR

B. HOMES/STRUCTURES

Affected person/families Cash compensation equivalent to the amount as per the Land Acquisition Act. To ensure compensation at replacement value, resettlement assistance in cash equivalent to cover depreciation over and above compensation determined.

DDCs/DOLIDAR

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C. ECONOMIC ASSETSAffected person/families Compensate and replace lost assets at the their

replacement cost.Compensation for perennial crops and trees calculated as annual net product value multiplied by number of years for new crop to start producing.Compensation in cash for lost standing crop.

Dzongkhag in collaboration with the MOA.

D. INCOMEAffected person/ families Rehabilitation assistance for lost or diminished

livelihoods. DDCs/DOLIDAR

E. Community ResourcesAffected institution/community Compensation for re-establishing or re-constructing

lost community resources such as religious and cultural structures or providing alternatives in consultation with affected communities.

DDCs,DOLIDAR

F. Temporary LossesAffected person/families Cash compensation/transition allowance. DDCs/DOLIDAR

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SUBPROJECT RESETTLEMENT ACTION PLANS

6.12 To the extent possible, the project will consider alternative engineering designs to minimize adverse social impacts and land acquisition. Where the social screening indicates that land acquisition and/or loss of assets is unavoidable, a subproject Resettlement Action Plan (RAP) will be prepared for which the RPF provides overarching guidance on principles and procedures. Subproject RAPs will include the following:

Project and subproject description. Description of subproject losses and impacts. Baseline survey and census data. Policy entitlements related to impacts identified through the survey or census and

presented in a subproject specific entitlement matrix. Time-bound implementation plan. Costs and budgets.

6.13 Subproject RAPs will be prepared at the planning and design stage and submitted to the World Bank for review three months before the data of initiation of any land acquisition.

IMPLEMENTATION PROCESS

6.14 During project implementation, resettlement will be coordinated with the timing of the civil works. The project will provide adequate notification and assistance to affected people so they are able to move without undue hardship before the commencement of civil works.

6.15 In the case of land acquisition, the procedures will follow the provisions of the Land Acquisition Act, and the RPF. The subproject RAP after its approval by HMGN and the World Bank, will be translated into the local language and made available in a public place accessible to affected people and other stakeholders. The project will ensure that civil works are not started on any subproject sites before compensation and assistance to the affected population have been provided in accordance with the RPF.

GRIEVANCE REDRESS MECHANISMS

6.16 Informal traditional dispute mechanisms, based primarily on negotiations between aggrieved parties and through community meetings to reach consensus on a satisfactory resolution, are already practiced in the beneficiary communities. These traditional dispute practices appear to function well and are generally accepted by community members as a satisfactory means for resolving disputes and grievances. However, to make the grievance redress process more systematic, aggrieved parties will be able to appeal to VDCs/DDCs to facilitate resolution of the grievance. Any appeals made to these bodies will be recorded in a register, identifying the name of the aggrieved party, date grievance registered, nature of grievance, and measures suggested to address the grievance, including escalating resolution of the grievance to DOLIDAR for recourse through traditional judicial practices, and date of grievance redressal.

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FUNDING ARRANGEMENTS

6.17 All resettlement funding will be through the main project and under the oversight of DOLDIAR. Subproject RAP’s shall be prepared during the planning and design phase and include detailed cost estimates based on proposed project interventions. The budget will be approved by DDCs, and DOLIDAR.

CONSULTATION /PARTICIPATION

6.18 The approach underlying the assessment of social impacts and developing appropriate social impact management strategies is based on the principles of local participation and consultation with stakeholders during all stages of the project from initial design to implementation. To encourage participation during each phase of the project, regular consultations are planned with beneficiary communities to share project related information and provide a feedback mechanism for these communities to voice their concerns and issues and address these concerns during project implementation. Key objectives of stakeholder consultation and participation during the project cycle are:

Pre-Planning – disseminate information about proposed project interventions and consultations to identify impacts and issues.

Planning and Design – joint walk through (as is the current practice) and consultations for mitigation and design enhancement measures.

Implementation – regular monitoring for impacts.

Post Implementation – monitoring of post implementation benefits and lessons.

6.19 Project affected people/communities will be made fully aware of the principles and guidelines used for project impact mitigation. Involvement of affected communities is crucial in planning and implementing subproject RAPs, when these are required. Preparation of subproject RAPs will be based on detailed consultations with affected people and other stakeholders. Details of these consultations including dates, names of participants, issues raised and how these have been addressed will need to be documented in the subproject RAPs. Grievance redress and community monitoring will also enhance stakeholder participation.

MONITORING AND EVALUATION

6.20 The monitoring process will examine procedural issues, progress in land acquisition and resettlement, as well as, any critical factors that may have long term impacts on the project. Monitoring will place a specific focus on transparency, participation of project-affected people, especially women and vulnerable groups, effectiveness of the grievance redress process, and income restoration initiatives.

6.21 The project will systematically monitor land acquisition based on: (i) process monitoring (e.g. project inputs, expenditures, staff deployment); (ii) output monitoring (e.g. results in terms of number of affected people compensated and resettled); and (iii) impact evaluation (i.e. longer term effect of the project on people’s lives). The broader social monitoring program will also follow these processes. Monitoring of the social aspects of the project will be fully integrated into the broader monitoring program of the project and summarized in quarterly project progress reports for each stage including: baseline and pre-construction monitoring, compliance and impact monitoring and operational monitoring. A detailed discussion of monitoring and evaluation mechanisms is presented in chapter 9 of this report.

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6.22 With some orientation on the monitoring procedures and indicators, monitoring will be conducted by the DDC and facilitated by district DOLIDAR staff and if necessary with the assistance of skilled social assessment consultant(s) who will be appointed for this purpose. This information will serve to inform DOLIDAR about progress and results, and to adjust the work program where necessary if delays or problems arise. The results of this monitoring summarized in reports will be submitted to DOLIDAR and the World Bank on a quarterly basis.

6.23 Provisions will be made for participatory monitoring involving project affected people and beneficiaries communities in assessing results and impacts. A detailed discussion of process, output, and impact indicators is provided in chapter 9.

6.24 A Social Development Adviser/focal person in DOLDAR will be responsible for oversight and coordination of land acquisition and resettlement implementation. The Social Development Advisor and District Superintendent Engineer will be also responsible for monitoring resettlement activities. These officials will undertake this task quarterly. A detailed discussion of institutional arrangements is presented in Chapter 6 of this report.

CAPACITY BUILDING

6.25 DDCs, and DOLIDAR staff at the district level will need to be sensitized and trained to identify, mitigate and monitor social impacts. A training needs assessment is planned under the project to identify capacity gaps and develop training programs accordingly. Capacity building training will be delivered early in project implementation.

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7. VULNERABLE COMMUNITY DEVELOPMENT FRAMEWORK

DESCRIPTION AND OBJECTIVES

7.1 Subprojects funded under RAIP may potentially be implemented in areas with vulnerable populations. A Vulnerable Communities Development Framework (VCDF) has been prepared to define the policy, institutional and implementation framework to address impacts on vulnerable groups, ensure meaningful consultations with these people throughout project preparation and implementation, and ensure that they are provided assistance in accordance with their own priorities. The VCDF has been prepared in accordance with the World Bank’s Operational Directive (OD) 4.20 on Indigenous Peoples and relevant HMGN policies, including those articulated in the Tenth Plan.

7.2 Stakeholder consultations and social screening during the feasibility stage of each subproject will identify the presence of vulnerable groups in subproject areas, impacts on these groups and types of skill training/income generating activities they view of having most value in providing economic and social uplift.

POLICIES STRATEGIES AND ACTIONS

Subproject Vulnerable Communities Development Plans

7.3 To the extent possible, the project will consider alternative sites and engineering designs to avoid or minimize impacts on vulnerable people. Under the project vulnerable groups include the following:

All dalit and ethnic minorities / indigenous groups of terai and hills as categorized by HMGN

Women headed agricultural households Poorest of the poor (based on local wealth ranking) Disabled and old people without family support Landless / Kamaiya families

7.4 Identification of vulnerable families would be made by district based social development consultants during social screening and while collecting further social information for IEE.

7.5 Where the social screening indicates the presence of vulnerable groups in a subproject site, a subproject Vulnerable Communities Development Plan (VCDPs) will be prepared for which the VCDF provides overarching guidance on principles and procedures. Subproject VCDP’s will include the following:

Subproject description. Number of vulnerable people impacted negatively and by losses from project interventions

and the magnitude and nature of these impacts. Documentation of consultations with vulnerable groups to ascertain their views about

project design and proposed mitigation measures. Mechanisms for targeted assistance to these groups, including training and income

generation activities. Modalities to ensure regular and meaningful consultations with these groups during

project preparation and implementation.

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7.6 To effectively monitor project impacts on the vulnerable, the socio-economic baseline established for the project will include data on representative vulnerable households. Monitoring indicators will include gender and vulnerability specific indicators, and monitoring reports will present data disaggregated by gender and vulnerability. Indicators that can be monitored for this purpose can include, how many vulnerable people participated actively in project activities, benefited from target assistance to enhance livelihoods, documentation of their opinions on project impacts and if any of their specific concerns were addressed during implementation.

7.7 Subproject VCDPs will be prepared at the planning and design stage and submitted to the World Bank for review three months before the commencement of subproject activities.

7.8 Participation. The project’s consultative and communication strategy will place a special emphasis to ensure the participation of vulnerable groups in decision making throughout project planning, implementation and evaluation. The social mobilization practices adopted under the project will also place an emphasis on ensuring the inclusion of all indigenous and ethnic groups, women, Dalits and other vulnerable groups in the project.

Social Uplift Activities

7.9 To support the social uplift of vulnerable people the project will provide assistance targeted specifically at vulnerable groups to enhance their livelihoods through training/income generating activities. Consultations carried out with vulnerable groups during project planning, will include identification of their skill needs and priorities and training programs, as defined below, offered accordingly.

Skill training on mechanical, electrical and construction works (driving, mechanics, plumbing, house wiring, masonry, carpentry, sewing/ knitting, handicrafts)

Training on income generating activities (vegetable production, micro-enterprises, poultry, piggery, livestock raising etc)

Training on safe motherhood practices Literacy courses to women Hygiene and sanitation Nursery establishment, plantation of fodder and fruit trees, improved grasses etc Others as relevant

7.10 Local NGOs would be selected and hired to implement the VCDPs in the sub-project, initially on pilot basis with the objective of replicating the success to other sub-projects in subsequent years. The SDAs in consultation with the DDC staff would help identify suitable local NGOs with proven experience in doing similar works in the area. The SDA and DDC staff will coordinate and oversee the implementation of subproject VCDPs.

Strategy for Vulnerable Communities Development

7.11 To support the objectives of the VCDF to: (i) ensure project benefits are accessible to all vulnerable communities living in project areas; (ii) ensure that any specific impacts on vulnerable people are minimized and mitigated; (iii) ensure that vulnerable people participate in the project decision making process; (iv) minimize further social and economic imbalances within communities; and (iv) develop appropriate training/income generation activities in accordance to their own defined needs and priorities, the following strategy has been defined.

Table 7.20: Vulnerable Communities Development Strategy

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Issue Strategies Proposed Activities Responsibility

Loss of residential houses/structures

Mitigated as per provisions of the RPF

As per RPF DDCs/DOLIDAR

Relocation of Dalits or other vulnerable groups encroaching on public land.

Mitigated as per provisions of the RPF

As per RPF DDCs/DOLIDAR

Lack of Participation/Inclusion

Design information dissemination and outreach strategies specifically targeted to vulnerable groups.

Encourage participation of vulnerable groups in project related meetings – insist on a quorum which includes adequate representation from these groups.

Consider issues raised by vulnerable groups.

Frequent meetings , periodical review and interactions with vulnerable groups.

Training/sensitizing of district staff on vulnerable community issues and the involvement of vulnerable groups in the project.

Ensure that vulnerable groups participate in consultative meetings and document proceedings of meeting.

DDCs/DOLIDAR

Low literacy and extreme poverty

Provide targeted assistance/training aimed specifically at vulnerable groups to enhance livelihoods.

Define training/income generation activities based on the identified needs and priorities of vulnerable people in the subproject area.

Work closely with local NGOs active in the project areas and already providing basic skill training on income generating activities to vulnerable groups.

Customize training programs to meet the needs of the illiterate.

Provide opportunities for employment on the project works.

DDCs/DOLIDAR in association with local NGOs.

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Figure 7.1: Institutional Framework for Implementing VCDP

7.12 The key persons responsible to implement the VCDP will be the Social Development Consultants (SDCs) based in the DDCs. The SDA at DOLIDAR will involve in facilitating, coordinating, supervising and monitoring the activities implemented under VCDP. VDCs and local government line agencies will also provide supports to implement the programmes.

7.13 Monitoring and Evaluation. The socioeconomic baseline indicators will be used for measuring the outcomes and impacts on vulnerable communities. The monitoring and evaluation mechanisms adopted for the project will ensure that in addition to process and outcome indicators appropriate impact indicators are defined to related to specifically to impacts on vulnerable groups and their livelihoods. An impact evaluation will be undertaken about 6 months before project completion to assess the changes in the overall living standards compared to the former living status of living for these groups.

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VDCsDistrict Line Agencies

DOLIDARSDA

DDC(SDC)

Local NGOs

VCDP

Communities

8. CONSULTATION/INFORMATION DISSEMINATION/DOCUMENTATION ACTIVITY SUPPORTING MONITORING AND EVALUATION OF RAIP IMPLEMENTATION

8.1 Public consultation and information dissemination, which ensures public understanding of project impacts and allows the affected population to express their voices, are important parts of environmental and social assessment process. Social/environmental screening and assessment cannot be effectively conducted, nor can project impacts adequately be assessed, without active public consultation and information dissemination. Public consultation and information dissemination, for them to be effective and meaningful, in turn requires adequate community mobilization to ensure all stakeholders are well informed and have their voices heard.

8.2 Different governmental agencies, community organizations, NGOs and consultants are part of public consultation and information dissemination processes of ESAF. DDCs assume prime responsibilities to carry out public consultation and information dissemination. VDCs are responsible to mobilize community members and encourage their active participation in consultation and information dissemination processes. Where VDCs lack capacity, consultants or local NGOs may be hired to help VDCs mobilize community members and carry out consultation and information dissemination. Among other community groups, Road User Groups (RUGs) and Road Building Groups (RBGs) are strongly encouraged to participate in consultation and information dissemination processes, to ensure that they understand all protective measures to be taken for road building and maintenance.

