Environmental and Social

Management Framework

Nepal Urban Governance and Infrastructure Project

August 2020

i

TABLE OF CONTENTS

ACRONYMS ..................................................................................................................... iv

EXECUTIVE SUMMARY .................................................................................................. vi

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

1.1. Project background ............................................................................................................................ 1

1.2. Rationale and Objective of ESMF .................................................................................................... 2

2. ENVIRONMENTAL AND SOCIALREGULATIONS AND POLICY FRAMEWORK ........... 3

2.1. National and International Laws/Conventions .............................................................................. 3

2.2. International Conventions ............................................................................................................... 4

2.3. World Bank Safeguard Policies ....................................................................................................... 4

2.4. Comparison of GoN and World Bank Policies ................................................................................5

3. KEY ENVIRONMENTAL AND SOCIAL CONDITIONS IN THE CLUSTER

MUNICIPALITIES ............................................................................................................ 9

4. ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK (ESMF) ................ 10

4.1. Environment and Social Risk Management Procedure ................................................................ 10

4.1.1. Environmental and Social Screening .................................................................................... 10

4.1.2. Scoping ................................................................................................................................... 11

4.1.3. Project categorization ............................................................................................................ 12

4.1.4. Establishment of Baseline Condition ................................................................................... 12

4.1.5. Analysis of Alternative ........................................................................................................... 14

4.1.6. Impact Assessment ................................................................................................................ 14

4.1.7. Mitigation Measures for Identified Impacts and Guide to ESMP ...................................... 18

4.1.8. Stakeholder Consultation ...................................................................................................... 19

4.1.9. Preparation of ESIA/ESMP Report ...................................................................................... 19

4.1.10. Environmental Mitigation and Enhancement Management Plan ................................... 20

4.1.11. Approval and Implementation of Site-specific ESMP ....................................................... 23

4.1.12. Environmental and Social Monitoring of Management Plans ......................................... 23

4.1.13. Applicability of ESMF on Associated Projects .................................................................. 23

4.1.14. List of Ineligible Sub-Projects ............................................................................................ 23

4.1.15. LIPW subprojects ................................................................................................................ 23

4.1.16. Legal Contract for E&S Compliance .................................................................................. 24

4.1.17. Subproject Monitoring ........................................................................................................ 24

4.2. Specific labor and OH&S-related considerations in the context of COVID-19 .......................... 24

4.3. Considerations where CERC is activated ...................................................................................... 26

5. RESETTLEMENT POLICY FRAMEWORK (RPF) ........................................................ 27

5.1. Principles of RPF .............................................................................................................................27

5.2. Land & Asset Acquisition ................................................................................................................27

5.2.1. Involuntary Land Acquisition .............................................................................................. 28

5.2.2. Acquisition of Land through Negotiations ......................................................................... 29

5.2.3. Voluntary Land Donation .................................................................................................... 30

5.2.4. Loss of other Assets ............................................................................................................... 31

ii

5.3. Preparation of RAP ........................................................................................................................ 32

5.4. Entitlement Policy Matrix ............................................................................................................. 32

5.5. Monitoring and Reporting of RAP ................................................................................................ 39

5.6. Stakeholder Consultation and Grievance Redress ....................................................................... 39

6. VULNERABLE COMMUNITY DEVELOPMENT FRAMEWORK (VCDF) ...................... 40

6.1. Classification of Vulnerable Groups in Nepal ............................................................................... 40

6.2. Baseline of Vulnerable Groups in Nepal ........................................................................................ 41

6.3. Preparation of VCDP for the sub-projects .................................................................................... 42

6.4. Potential Impacts and Identification of Mitigation measures ..................................................... 43

6.5. Consultation and Information Disclosure .................................................................................... 45

6.6. Institutional Responsibilities ........................................................................................................ 46

6.7. Stakeholder Consultation and Grievance Redress ....................................................................... 46

7. SEA/SH RISK MITIGATION ACTION PLAN ................................................................ 47

7.1. Need and Purpose ........................................................................................................................... 47

7.2. Legal and policy environment for women’s safety ....................................................................... 47

7.3. Recommended Actions to Adddress SEA/SH Risks .................................................................... 48

8. STAKEHOLDER ENGAGEMENT AND CONSULTATION FRAMEWORK ..................... 51

8.1. Existing Stakeholder Engagement Process .................................................................................... 51

8.2. Stakeholder Mapping..................................................................................................................... 52

8.3. Mechanism for Consultation ......................................................................................................... 53

8.3.1. Subproject Identification Stage ........................................................................................... 53

8.3.2. Planning/Design Stage ........................................................................................................ 54

8.3.3. Implementation Stage ..........................................................................................................55

8.3.4. Post-construction Stage ........................................................................................................55

8.4. Information Disclosure...................................................................................................................55

8.5. Adapting stakeholder consultions to COVID-19 .......................................................................... 56

9. GRIEVANCE REDRESS MECHANISM ........................................................................ 58

9.1. Existing Grievance Redress Process .............................................................................................. 58

9.2. Establishing Grievance Redress Mechanism................................................................................ 58

9.3. Channels and procedures for receiving and addressing grievances............................................ 58

9.4. Functions of GRCs ......................................................................................................................... 59

9.5. Other Mechanism for Grievance Redress ..................................................................................... 60

9.6. GRM considerations for the COVID-19 context ........................................................................... 60

10. INSTITUTIONAL ARRANGEMENT FOR ESMP IMPLEMENTATION ........................ 61

10.1. Institutional Assessment for E&S Sections/Departments .......................................................... 61

10.1.1. Existing Institutional Capacity ............................................................................................ 61

10.1.2. Capacity Development ......................................................................................................... 61

10.2. Proposed Institutional Arrangement .......................................................................................... 62

ESMP Implementation Structure and Stakeholers Responsibility ................................................... 119

iii

List of Appendix

Appendix A: Land use map of 17 Municipalities .................................................................................................... 64

Appendix B: Consultation with municipalities ........................................................................................................ 72

Appendix C: Templates for Environmental & Social Screening Checklist / ......................................................... 110

Appendix D: Initial scoping for subprojects........................................................................................................ 113

Appendix E: Environmental & Social Mitigation Measures ................................................................................. 117

Appendix F: Contents of the Resettlement Action Plan ........................................................................................ 129

Appendix G: Assessment of Institutional Capacity ............................................................................................... 131

Appendix H: Summary Environmental and Social Conditions in the Cluster Municipalities ............................... 142

Appendix I: Summary Information on the Type of Baseline Indicators ................................................................ 150

Appendix J: List of Ineligible Sub-Projects ........................................................................................................... 158

Appendix K: COVID-19 considerations in construction/civil works projects ........................................................... 0

List of Figures

Figure 4-1:Flowchart for conducting ESIA ........................................................................................................... 10

Figure 6-1: Composition of Madhesi Caste Groups .............................................................................................. 42

Figure 8-1: Project identification Process through Stakeholder Engagement ........................................................ 52

Figure 9-1: Grievance Redress Process ................................................................................................................. 59

Figure 10-1: Coordination of Proposed Project Implementation Mechanism ....................................................... 63