8.3 Where RUGs or RBGs are nonexistent or ill-functioning, they should be organized or re-organized according to the “Guidelines” prepared by DOLIDAR. Given the critical role of RUGs and RBGs in the process of road building and maintenance, DDCs, and community mobilizers in particular, should ensure that RUGs and RBGs are organized and managed as per stipulated in the Guideline.

8.4 Community meeting, which should be open to all, is the primary means of community consultation and information dissemination. Where participation of certain group of people in community meetings is difficult, due for example to geographical distance or social segregation, other methods such as door-to-door visits, structured and unstructured interview, separate community meetings or other participatory techniques will be considered.

8.5 The consultation framework presented below offers types of activities that should be carried out in each project phase, as well as who should be responsible for each activity.

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Table 8.21: Information Dissemination and Community Mobilization in RAIP implementation

SN Responsible Party

Activity Output Evidence of Participation

Remarks

Pre-Construction

1 Community mobilizer/Consultant

- Attend community meetings and inform participants of the project

- Mobilize community members to help carry out environmental and social screening

- Consultation report- Social and

Environmental screening

- Minutes of community meeting

- Positive and negative views expressed by participants are recorded

2 VDC - Mobilize local people, organize or re-organize RUGs and RBGs

- Raise broad-based awareness towards the project.

- Community meetings

- RUCs/RBGs formed as per the guidelines


- Minutes of RUCs/RUGs meetings

- Ensure broad participation of community members

3 Local Communities/ RUGs and RBGs

- Participate in community meetings

- Organize themselves into RUGs and RBGs

- Identify major issues related to the project.


- RUGs/RBGs


- Minutes of RUCs/RUGs meetings

- RUGs and RBGs must be organized or reorganized as per the guidelines

Feasibility Study

4 Community mobilizer/consultant

- Inform community members of positive and negative project impacts

- Identify environmental and social impacts

- (SA Report?) - Minutes of community meeting

5 VDC - Define project impact areas and identify affected population

- Organize community meetings


- Do - Ensure broad participation of community members


- Participate in community meetings

- Do - Minutes of community meeting

- Community members must understand project impacts.

Design of Project7 Community

mobilizer/consultant

- Inform community members of project design and components

- Consult community members to develop EMP, RPF, IPF and other policy frameworks

- EMP, RAP, VCDP and other mitigation plans

- Socioeconomic profile


- EMP and other impact mitigation plans must be developed

8 VDC - Organize community meetings

- Collect supplementary data to develop socioeconomic profile


- Supplementary data to develop socioeconomic profile

- Do


- Understand project component and mitigation measures to be carried out



- RUGs/RBGs must understand mitigation measures

Project Approval


- Inform communities and VDCs of implementation procedures

- Minutes of public hearing


11 VDC - Understand project components, impacts and mitigation measures

- Organize public hearing

- Do

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SN Responsible Party

Activity Output Evidence of Participation

Remarks


- Participate in public hearing, understand the project and mitigation measures to be implemented

- RUCs/RBGs hold group meetings to ensure their members understand mitigation measures to be implemented

- Minutes of group meetings


- Minutes of group meetings

- RUGs/RBGs must understand mitigation measures

- All RUGs/RBGs members aware of group meetings

Project Construction


- Attend community meetings to ensure mitigation measures are implemented

- Hear and resolve problems that cannot be solved locally

- Keep track of project indirect effects

- Monitoring report - Minutes of community meeting

- Ensure all are aware of conflict resolution and grievance redress mechanisms

14 VDC - Monitor implementation of subprojects and the affected population

- Hear and resolve conflicts- Keep track of project

indirect effects

- Do - Make sure that project components are not overlooked.


- Participate in road building process

- Understand and implement mitigation measures

- Do - Capacity building of RBGs

Post-Construction


- Carry out CBPM - Observe maintenance and

compliance norms

- CBPM report - Minutes of CBPM meeting

- CBPM must be carried out as stipulated

17 VDC - Mobilize communities for CBPM process

- Monitor direct and indirect impacts of project on community livelihood.

- Do - All direct and indirect impacts must be reported in CBPM report


- Participate in CBPM- Prepare maintenance

contract with RUGs- Continue to build capacity

- Do - RUGs/RBGs must develop strong ownership to the roads built

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9. IMPLEMENTATION ARRANGEMENTS

INSTITUTIONAL ARRANGEMENTS

General

9.1 The various stages of the environmental process pertaining to ESMF involve more than one government agency, different management levels within each agency, and various other parties, such as, project unit, contractor, local community bodies, and the people themselves. The success of ESMF implementation depends heavily on the ability of the project’s management personnel, in collaboration with specialists from other agencies such as the environment authority, to take appropriate actions throughout the various stages of the entire road development process. The table below identifies the common implementation mechanism that need to be undertaken to ensure successful implementation of the environmental and social assessment.

Table 9.22: ESMF Implementation Mechanism for RAIP(ii)

Mechanism Responsibility

1 Defining policy directions for RAIP in light of policy directives from the environmental agency. DOLIDAR

2 Drafting ToR for specific project. DOLIDAR, concerned DDC Environmental Unit

3 Assembling teams to conduct environmental and social assessments. DOLIDAR, concerned DDC, Project Unit

4 Ensure internal coordination among different level of authorities within the government road agency. DDC Environmental Unit

5 Staying up-dated of regulations and developments pertaining to RAIP relevance. DOLIDAR, DDC, Project Unit

6 Defining priorities for RAIP. DOLIDAR, DDC, Project Unit

7 Organizing public consultations and participatory processes to ensure environmental and social assessment obligations.

DOLIDAR, DDC Environmental Unit, Project Unit, Local NGOs

8 Develop methods and operational tools for environmental and social awareness at policy, program, and operations level. DOLIDAR, DDC

9 Organizing training and information campaigns. DOLIDAR, DDC

Institutional Arrangement for ESMF Implementation

9.2 RAIP will be implemented through local agencies. Therefore, the ESMF implementation, which is an integral part of the RAIP, should also be governed by the local government agencies with support of local community bodies. Since the DOLIDAR’s objective is to bring uniformity in the process of implementing its projects, the DOLIDAR shall be responsible for coordination of RAIP activities.

9.3 Prime responsibility for EA and SA process is with DDC. For this purpose, during the implementation of RAIP, the DDC engineer will be assisted by the District Project Unit, which will consist of a project design engineer and a social development consultant. The DDC will also receive necessary assistance from the Environmental Advisor and Social Development Advisor of RAIP, as well as the Environmental Focal Point at DOLIDAR. During sub-project identification and prefeasibility stages, the DDC will be responsible for conducting environmental and social screening according to the guidelines provided by DOLIDAR. If the sub-project requires IEE as per the government regulations, the DDC will conduct the IEE with the help of external consultants, if required. During project design, the DDC will prepare Environment Management Plan (EMP) for each sub-project, which will be incorporated into final design and contract documents. During project implementation, the DDC, with assistance from local communities will monitor the compliance of EMP (Figure 5.2).

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Figure 9.2: Flow Chart for Environmental Assessment

Figure 9.3: ESMP Implementation

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Proposal from DDCs (with Baseline Information)

Incorporate ESMP recommendations into

Detail Design

EIA RequiredScoping15 day noticePrepare TORApproval of TOR by MOPEEIA Study Including Public

HearingPrepare EIA Report Including

EMPSubmit EIA Report to MLDApproval of EIA by MLDSubmit EIA to MoPEPublic Notice for Review of EIAApproval of EIA by MoPE within

60 days.

Monitor ESMP Compliance during

Construction

ESMP

Screening at DOLIDAR(Based on EPR

Schedule)

Field Verification(Screening Checklist)

IEE RequiredPrepare TOR by DDCApproval by MLDPrepare IEE Report Including ESMPApproval by MLD

No environment assessment required

Ministry of Local

Development

Contractor/User Groups

DoLIDAR

Environment Focal Point

DDC

DDC/DTO Engineer

RAIP PCU

Environment Advisor Social

District Project Unit

PDE & SDC

External Short term Consultants as Required

Table 9.23 Institutional Arrangements for EMF Management

ACTIVITY PHASE

DOLIDAR/DDCS(2) CONSULTANTSEnvironmental, Social, Legal, Technical/Engineering, etc.

(3) CONTRACTORSConstruction

(4) LOCAL AUTHORITIES DDC, VDC, Municipality, etc.

Pre-Construction: Project

Identification & Pre-feasi-bility Studies.

Environmental Screening

Initial Social Assess-ment

Preparation of ToR:

Establish coordination committees

Screening

Scoping

Employ environmental & social consultants

Environmental & social activities:

Conduct field survey

Conduct IEE Study

Conduct social assessment

Identify PAPs/SPAPs

Identify potential compensatory, resettlement & rehabilitation requirements

Involve LAs, PAPs & SPAPs, local committees, forums, user groups in various ways

Enable & encourage local resident inputs

Seek feedback from DDC, VDC or municipality & ward committees

Assess project request & VDC programs

Ensure people’s awareness about the project

Identify resettlement requirements

Participate in road alignment planning

Feasibility Study: Enviro

nmental Assessment

Social Assessment

Preparation of ToR for EIA (if required)

Conduct EIA/SIA Study:

Collect baseline data

Ensure continuing public consultation & participation

Mobilize local authorities (LAs) & communities

Identify & predict impacts

Prescribe/develop mitigation meas-ures with local inputs

Prepare EIA/SIA report & submit to DOLIDAR/DDCs.

Prepare DDC sectoral plan

Form project coordination committee

Conduct participatory planning

Assist land acquisition, compensation & rehabilitation processes

Ensure that action plans are prepared with local involvement

Engineering Design

Employ consultant-engineers Monitor EMP & other impact mitigation

Assure EMP compliance regarding appropriate labor management, social service delivery & dispute resolution

Involve LAs

Monitor labor, social service delivery & conflict resolution procedures

ACTIVITY PHASE

DOLIDAR/DDCS (2) CONSULTANTSEnvironmental, Social, Legal, Technical/Engineering, etc.


(4) LOCAL AUTHORITIES DDC, VDC, Municipality

Project Appraisal & Approval

Review/Approve of EIA

Conduct detailed survey

Conduct Survey & Design Participate in design of road alignment, etc

ImplementationContract awarding

Determine the loss of properties & entitlement awards/ compensation

Supervise monitoring & management of road construction

Prepare EMP

Prepare SAP

Implement EMP & SAP

Establish & maintain support activities (in health, education & other services & infrastructural facilities for laborers & communities)

Co-ordinate between contractors & other concerned agencies

Recommend HRD training & other rehabilitation actions

Construction Contract consultants & contractors

Manage financial accounting

Prepare work schedule

Monitor & review reports

Encourage contractors to employ

See that environmental damages are avoided or mitigated

See that beneficial impacts are taken identified and enhanced

Assure local laborers & stakeholders participate in construction & implementing EMP, TMP& SAP

Manage labor arrangements

Monitor local laborer employment, especially SPAPS & vulnerable groups

Monitor RAIP activities

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local laborers

Check the ToRs & ensure that social & environmental action plans are followed

ACTIVITY PHASE

DOLIDAR/DDCS (2) CONSULTANTSEnvironmental, Social, Legal, Technical/Engineering, etc.


(4) LOCAL AUTHORITIES DDC, VDC, Municipality, CDCs

Monitoring Comp

liance Monitoring

Monitor technical works

Monitor social & environ-mental works

Prepare monitoring report for client (DOLIDAR)

Conduct impact monitoring

Maximize employment of local laborers

Assist in the monitoring of consultants

Participate in monitoring

Operations & Maintenance

Conduct post-construction evaluation

Observe road maintenance & compliance with contract norms

Monitor appropriate road safety measures compli-ance

Evaluate construction works conformance with standard specifications

Conduct final audit

Maximize employment of local laborers

Employ local petty contractors for patchwork

Employ locals/migrants in construction to reduce unemployment

Monitor local employment

Monitor resolution of claims & other outstanding matters

Facilitate employment of vulnerable persons & SPAPs in maintenance works

Promote sense of ownership of road

Participate in road audit

Post-Construc-tion Monitoring

Involve in-house consultants

Conduct post-construction impact assessment

Observe socio-cultural life & ameliorate changes

Observe direct & indirect impact of project in total life

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Figure 9.4: ESMF Implementation

MONITORING AND EVAULATION

9.4 Monitoring is an important element of environment and social management, as well as the socio-economic and cultural environments. This chapter, which is mostly based on the MOLD/DOLIDAR, Monitoring and Evaluation Framework, provides the M&E Framework to be used under RAIP for environment and social aspects.

9.5 Principles of Monitoring and Evaluation. To improve the implementation of mitigation measures, the following activities must be undertaken during environmental monitoring.

Determine indicators to be used. Collect important and relevant information. Apply quantifiable criteria with respect to prescribed indicators. Conduct objective analysis of the information collected. Work out clear conclusions based on above points. Draw rational conclusions and recommend improved mitigation measure to

implementing agencies.

9.6 Types of Monitoring. Monitoring activities for the project are to be divided in three types:

Baseline and Pre-Construction Monitoring; Construction Phase Monitoring; this is generally sub-divided in two related activities: Compliance Monitoring Impact Monitoring Operational Monitoring.

Ministry of Local Development

Contractor/User Groups

DoLIDAR

Environment Focal Point

DDC

DDC/DTO Engineer

RAIP PCU

Environment Advisor Social

District Project Unit

PDE & SDC

External Short term Consultants as Required

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PRE-CONSTRUCTION MONITORING

9.7 In the pre-construction monitoring, it will be necessary to confirm that all procedures regarding land acquisition and compensation have been properly set out and followed, and that the construction mitigation plan is in place. Priorities in this regard will include:

verification that the EIA mitigation recommendations relevant to the Contractor’s responsibility are incorporated in the tender specifications;

verification that all government permits and approvals are in place prior to construction;

verification that land, property and crop and livestock disturbance compensation valuations have been completed prior to construction;

verification that all the necessary sub-plans within the framework of the environmental mitigation plan have been identified and prepared, such as:

Acquisition, Compensation, and Rehabilitation Plan (ACRP) or Resettlement Plan, Indigenous People Development Plan, Restoration and Revegetation Plan (RRP), verification that all necessary activities regarding the job opportunities, giving

priority to the PAFs, have been completed prior to construction and hiring.