List of Tables

Table 2-1List of National Policies, Rules, Laws, Regulations, Relevant to the Project .......................................... 3 Table 2-2 Listof International Conventions, Relevant to the Project ..................................................................... 4 Table3-1: Key Environmental and Social Issues in the Eastern and Western Cluster Municipalities ...................... 9 Table 4-1: Description of Social Baseline Information required for the Project ................................................... 12 Table 4-2: Anticipated Environmental and Social Impacts due to Development of Sub-projects ......................... 15 Table 4-3: Anticipated Social issues pertaining to the project ............................................................................. 17 Table 4-4.Template Environnemental Mitigation & Enchancement Management Plan ....................................... 20 Table 5-1: Entitlement Matrix applicable for the Project .................................................................................... 35 Table 6-1: Classification of Indigenous People on development ......................................................................... 41 Table 6-2: Population of Indigenous People in project specific districts ............................................................. 41 Table 6-3: Potential Impacts and Mitigation measures ...................................................................................... 43 Table 7-1.Recommended actions to address SEA/SH Risks ...................................................................... 48 Table 8-1: Stakeholder Mapping and Consultation ............................................................................................. 52 Table 10-1. Capacity Development Training Requirement ................................................................................. 62

iv

ACRONYMS

ADB Asian Development Bank

ARAP Abbreviated Resettlement Action Plan

CERC Contingency Emergency Response Component

CDO Chief District Officer

DCC District Coordination Committee

DFO District Forest Officer

DHM Department of Hydrology and Meteorology

DoE Department of Environment

DoR Department of Roads

DSC Design and Supervision Consultant

DUDBC Department of Urban Development & Building Construction

EA Environmental Assessment

EIA Environmental Impact Assessment

EMP Environmental Management Plan

EPR Environmental Protection Rules

ESMF Environment & Social Management Framework

ESMP Environment and Social Management Plan

FGD Focus Group Discussion

FUG Forest User Groups

GDP Gross Domestic Product

GESI Gender equality and social inclusion

GIS Geographic Information System

GoN Government of Nepal

GRM Grievance Redress Mechanism

IDA International Development Association

IEE Initial Environmental Examination

IP Indigenous Peoples

IUCN International Union for Conservation of Nature

JICA Japan International Cooperation Agency

LACP Land Acquisition and Compensation Plan

LIPW Labor-Intensive Public Works

LRUC Local Road Users Committee

MoFE Ministry of Forests and Environment

MoUD Ministry of Urban Development

NEFIN Nepal Federation of Indigenous Nationalities

NGO Non-Governmental Organizations

NUGIP Nepal Urban Governance and Infrastructure Project

NTFP Non-timber forest products

OH&S Occupational Health and Safety

OP Operational Policy

PAF Project Affected Family

PAH Project Affected Household

PAP Project Affected People

PCO Project Coordination Office

PIA Project Influence Area

PIU Project Implementation Unit

PIM Project Implementation Manual

v

PPE Personal Protective Equipment

RAP Resettlement Action Plan

RoW Right of Way

RPF Resettlement Policy Framework

SA Social Assessment

SEA/SH Sexual Exploitation and Abuse/Sexual Harassment

SECF Stakeholder Engagement & Consultation Framework

SHG Self Help Group

SIA Social Impact Assessment

SMO Social Mobilization Officer

SMP Social Management Plan

TOR Terms of Reference

UDGs Urban Development Grants

UDST Urban Development Support Teams

USD United States Dollar

VCDP Vulnerable Community Development Plan

VCDF Vulnerable Community Development Framework

VDC Village Development Committee

VGs Vulnerable Groups

WB World Bank

vi

EXECUTIVE SUMMARY

Nepal has recently transitioned from a unitary to federal government system, comprised of three tiers of

government with seven provinces and 753 local governments for which new legislation, institutions, and

administrative procedures are being formalized as constitutionally prescribed. To enable the federal

implementation process and to support municipalities in the efficient provision of assigned service delivery

responsibilities in the context of rapid urbanization, the proposed Nepal Urban Governance and Infrastructure

Project (NUGIP) to be implemented by the Ministry of Urban Development (MoUD) with support from the World

Bank aims to address two main challenges under the new federal context: (i) limited institutional systems and

capacities of municipalities; and (ii) critical gaps in core municipal services and infrastructure.

The development objective of NUGIP is to strengthen the institutional and fiscal capacities of participating

municipalities for strategic municipal infrastructure and service delivery. The proposed project comprises five

components:

Component 1: Urban Development Grants (UDGs)for strategic municipal infrastructure and service

delivery(International Development Association (IDA) allocation of US$ 115 million). This component will

provide UDG to participating municipalities for financing strategic municipal infrastructure sub-projects focusing

on, amongst others, rehabilitation and improvements in municipal roads, drainage, drinking water supply and

onsite sanitation, as well as associated design and implementation support.

Component 2 Institutional strengthening of participating municipalities(IDA financing: US$7 million). This

component will focus on strengthening institutional systems and capacities of participating municipalities for

improved urban management and service delivery.

Component 3: Support to municipalities for COVID-19 Recovery (Total financing: US$20 million). This

component provides support and relief to vulnerable groups in the target municipalities to help mitigate the short

and medium negative impact of the COVID 19 crisis through rapid labor-intensive public works (LIPW).

Component 4: Contingency Emergency Response (Total financing: US$0 million). The proposed project includes

a Contingent Emergency Response (CER) component to respond rapidly at the Government’s request in the event

of an eligible disaster, including climate-related events and pandemics.

Component 5: Project management and coordination (IDA financing: US$8 million). This component will provide

support to the MoUD for managing, coordinating and monitoring the implementation of the proposed Project, and

also for enhancing its federal policy and regulatory role for urban development.

NUGIP will support municipalities located in two strategic urban clusters: Eastern-Terai region (Provinces 1 and

2) and Western region (Provinces 4 and 5). The eastern region includes 9 municipalities of Itahari-

Mechinagarcorridor and the central region includes 8 municipalities of Pokhara economic corridors.17

municipalities were selected as recipients of resources for municipal infrastructure and service delivery

investments. Four additional municipalities in the Central-Hill cluster were included for the capacity building

program under Component 2. 12municipalitiesparticularly identified for this activity by the Government will

supported for COVID-19 response and recovery activities under Component 3.

The present Environmental and Social Management Framework (ESMF) has beenprepared to assist in the

screening, identification, and assessment of environmental and social risks applicable to the environmental and

social requirements of the Government of Nepal (GoN) and the World Bank during the sub-project design,

implementation and operation phases. It includes a Resettlement Policy Framework (RPF), a Vulnerable

Community Development Framework (VCDF), Sexual Abuse and Exploitation/Sexual Harassment (SEA/SH)

Risk Mitigation Action Plan, and a Stakeholder Engagement and Consultation Framework (SECF).The framework

provides guidanceon the procedures to be followed for mitigation of impacts, along with roles and responsibilities

of the implementing agencies. The ESMF presents detailed guidelines and formats for carrying out these

activities.

UnderNUGIP, the municipalities are responsible for identification of sub-projects, with the engagement of

citizens, preparation of sub-project description, “screening” and “analysis of alternatives”. Based on these and

other relevant documents, the Project Coordination Office (PCO) along with the municipality will assess the need

vii

for further environmental and social assessment (e.g., IEE/ ESIA). The schedules as per the Environment

Protection Rules will be the guiding document for categorizing the project and assessing the requirements for IEE/

EIA. The ESMF, which integrates Nepal’s laws and regulations on social and environmental safeguards, and the

Bank’s policies as well, shall be used to determine location specific issues for screening as well as defining scope

for the sub-project.