9.8 Baseline Monitoring. The primary concern during this phase will be to collect field data needed to enhance the knowledge of baseline conditions in order to assist in designing and estimating the cost of mitigation measures. Detailed information on the type of materials to be used, material collection site and methodology, design for drainage management, slope/erosion control and disposal of excess construction materials will be collected. Priorities in regard to baseline monitoring include:

Mapping of Sensitive Areas. Maps of sensitive areas, including protected areas, community forests, settlements and unstable slopes, should be prepared and cross referenced with proposed EIA measures.

Survey and Documentation of Existing Agriculture Practices. Further analysis of the crops and livestock practices in the areas to be directly affected by the project is needed. This will provide information on precise measures to minimize disturbance and loss of cultivated and grazing land, as well as measures to increase agriculture intensity to replace the yield lost from land take.

CONSTRUCTION PHASE MONITORING

9.9 Construction phase monitoring is more comprehensive and multi-faceted. Compliance monitoring will be done by the DDC or a committee formed by the DDC at the local level and by DOLIDAR at the central level to ensure that EMP recommendations are being complied.

9.10 Impact monitoring will focus on key indicators to assess whether the impacts have been accurately predicted, and whether the mitigation measures are sufficient and effective. The main parameters for measurement will likely include:

water bodies at critical areas like crossing of major water bodies; quality of potable water supply to work camps and affected villages; state of forests, including community forests; re-vegetation and slope stabilization monitoring; public safety and security monitoring; health and sanitation monitoring; status of flora and fauna monitoring;

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social impact monitoring; monitoring disposal areas and hazardous waste dump areas for leaching or run-off; and employment monitoring.

OPERATION PHASE MONITORING

9.11 The proponent or developer will have the primary responsibility for operation phase monitoring. Same as the construction phase monitoring, there will be compliance monitoring and impact monitoring. The compliance monitoring will focus on determining that the prescribed mitigation and enhancement measures are being carried out.

9.12 The impact monitoring will again focus on key indicators to assess whether the impacts have been accurately predicted and whether the mitigation measures are sufficient and effective. The main parameters for measurement will likely include:

adaptation of resettlement households to their new homes and communities; quality of potable water supply to worker colony and affected villages; reconnaissance forest and land use change monitoring; community forest monitoring; effects of access and control measures on wild lands, wildlife habitats and wildlife

populations; illegal hunting, trapping and tree felling monitoring; public safety and security monitoring; health and sanitation monitoring.

CENTRAL AND DISTRICT LEVEL MONITORING

9.13 Environmental monitoring will be carried out at district as well as central level. An independent team constituted by the DDC/DRCC will carry out the district level environmental and social monitoring once every three months. The Monitoring Team will walk through the road sub-project, make observation and hold discussion with communities, and submit a written report to DDC/DRCC and District RAIP Implementation Unit. DOLIDAR/Central RAIP Implementation Unit will constitute a Monitoring Team with representation from MLD’s Environment Section and DOLIDAR’s environmental focal point. Central monitoring will take place once in six months, and the team will visit sample sub-projects. The team will prepare monitoring report and discuss it in a joint meeting of MLD’s Environmental Section, RAIP Central Implementation Unit and DOLIDAR. The report will be submitted to Central RAIP Implementation Unit with copies to DOLIDAR and MLD’s Environment Section. The Central RAIP Implementation Unit will sent relevant parts of the monitoring report to the concerned DDCs and District Implementation Unit of RAIP for information and to take actions.

COMMUNITY BASED PERFORMANCE MONITORING SYSTEM (CBPM).

9.14 Following the successful implementation experience with CMPM under RIP, the monitoring of social and environmental aspects of RAIP at the community level will be carried out following CBMM approach.

9.15 CBMP will be used to:

provide co-ordination among all the responsible agencies or persons at the village level engaged in the maintenance work of the rural roads falling within the area of VDC; and

formulate, implement and monitor the plan related to the maintenance work of the roads.9.16 To achieve the above objectives and ensure maximum community participation and transparency among the different parties involved in the formulation and implementation of the

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RAIP, the primary responsibility of the CBPM will fall under the Village Road Co-ordination Committee (VRCC), which will be established in each beneficiary VDC within the district. The VRCC shall have members representing VDC, the locals from the benefited area, social organizations, technician employed for the work, and local transport organization. DDC shall provide a room and an employee (if required) to VRCC for the conduct of meetings and other administrative works. VRCC shall implement Community Based Performance Monitoring System and constantly monitor it and present the quarterly report to the general assembly. The following works shall be carried out by VRCC:

(a) Project monitoring: to ensure the annual working plan prepared by DDC is in consonance with the master

plan; and to ensure timely completion of the work. Government contract or tender monitoring; to ensure the process of awarding the tender contract on the basis of free competition

and make sure it is free and fair through proper monitoring; and to ensure that the tender offering the least price is accepted among the submitted

tenders for the work.

(b) Project implementation monitoring

to monitor the intake of at least 70% of the laborers from the affected area and ensure the performance of the work on schedule;

to ensure the effective use of the materials available; to ensure the representation of women and disadvantaged group in the maintenance

work; to monitor the execution of the work in accordance with the contract; and to monitor the submission of supervision report in time.

(c) Finance monitoring

to ensure the book-keeping (accounts) and other records comply with the requirements of the financial act and regulations of HMG;

to ensure transparency in the process of awarding tender contracts; to see that the rate analysis is not different from the rate fixed by the district; to see whether the financial status is clear and correctly presented or not; to see whether the financial data report is presented in time or not; to see whether the wages to the laborers are paid in time or not; and to see whether the fund provided by HMG and the World Bank is used efficiently and

economically or not and also for the purposes as specified in the agreement between them or not.

AUDITING

9.17 The National EIA Guidelines (1993) and Environment Protection regulation (1997) and 1999 specify that MoPE is to conduct an Environmental Audit after two years of the project in operation. Auditing refers to a general class of environmental investigations that are used to verify past and current environmental performance. The audit will assess the actual environmental impact, accuracy of prediction, effectiveness of environmental impact mitigation and enhancement measures, and functioning of pre-construction, construction and operation phase monitoring mechanisms.

9.18 The types of auditing that may be carried out for the project, as stated in the National EIA Guidelines are as follows:

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Decision Point Auditing: which examines the effectiveness of environmental impact assessment as a decision-making tool.

Implementation Auditing: which ensures that conditions of consent have been met. Performance Auditing: which studies the work of agencies associated with project

management. Predictive Technique Auditing: which examines environmental changes arising from

project implementation. Environmental Impact: which critically examines the methods and approaches adopted

during the environmental impact assessment study.

Environmental and Social Monitoring Framework

9.19 Taking into consideration the principles and various monitoring phases of a project, following framework has been suggested, which may be implied for RAIP domain.

Table 9.24 Framework For Monitoring Environmental IssuesSN Issue Procedure Timing Responsibility

A. Pre-Construction

1 Integration of local people's environmental concerns.

Review of study and design reports, discussion with local residents, representatives, and designers.

During the study and design process and prior to approval.

DDC environmental focal point

2 Undertaking required level of environmental assessment

Review of screening, scooping, and IEE/EIA documents

Prior to project approval.


3Incorporation of mitigation measures and environmental codes of conducts into designs

Review detail design/drawings of the project.

During project approval.


B. During Construction

4 Construction and location of drainage facilities.

Site inspections at places where such drains are required.

During active construction.

DDC environmental focal point, Contractor, Local NGOs.

5 Proper use of explosives/blasting.

Site observation and discussion with local residents, workers.

Whenever blasting takes place.

DDC environmental focal point, Contractor, Project.

6 Care and safe storage of top soil for later use.

Inspection of site clearance practices, top soil storage sites.

Monthly during construction.

DDC environmental focal point, Project, Contractor.

7 Care for vegetation in the RoW and immediate vicinity.

Inspection of site clearance activities.

Bi-Weekly during construction.

DDC environmental focal point, Local NGOs, Contractor.

8 Safeguarding of drinking water sources. Site observation.

During and immediately after construction in the water source vicinity.

DDC environmental focal point, Local NGOs.

9Safe disposal of excavated materials and other construction wastes.

Disposal site observation and disposal practice. Weekly.


10

Impacts on agricultural land due to spoil disposal/soil erosion/water-logging due to construction.

Site observation and discussion with local residents.

Weekly.DDC environmental focal point, Local NGOs, Contractor.

11 Proper reclamation of disposal sites.

Observation of finished disposal sites. Periodically.


12 Care for local amenities.Observation of amenities and discussion with local people.

Weekly.

DDC environmental focal point, Local NGOs, Contractor, Local Residents.

13 Plantation of vegetation in the Site observation. Periodically. DDC environmental

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SN Issue Procedure Timing Responsibility

cut slope. focal point, Local NGOs, Contractor.

14Timely construction of other slope protection measures, such as, retaining walls.

Site observation. Immediately after construction.


15 Proper siting of food stalls and sanitation facilities. Observation of those sites. Weekly.


16 Quality of surface water. Use field kit/visual observation.

Weekly or when construction taking place near water body.


17 Air pollution near settlements.Observation of construction practices and discussion with residents and workers.

Periodically.


18 Risk to private properties. Observation and discussion with property owners. Periodically.

DDC environmental focal point, Local NGOs, Contractor, Owner.

19 Protection of culturally sensitive spots.

Site observation, discussion with local residents. Monthly.


20

Operation and closure of quarries and borrow pits confirmed to the requirements related to location, vegetation protection, soil conservation, erosion control, siltation and stability concerns.

Site inspection, discussion with workers and local people.

During quarry operation or bi-weekly.

DDC environmental focal point, Project, Local NGOs, Contractor.

C. Operation Period

21 Encroachment/degradation of forest.

Visit identified forest, discussion with local people, forest user groups, local forest authority.

Half Yearly.DDC environmental focal point, Local NGOs, Local People.

22 Encroachment into common property.

Discuss with local people, mapping. Annually.

DDC environmental focal point, Local NGOs, Local People.

23 Inappropriate use of marginal lands.

Discuss with local people, mapping. Annually.


24 Surface flow interruption and its consequences.

Visit the area, mapping, discussion with local people.


25Air pollution, vehicular emission, noise, traffic volume.

Travel along the road, discussion with local people, pedestrians, passengers, transport operators.


26 Maintenance of road and road structures.

Inspection of road and road structures, check maintenance record.

Annually.DDC environmental focal point, Local NGOs, Local People.

27Condition of environmental mitigation measures used in the road.

Inspection of such measures and discussion with maintenance workers.

Annually.DDC environmental focal point,, Local NGOs, Local People.

28 General environmental aesthetics.

Observation, views of local people. Annually.


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Table 9.25: Framework For Monitoring Social Issues

SNIssue Procedure Timing Responsibility

A. During Construction

1

Employment of local labor including women and children and wage rates

Site observation, attendance record, interaction with laborers, Local Road Users’ Committee (LRUC), RBGs & contractors.

Weekly

DDC environmental focal point, Project, Local NGOs, RBGs, Contractor.

2

Employment of local economically weak section of population (unemployed youths)

Site observation, attendance record, interaction with RBGs, LRUC & contractors, check wage payment records.

WeeklyDDC environmental focal point, Project, Local NGOs, RBGs

B. During Operation Period

3

Encroachment into public land/open space/common property (e.g. grazing land, play ground, open market,, temples, pati etc)

Visit the identified public land/ open space, interact with local people, take photographs.

Half Yearly

DDC environmental focal point, concerned line agency, Local NGOs.

4

Development of new or expansion of old settlements/ business establishments / slum development along the roadside

Observation, recording of sites, take photograph (photo point survey).

Half Yearly

DDC environmental focal point, concerned line agencies, Local NGOs.

5

Migration to the road side/ displacement of local people

Review of land holding records, discussion with local people/groups.

Annually


6 Incidence of road accidents

Discuss with local people, hospital/health post/ center records.

Annually

DDC environmental focal point, Concerned line agencies, Local NGOs.

7

Incidence of communicable diseases e.g. respiratory diseases, HIV/AIDS, TB etc. and new or upgrading of health facilities

Discuss with local people, health workers/ health post/ center records.

Annually


8

Upgrading of old and establishment of new schools/campuses along the road and vicinity.

Discuss with local people, political leaders and local groups/CBOs.

Annually


9Student’s enrollment for higher studies in near by towns (girls and boys).

Discuss with local people, school teachers and local groups Annually


10

Changes in the land price, land use and agricultural practices, productivity and crop export

Discuss with farmers and extension workers, agricultural statistics of District Agriculture Office, Agri-Input Corp., District Food Corp. Office, land use maps.

Annually


11

State of social harmony and social security (e.g. alcoholism, narcotism, prostitution)

Police records, discussion with local residents. Annually

DDC environmental focal point,, concerned line agencies, Local NGOs.

12 Changes in the living standard of people

Interview with families, VDC records, discussion with local leaders, CBOs.

Periodically


13 a) Classified Traffic (volume) count

Discuss with local residents, VDC, leaders of CBOs and local

Annually/Half Yearly

DDC environmental focal point, concerned

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SNIssue Procedure Timing Responsibility

b) Displacement of traditional employment (porters, traditional mode of transportation, such as mules, carts, etc.)

groups. line agencies, Local NGOs.

14Condition of cultural and historical areas and aesthetic qualities.

Visit the area; discuss with people, observation and photographs.

Annually


C. Functioning of LRUC

15

Representation of women and other disadvantaged groups such as ethnic minorities and marginal groups in LRUCs.

Records of LRUC, interaction with LRUC and its formation guidelines.

Periodically and particularly during LRUC formation period.

DDC environmental focal point, concerned line agencies.

16Frequency of LRUC meetings and mass meeting.

Review of LRUC meeting minutes, interaction with members.

PeriodicallyDDC environmental focal point, concerned line agencies.

17 Agenda and issues taken up in the meeting.

Meeting minutes, interaction with members, participation in meetings.

PeriodicallyDDC environmental focal point, concerned line agencies.

18Decision making process (e.g. consensus, voting, chairman decides).

Interview with members, minutes of meetings. Periodically


19Number of members participation in the meeting

LRUC records, participation in the meeting Periodically


20Road maintenance status e.g. potholes, land, slides vegetation along the road

Observation, site visit and discussion with local people and RBGs

PeriodicallyDDC engineer, concerned line agencies, Local NGOs.

21 Payment to laborers LRUC records, discussion with RBGs

During maintenance/ Rehabilitation Implementation Period/ (fortnightly)


Monitoring and Evaluation Indicators

9.20 The monitoring and evaluation indicators for RAIP have been developed for process, output and impact of the sub-projects. As per the need, specific indicators can be developed and refined during project implementation.

Table 9.26: Monitoring and Evaluation Indicators for RAIP Process

Type of Monitoring and Evaluation

Basis for Indicators

Sub-project Area Information

Location of sub-project area Population composition, structures, education and skills Ethnicity /caste group Access to health, education, utilities and other social services Housing type and amenities (toilets, drinking water, electricity) Land and other resources ownership and use patterns Occupations and employment patterns of households Income sources of people Agricultural production data (for rural households)

- Participation in neighborhood or community groups/development - Access to cultural sites and events

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Type of Monitoring and Evaluation

Basis for Indicators

- Value of all assets for entitlements and resettlement needs

Budget and Time Frame

Have all land acquisition and resettlement provisions made and staff mobilized in the field and offices as per the schedule?

Are funds for compensation/resettlement sought to deal with involuntary land acquisition?

Have funds been allocated to title holders according to SAP? Has the social preparation phase taken place as scheduled? How effectively have PAF/SPAF grievances been addressed?

Land Acquisition

Have all land acquisition process finalized officially? Are land acquisition activities being achieved according to agreed principles? Are there any resettlement related outstanding disputes? Has all land been acquired in time for project implementation? How many MOA’s have been signed for voluntary land donation?

Potential Monitoring and Evaluation Indicators for RAIP OutputsType of Monitoring and Evaluation Basis for Indicators

Delivery of Entitlements

Number of families providing lands voluntarily for RAIP sub-projects and those who have been provided with compensation for lands? How much money has been disbursed as compensation under different headings?

Number of households due to be compensated for their properties i.e. land, house, business displacement, crop damage etc.

Number of households/PAPs to be resettled because of displacement. Do people have access to schools, health services, cultural sites? Are restoration plans for social infrastructure and services adequately

addressed? Are income and livelihood restoration activities being implemented as set out

in the income restoration plan, for example number of PAPs trained and provided with jobs, micro-credit disbursed, number of income generating activities assisted?

Have affected businesses received entitlements?

Restoration of Living Standards

Were compensation payments made free of depreciation fees of costs? Have perceptions??? of "community" been restored? Have they achieved replacement of key social and cultural elements?

Consultation, Grievance, and Special Issues

Have consultations taken place as scheduled including meetings, groups, community activities?

How many PAPs know their entitlements? How many of them have received? Have PAPs appealed for grievance redress? What were the outcomes? Have conflict been resolved? Was the social preparation phase implemented?

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Table 9.27 Potential Monitoring and Evaluation Indicators for RAIP ImpactsType of Monitoring

and Evaluation Basis for Indicators

Restoration of Livelihoods

Were compensation payments sufficient to replace lost assets? Did transfer and relocation payments cover these costs? Was business displacement allowance for reestablishment of enterprises and

crop production distributed? How was the fund utilized? Have enterprises affected received sufficient assistance to reestablish

themselves? Have vulnerable groups been provided income earning opportunities? Are

these effective and sustainable? Are jobs provided to PAPs to restore pre-project income levels and maintain

their original living standards?

Levels of Satisfaction

How much the PAPs/SPAPs are aware of about the resettlement procedures and entitlements? Do PAPs/SPAPs know their entitlements?

Do they know if these have been met? How to assess the extent to which PAPs/SPAPs own living standards and

livelihoods have been restored? How much do PAPs/SPAPs know about grievance procedures and conflict

resolution procedures?

Effectiveness of Resettlement Planning

Were the PAPs/SPAPs and their assets correctly enumerated? Was the time frame and budget sufficient to meet objectives? Were entitlements too generous? Were vulnerable groups identified and assisted? How did resettlement implementers deal with unforeseen problems?

Other Impacts Were there unintended environmental impacts? Were there unintended impacts on employment or incomes?

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ANNEX 1

PHYSICAL ENVIRONMENT OF RAIP DISTRICTS

Following a District Selection Criteria developed for the project, DOLIDAR originally identified 21 following candidate districts to be supported under the proposed project8. However, at present the district is brought down to 13 at present eliminating some districts not meeting all considerations for first year program. The list of candidate districts and their physical environment is provided in table 2.1.

Table I: Physical Environment of Project Districts

SN District

Topography (area in Ha.) Climate Hydrology

High Himal

High Mt. Mid Mt. Siwalik Terai

Mean Daily Air

Temp. (0C)

Rain (max. in 24 hrs. & month, '96)

Major Rivers

Far-Western Development Region1 Kailali 1,847 130,156 192,788 24 149/7 Karnali

Mid-Western Development Region

2 Bardiya 63,580 139,973 24.5 193/7 Karnali, Babai

3 Banke 6,137 113,697 116,148 25.3 172/7 Rapti4 Salyan 150,087 15 19.3 135/7 Babai

Western Development Region

5 Syangja 103,687 21.3 166/6Kali Gandaki, Andhi

6 Kaski 63,928 65,851 83,386 21 168/8 Seti, Modi, Madi

7 Palpa 11,197 23,304 1,294Kali Gandaki, Tinau

8 Nawalparasi 32,235 124,114 45,265 124/8 Narayani9 Rupandehi 1,107 522 19,725 119,996 25.1 299/7 Kothi10 Kapilbastu 28,412 47,282 115/8 Kothi

Central Development Region

11 Dhading 15,672 38,041 138,774 22 73/7Trishuli, Budhi Gandaki

12 Rasuwa 71,870 75,160 4,149 Bhote Koshi

13 Nuwakot 2,657 17,293 99,700 14 114/8 Trishuli14 Makawanpur 94,947 144,124 5 13.8 113/7 Bagmati,15 Rautahat 7,760 95,945 25.6 120/6 Bagmati16 Sarlahi 17,560 108,768 25.3 182/7 Bagmati17 Mahottari 15,592 83,153 25.8 70/7 Hardi, Ratu18 Dhanusa 31,827 89,919 25.4 136/6 Kamala

Eastern Development Region19 Sankhuwasabha 90,228 45,076 85,240 19.5 74/5 Arun20 Siraha 27,784 95,013 24.5 150/7 Kamala21 Udaypur 87,394 108,627 7,148 23.5 40/9 Sun Koshi

8 The details of the selection criteria are provided in the District Selection Criteria Report prepared by DOLIDAR in October 2003.

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LAND USE PATTERN

The area covered in project area can be divided into four categories of land use: agriculture, pasture, forest, and others. Most cultivated land is found in the Terai districts.

Table II : Land Use Pattern of Project DistrictsArea in Hectares

SN DistrictAgriculture

Pasture Forest Others TotalCultivated Non-Cultivated

Far-Western Development Region1 Kailali 69,667 11,113 4,837 23,109 8,081 116,807

Mid-Western Development Region2 Bardiya 54,978 6,958 2,894 127,682 11,041 203,5533 Banke 51,392 7,584 2,621 167,199 7,186 235,9824 Salyan 34,383 18,291 17,334 79,598 496 150,102

Western Development Region5 Syangja 37,718 22,300 10,265 31,691 1,713 103,6876 Kaski 27,021 15,982 28,659 89,943 41,560 213,1657 Palpa 36,567 20,605 6,998 71,172 1,253 136,5958 Nawalparasi 60,175 9,968 4,296 114,900 12,275 201,6149 Rupandehi 90,421 7,484 1,015 39,322 3,098 141,35010 Kapilbastu 87,709 6,146 933 77,838 3,068 175,694

Central Development Region11 Dhading 44,383 28,962 15,941 92,856 10,354 192,49612 Rasuwa 6,332 4,049 52,290 64,443 151,17913 Nuwakot 38,997 21,155 4,242 49,655 5,601 119,65014 Makwanpur 40,842 18,815 3,136 167,453 8,830 239,07615 Rautahat 58,370 6,229 2,539 30,752 5,819 103,70916 Sarlahi 76,392 83,44 2,538 32,244 6,810 126,32817 Mahottari 62,944 6,379 1,093 24,457 3,872 98,74518 Dhanusa 29,423 15,448 34,128 94,478 40,801 214,278

Eastern Development Region19 Sankhuwasabha 32,136 17,332 39,256 13,058 76,424 178,20620 Siraha 80,766 7,589 1,314 28,155 4,973 122,79721 Udaypur 36,056 17,328 2,892 138,917 8,967 203,169

Source: District Development Profile of Nepal, 2001. Informal Sector Research and Study Center.

PROJECT DISTRICT DEVELOPMENT SPENDING

District spending is prioritized on the basis of areas that require the most economic uplift. Table 2.3 shows that major proportion of the budget is spent in road and bridge construction.

Table III: Spending in Development Program (BS 2057/58)Rs. in ‘000

District

Program

Agriculture Extension Program

Watershed

Management

Project

Rural Electrificatio

n

Road and

Bridges

Cottage/Small

Industry Program

Remote Area

Development Program

Rural Agricultur

al Road

Rural Infrastructure Project

Health Program

Far-Western Development RegionKailali 9,167 2,500 19,100 2,705.5

Mid-Western Development RegionBardiya 9,289 4,500 23,100 2,645.5 6,000 4,973.04Banke 8,794 4,000 13,000 3,275.5 1,510 2,500 5,761.04Salyan 5,327 4,100 1,463.5 4,000 2,808.16

Western Development RegionSyangja 6,070 4,300 8,800 1,384.5 1,500 10,000 4,121.84Kaski 5,704 4,500 6,900 3,787.5 1,500 10,150 3,693.73Palpa 6,350 4,500 1,800 2,991.5 1,500 10,150 7,079.8

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District

Program

Agriculture Extension Program

Watershed

Management

Project

Rural Electrificatio

n

Road and

Bridges

Cottage/Small

Industry Program

Remote Area

Development Program

Rural Agricultur

al Road

Rural Infrastructure Project

Health Program

Nawalparasi 9,381 1,824 4,700 15,500 4,413.5 2,500 10,150 8,262.76

Rupandehi 9,392 1,480 5,500 51,600 3,554.5 1,500 10,150 4,531.6Kapilbastu 8,286 5,500 35,300 3,675.5 1,200 10,150 2,188.04

Central Development RegionDhading 8,628 2,306 4,000 190,000 1,598.5 1,477 3,000 10,150 3,143.1Rasuwa 5,094 2,364 2,000 1,500 1,446.5 1,609 1,500 1,968.84Nuwakot 6,033 2,552 4,000 11,000 3,000.5 4,000 4,776.66

Makwanpur 6,064 6,463 2,000 4,000 3,054.5 3,000 14,001.8 5,641.99Rautahat 10,198 1,281 4,700 22,000 2,824.5 2,500 5,426.13Sarlahi 10,516 1,480 4,000 5,900 2,678.5 2,500 10,534.32

Mahottari 10,217 2,344 5,700 11,300 2,672.5 2,500 8,388.36Dhanusa 10,903 2,025 6,200 45,900 3,475.5 2,500 20,391.7

Eastern Development RegionSankhuwasa

bha 5,366 500 1,232 3,613 10,120 2,535.72

Siraha 11,093 790 4,000 30,700 2,921.5 2,500 9,397.2 8,005.78Udaypur 8,313 730 3,000 26,000 3,395.5 1,500 17,196 3,010.7

ROAD LENGTH

Types of Roads in the project districts are black-topped, graveled and earthen. Among the districts, Dhanusa has the highest road length of 364 km.

Table IV: Project District Road LengthSN District Road Length (in km)

Black Topped Graveled Earthen TotalFar-Western Development Region

1 Kailali 149 72 123 344Mid-Western Development Region

2 Bardiya 71 108 35 2143 Banke 151 43 101 2954 Salyan 160 160

Western Development Region5 Syangja 84 54 1386 Kaski 204 25 80 3097 Palpa 67 17 154 2388 Nawalparasi 129 67 45 2419 Rupandehi 131 100 29 26010 Kapilbastu 115 114 97 326

Central Development Region11 Dhading 95 20 42 15712 Rasuwa 102 10213 Nuwakot 61 13 146 22014 Makwanpur 161 103 62 32615 Rautahat 74 29 38 14116 Sarlahi 46 277 51 37417 Mahottari 43 118 185 34618 Dhanusa 93 100 171 364

Eastern Development Region19 Sankhuwasabha 2 220 Siraha 68 108 64 24021 Udaypur 16 51 108 175

Source: District Development Profile of Nepal, 2001. Informal Sector Research and Study Center.

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ANNEX 2: STUDY OBJECTIVES, CONSULTANT TERMS OF REFERENCE AND EXPECTED OUTCOMES

STUDY OBJECTIVES

The main outcome will be an Environmental and Social Assessment Framework, detailing the guiding principles, processes and modalities for the following:

Environmental and social screening criteria to conduct preliminary assessment of proposed projects.

Identification of potential physical, biological and socio-economical risks of proposed projects.

A comprehensive framework of mitigation measures to minimize environmental and social impacts.

Resettlement Policy Framework (RPF). Vulnerable Community Development Framework (VCDF). Monitoring and evaluation mechanisms. Institutional arrangements including field level implementation guidelines.

This study will also prepare an analysis of existing policies, regulations, guidelines and practices related to environmental and social aspects of rural road projects.

SCOPE OF WORK

The consultant undertook the following tasks:

Review of HMG/N policies and operational procedures to address, mitigate and manage the environment and social issues for rural access projects: review World Bank Operational Policies and guidelines on environment and social safeguards; and assess the compatibility of HMG/N policies with World Bank policies and guidelines, and identify the gaps.

Assess the current DOLIDAR and DDCs environmental and social assessment practices on the ground.

Assess the processes adopted to address the issue of land requirement for rural access construction.

Review the mechanisms with respect to the 'voluntary donation of land' and appropriation of communal and government land, and the actual implementation practices- assess whether it is regressive on poor landholders.

Review the mechanisms for supervision and monitoring environmental and social issues in both the implementation and operation period.

Review the capacity of the DOLIDAR/DDCs to address environment and social issues. On the basis of the assessment, the consultant identify and assess the nature and

magnitude of impacts and the major risks with respect to management of environment and social issues in rural access civil works.

Based on the assessment on the current policies and practices by DOLIDAR and DDCs with the management of environment and social issues and the type and levels of risks identified in rural access works, recommend mitigation measures and enhancements for adoption at the national and district governments level.