The major activities to be carried out for IEE and ESIA include: (i) Identification and selection of proposed sub-

projects and the sites based on results of screening and scoping; (ii) Establishment of baseline environmental &

social conditions; (iii) Assessment, prediction and evaluation of environment and social impacts; (iv) Analysis of

alternatives; (v) Identification of mitigation measures and preparation of ESMP;(vi) Public consultations and

information dissemination;(vii) Monitoring and preparation of Environmental and Social Monitoring reports; and

(viii) Institutional arrangements and capacity building

The resettlement activities envisaged under the project aims to assist, resettle and rehabilitate the affected persons

on account of the variousproject interventions in a manner that would improve or at the minimum, retain their

previous standard of living, earning capacity and production levels. Specifically, the Resettlement Policy

Framework (RPF) has been developed to guide detailed resettlement planning to address land acquisition and

resettlement impacts. This framework establishes the procedures for land acquisition and resettlement, the

compensation principles, organizational arrangements to be applied to meet the needs of the people who may be

affected by the project activities in terms of loss of land, shelter, assets or livelihoods, and/or loss of access to

economic resources. The RPF has been prepared in accordance with the national regulations as well as the

operational policies of the World Bank, especially OP/BP 4.12: Involuntary Resettlement.

The objective of the Vulnerable Community Development Framework (VCDF) is to guide the preparation of the

Vulnerable Community Development Plan (VCDP) for the sub-projects where there are vulnerable communities,

particularly indigenous people, present in and have collective attachment to the project area. The impact on

vulnerable communities and the need of a VCDP will be identified through a social screening process. If a VCDP

is deemed to be necessary, the plan will be prepared based on the findings of the Social Assessment and will also

involvefree, prior and informed consultation. Additionally, a Sexual Exploitation and Abuse/Sexual Harassment

(SEA/SH) Risk Mitigation Action Plan which provides guidance for addressing SEA/SH risks in sub-projects is

also provided in the ESMF.

A good communication strategy among the institution and community needs to be established to ensure that the

project is implemented in a sustainable manner. There are two key objectives of Stakeholder Engagement and

Consultation Framework (SECF). First, it is to keep all stakeholders informed of the project activities, the

potential beneficial and adverse impacts. Second, it is to ensure that stakeholders actively participate in all levels

of the project cycle, i.e., they are able to share and provide inputs in the preparation and implementation of project

activities, including safeguards management; engaged in implementation and monitoring activities, where

relevant; and are well-trained and equipped to take over the responsibilities of operation and management once the

project phases out. Consultations on social and environmental issues carried out during implementation of

subprojects will be done in an inclusive manner and with active participation from women representatives,

communities and vulnerable social groups. To help support the capacity building of local governments, existing

local mechanisms will be used for engaging with stakeholders. The SECF also outlines the disclosure

requirements for the project. The ESMF waspublicly disclosed on the websites of the GoN and the World Bank on

October 18 and 17, 2019 respectively. Likewise, all the other instruments prepared under the project will be

similarly disclosed.

The ESMF also outlines the Grievance Redress Mechanism (GRM) set up for the project. The GRM will be a

three-tiered but an integrated mechanism for addressing complaints and feedback. The structure as well as

procedures for the GRM will draw on the existing mechanisms and processes established at the local level to help

strengthen the capacity of these local systems.

MoUD has set up a project coordination office (PCO) under the Department of Urban Development and Building

Construction (DUDBC) for NUGIP in Kathmandu, and a Project Implementation Unit (PIU) will be established in

each municipality for project implementation in the field. To ensure that the investment sub-projects are

viii

efficiently implemented,and completed in accordance with environmental and social safeguards requirements,

technical assistance will be delivered through a Design and Supervision Consultancy (DSC). The role of the

PIU/DSC includes implementation of the ESMPs, RAPs and VCDPs.

This ESMF has been revised to additional environmental and social risks and impacts arising as a result of the

COVID-19 pandemic, and as well as to addres potential risks and impacts arising under theadded component for

LIPW, added to provide support and relief to vulnerable groups in target municipalities to help mitigate the short

and medium term impacts of COVID-19. Guidance has been provided to address occupational health and safety

risks and impacts to workers,and considerations for adapting citizen engagement and stakeholder engagement

requirements to the COVID-19 context have also been included. This ESMF does not address risks and impacts in

relation to the CER component (CERC), given that the type of likely emergency and indicative list of activities

that will be required under CERC cannot yet be determined. Environmental and social screening of activities

under Component 4 (CERC) will follow the procedures outlined in the ESMF and in the CER Implementation

Manual. In case new activities are identified for the CERC when triggered that go beyond the scope of the ESMF,

then the ESMF will be updated as needed and redisclosed.

1

1. INTRODUCTION

1.1. Project background

The Project Development Objective of the Nepal Urban Governance and Infrastructure Project (NUGIP) isto

strengthen the institutional and fiscal capacities of participating municipalities for strategic municipal

infrastructure and service delivery.

The proposed NUGIP is comprisedof the following five components:

Component 1: Urban Development Grants (UDGs) for strategic municipal infrastructure and service

delivery (International Development Association (IDA) allocation of US$ 115 million). This component will

provide UDG to participating municipalities for financing strategic municipal infrastructure sub-projects

focusing on, amongst others, rehabilitation and improvements in municipal roads, drainage, drinking water

supply and onsite sanitation, as well as associated design and implementation support. The component will

support the operationalization of Nepal’s first urban sector conditional grant (UDG) system, that focuses

exclusively on strategic municipal infrastructure and service delivery improvement at the local level. The UDG

allocations have been determined based on an objective and transparent allocation formula1, and will allow

municipalities to develop their multi-year municipal investment program in year 1. Municipalities will identify,

design and implement identified subprojects in line with the guidelines and procedures outlined in the Project

Implementation Manual (PIM). The component, through the design and implementation support will help the

participating municipalities in developing robust contract structuring and implementation modalities to attract

private sector participation for construction as well as operations and maintenance of the municipal

infrastructure, to the extent feasible.

Component 2 Institutional strengthening of participating municipalities(IDA financing: US$7 million). This

component will focus on strengthening institutional systems and capacities of participating municipalities for

improved urban management and service delivery of, amongst others: (a) integrated urban development

planning; (b) OSR mobilization; (c) municipal FM, procurement, and contract management; (d) citizen

engagement and gender inclusion; (e) urban infrastructure asset management system and (f) institutional

performance monitoring and reporting system for municipalities. In addition to these six core urban management

areas, the technical assistance will also include dedicated support to the municipalities in the context of the

COVID 19 pandemic, including in: (i) Support to Business Continuity Plans to allow municipalities to maintain

and operate key municipal functions during the short and medium term as their staff and finances are affected by

the crisis, (ii) Mapping of particular vulnerable/high risk/highly impacted zones within the cities, (including

informal settlements) and provide targeted interventions, (iii) Communication and awareness raising campaigns

on actions to limit the risks for exposure and spread of virus, including handwashing, and (iv) Support to design

targeted interventions to help reduce the risk of spread of the virus. The specific TA can be tailored to meet the

needs of the municipality.

Component 3: Support to municipalities for COVID-19 Recovery (Total financing: US$20 million). This

component provides support and relief to vulnerable groups in the target municipalities to help mitigate the short

and medium negative impact of the COVID 19 crisis through rapid labor-intensive public works (LIPW).

Thiscomponent will finance (i) payment of wages for unskilled labor to undertake temporary employment in

participating municipalities, (ii) expenses for tools and materials for the implementation of such projects, and

(iii) expenses related to management of the LIPW (consultations, administration, and supervision).Target

beneficiaries for the LIPW will be individuals from poor and vulnerable households. Participants will be

provided with appropriate training on construction methods, where required, and specific occupational health and

safety measures, including the use of protective personal equipment. The selection process for beneficiaries will

specifically cater to supporting vulnerable groups including the elderly, physically challenged, minorities and

disadvantaged groups. The LIPW subprojects will require a minimum percentage representation of female

workers; The criteria and other guidance for targeting beneficiaries will be detailed in the PIM.

1 The agreed sectoral allocation formula is: 50 percent weightage for population; 30 percent weightage for equal share; 10 percent weightage for area of the municipality; and 10 percent weightage for infrastructure gap.

2

Component 4: Contingency Emergency Response (Total financing: US$0 million). The proposed project

includes a Contingent Emergency Response (CER) component to respond rapidly at the Government’s request in

the event of an eligible disaster, including climate-related events and pandemics. This Component will finance

the implementation of emergency infrastructure reconstruction, rehabilitation and associated studies (Emergency

Response Activities). Resources will be allocated to this component as needed by the project during

implementation. Disbursements will be made against a preestablished list of critical goods or the procurement of

goods, works, and consultant services required to support the immediate response and recovery needs of the

GoN. A separate Implementation Manual for this component will be prepared by the GoN and will provide

detailed guidelines and instructions on how to trigger the CER component and use funds.

Component 5: Project management and coordination (IDA financing: US$8 million). This component will

provide support to the MoUD for managing, coordinating and monitoring the implementation of the proposed

Project, and also for enhancing its federal policy and regulatory role for urban development.

In order to ensure the long-term sustainability of the projects supportedunder NUGIP, the Environmental and

Social Management Framework (ESMF) has been prepared. It is the guiding document to integrate the

environmental and social safeguards at subproject level through appropriate measures during the planning,

design, construction and operation phases of various activities of NUGIP. The framework will help identify the

adverse environment and social impacts and provide specific guidance on the policies and procedures to be

followed for Environmental and Social Impact Assessment (ESIA) and preparation of site-specific safeguards

management plan (e.g., ESMP, RAPs, etc), inclusive of the roles and responsibilities of the implementing

agencies.

At the time of revising the ESMF, detailed design of the LIPW had not be determined. Once detailed design has

been confirmed, this ESMF will be updated in order to provide guidance to municipalities in addressing

subproject environmental and social risks and impacts.

1.2. Rationale and Objective of ESMF

The Environmental and Social Management Framework (ESMF) is prepared to assist in screening, assessment,

management of environmental and social risks of the project at an early stage in project planning and integrate

mitigation measures during the subproject design, implementation and operation. The framework will help

provide specific guidance on the policies and procedures to be followed for environmental and social assessment

along with roles and responsibilities of the implementing agencies. A systematic methodology has been provided

in ESMF that can be followed along with engineering and institutional interventions required for the sub-project

activities to effective integration of the environmental and social safeguards.

The objective of ESMF is to frame guidelines and procedures to address environmental and social impacts

associated with the implementation of this project. The specific objectives are as follows:

• Ensure that the environment and social management plans are aligned with the requirements of the

country system as well as with the World Bank safeguard requirements

• Outline the process identify and assess the environmental and social risks/ impacts/ issues relevant to

the proposed project

• To establish clear procedures and methodologies for the environmental and social screening, review,

approval and implementation of sub-projects to be financed under the Project

• To ensure that mitigation measures are designed to effectively mitigate the potential adverse social and

environmental impacts

• To specify appropriate roles and responsibilities at the national and municipal levels, taking into

consideration the law on federalization, and outline the necessary procedures for managing and

monitoring environmental and social concerns related to sub-projects, and report on the same

• Strengthen the institutional capacity of the ULGs on safeguards management and compliance.

3

2. ENVIRONMENTAL AND SOCIALREGULATIONS AND POLICY FRAMEWORK

2.1. National and International Laws/Conventions

Table 2-1 and 2-2 list thenational lawsand international conventions pertinent to the project components and sectors

covered under NUGIP which are required during the process of carrying out ESIA and preparation of ESMP, RAP, VCDP,

and other relevant instruments under the project.

Table 2-1List of National Policies, Rules, Laws, Regulations, Relevant to the Project

1. Constitution of Nepal

2. Ancient Monument Protection Act 1956

3. Aquatic Animal Protection Act 1961

4. Environment Protection Act 1997 (2053 BS)

5. Explosive Act 1961 as Amended

6. Forest Act 1993

7. Labor Act 2017

8. Land Acquisition Act, 1977 (and amendments 2010) and Land Acquisition Regulations, 1969

9. Land Reform Act 1964

10. Local Government Operation Act 2017

11. Motor vehicle and Transport Management Act, 2049

12. National Foundation for the Development of Indigenous Nationalities Act 2002,

13. National Park and Wildlife Conservation Act, 1972 and amendments 1992

14. Plant Protection Act 2007

15. Public Road Act, 1974 and amendment 2010

16. Road Board Act 2059

17. Soil and Watershed Conservation Act, 1982 and Subsequent Amendment

18. Solid Waste Management Act 2011 and Solid Waste management Rules 2013

19. Water Resources Act 1992

20. Wildlife Conservation and Trade Act 2004

21. Drinking Water Service Charge (Recovery) Rules 1994

22. Buffer Zone Management Rules, 2052 (1996)2

23. Environment Protection Rule 1997 (2054 BS) as amended

24. Forest Rules 1995

25. Water Resources Regulations 1993

26. Wildlife Reserve Rules 1977

27. 20 Year Road Plan, 2059 –2079BS (2002-2022AD)

28. 2002, National Dalit Commission 2002

29. Forest Policy 2015

30. Hydropower Development Policy 2001

31. Land Acquisition, Resettlement and Rehabilitation0 Policy for Infrastructure Development Project 2014

32. National Biodiversity Strategy and Action Plan (NBSAP) 2014-2020

33. National Environmental Standards Information Booklet 2018

34. National Human Rights Action Plan 2005, National Women Commission

35. National Ramsar Strategy and Action Plan 2018-2024

36. Public Works Directive 2002

37. Work Procedure to Provide Forest Area for other Purposes, 2006

38. EIA guidelines for human settlement and Urban Development Sector 1996

39. EIA guidelines for Road Sector 1994

40. EIA guidelines for Sanitary Landfill Site 1996

41. EIA guidelines for Water Supply sector 1995

42. National EIA guidelines 1993

43. Operational Guideline for mainstreaming GESI in MoUD

44. Solid Waste Management Technical Guideline for Municipalities of Nepal

2These rules will be evaluated case by case for Sub Projects. In exercise of the powers conferred by the Section-33 of the National Parks and Wildlife

Conservation Act, 1973, Government of Nepal has framed the Rules. This Regulation aims at a proper management of the buffer zone. To this end it

provides: (a) for the division of the area into units, on the basis of its status, extent and users' settlement; and (b) for the preparation of a buffer zone management work plan for community development, environmental conservation and rational utilization of forest resources. The plan shall be submitted

to the Department of National Parks and Wildlife Conservation and shall include all the provisions listed in Part. Rule 17 - Gha of this regulation restricts

introduction of harmful chemicals, poison or explosive in to river or water sources located inside buffer zones. However, use of these materials for development of physical infrastructures with permission is not prohibited.