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Prepare Environmental and Social Assessment Framework (ESAF). The framework addresses all environmental and social issues that are relevant in rural access projects and takes into account the Bank's Operational Policy requirements. The ESAF would consist of major frameworks that would enable the implementation of compensation and resettlement program, vulnerable community development, community mobilization with special attention on environmental and social considerations.

Based on review of the current institutional, organizational and staffing arrangements within DOLIDAR and DDCs for environmental and social management of rural access infrastructure, propose an appropriate organizational unit within DOLIDAR.

APPROACHES AND METHODOLOGIES

The methodologies followed were, in particular, designed to fulfill the conditions of the references obtained from the client. The methodologies employed to fulfill the objectives of the study and the corresponding activities were:

1. Collection of Secondary Information

Secondary information from RIP implementation districts were collected and reviewed. The information collection involved review of relevant published and unpublished documents, reports, maps, etc. These documents mostly comprised of guidelines, legal statements, and policies related to the environmental and social aspects of the study. The documents consulted are given in the references of the report.

In addition, the governmental line agencies, NGOs, and INGOs were also consulted for the relevant inputs.

2. Review, Analysis, Interpretation of the Secondary Information

The generated information was reviewed, analyzed, and interpreted to ascertain:

existing environmental condition of the project implemented districts; environmental risks and opportunities; lapses and gaps of the policies and laws available related to voluntary land contribution,

acquisition, and compensation; and design of cost effective and practical mitigation and enhancement measures to comply

with international norms of safeguard policies.

3. Meeting with World Bank Staff and Key Stakeholders

Formal and informal discussion sessions were undertaken with key stakeholders for assessing the issues of the proposed study, and their perspective for their solution. The main objective of these meetings was to ensure the participation and generation of compatible views and ideas. The discussions were useful in identifying the key issues related to voluntary land contribution, land acquisition, and compensation.

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ANNEX 3: LIST OF PEOPLE PARTICIPATING IN CONSULTATIONS

District Sub-projects Locations and Date of Consultations Held

Name of Participants Occupation/ Position

Remarks (Issues)

1. Siraha i) Siraha- Mirchaiya Road

Maisotha village, Ward no. 7 Siraha Municipality (Date: 10.17.04)

Kedar Pd. Yadav Teacher About 40 landless fishermen families (ethnic minorities) are living in public road ROW since many years. The houses are of temporary type.

Buddhiya Mukhiya FishermanMakhana Mahara (Chamar) DoMausa Mallaha DoKashi Mallaha DoSudiya Mallaha DoBasanta Mukhiya DoNaradevi Mallaha Local Ram Saran Mallaha FishermanBijuliya Mallaha DoTuntun Sah Local

Sarswar, Ward no. 4 and 2, Siraha Municipality (Date: 10.17.04)

Laxman Pd. Gupta Businessman Narrow road width in Sarswar bazaar with many permanent structures built in the ROW. The front portion of few shops/ houses may need to be partially dismantled in the turnings.

Jaghdish Pd. Sah (Ward 4) DoJagdish Sah (Ward 2) LocalPuran Sah LocalBishwan Nath Sah FarmerRambali Sah Shop keeperFekan Sah Local Asarfi Sah LocalRam Dev Sah LocalSudarshan Pd Gupta Local

Arnama, Ward no.2, Dalit Women Group (Date: 10.17.04)

Nirmala Paswan Housewife These are illiterate, poor and dalit women groups who wish to participate in skill training and IGA activities. All have temporary

Lalita Paswan DoRadha Kumari Paswan Student

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Remarks (Issues)

structures in the road ROW. Shova Kumari Paswan DoSabita Paswan DoSushila Paswan DoDulari Paswan Do

Karunyahi Bazaar, Ward no. 5, Kalyanpur VDC (Date: 10.17.04)

Amir Kumar Sah Businessman Hundreds of houses are within road ROW, few of which are still under construction. Sachit Sah Do

Jitan Pandit Doii) Zeromile- Bariyarpatti Road

Sukhipur Bazaar, Sukhipur VDC, Ward 2 (Date: 10.17.04)

Ram ashish Sah Shop keeper No major issue noted. A few mobile vendor shops (ghumti) are run in ROW. Permanent structures are constructed beyond ROW.

Alil Miya Ansari FarmerRam Narayan Chaudhary BusinessmanRajendra Sah Health post staff Rajiv Mishra BusinessmanBalram Mishra FarmerDeo Narayan Sah Shop keeperRaslal Mandal BusinessmanUpendra Mahato Key Informant

Sukhipur Bazaar, Ward 2, Dalit women group (Date: 10.17.04)

Ram Kumari Sadya Poor Dalit women The families have very little land of their own (just homestead area). Many do not have land registration document although they claim it as purchased land. Males work as labor whereas females live idle at home. Showed interest to participate in IGA and other skill training.

Nepur Devi Sada DoKoilee Devi Sada DoParbati Devi Sada DoPalas Devi Mallaha DoBitti Devi Mallaha DoSukani Devi Sada DoPramila Devi Sada DoLarubati Devi Sada Do Kaplshwori Devi Mallaha Do (Handling

delivery cases)Kumari Devi Sada DoRajo Devi Sada Do

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Remarks (Issues)

iii) Lahan-Bhagawanpur- Thadi Road

Bhagawanpur Bazaar (Date: 10.17.04)

Ram Krishna Yadav Farmer A few temporary mobile shops are run in the road ROW. All permanent structures are constructed beyond ROW.

Chandeshwor Pd. Yadav FarmerHari Narayan Yadav Shop keeperJogin Yadav Shop keeperGhuran Jha Health post staffShiva Sankar Yadav Social WorkerJaya Narayan Yadav TeacherDev Narayan Sah BusinessmanBijay Sah Hotel operatorPritam Lal Choudhary Shop keeper

2. Dhanusha i) Janakpur- Manoharpur- Khairahani Road

Bhagawanpatti, Ward no. 7, Mansingpatti VDC (Date 10.18.04)

Laxmeshwor Das (Tatma) Shop keeper The location is the market area right along ROW with private land. The road section is very narrow which needs widening. The people observed that they would provide land voluntarily for widening.

Pramod Kumar Kapat DoRam Sagar Kapat FarmerBiltu Das DoRam Brichya Kapat Shop keeperBirendra Mandal Local Rakesh Kapat Local

Baghchauda, Ward no. 4 (Date: 10.18.04)

Jhagaru Sahani Farmer More than 50 households, few of them permanent, are along the road ROW. Some are just very close to the road’s formation width. The upgrading works may require some structures to shift few feet back but people are ready to contribute the land if necessary.

Aseshwor Mandal FarmerUday Sah FarmerSomit Sohani Local Manoj Kumar Choudhary DoMaheshwor Mandal DoMithila Yadav DoSurendra Kumar Mandal DoRameshwor Mandal DoPaltu Sahani DoSantu Sahani DoParameshwor Mandal Do

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Remarks (Issues)

3. Sarlahi i) Kaudena-Janakinagar Road

Raniya Village, Ward no. 8 & 9, Hempur VDC (Date: 10.18.04)

Ram Bishwas Raya Farmer The road passes through the dense village of Raniya with many temporary and some permanent structures on the ROW. The road also needs to be widened at one section where the land will be acquired from the Ramjanaki temple at one side and from farmers on the other side.

Ram Pukar Raya DoSatya Narayan Mahato DoRam Swagarath Raya DoBalmiki Sah DoParichyan Raut (Kurmi) DoSita Ram Jha DoRam Chandra Raya DoShyama Nanda Raya DoHarichand Mahara LandlessKishun Mahara Landless

Raniya Village, Dalit and poor women group (Date: 10.18.04)

Ram Rati Housewife The women demanded programs like NFE, vegetable farming, knitting and sewing, goat and buffalo keeping, poultry and fish farming to improve their livelihood.

Janaki Ram DoJasodhi Ram DoPabitri Ram DoAnandi Devi Raut Do

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ANNEX 4: SURVEY QUESTIONNAIRE FOR SOCIAL SCREENING AND SOCIO-ECONOMIC PROFILE

Rural Access Improvement Project (RAIP)Survey Questionnaire for social Screening and Socio-economic Profile9

(Suggested Sample Questionnaire)

A. Background Information

1. Proposed road project/section (Specify in km):

2. Location of road for proposed works under RAIP: From............. to.............................

3. Present condition of road (Specify type of quality):

4. Proposed works under RAIP (Specify type and quality):

5. District: ...................................... 6. VDCs and Settlements Covered:.......................

7. Date of Survey................................................................................

8. Name of Surveyor:............................................................................

9. Name of Respondent (Please list)

10. Location and physical characteristics of road. Identify locations on strip map of road (show land use, land ownership i.e. private land, public land and community resources/ properties, settlements and population affected directly and indirectly). This has to be completed on a road design map for each road on the basis of information collected as per this format and other sources).

B. Socio-economic Information:

1. Does the road pass through the village settlements? Yes..................No...........If yes, please provide the following information

S.N Name of Villages

Municipality/ VDC No. of HHs. by Impact Category

(1) HHs. loosing lands (No.)

Ethnicity

(2) HHs. loosing structures (house & sheds)

Ethnicity

(3) HHs. loosing other properties

Ethnicity

No. of Women Headed HHs.

1.2.3.

2. Does the road need to acquire lands, houses or other private properties of the people for its improvement? Yes...................No.............

9 Please fill out this questionnaire in groups comprising DDC, VDC representatives and local users.

3. If the road affects private properties please provide following information in more details

SN Affected Properties Unit Total Qty.

Type of Ownership of Affected Properties (Give the breakdowns)

1. House No.2. Sheds No.

3.

Agricultural Landi) Khet (lowland)ii) Bari (upland)

Rop.Rop.

4.Crop Productions i) Seasonal cropsii) Perennial crops

5. Tree No.6. Other (Specify)

4. Is the acquisition of land based on voluntary donation?Yes.......................No.......................If yes, how much (specify approximate ropani/bigha):

5. are there any squatters residing on public lands / or using such land along the road section?

Yes.......No......................If yes, describe purpose and list the names of such families...............................................................................................................................................................................................................................................................................................…...........................................................................................................................................

6. Will any of the affected household loose 25% or more of their owned land or income due to project interventions or any affected family who will loose a residential house as a consequence of the project? Yes.........................No............................

If yes, list down the SPAFs by impact category

SN Families Loosing Residential House

Family Loosing > 25% of land holding in the road

Families loosing business establishment

Mark the Women Headed HHs.

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7. In case of SPAFs what could be the mitigation options/measures (resettlement/rehabilitation) to be adopted by the project authority? please specify.

8. What community resources and systems will be affected adversely by the RAIP? please list them

SN Community Resources/Properties Unit Quantity Remarks1 Community Forests2 Community irrigation3 Schools4. Public building5. Temple6. Other (Specify)

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9. Does the road provide better access to health facilities?Yes.....................No................If yes, how and in what way? please specify

10. Does the road provide better access to schools, education and communication ?Yes..........No....................If yes, how and in what way? Please specify

11. How the poor and disadvantaged people would benefit from RAIP and to what extent?

12. What are the potential income generating activities in the area following RAIP?Please list them in details.

13. Would RAIP promote marketing opportunities of the local products?Yes..................No.....................If yes, how would that happen? Please elaborate

14. Are people ready to cooperate the project? Yes................No...............If yes or no, why? Please elaborate

15. How would the project benefit to women, children and minorities? Please specify details

16. Are there disputes which might hinder/delay for successful accomplishment of proposed RAIP works in this road?

Yes........................No........................If yes, how could these be resolved? How the ownership of locals could be ensured?

C. Local Community Mobilization

1. Are there already established groups similar to Road User Committee (RUC) and Road User Group (RUG)?

Yes.................................No.......................................If yes, how active were these groups? Please specifyIf no, would people like to form RUC? Yes.............No....................If yes, how would these committees get formed? And what would be their role in RAIP works? Please specify.

2. Are there labor groups formed in the area?Yes...............No..................If yes, what kind of works did the group perform?

If no, would poor people like to form such group and work under RUC? Yes....................No................

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3. Please give the wage rage fixed by government in the ongoing market rate?

Type of Labor Unit Government Rate Ongoing Local RateMale Female Male Female

Fully Skilled labor Rs./DaySemiskilled labor DoUnskilled labor Do

4. Are local people familiar with community contract work? Yes...............No...............If yes, what kind of familiarity they have ? Please specify

5. Are people ready to undertake contractual works under RAIP? Yes.........No..................If yes, what kind of works and scale can they perform? Please mention.

6. In what way social mobilization and community participation could be enhanced for the improvement of people's livelihood.

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ANNEX 5: FORMAT TO DOCUMENT VOLUNTARY LAND DONATIONS UNDER THE RURAL ACCESS IMPROVEMENT PROJECT (RAIP)The following agreement has been made on...................day of .....................between Mr./Ms ........................................................................aged ........... Resident of ......................................district........................................VDC.....................Ward No ....................the grandson/daughter of .......................................................................and son/daughter of ............................................................and.................................... (name of Road User Group).

1. That the land with certificate no............................is a part of ..................................is surrounded from eastern side by .....................................western side by ............................................... northern side by ...................................... and southern side by ........................................................

2. That the owner holds the transferable right of ................................................................. (unit of land) of land/structure/asset in.............................................................................

3. That the owner testifies that the land/structure is free of squatters of encroachers and not subject to any other claims.

4. That the owner hereby grants to the............................................(name of Road User Group) ...................................................this asset for the construction and development of ....................in the .....................................VDC. ward no................................ supported by the Rural Access Improvement Project for the benefit of the community.

5. That the owner will not claim any compensation against the grant of this asset nor obstruct the construction process on the land in case of which he/she would be subject to sanctions according to law and regulations.

6. That the Road User Group agrees to accept this grant of asset for the purposes mentioned.

7. That the Road User Group of..................shall construct and develop the RAIP sub-project and take all possible precautions to avoid damage to adjacent land/structure/other assets.

8. That both the parties agree that the RAIP sub-project so constructed shall be community premises.

9. That the provisions of this agreement will come into force from the date of signing of this deed.

Signature of the Owner Signature of Road User Group

Witness:1................................................................................................................................................................................................................................................................................................

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2................................................................................................................................................................................................................................................................................................(Signature, name and address)

ANNEX 6: EXAMPLES OF SIMPLE ENVIRONMENTAL CLAUSES IN CONTRACT SPECIFICATIONS

Installation of Work Site

The contractor shall submit the work site for inspection and shall define the facilities to be created.