4

2.2. International Conventions

Table 2-2Listof International Conventions, Relevant to the Project

1. Convention on Biological Diversity, 1992)

2. Ramsar Convention 1971 (Convention on wetland of international importance)

3. Convention on the International Trade in Endangered Wild Fauna and Flora (CITES), 1975

4. United Nations Framework Convention on Climate Change, 1992

5. International Tropical Timber Agreement, 2006

2.3. World Bank Safeguard Policies

Table 2-3.World Bank Safeguard Policies relevant to Project

World Bank’s

OP/ BP

Objective & Brief Description

Environmental

Assessment (EA)

OP/BP 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 an EA indicating the

potential risks, mitigation measures and environmental management framework or plan.

Natural Habitats

OP/BP 4.04

The 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.

Forestry OP/BP

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

Physical Cultural

Resources

OP/BP 4.11

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.

Involuntary

Resettlement

OP/BP 4.12

Key objectives of the policy is 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 must

be prepared. An abbreviated plan may be developed when less than 200 people are affected by the

project. In situations, where the precise impacts cannot be assessed during project preparation,

provision is made for preparing a Resettlement Policy Framework. The Resettlement Action Plan /

Resettlement Policy Framework 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

Indigenous

Peoples OP/BP

4.10

Key objectives of the Indigenous Peoples policy are to:

1. ensure that indigenous people affected by World Bank funded projects have a voice in project

design and implementation;

2. ensure that adverse impacts on indigenous peoples are avoided, minimized or mitigated; and

3. ensure that benefits intended for indigenous peoples are culturally appropriate.

The policy is triggered when there are distinct, vulnerable, social and cultural groups in the project

area possessing the following characteristics in varying degrees:(a) self-identification as members of a

distinct indigenous cultural group and recognition of this identity byothers;(b) collective attachment to

geographically distinct habitats or ancestral territories in the project area and tothe natural resources in

5

World Bank’s

OP/ BP

Objective & Brief Description

these habitats and territories; (c) customary cultural, economic, social, or political institutions that are

separate from those of the dominantsociety and culture; and(d) an indigenous language, often different

from the official language of the country or region.When this policy is triggered, an Indigenous

Peoples Development Plan is to be prepared to mitigate the potential adverse impacts or maximize the

positive benefits of the

Gender and

Development OP

4.20

The prime objective of the Gender and Development policy is to assist member countries to reduce

poverty and enhance economic growth, human well-being, and development effectiveness by

addressing the gender disparities and inequalities that are barriers to development, and by assisting

member countries in formulating and implementing their gender and development goals. In sectors

and thematic areas where the Country AssistanceStrategy has identified the need for gender-

responsive interventions, the Bank's assistance to the country incorporates measures designed to

address this need. Projects in these sectors and thematic areas are designed to adequately take into

account the gender implications of the project. Preparation of a Gender Action Plan and its

implementation should be ensured by each project undertaken with Bank support.

Safety of Dams

OP/BP 4.37

The policy triggered when Bank finances new dam project or existing dam on which project is directly

dependent. In cases where the bank financed project depends on the existing dam or a DUC then the

Bank requires that the borrower arrange for one or more independent dam specialists to (a) inspect and

evaluate the safety status of the existing dam or DUC, its appurtenances, and its performance history;

(b) review and evaluate the owner's operation and maintenance procedures; and (c) provide a written

report of findings and recommendations for any remedial work or safety-related measures necessary to

upgrade the existing dam or DUC to an acceptable standard of safety. Necessary additional dam safety

measures or remedial work may be financed under the proposed project.

International

Waterways

OP/BP 7.50

The policy requires project state to notify other riparian of the proposed project and the intended

impact on water rights.

This policy applies to the following types of international waterways:

(a) any river, canal, lake, or similar body of water that forms a boundary between, or any river or

body of surface water that flows through, two or more states,

(b) any tributary or other body of surface water that is a component of any waterway described in (a)

above.

2.4. Comparison of GoN and World Bank Policies

Table 2-4: Gap Analysis of GoN and World Bank Policies

Category

Government of Nepal

(GoN) Policy

World Bank (WB) Policy

Gaps between

GoN& WB policy

Recommendations to

Bridge the Gaps

A.

Environment

(Natural

Habitat &

Forest

including

terrestrial and

aquatic)

(OP/BP-4.01,

4.04 & 4.36)

Development Project

falling under

Environment Protection

Rule (EPR) criteria

should be subjected to

IEE/EIA as per the

schedules which are

based on nature of work

work, scale of project,

location and jurisdiction.

However, EIA is

required if any project

development site is

located within -

1. Historical, cultural

and archeological sites.

Environment Assessment

shall be carried out for

identifying potential risks

and adverse impacts, along

with mitigation measures;

Detail Environmental

Management Plan (EMP)

shall be prepared to

address all the policies

triggered related with

natural habitat and

physical, cultural

resources. The EMP shall

adequately address the

relevant issues.

Activities listed in

EPR Schedule 1

requires an IEE, and

those listed in

Schedule 2 requires

EIA. The Schedule

1 and 2 are based on

activity type,

threshold/size, as

well as location. The

Potential risks

associated with the

project are omitted

in GoN policy.

Hence,

Environmental &

Detailed E&S

Screening shouldbe

carried out in the

feasibility study of the

sub-projects followed

by detailed IEE/EIA-

ESMP in parallel with

the Detail Engineering

Design to bridge the

gap between WB and

GoN

requirements/approach.

The ESMP should seek

to to address all the

adverse environmental

impacts arise during

6

Category

Government of Nepal

(GoN) Policy

World Bank (WB) Policy

Gaps between

GoN& WB policy

Recommendations to

Bridge the Gaps

2. Environmentally weak

and wet Areas.

3. National parks, wild

life 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

Social (E&S)

Screening exercise

shall be carried out

to assess the

potential risk

associated with the

project before

selection of the

project proposal.

execution and operation

of the project.

The ESIA/IEE and

ESMP so prepared

should be made integral

part of bidding

document so that the

Contractor shall adhere

to the provisions

prescribed in the ESMP

during execution of the

project

B. Physical-

Cultural

Resources

(OP/BP-

4.11)

The EPR Rule 28 & 30

states that physical and

cultural resources shall

not be disturbed or

damaged without the

prior approval of

concerned authority.

OP 4.11 and their

application as an integral

part of the Bank’s

environmental assessment

(EA) process

“Chance find’ is not

covered by the EPR

requirements

E&S study should

include (a) measures to

avoid or mitigate any

adverse impacts on

physical cultural

resources; (b)

provisions for

managing chance finds

C.

Involuntary

Resettlement

and Loss of

Land/Structur

e

Crop/Income

Source

(OP/BP-4.12)

Clause 3 of the Land

Acquisition Act states

that any asset that is

required for public

purposes shall be

acquired by providing

compensation.

Compensation Fixation

Committee will establish

the Compensation rates.

Full compensation at

replacement cost for lost

assets shall be provided

according to asset types

and location.

Resettlement and

Rehabilitation assistance to

affected people shall be

provided by the project to

enable them to improve

their living standard.

As per OP 4.12 community

assets needs to be replaced

in consultation with the

community.

As per OP 4.12, all those

who are affected needs to

be assisted including

tenants and sharecroppers.

Full compensation for loss

of land/crop/ asset/income

source shall be provided.

The Land

Acquisition Act of

Nepal only has a

provision for cash

compensation based

on degree of loss. It

does not take into

account

vulnerability of the

affected person

upon losing the

land/asset.

GoNlaws have no

provision for

compensation to

non-titleholders

(i.e., those who do

not possess land

ownership

certificates e.g.

informal

leaseholders,

encroachers)

Factors to be

considered for

calculating

compensation are

not clearly defined

ESMF, inclusive of the

RPF,should include an

indicative entitlement

matrix which indicates

valuation and

associated

compensation for

titleholders and non-

titleholders.

ESMP for sub-projects

affecting livelihood or

economic resources

should also include

livelihood restoration

plan

Community assets need

to be replaced in the

same or better

condition than before.

Livelihood assistance

should be provided as

per criteria set by

ESMF, inclusive of the

RPF.

Entitlement matrix

should be drafted for

each project clearly

stating the rights of the

7

Category

Government of Nepal

(GoN) Policy

World Bank (WB) Policy

Gaps between

GoN& WB policy

Recommendations to

Bridge the Gaps

in the local

regulations

project affected people.

D. Indigenous

People &

Community

(IP&C)

(OP/BP-4.10)

Nepal’s constitution

includesprovisionsrelatin

g to the social security,

participation and

representation of

indigenous community.

National Foundation for

the Development of

Indigenous Nationalities

Act 2002 declares 59

Janjati as indigenous

Nepal Federation of

Indigenous Nationalities

(NEFIN), an

autonomous body, has

further classified these

groups as Endangered,

Highly marginalized,

marginalized,

disadvantaged and

advantaged groups based

on historical economic

and political

background.

In GESI policy, GoN

defines other vulnerable

groups beyond

indigenous and gender-

based groups

WB policies ensures free,

prior, and informed

consultation with the

affected indigenous people

to obtain broad community

support to the project.

Social Impact Assessment

should be carried out to

identity potential impacts

and prepare plan to ensure

that indigenous peoples

receive social and

economic benefits that are

culturally appropriate.

Procedure of free

and prior

consultation with

indigenous group is

not defined in the

local regulations of

Nepal. However,

free, prior and

informed consent

(FPIC) is recognized

in the United

Nations Declaration

on the Rights of

Indigenous Peoples

(UNDRIP) and ILO

Convention 169 to

which Nepal is a

signatory.

GoN does not have

a standalone policy

on Indigenous

Peoples and other

vulnerable

communities which

could have put

substantial emphasis

on bringing basic

services to the

disadvantaged and

indigenous people,

Dalits, women,

disabled and other

vulnerable groups.

At each sub-project

level, free prior

informed consultations

should be carried out

with the indigenous

community and other

vulnerable

communities to obtain

broad consent for the

project.

Project should prepare

Vulnerable Community

Development

Framework (VCDF)

based on community

needs of indigenous as

well as other vulnerable

communities.

E. Gender

Development

Through constitution of

Nepal, guidelines

prepared by National

Women Commission and

GESI guidelines looks

after gender issues and

barriers. These policies

also cover indicators for

monitoring progress of

plans on inclusion of all

genders.

Equal access should be

ensured to female members

as of the male members of

the society to the

opportunities created and

the activities performed by

Bank supported

development interventions.

Appropriate Plans and

policies should be

formulated and

implemented adhering to

the principles of free, prior

and impartial consultation

and participation of the

women throughout the

Disaggregated data

is not available.

Mainstreaming of

M&E of GESI

guidelines hasn’t

happened.

MoUD and DUDBC

don’t have active

GESI unit.

Municipalities does

have women

committees, but all

the issues are not

represented

holistically under

one unit

All government

departments should

collect disaggregated

data.

Where appropriate,

sub-projectsshould

prepare Gender

Empowerment

Plansand implement the

plan to ensure equal

access to various

opportunities created

by the project

8

Category

Government of Nepal

(GoN) Policy

World Bank (WB) Policy

Gaps between

GoN& WB policy

Recommendations to

Bridge the Gaps

project cycle.

9

3. KEY ENVIRONMENTAL AND SOCIAL CONDITIONS IN THE CLUSTER MUNICIPALITIES

Summary of Key Environmental and Social Issues

Table3-1: Key Environmental and Social Issues in theEastern and Western Cluster Municipalities3

Eastern Cluster Municipalities

Key Environmental issues

Birtamod Damak Urlabari SundarHaraicha Mechinagar Itahari Rajbiraj Triyuga Dhankuta

• High iron content in ground water • Threat to Sal trees

• Threats to dhanesh bird species

• Jaljale wetlands need protection

• Blockage of drainage system

(particularly in ward no 1,5,8,13)

• High iron content in ground water

• Solid Waste disposal on

river banks

• Flooding in Mawa,

Bakraha,

SunpakuwaKhola- and

land cutting at places

• High iron content in

ground water

• River bank erosion

• Flooding in Mechi,

Ninda, Timai, Hadiya

• High iron content in

ground water

• Chure -

Environmental

Protected Area

• Lack of drainage

system &

contamination of

water through

effluent discharge

from industries

• Depletion of water

resources

• Disposal of solid

waste on the

riverbanks/open field.

• High iron content in

groundwater, and

existing water supply

system unable to cater

to the demand for

water to growing

population

• Flooding in Khado

River

• Depletion of ground

water

• Pollution due to sewerage

disposal

• Flooding

• Deforestation in southern

part

• Landslide prone areas in

ward no 4,5,6,14,15,16

• Chure - Environmental

Protected Area

• Threat to

water body

due to siltation

• Depletion of

water sources

Social Baseline Condition

• Immigration rate 8-10%

• Poverty 7-10%

• High rates of child marriage

amongTarai caste, Muslim and

Adibasi groups

• Very High Immigration (5-7%)

• Child marriage high in poor

communities

• Limited threat to Dhimal community

• Ward 3,4, 9 has Dhimal community

dependent on forest

• Poverty 20%

• Child marriage common

in indigenous group and

Terai caste group

• Very High Immigration

• Poverty 10-12 %

• Child marriage in poor

in Chaudahry, Dum,

Jhangar, Bantar and

Musar communities

• Limited threat to Dhimal

community

• Ward 3,4, 9 has Dhimal

community dependent

on forest

• Poverty about 10% • Very High

Immigration (7-9%).

• Child Marriagehigh

among Taraidalits,

Muslims and Adibasi

groups

• Khanar, Budhikhola,

Sunsari-Morang

Irrigation Canal.

• There is proposal to

construct 6 lane road,

therefore diverting

canal land at the

TyandraKhola is

required

• Very High

Immigration 1:5 in

rural areas

• Poverty 30-40%

• Caste discrimination

• About 10% women

haveland owner

certificate due to

government tax

incentive policy.

• Child marriage is also

high among

marginalized

communities

• Very High Immigration

• Limited illegal mining

issue

• Ethnic communities

dependent to some extent

on fishing and forest

resources

• Presence of marginalized

vulnerable group Musar

and dalits in ward number

1,2,3,4,5,6,7,8,9,10,11,12,

13

• Very High

Immigration

• Aathpariya is

one of the

deprived

community

concentrated

in Ward no. 8

Western Cluster Municipalities

KeyEnvironmentalIissues

PokharaLeknath Vyas Putalibazar Baglung Tansen Ramgram Tilottama Shuklagandaki

• Flooding in Seti and Mardi River

• Ramsar Site- Lake Cluster of

Pokhara Valley

• Municipality boundary overlaps

with southern part’s Annapurna

Conservation Area

• Flooding in Madi&Seti River

• Water pollution in some stretches

• Flooding in

Aandhikhola,

sumrekhola, bodikhola,

ringikhola

• Water Pollution and

siltation especially

during rainy season

• During rainy season

there is problem of

flooding, water

pollution, siltation,

landslide

• During rainy season,

there is problem of

flooding, water

pollution, siltation,

landslide in nearby

areas of

Aandhikhola,

sumrekhola,

bodikhola, ringikhola

• Flooding in Tinahu

river

• Water pollution in

dug wells

• Flooding in Tinahu

river

• Water pollution in

dug wells

• Flooding in the rivers and siltation in rainy

season

• River pollution from crusher plants located

near the river

Key social issues

- • Poverty rate 20% • Poverty rate 25% • Poverty rate 35% • Poverty rate 15% • Immigration from

hilly region and

rural wards

• Poverty rate 30%

• Poverty rate of 15% • Poverty rate 20%

Source: Stakeholder consultation at Municipalities, Municipality Profiles, and data is based on the available data, the data should be updated as per the requirement of Project Operations Manual. Relevant data inAppendix A and I.