The contractor shall limit disturbances to the environment for the site selected and for residents in the immediate vicinity, both in surface (clearing of brush or trees, water flow, waste storage) and in depth (rupture or pollution of ground water).

The contractor shall execute, upon work completion, all work necessary to restore the site. The inspector shall write up a report outlining the site reclamation prior to official delivery.

Preparation and supply of quarry material

During the work phase, the contractor shall preserve trees during materials stockpiling; level stripped materials to facilitate water percolation and make natural grass planting

possible; restore the natural flow to its previous state; and create runoff recovery ditches and conserve access ramps, if the quarry is declared fit for

use as watering point for livestock or residents.

The contractor shall, upon work completion and at own expenses, restore the environment around the site. A report will be submitted by the inspector certifying that such site restoration work has been completed.

Tree planting

The contractor shall plant trees at locations defined by the inspector, provide the recommended protection (clay brick wall, fencing, etc.), supply the required water and if necessary replace dead trees. The contractor shall provide complete maintenance for a period of one year after planting, including: watering, cleaning out the bed at the foot of the tree, etc.

The number of trees planted, along with the execution of protection and the digging of beds at the foot of the trees, will be noted down by inspector on the site records.

This record will be used at the official delivery to evaluate the services actually rendered. Once road maintenance work has been completed, the contractor shall indicate on the itinerary map the planting carried out (position, number).

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ANNEX 7: LOCAL LEVEL GUIDELINES FOR IMPLEMENTING ESMF Activities Sub-Activities Responsibilities Remarks1. Project Identification

1. Call project/Sub-Project proposals from the DDCs,2. Prepare DTMP3. Develop criteria tools and formats for project proposals,4. Select candidate projects and recommend to RAIP

1 RAIP

2. DDC3. CTA/PPT

4. DDC

1. Project identification task is multi stage because it needs to come within the criteria of RAIP.

2. Project Screening

1. Desk Screening of Project/ Sub-projects2. Verification of desk screening data in field

RAIP /PPT/consultants

4.CTA/PPT5.CTA/ PPT

1. Checking whether priority roads are prioritized in DTMP or not.

3. Social Screening

1. Desk Screening of proposed sub-projects2. Develop social screening tools3. Verification desk screening data in field

1. PPT (SDA)

2. SDA/PPT

3. SDA/PPT

1. Walk over survey of the proposed projects/preliminary assessment of the necessity of the road

4. Social Assessment

1. Prepare social Assessment tools2. Identify social issues acquainting with WB Guidelines and HMG/N requirements3. Field work: data collection, data analysis and reporting3. Project selection(final)

1. RAIP consultant

2. SDA

SDA/Community Mobilizers/PPTPPT

Training to the Social Mobilizer, Deputation of the Social Mobilizer in the districtsDistrict level workshop for social assessment.

5. Preparation of Database

1. Field data screening, analysis and documentation of the selected districts

PPT consultant

6. Implementation

1.Land Acquisition2.Compensation3. Resettlement4. Rehabilitation5. Construction

1. Land acquisition Committee 2.3.4. Compensation Determination Committee5. DRCC/ VRCC/ RBGMobilizer

1.2.3.4. Formation of Compensation Committee for Land Acquisition, Compensation and Resettlement program5. Construction Supervision and procurement

7. Monitoring 1. Construction Monitoring/ Social Impact monitoring

1. DRCC/ VDC/ NGO/ Community Mobilizer/Consultant

1. Social impact monitoring/Overall benefit monitoring/Project evaluation and further planning/

8. Evaluation/Impact assessment

1. Social Impact evaluation2. Economic evaluation3. Technical /Environmental

impact assessment

1.Consultant/VDC/DDC/ DRCC/ LRUC/ NGO/ Social Mobilizer

1.Total input-opt put evaluation of the project

6. Maintenance 1.Routine maintenance and rehabilitation

1 LRUC/ VRCC VDC/RBG

1.Mobilization of local resources for sustainability

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ANNEX 8: ENVIRONMENTAL ASPECTS OF SAMPLE RAIP SUB-PROJECTS

No. District/Road Terrain

Current Condition

Length

Proposed Work & Estimated Cost

Potential Environmental impacts

Banke1 MRM-Titihiiya-

Sonpur-Udharapur Road

Terai 6km is graveledRest is earthen

17.5 km

9 km improved to AWR by widening, earth work, graveling and drainage structuresRs. 16,573,000

No major impacts Possibility of some dust, encroachment, and stream bank cutting.

Kapilbastu2 Siwalawa – Laban -

Lakhanchowk (MRM) Road

Terai Fair weather earthen road

31.8 km

AWR. 6km requires widening, earth filling, and drainageRs. 9,977,500

No major impactsAs the road passes through a Sal forest (Ch. 21-31), There may be some pressure on the forest.

3 Imiliya-Maharjgunj-Haradauna

Terai Fair weather earthen road

25.5 km

AWR. 4km of widening, earth filling, gravelingRs. 9,202,300

No major impacts.Possibility of river cutting in some areas.

Rupandehi4 Mukundagadh-Semera-

Thikhawa RoadTerai 5 m wide earthen

road13.4 km

AWR. Improve geometry, earth filling, graveling, drainageRs. 9,018,700

No major impacts.Some drainage problems around Hagni Nala and Gagiya Khola streams.

Nawalparasi5 Daldale - Dhawadi

RoadHill Earthen track 22 km AWR. Grade and

surface improvement, slope protectionRs. 50,100,000

No major impacts.Stretch between 7+00 and 11+00 may need water management.

6 Panchanagar - Terai Earthen track 18.6 AWR. Cross- No major impacts

Maheshpur km drainage, embankment, gravelingRs. 35,600,000

Several ponds near the road Some drainage problems around Jarahi River and some low-lying areas at ch 12+00 and ch 17-18.

PALPA7 Aryabhanjyang -

RampurHill RIP improved

10kmRemaining is earthen track70 vehicles per day

50 km AWR. Improve gradient, graveling, drainage and slope protectionRs. 45,286,500

Steep slopes at ch. 20+000 and 24+500-25+000Passes community forests at some locations

8 Harthok – Chhahara -Tingire

Hill RIP improved 7 kmTrack opened in the remaining part50 vehicle per day

31 km AWR. Improve gradient, graveling, drainage and slope protectionRs. 26,682,600

Some minor landslides Stone quarrying at ch. 10+00 to 11+00.

9 Banstari - Jhadewa Road

Hill RIP improved 7 kmThe rest is FWR

31 km AWR. Improve gradient, drainage, graveling, and slope protection12 m bridge over TinauRs. 27,232,100

Minor landslides at ch. 11+500; 16+500-17+500; 22+000; 23+000-23+500; and 23+000Minor river bank cutting and potential flood at ch. 24+000.

Syangja10 Rangkhola - Biruwa

RoadHill RIP improved 3

km3-4 m track on the remaining part

21 km AWR. Improve gradient, drainage, graveling, and slope protectionRs. 26,300,000

Some landslide prone areas at ch. 4+025, 9+000, 10+000, and 3+830 to 3+900

11 Mirdi - Jagatbhanjyag - Hill 5 km graveled 25.5 AWR. Earthwork, Some landslide prone areas at

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Chapakot 5 km has a 3 m wide track

km graveling, retaining and drainage structuresRs. 29,200,000

ch. 2+250 to 2+275, 4+700 to4+745, 8+175 to 8+350, and 8+440 to 8+460

Kaski12 Lamachowr-

Machhapuchre RoadHill RIP improved 6

km12 km earthen track where buses provide regular service. In remaining part track is open

16 km AWR. Widening in 8 kmImprove gradient, drainage, graveling, and slope protectionRs. 23,100,000

No major environmental impacts expected in the first 12 km. 8 km of widening of existing tracks may result in some minor landslides and drainage related problems.

13 Rakhi-Mijure Road Hill Earthen track opened till 10 km

19 km AWR. Graveling, drainage and slope protectionRs. 30,850,000

Minor landslide at ch. 11+000 to 12+000.Road passes through some community forest

Dhading14 Dhadingbesi -

SalyantaarHills 15 km graveled 35 km AWR. Spot

improvement, graveling, drainage and slope protectionRs. 51,940,000

Passes through community forests at several locations.Some erosion prone areas at ch. 0+300

15 Bhimdhunga – Lamidanda Road

Hill 7 km is graveledRest is earthen track

30 km AWR. Rehabilitation and maintenance, graveling slope protection and drainage improvementRs. 40,490,000

Some minor landslides. Flood at Khahare Khola could damage road.

Makwanpur16 Hatiya - Raigaun Road Inner

terai3-5 m earthen track

15 km AWR. Graveling, drainage, spot

Minor landslides at ch. 9+420 to 14+000

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25 vehicles per day

improvementRs. 16,000,000

Potential for flash floods at some locations

Sarlahi17 Karmaiya – Hathiaul

RoadTerai 3-5 m earthen

trackSome parts are graveled60 vehicles per day

54 km AWR. Graveling, Geometric improvement, embankment Rs. 30,000,000

Possibility of river cutting in some areas

18 Kodena – Janakinagar Road

Terai Partly earthen Partly graveled100 vehicles per day

15 km AWR. Graveling, Geometric improvement, embankment Rs. 9,000,000

Forest near Janakinagar (ch. 14+500)Flash floods in Lakhandehi river could damage road.

Mahottari19 Jaleshwor – Rauja –

Bardibas RoadTerai 5-7 m wide

Partly earthen, partly graveled

41 km AWR. Spot improvement, graveling, drainageRs. 60,000,000

Some low lying areas between Bajrahi and Jaleshwor are prone to floods.

20 Maitihani – Pipara – Bhramapura – Mahadaiya Road

Terai 5-7 m wide track5 km graveled

25 km AWR. Spot improvement, graveling, drainageRs. 45,000,000

Potential for flooding and river cutting by Bighi river at several locations.

Siraha21 Zero Mile –

Bariyarpatti RoadTerai Gravel road

70 – 100 vehicles per day

18 km Graveling and drainage improvementRs. 37,500,000

Some damage caused by Kataniya stream No major impacts

22 Lahan – Bhagawanpur – Thadi Road

Terai Partly graveled120 vehicles per day

18 km Graveling and drainage improvementRs. 37,500,000

No major impacts

Udayapur

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23 Gaighat – Nepaltar Road

Hill & Terai

Partly graveledMostly 3-5 m earthen track

47 km(30 km in first year)

AWR. Widening, graveling, drainage and slope protectionRs. 23,500,000

Some erosion prone areasNo major impacts are expected

24 Gaighat – Betar – Chatara Road

Hill & Terai

8 km is graveledRest is earthen track

65 km (25 km in first year)

Rehabilitate whole section by gravelling, embankment and drainage structuresRs. 38,500,000

Road passes through some community forests. No major impacts.

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Environmental Screening Field Verification Form................................................................................................................. Road

ANNEX 9 ENVIRONMENTAL SCREENING CHECKLIST

Rural Access Improvement ProjectEnvironmental Screening Checklist for Rural Road

A. Project Brief :

A1: Name of Road and its length: A2: Location / Route (names of main settlements and other identifying features, show route on a map):A3: Proposed works / activities (if it is existing road present condition, and proposed improvements): A4: Implementation approach and institutions: labour-based, users group, contractors, blasting, role of DDC, VDC, DTO, community, DoLIDAR etc.

A5: Approximate Investment required: NRs……….

B. Environmental Setting of the project area : ( in the immediate road corridor, typically within 1.5 km on both sides of the centre line of the road)

Collect the relevant information on the following features if the road passes through them or if the features are located within 1.5 km;

B1. Protected areas and Forest areas: Protected areas including National Park, Conservation Area, Wildlife Reserves, and Hunting Reserves or other legally protected area or area recommended for similar status. Forest areas: including state or community /religious or private forest. Name and size of the protected area or forest area ( in the case of forest clarify ownership, if it is state or community or religious forest), location with approximate boundary and with respect to the road in a topographical map, main plants and animals, present condition, local communities views on use, functions and problems.

B2. Landslide and erosion prone areas: landslides and areas of known landslide and erosion prone areas, Cliff and very steep slope areas,

B3. Flood prone areas: known flood risk and river cutting areas, low-laying areas susceptible to water logging and drainage problems.

B4. Water Bodies / Features: Major drinking water sources, major springs, rivers, lakes, and wetland. Name, and size; location in a topographical map and in relation with the road, present condition, existing local uses: who uses for what purpose, household/population using it, local communities views on importance/use/ functions and problems.

B5. Historic, Cultural and Religious Sites: Name, location, importance.

B6. Open Public Space. Name, location, importance

B7. Settlements and Trade Centre: Bazar areas, major settlements, settlements of special group of people.

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B8. Development Potential areas: Highly fertile agricultural land, areas suitable for cash crops/ horticulture, tourism potential areas (view points, falls, beautiful landscape), known sites for hydropower, known mines, deposits of local construction materials (sand, aggregate, clay, slate etc.)

C. Existing or Potential Environmental Problems In the case of road upgrading or improvement sub-project, note the existing environmental problems or difficulties or damages caused by the existing road in its immediate corridor. For new road sub-project, potential environmental problems/ difficulties/ impacts likely to occur should be judged.

Are the following difficulties existing now or likely to occur as a result of the proposed sub-project? C1. Protected area and Forest.

c1.1 Does the road occupy or likely to occupy forest or protected area ? What is the length of the road within each of these? Collect information as in B1 and B2.

c1.2. what impacts/ pressure resulted (or likely to result) from the road access to the forest/ protected areas by road? Describe separately in each forest/ protected area if increased logging, fire-wood collection, grazing, etc resulted (or is likely to result)? what measures are in place ( or need to be put in place) to control such pressure?

c1.3 has the road motivated people to settle in or close to forest/ protected areas (or is this likely)? C2. Landslides and erosion

c2.1 has the road suffered from (or likely to suffer from) landslides and erosion? Which are the main spots where landslide and erosion is recurrent or significant?

c2.2 what are the reasons of the landslides and erosion on those spots? (alignment passing through weak/ susceptible areas, disturbance by the construction, diversion of water/ concentrated flow to the area, spoil disposal, removal of vegetation or deforestation, blasting during construction etc.)

c2.3 what measures are in-place ( or needed to put in place) for control of the landslides and erosion?

C3. Water bodies and drainage disruption

c3.1 has the road affected Source of Water (e.g. spring) by reducing flow or drying up or degrading water quality etc (or likely to do so)? Describe which water source (location) and how.

c3.2 has the road affected wetland or lakes/ natural ponds (or likely to do so)? Describe which and how.

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c3.3 has the road resulted in drainage problems (or likely to do so)? Has this caused water-logging due to borrow-pits, quarrying, drainage disruption, etc (or likely to do so)? (Describe: where, what is the reason, to what extent, damages and difficulties, has this flooded farm lands?)

c3.4 has the road diverted drainage causing concentrated flow in some areas and reduced flow in other area or disposed of road side drains inappropriately (or likely to do so)? What are the consequences of this? (flooding, scouring, erosion causing damages to agricultural lands, houses, private properties, damage to local amenities etc).

C4. Air, noise and vibration

Has the movement of vehicles on the road caused or likely to causec4.1 dust problems? (where and why, describe consequences and sensitive receptors)

c4.2 noise problems? (where and why, describe consequences and sensitive receptors)

c4.3 vibration problems? (where and why, describe consequences and sensitive receptors)

C5. Local infrastructure, amenities and common property

Has the road inflicted damages or degradation (or likely to do so) to the following type of local community infrastructures, amenities and common properties? c5.1 irrigation canal/ facilities: where, describe the nature of problem and consequences.c5.2 water supply (sources and facilities): where, describe the nature of problem and consequences.c5.3 trails, trail bridges, and Chautara, etc: where, describe the nature of problem c5.4 open space/ grounds: where, describe the nature of problem and consequences.c5.5 sites of religious and cultural values: feast ground, Mela spot, funeral/ cremation sites,

C6. Private propertiesc6.1 has the road occupied or damaged or degraded private properties; such as land and houses? (due to occupation of land by road, spoil disposal, discharge

of drain water, diversion of water, dust/vibration caused by vehicle movement etc). Describe: where and why, what is the extent, and nature.c6.2 have the affected person(s) been compensated? How?c6.3 Are there houses or other private properties within the right of way? Estimate approximate quantity by type.

C7. Induced impacts

Has the road induced the following (or likely to do so)?

c7.1 road side settlements (emergence of new settlements, or expansion of existing settlements): where, describe other pertinent information.

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c7.2 encroachment into forest, marginal lands and common property: building houses/ restaurants in river banks/ unstable locations/ flood-prone areas, illegal invasion of right-of-way, and occupation of public lands.

c7.3 quarrying and extraction/ mining of stone, sands and gravel from rivers, and hills; mining of slates etc: where, describe any problems.c7.4 health of people: incidence of water-related infectious diseases (due to stagnant water bodies), sexually transmitted diseases (due to increased

movement of people) c7.5 changes in agricultural practices: vegetable farming, use of chemical fertilizers and pesticidesc7.6 Increase in land values and change of land ownership from poor to wealthier:c7.7 girls trafficking.

D. Potential mitigation and enhancement measures.

For each difficulty or problem identified in item C above, note potential measure to mitigate the problem or difficulty, or to enhance the environmental situation. This can be done using professional judgment after careful field observation/ inspection and discussion/ interaction with the communities.

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ANNEX 10 FIELD VERIFICATION OF ENVIRONMENTAL SCREENING CHECKLIST................................................................................................................................Road

A. PROJECT BRIEF (show road route/ alignment on a map)Name of Road and its length, Road route (VDCs, names of main settlements and other identifying features):Propose works / activities (if it is existing road describe present condition, and proposed improvements); and Approximate Investment required:

Implementation approach and institutions: labor-based, users group, contractors, blasting, role of DDC, VDC, DTO, community, DoLIDAR etc

B. Environmental setting of the sub-project locality:

B1. Protected areas and/ or forests: typically located within 1.5 km on both sides of the road. Show approximate location and boundary in map also.Name location in relation to road Description

B1.1 Past and present conditions and value:

Problems and causes of problems. What can be done?



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B2. Landslide and erosion prone areas: typically located within 1.5 km on both sides of the road. Show approximate location and boundary in map also.

Name location in relation to road Description: B2.1 Past and present conditions and value:






B3. Flood prone/ risk areas: typically located within 1.5 km on both sides of the road. Show approximate location and boundary in map also. (known flood risk and river cutting areas, low-laying areas susceptible to water logging and drainage problems)Name location in relation to road Description


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B4. Water bodies/ Features: Major drinking water sources, major springs, rivers, lakes, and wetland typically located within 1.5 km on both sides of the road. Show approximate location and boundary in map also.Name location in relation to road Description







B5 Historic, Cultural and Religious Sites: typically located within 1.5 km on both sides of the road. Show approximate location and boundary in map also.Name location in relation to road Description: Past and present conditions and value/ importance.

B5.1

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B5.2

B5.3

B6. Open Public Space: typically located within 1.5 km on both sides of the road. Show approximate location and boundary in map also.Name location in relation to road Description: Past and present conditions and value/ importance.

B6.1

B6.2

B6.3

B7. Main settlements and trade Centre: Bazar areas, major settlements, settlements of special group of people typically located within 1.5 km on both sides of the road. Show approximate location and boundary in map also.Name location in relation to road Description: approximate no. of HH and population, nature and special feature/ importance/ significance.

B7.1B7.2B7.3B7.4B7.5

B8 Area or site of significant development potential: Show approximate location and boundary in map also. Tourism potential site, hydropower sites, deposits of construction materials, Highly fertile land suitable for high value crops/ horticulture, etc.

B8.1B8.2B8.3

C. Environmental Problems/ difficulties/ damages / impacts caused by existing road (or likely to be caused by new road) sub-project.

C1. Related to protected area, forests, and vegetation (and wildlife). Does the road occupy forest or protected area? What impacts/ pressure resulted from the road on the forest/ protected area? Has the road motivated people to settle in or close to forest/ protected areas?Where? Name and place (show in map) Description: (impact of road on the environment, or of environment on the road. See checklist for typical problems)

C1.1 Problem and cause:

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Potential Mitigation:





C2. Related to landslides and erosion: Has the road suffered from (or likely to suffer from) landslides and erosion? What are the reasons of the landslides and erosion on those spots? Name and location/ place (show in map) Description: (impact of road on the environment, or of environment on the road. See checklist for typical problems)





c2.3 Problem and cause:


C3. Related to water bodies and drainage: Has the road affected Source of Water (e.g. spring) by reducing flow or degrading water quality? Has the road affected wetland or lakes/ natural ponds? Has the road resulted in drainage problems including water-logging and flooding farm land (in borrow-pits)? has the road diverted drainage causing concentrated flows and disposed of road side drains inappropriately resulting flooding, damages to property, scouring etc? .Where? Name and place (show in map) Description: (impact of road on the environment, or of environment on the road. See checklist for typical problems).






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C4. Air, noise and vibration: Has the movement of vehicles on the road caused dust, noise, and/or vibration problems? What are the sensitive receptors and consequences?Where? Name and place (show in map) Description: (impact of road on the environment, or of environment on the road. See checklist for typical problems).







C5. Local infrastructure, amenities and common property: Has the road inflicted damages or degradation: irrigation canal/ facilities, water supply (sources and facilities), trails, trail bridges, and Chautara, open space/ grounds, sites of religious and cultural values (feast ground, Mela spot, funeral/ cremation sites).Where? Name and place (show in map) Description: (impact of road on the environment, or of environment on the road. See checklist for typical problems).

c5.1 Problem and cause:








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C6. Private properties: Has the road occupied or damaged or degraded private properties such as land and houses (due to occupation of land by road, spoil disposal, discharge of drain water, diversion of water, dust/vibration caused by vehicle movement? Are there houses or other private properties within the right of way?Where? Name and place (show in map) Description: (impact of road on the environment, or of environment on the road. See checklist for typical problems).









C7. Induced impacts: road side settlements, encroachment into forest/ marginal lands and common property, illegal invasion of right-of-way, and occupation of public lands; quarrying and extraction of stone/sands and gravel, incidence of water-related infectious diseases, sexually transmitted diseases, changes in agricultural practices, Increase in land values and change of land ownership from poor to wealthier, and girls trafficking. Type of Induced impact

Where? Name and place (show in map)

Describe the nature and extent, causes and possible mitigation for negative or enhancement measures for positive impacts

C7.1

C7.2

C7.3

C7.4

C7.5

C7.6

c7.7

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C7.8

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Instruction for completion of Environmental Screening Field Verification Form

1. The ESFV Form is designed to capture and record the relevant environmental information needed for the environmental screening of a proposed sub-project. The field verification makes the screening more realistic and reliable. The field verification process is also expected to provide early warning to the sub-project preparation team about potential environmental concerns, and thus provides opportunity to address them in time.

2. Use a ball pen or pencil to fill in the form. Do not use washable ink or that can mutilate.3. Write name of sub-project on the tope right-hand corner of each page before starting to fill in the

information. 4. Write on the back side of a page, referring to the item number or with some symbol/mark, if the

space provided in the form is not sufficient. (new page could also be inserted) 5. The field verification team must familiarize with the sub-project's background and status before

walk-through. 6. The persons (s) undertaking the field verification will quickly walk-through the alignment and

held discussions or inquire with the communities along the way. Note that more detailed environmental investigation/ survey will follow at later stage. Therefore, the field verification should be performed quickly. Main methods to be used are: observation/ inspections and inquiring with the local people.

7. The field verification team must have topographical map of the sub-project locality. The sub-project and important environmental features must be market on the map and referred to the appropriate section of the Form. The map should be included as an annex to the Field Verification Form.

8. Field verification team should take photograph as much as possible showing different environmental setting and problems/ impacts. Write captions identifying locations and describing matters shown in the photographs and include these as annex to the field Verification form.

9. The field verification team must write summary of the verification findings at the end of the field verification walk-through, listing the main environmental issues/ concerns related to the sub-project, and initial idea about the possible ways to mitigate each of them as well as potential opportunity to enhance the environmental condition.

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Summary of the Field Verification Findings

Major issues, concerns, and problems

1. 2.

3.

4.

5.

Potential environmental enhancement opportunity

1.

2.

3.

4.

5

Recommendations

1.

2.

3.

4.

5.

Field verified by:

Name Signature Date1.

2.

3.

4.

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Annex I: List of Persons met

No. Name Address1.2.3.4.5.6.7.8.9.10.11.12.13.14.15.17.18.19.20.21.22.23.24.25.26.27.28.29.30.

Annex II: Photographs

Annex III: Topographical Map showing alignment and important environmental features

ANNEX 11 TERMS OF REFERENCE FOR INITIAL ENVIRONMENTAL EXAMINATION (IEE)

...............(name of the road)................................................ road improvement

1. Introduction:

1.1 General

This Terms of Reference (ToR) is prepared to conduct Initial Environmental Examination (IEE) of ...................(name of road) ..........., in .......(name of district)...district. This is a high priority road in ...... (name of district).......district, and is proposed for improvement under Rural Access Improvement Project (RAIP) proposed for IDA credit.

An IEE of the proposal is necessary in order to assess the environmental consequences of the proposed rural road improvement activities and suggest appropriate, practical and site specific mitigation and enhancement measures. The DDC, ..(name of district)......, now wishes to hire a consulting firm to undertake the IEE of the ........................

Environment Protection Rules (EPR) 1997 (amended 1998) requires an IEE for the proposed improvement of the rural road as the estimated investment for the improvement falls within the cost threshold zone for IEE as defined in the Schedule 1 (i.e NRs 10 million to 100 million).

1.2 Proponent

The Local Self-Governance Act (LSGA) empowers the District Development Committee (DDC) in planning and implementation of local infrastructure including local/ rural roads. The proposed road is a top priority in the District Transport Master Plan (DTMP) prepared by the DDC and approved by the District Council. Hence, the DDC owns the road and improvement is also proposed by the DDC. The DDC of ...........(name of district) .... district is, therefore, the Project Proponent. Following is the address of the Project Proponent:

Local Development OfficerDistrict Development Committee....(name of district headquarters)........., ............... (name of district).....Nepal.

Telephone: ......(area code).... - .........(telephone number).....Fax: ......(area code).... - .........(fax number).....Email: ......(if available) .....

The Department of Local Infrastructure Development and Agriculture Roads (DoLIDAR) is the counterpart of the RAIP at the centre. RAIP PPT/ DoLIDAR will assist the DDC in carrying out the IEE by supporting in preparing IEE ToR and hiring consultant, reviewing the IEE Report and in the approval of the IEE Report by the Ministry of Local Development (MoLD). The cost of the IEE preparation will be covered by the Project Preparation Fund (PPF) of the RAIP. Following is the address of the RAIP PPT/ DoLIDAR.

Project Preparation Team,

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Rural Access Improvement ProjectHis Majesty’s Government of Nepal, MoLD Department of Local Infrastructure Development and Agricultural Roads (DoLIDAR) Jawalakhel, Lalitpur GPO Box: EPC 797, KathmanduNepalTelephone: 977-1-5546524Fax: 977-1- 5546268Email: [email protected]: http://www.dolidar.gov.np

(Note: PPT Office is located at Local Development Training Academy premises at Ekant Kuna, Lalitpur).

2. Project proposal

2.1 Background

The RAIP is a follow-on operation of the Rural Infrastructure Project (RIP) and aims to replicate, scale-up and mainstream the good practices and positive lessons learned from implementing the Rural Infrastructure Project (RIP). The development Objective of the proposed RAIP is to provide beneficiary rural communities with improved and sustainable transport access to economic opportunities and social services. It is hoped that the proposed project will: reduce the proportion of people without all weather road access in participating districts; create rural employment opportunities; and help DDCs pull together resources for rural transport infrastructure development and management.

Under the RAIP mechanism, DoLIDAR will be responsible for authorization, facilitation, coordination and monitoring. The DDC will be responsible for managing the implementation of the sub-projects. The sub-project implementation, in line with the decentralisation principle, will adopt bottom-up planning and local participation in every possible way. Maintenance of the sub-project will be a high priority: RAIP funding, therefore, also takes into account of the maintenance reliability and sustainability of the improved roads. Implementation of civil works follow labour-based technology and “Green Roads Approach” as applicable by ensuring involvement of local beneficiaries in the planning and implementation of the works. Small contractors as well as community groups (such as Users Committee/Groups or Road Building Groups) will be contracted for appropriate nature of the works.