3 See detailed matrix in Appendix I

10

4. ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK (ESMF)

4.1. Environment and Social Risk Management Procedure

Under NUGIP, the municipalities are responsible for identification of sub-projects, and execution of sub-project

while integrating the Environmental and Social (E&S) safeguards issues. The guideline for effective integration of

the E&S safeguards is outlined in the ESMF. The ESMF details the procedure for the E&S Risk Assessment and

mitigation through instruments like ESIA, ESMP and RAP. The extent of the assessment is governed through

screening procedure. The flowchart for conducting ESIA is also presented in this figure.

Figure 4-1:Flowchart for conducting ESIA

4.1.1. Environmental and Social Screening

4.1.1.1. Environmental Screening

The environmental screening is the early identification of each sub-project’s potential impacts and a review of the

available environmental information and its surrounding Project Influence Areas (PIAs4) and the project’s potential

impacts (Appendix C). The PIA varies from sub-project to sub-project depending on its location and geographical

condition. The PIA is established with proper justification at the time of scoping process and also determined with

4As per World Bank OP 4.01, Project area of influence can be defined as: The area likely to be affected by the project,

including all its ancillary aspects, such as power transmission corridors, pipelines, canals, tunnels, relocation and access roads,

borrow and disposal areas, and construction camps, as well as unplanned developments induced by the project (e.g., spontaneous

settlement, logging, or shifting agriculture along access roads). The area of influence may include, for example, (i) the watershed

within which the project is located; (ii) any affected estuary and coastal zone; (iii) off-site areas required for resettlement or

compensatory tracts; (iv) the airshed (e.g., where airborne pollution such as smoke or dust may enter or leave the area of

influence); (v) migratory routes of humans, wildlife, or fish, particularly where they relate to public health, economic activities,

or environmental conservation; and (vi) areas used for livelihood activities (Hunting, fishing, grazing, gathering, agriculture,

etc.) or religious or ceremonial purposes of a customary nature.

11

the advice of environmental specialists and set out in the ESIAterms of reference by gathering preliminary idea

regarding the nature, extent, and phasing of environmental issues that would need to be handled during the

subsequent stages.The Zone of Influence (ZOI) varies according to the nature of project. As per Environmental

Protection Regulations (1997), the affected wards/rural municipality are considered as ZOI. This will be assessed

rationally based on the nature of sub project. Filling up theEnvironmental Screeningchecklist, category B sub

project EA requirements is the first step in the conduct of an ESIA and is provided in AppendixC.The following

steps are key to the screening.

• Confirm presence of environmentally sensitive areas from secondary information

• Site observations. If the sub project falls under ineligible category, avoid such sub projects. Only Category

B projects are eligible for funding under NUGIP5.

• Verify applicability of the GoN and the World Bank policies in sub-project activities

• Identify potential negative and positive direct or indirect impacts and provide clarity on issue, which needs

to be investigated under Category B EA type (for higher impact category requires ESIA, for medium

impact category requires abbreviated EMP and for lower impact category require Best Environmental

Practices-BEP).

• Incorporate feedback of public consultation and answers to published notice

• Comply with GoN specific EIA/IEE requirements in the EPA/EPR 1997

• Determine applicability of regulatory and policy and requirement of clearances and permissions

• Identify of key environmental concerns

• Scope Impact Assessment and Mitigations

4.1.1.2. Social Screening

Social screening is to be undertaken by the municipality with support from the relevant experts at planning stage in

all subprojects, which will provide necessary information on the potential social impacts likely to be encountered

during implementation. The nature of upgrading and new project requirements are characteristically different

therefore range and requirement of the social data varies accordingly. This screening will be carried out in close

consultation with various primary stakeholders such as roadside farmers, shopkeepers, indigenous community,

women and Dalits. The Social screening report will provide all information as determined by screening

questionnaire presented in AppendixC for the new project. For the upgrading project, the relevant experts will

develop the criteria applicable to the specific project. The screeningshould gather first stage information about the

subproject to identify:(i) beneficiary population living within various impact zones of the project based on distance;

(ii) extent of land required and number of land owners affected; (iii) impacts on poor and vulnerable groups

including needs and priority for social and economic betterment; (iv) willingness of people for voluntary land

donation; and v) other impacts. The screening report also should include information about the potential damage

and loss of common community structures such as resting place (Chautaro), water tank including pipelines,

religious cultural monumentsand sites, foot trail, Trial Bridge and so on. The results of the screening should include

the following.

• Determination of theapplicability of regulatory and policy instruments and the requirementsfor

clearance,permission, and notifications;

• Identification of key social concerns and vulnerable groups

• Scoping for conducting Social Impact Assessment and the preparation of Resettlement Action Plan (RAP)

or Abbreviated Resettlement Action Plan (ARAP)

4.1.2. Scoping

The scoping for E&S study will be undertaken based on the screening to fulfill the following objectives:

• Familiarize with the project

• Define the study area comprising the project site and its PIA

• Outline the environmental and social interactions pertaining to the project focused on the ESIA study

• Define the scope of work and the approach and methodology to conduct the IEE/ESIA, RAP or ARAP

5 Refer to the Annex

12

Specifically, scoping willascertain the environmental and social issues associated with the nature of project, extent

and coverage of project influence area and project affected persons, to be reflected in the focus of the IEE/ESIA

study. For this purpose, the project documents and design reports willbe reviewed and site survey will be

undertaken to understand the environmental and social sensitivities prevailing in the project area.The information

on the project area and on similar project willalso be studied. Based on the study, likely environmental and social

issues associated with the Project activities during preconstruction, construction and operation will be determined.

4.1.3. Project categorization

According to the World Bank safeguard policy the NUGIP project is a ‘Category-B’ project.

4.1.4. Establishment of Baseline Condition

4.1.4.1. Establishment of Existing Environmental Condition

For environmental assessment (IEE and ESIA), it is very important to adequately define the existing environmental

condition (Environmental Baseline) against which environmental impacts of a sub-project would be subsequently

evaluated. The characteristics of “environmental baseline” would depend on:

• Nature of the sub-project location,

• Nature/ extent of a sub-project and its likely impact,

• Level of environmental assessment (e.g., IEE/ESIA)

For systematic definition and recording, the baseline environment is usually classified into Physical, biological, and

social environment. Important features/ parameters under each category are identified and measured during baseline

survey. The table (in Appendix J) summarizes information on the type of baseline indicators that would be adopted,

based on site-specific potential impacts as identified in the environmental screening and scoping process.

.

4.1.4.2. Establishment of Social Baseline

For Social Impact Assessment, it is very important to adequately define the “social baseline” against which

projected social impacts of a sub-project would be subsequently evaluated. The characteristics of “social baseline”

would depend on:

• Land requirement

• Social issues specifically faced by women or vulnerable groups

• Identify social needs, benefits and barriers

• Extent and type of losses even due to the changes of circumstances.