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mailto:[email protected]

2.2 The proposal

The road at present is a fair weather road (FWR)/ earthen tract motorable only in the non-rainy dry season. It has poor geometric standard (radius, and gradient) and surface condition. The existing road passes through the following settlements/ villages: .................................. (see map attached). Total length of the existing road is ......., and it is located in .........(hilly/ plain) terrain. At present a ...(5 to 7 m)... wide earthen track exist and the road is ......(partly graveled and partly earthen)..... . Traffic operate from ........(name of place) .... to ................(name of place) in this road: average number of vehicles operating daily is about .........(number of vehicles) ..........

The present proposal is to upgrade the existing FWR to all weather road (AWR). The improvement works necessary for this are : ........ (widening of road width, improving the gradient and smoothing the curves/ radius and other geometric standard, earthwork, construction of embankments, gravelling, construction of side drains and cross-drainage structures, construction of bridge, slope protection works such as construction of retaining structures and plantation of vegetation -bio-engineering etc.

3. Objective and scope

3.1 Objective

The overall objective of the IEE is to appraise the environmental consequences, both positive and negative, of the proposed improvements; suggest mitigation and enhancement measures; and prepare management and monitoring plan. More specifically, the objectives are to: establish environmental baseline condition of the sub-project locality. This will

require identification of important environmental features (natural and socio-cultural-economic) located in the sub-project locality and document their existing condition, including trend of change.

identify any environmental problems/ difficulties that are existing now due to the existing road, and assess nature/extent / significance of the problems/ difficulties.

identify the significant environmental issues/ concerns (physical, biological, and socio-cultural-economic) that can arise from the proposed improvement activities.

predict and assess the significant environmental impacts (adverse and beneficial) due to the improvement activities.

recommend practical and site specific environmental mitigation and enhancement measures, and

prepare environmental management and monitoring plan for the sub-project in consultation with the community.

3.2 Scope

The consultant scope of the work include the following sectors of environment in the sub-project locality/ corridor, typically within 1.5 km on both sides of the road proposed for improvement. The IEE should consider the likely environmental consequences that may arise as a result of the proposed improvement during the construction as well as operation periods.

a. Physical / chemical environmentb. Biological environmentc. Socio-cultural and economic environment

a. Physical/ chemical environment

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The issues and concerns generally related to physical / chemical environment typically include, but not necessarily limited to; slope instability and soil erosion particularly in the hilly terrain due to various

activities including slope cutting, spoil dumping, quarrying, concentrated flows due to water diversions and inappropriate drain outfalls.

disruption to natural drainage pattern / hydrology leading to inundation and water-logging, particularly in the Tarai (plain area) and increasing causing flood damage risks.

degradation of air quality (particularly dust) and increase in vibration/ noise change in the quality and/ or quantity of water of water sources or water bodies

(e.g. spring, stream, wetland, etc). change in land use including development or expansion of road side settlements assessment of the potential cumulative environmental impacts due to the

construction activity.

b. Biological environment

The issues and concerns generally related to biological environment typically include, but not necessarily limited to; loss or degradation of forests and vegetation. This includes all forest areas

including protected and conservation areas, state or community or leasehold or private forest. impact on wildlife including birds due to loss or degradation of habitat, increased

hunting and other form of human pressure. Particularly, impacts on the endangered floral and faunal habitats/ ecology due to increased access to and demands on forests

impacts on the local ecology and ecological balance/ functions

c. Socio- cultural and economic environment

The issues and concerns generally related to socio-cultural and economic environment typically include, but not necessarily limited to; loss or degradation of farm land (khet and bari) and productivity directly or

indirectly (such as due to occupation of land, disposal of spoils, diversion of water / drain waters, or disruption of hydrology/ natural drainage, quarrying, burrow pits etc)

loss or degradation of private properties such as houses, farm sheds, and other structures, crops and fodder / fruit trees

impact on community infrastructure such as irrigation, water supply, schools, health post, trail and trail bridges,

impacts on cultural, religious and archeological sites impacts on social structures, employment opportunities, economy, cultural values impacts on health and sanitation

Major concerns. Environmental concerns related to the proposed sub-project apparent at the stage of ToR formulation are:

.................................................... .................................................... .................................................... ................................................... ..................................................

3.3 Tasks

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The consultant shall perform the following tasks in accordance with the accepted professional standard and defined procedures. The consultant team will be given an orientation briefing on the sub-project and RAIP approach immediately after signing the contract. Following this and prior to the start of field work, the consultant will be required to make an inception presentation and plan of the works. The tasks of the consultant include the following:

Task 1: Conduct walk-through survey along the road and identify the significant environmental features (physical, biological and socio-cultural-economic) located in the influence corridor and likely to be affected by the proposed improvements. . The principle guidelines to be followed are outlined in the Environmental and Social Assessment Framework prepared under RAIP.

Task 2: Collect necessary information about the significant environmental features in order to establish their present conditions and trend of change.

Task 3: Collect information about existing environmental problems and difficulties in the road corridor.

Task 4: Conduct stakeholder consultation including community meetings and meetings with other concerned institutions at the district headquarters (such as DDC, RAIP team, District Agriculture Office, District Soil Conservation Office, District or /and Ilaka Forest Office, NGOs active in the proposed road corridor, etc) ) to determine that all stakeholder concerns have been addressed.

Task 5: Analyse the information to confirm the significant positive and negative consequences of the proposed road improvement in the physical/ chemical, biological and socio-cultural-economic environment. Additional aspect of the analysis is to assess the environmental problems and difficulties existing at present, without the proposed improvements.

Task 6: Alternative analysis. Various options and alternatives of improvement activities for example location and type of structures, technology, and change in alignment in a section, schedule of construction etc as well as no improvement option needs to be analyzed to see the consequences of the improvement.

Task 7: Identify and recommend appropriate and site specific environmental impact prevention, mitigation and enhancement measures, including cost estimates for these measures. This will include, but not be limited to, (i) engineering codes of practice followed for project design, with particular relevance to environment management; (ii) the construction management practices and environmental management specifications to be followed at the site; (iii) implementation of slope and soil stabilization strategies; (iv) implementation of environmental enhancement measures, such as enhancement of roadside water bodies or common property resources; and (v) overall compliance with adequate environmental, social and health safeguards, during construction. The measures stipulated here will be included in the contractual agreement with the respective contractor..

Task 8: Prepare environmental management, supervision and monitoring plan for the sub-project for both the implementation and operation periods, in close consultation and agreement with the community.

Task 9: Prepare Initial Environmental Examination Report of the sub-project for submission to and approval of MoLD.

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The IEE team will benefit from the Planning and Design Engineer and Social Development Consultant fielded in the district by the RAIP. The IEE team will require to work closely with the PDE, SDC, DTO staff and DDC in the district.

4. Applicable Acts, Rules and Guidelines

The IEE study should fulfill or be guided by the requirements and provisions of the following acts, rules and guidelines as applicable.

i. Environment Protection Act, 1996 and Environment Protection Rules, 1997 (amended 1999)

ii. Environmental and Social Assessment Framework for Rural Access Improvement Project (ESAF), 2004

iii. Batabaraniya Nirdesika (Nepali; MoLD), 2057iv. National Environmental Impact Assessment Guidelines, 1993v. Environment Assessment PWD Part II Procedural Directives (Chapter 3),

2001vi. Forest Act, 1992 and Forest Rules 1995

vii. National Park and Wildlife Conservation Act, 1973 and Conservation Area Management Rules, 1996.

viii. Local-Self Governance Act, 1999 and Local Self-Governance Rules, 2000ix. Land Acquisition Act 1977

5. Approach and Methodology

The IEE approach, methodology and procedure should generally follow the provisions of the Environment Protection Act and EPR. The methodology approach to be used for conducting the IEE include review of literature, simple survey/ inspections/ observations making simple measurements, discussion with communities and other stakeholders, and IEE team judgment.

a. Literature review: published and unpublished readily available relevant information should be reviewed. The potential sources of information include, but not limited to; topographical maps,

publications of DDC, District Forest Office, District Soil Conservation Office, District Agriculture Office, District Irrigation Office, District Water Supply Office, District Livestock Services Office, and NGOs

District Transport Master Plan Reports related to sub-project (e.g. Environmental Desk Screening Report, and

Field Verification Report of the Sub-project, sub-project request proposal submitted by DDC, any other report related to sub-project)

Literature review should result specific checklists of environmental aspects to be studied in the context of the sub-project. This will guide the field work.

b. Walk-through survey: The IEE team will walk through along the road alignment visiting the significant environmental features in the probable influence corridor, and make necessary measurements, inspect/ observe and discuss it with the local stakeholders.

c. Focus Group Discussion (FGD): The team will utilize the walk-through visit to conduct consultation with the local communities and organise FGD at different location along the road corridor. The FGD will discuss the environmental sensitivity and concern in the area, importance

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of environmental features located in the area, present status, present problems or difficulties, potential solutions, and consequences of the proposed improvement of the road.

d. Briefing and debriefing meeting: IEE team will organise initial briefing meeting prior to field visit and debriefing meeting after field visit at district headquarters. The initial briefing meeting will obtain initial information about the potential environmental features of significant importance, existing problems and potential impact of road improvement. The debriefing will discuss the IEE team's findings from the field visit and potential mitigation and enhancement measures.

e. Group Judgment: The IEE team will work as a group. All sectoral analysis will be discussed in the group to identify inter-linkages and complementarity. The IEE team will use the group judgment as the basic tool to establish the significance of environmental impact, identification and design of potential mitigation and enhancement measures, and preparing EMP of the sub-project.

6. IEE Report Content

IEE report shall be prepared as per the format outline in the Schedule 5 of the EPR, 2054 (amended 2055). Executive summary of the IEE should be prepared in Nepali also for use of HMG Nepal agencies, DDCs, VDCs, and local stakeholders. The IEE report, whenever applicable, shall be supplemented by maps, graphs, photographs, tables and matrix. Relevant applicable documents and studies prepared by the consultant may be attached as appendix if required so.

7. Qualification

7.1 Consulting firm

The consulting firm should have i) at least 5 years of working experience, ii) conducted minimum of 2 IEEs or 1 EIA (preferably of roads), iii) priority will be given to the firms having in-house qualified staff for the IEEs, iv) priority will be given to those firms having experiences of working in conflict environment.

7.2 Manpower

The proposed expert must have at least Bachelor level of education (preferably Master level) in the relevant field. Training on EIA or IEE of more than 15 days duration would be an asset.

The proposed expert must have at least three years work experience and at least one IEE, preferably of road.

The team leader must be well versed in environmental assessment process and procedures and must have at least five years of work experiences and at least two IEEs or EIAs, preferably of road.

The IEE team shall include the expertise from the following fields:

Forest and wildlife Landslides, slope stability and erosion: in the hilly terrain Drainage/ hydrology /flood: in the plain areas Road engineering

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Socio-culture-economy

IEE team can typically consist of three persons representing different field of expertise relevant to the environmental issues of the proposed sub-project. It is not necessary that an expert is needed in each of the above field; for example expertise related to landslides and erosion may not be necessary in the Tarai (plain area). Similarly presence of the PDE and SDC at the district headquarters may drastically reduce the amount of inputs from the road engineering and socio-culture-economy, as the IEE team can benefit from them.

8. Duration and reporting requirements

8.1 Duration

The consulting service for the proposed IEE shall be of two (2) months period effective from July .......2004. An indicative schedule of IEE works is given in Table below.

No. Activities Week1 2 3 4 5 6 7 8 9

1. Public notice publication ↓2. Orientation briefing ↓3. Desk study and Inception Presentation4. Consultation and briefing at district Hqrs ↓5. Walk-through survey /community consultations6. Collection of recommendations from

stakeholders (VDC, School, post office, etc)7. Discussion at district Hqrs (debriefing) ↓8. Analysis and interpretation9. Draft report preparation10. Submission of draft report ↓11. Comments on draft report12. Final Report Preparation13. Submission of the final report ↓14. Approval of the final report ↓

8.2 Reporting Requirement The consultant/ IEE team must prepare and submit the following reports,

an inception report within ten days of the effective date. This should contain, among other thing time, schedule for the IEE works, initial list of potential environmental problems as well as opportunity for the environmental enhancement in the sub-project context, and environmental checklist for the use in the sub-project.

initial draft report for review by the DDC and RAIP within six week of the effective date.

draft final report for review by the MoLD within a week of the comments received from the DDC and RAIP on the initial draft report.

final report within a week of the comments received from the MoLD on the final draft report.

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REFERENCES1. ADB, 2003. Asian Development Bank's Policy on Involuntary Resettlement III.2. Environmental Protection Act, 20533. HMGN, 1997. Environmental Management Guidelines, Ministry of Works and

Transport, DoR, Geo-Environmental Unit.4. HMGN, 1998. Proposed Social and Environmental Monitoring and Evaluation Systems

for Agricultural Rural Roads, NEP/96/ADB/TA No 1556. DoLID.5. HMGN, ADB, FINNIDA 1990. Road Maintenance Manual of Forest and Rural Road in

the Mid-Hills of Nepal, Hill Forest Development Project.6. HMGN, 2002. Public Works Directives, PWD Management Unit, MoPPW.7. HMGN, 2000. Environmental Assessment in the Road Sectors, Policy Document, DoR.8. HMGN. Tenth Plan, National Planning Commission.9. HMG/CBS, 2001. Statistical Year Book of Nepal 2001, HMG/NPC, Central Bureau of

Statistics, Kathmandu Nepal.10. HMGN/IUCN, 2057 B.S. Small Rural Infrastructure Project Environmental Guidelines,

Ministry of Local Development, Kathmandu, Nepal.11. Land Acquisition Act, 203412. Land Acquisition Regulation 202613. Land Measurement Act, 205814. Local Self –Governance Act, 205615. REDP, 1997. Environmental Management Guidelines, Rural Energy Development

Program, NEP/95/016, UNDP.16. SchEMS, 2000. Socio-Technical Report of the Project Baghbazar-Bagarkot Rural Road,

Dadeldhura, DoR, MoWT.17. World Bank, 2003. World Bank's Policy on Involuntary Resettlement, World Bank.18. World Bank, 2003. World Bank's Guidelines on Indigenous People, World Bank19. The Constitution of the Kingdom of Nepal, 204720. Public Road Act, 203121. Forest Act, 204922. Explosive Material Act, 201823. Environmental protection Regulation, 205424. National Civil Code, 202025. Information Sector Research and Study Centre, 2001. District Development Profile of

Nepal, 2001, Information Sector Research and Study Center, Kathmandu

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