• Number of Project Affected Family

The table below summarizes the type of baseline indicators that will be required. In cases where projects, which are

categorized with very, limited social impacts, the baseline parameters will be captured through socio-economic

survey (10 % - 25% of base population depending on the type, scale and size of the sub-project). However, if the

project has significant impact, a full census survey will be conducted. It is important to project the number of

affected family andthe extent of losses incurred.

Table 4-1: Description of Social Baseline Information required for the Project

Component Possible Social Issue/ aspect Baseline Information

Demography Socio Economic Condition

• Population

• Age pyramid by gender

• Sex Ratio

• Literacy

• Labor force participation, by occupation

• Population Density

Forestry Forest user group affected due to acquisition of

forest land • Forest type

• Forest land getting acquired

• Uses of forest produce

• No. of users in forest user group (present in the

corridor of impact)

• No. of users under each category of social

category (caste, gender, vulnerable, disability,

economic status)

13

Component Possible Social Issue/ aspect Baseline Information

Conflict for the use of forestry resources between

locals and labors, depletion of NTFP resources and

invasive species

• Flow of migrants/ their sources of forestry

product

• Impact due to increased accessibility.

Agriculture Loss of agricultural land due to urbanization due

to the project • Demographic and socio- economic profile along

and at the project site (PIA)

• Land holding pattern (marginal, small, large)

along and at the project site (PIA)

• Land holding according to social categories

along and at the project site (PIA)

• Farm labors employed

• Livelihood pattern (farmer, business, industry,

service etc. within and outside the project site

(PIA?)

• Source of water for irrigation

• Low lying area

• Crop damages

• Enumeration of PAFs/PAPs

• Affected Plot No/ Survey No and details of its

ownership

• Estimation on loss of Properties (Land Area,

Structures, associated structure etc.)

• Estimation of other properties like cattle’s,

Vehicles, Crops, Trees etc.

• Demographic details of affected PAFs/ PAPs

• Quality of life (To access parameters such as

access to basic amenities such as water,

transport, education, health etc.)

• Health, Sanitation condition

• Prevalence of Social Development Programs

(Govt./NGO)

• Property prices

Loss of crop

Disturbance to agriculture production, influx of

invasive species and pests

Loss of livelihood of cultivators ( farm labors)

Disruption of access to water for irrigation

Flooding or drying of agricultural land

Personal assets

Loss of land • Land holding pattern by size (new construction

of road)

• Type of structures

• Types of minor structures

• Socio-economic profile of affected family

• Types of utility services that need to be shifted

and no. of users

• Types of public/ common assets that have to be

shifted and has public consented for relocation

• Livelihood pattern

• Income generated from the business/ shop/

farming

• Types of trees and count

• Types and value of fruit bearing and flowering

shrubs

Loss of major structure (house, shop etc.)

Loss of minor structure (hand pump, boundary,

cattle sheds etc.)

Loss of assets or access to assets

Disruption of access to common resources

including road, utility services etc.

Loss of livelihood or residence (non-title holders)

Loss of income or means of livelihood

Loss of trees/ vegetation (fruit bearing trees/

shrubs, flowers etc.)

Common

property

resources

Disturbance/ demolition of water supply

infrastructure, groundwater changes leading to

drinking water and irrigation problems

Damage to resting sheds, bus stops, water source

etc.

Land use by in-

migrants and

labor

Acquisition of land and property; social conflicts,

resettlement issues • Changing land use pattern

• Approximate labor requirement for the project

(about 30 % of the labor from outside)

Health Introduction and spreading of communicable

diseases or respiratory disease • Existing medical facilities

• List of sensitive receptors (e.g. hospitalsand

schools) and their capacity

• Prevailing diseases

Road safety • Type and number of accidents

Cultural Heritage Sites of Religious/ cultural importance being

disturbed • Age of the cultural site, its significance,

location, number and type of such properties

Sites of historical / archaeological/anthropological

Importance • It is to be ensured that safe distance (as per the

defined regulations of GoN has been maintained

from such sites

14

Component Possible Social Issue/ aspect Baseline Information

Vulnerable

community

Affects Vulnerable communities (Indigenous

people) by disrupting customary rights of use and

access to land and natural resources, cultural and

integrity

• Type of indigenous group present and their

cultural practices

• Community consultation practices

• Can the project adversely impact local

knowledge and alter lifestyle?

Gender issues Not including in the decision making process of

selection of beneficiaries of the project (/project

design)

• Type and number of public consultations held

for the project

• Record of these consultation and representation

of different social categories

• Women groups especially Dalit women were

involved in consultations?

• How they use the roads or tracks, will there be

any kind of disruption?

• Will women be employed for the project

activities?

• Prevailing wages for men & women

• Are they also part of land ownership

entitlements?

• Source of income

• Instances of gender violence

Limit access to common property or natural

resources

Excluded from opportunities ( construction and

maintenance work)

Disparity in wages

Loss of entitlement to land/ property and

compensation thereof (if women are not included

in the land ownership certificate)

Loss of income or means of livelihood

Increase in instances of gender violence due to

labor influx/ in-migration

Citizen

Engagement

Exclusion of community from decision making

process • Means and number of public consultations

• Public notice provided in accessible manner

(e.g., language and means used for information)

• Type and number of people with disabilities in

the project impact corridor

• Willingness to contribute to the

project,includingto donate land

• Expectation for compensation

• Legal case pending in the court for the land, if

relevant

• Use of the current grievance mechanism

established at the municipality (through ward

representative)

Exclusion of certain vulnerable section from

decision making process and selection of

beneficiaries

Project design limiting access to common

resources for people with disability

Coercion on donating land

4.1.5. Analysis of Alternative

The analysis of alternatives willbe carried out at project planning phase. Analysis of alternatives is necessary to

minimize negative impacts and maximize positive ones. Analysis of alternative may include site selection for sub-

project, provision for alternative design, materials and technologies.In general, for any sub-project, the analysis of

alternative willfocus on:

• Alternative location or alignment;

• Alternative design and technology;

• Assessment of ‘with sub-project’ and ‘no sub-project’ scenario

• Alternative source of resource (water/ material)

• Alternative location for labor camps, storage and disposal of waste

• Alternative route/time for transporting material

• Construction arrangements

4.1.6. Impact Assessment

Key potential benefits as well as adverse impacts on physical, biological and socio-economic environment

associated with the preconstruction, construction, post-construction and operation and maintenance phases of the

project in the Project Influence Area (PIA)will be identified. Difference in the status between the future-with-

Project and future-without-Project condition would be considered as the impact of project on the environmental

components and willbe analyzed in the context of area of influence spanning covering: (a) the primary project site

(b) associated facilities/raw materials source used exclusively in the project (c) possible cumulative impact and (d)

induced impact in the selected PIA for the ESIA study.

15

• Without-Project scenario would provide the status if the proposed interventions are not undertaken. This

will be done by analyzing the previous status using data collected during environmental-social baseline and

field investigations; and

• With-Project scenario, status with implementation of the proposed interventions, will be projected.

The envisaged impacts will be categorized as impacts during the preconstruction, construction and operation phase

of the project. There are common E&S risks which are associated with pre-construction, construction and operation

stage as listed below:

• Impact due to change in land use

• Impact on livelihoods and sources of livelihoods

• Impact due to change in drainage pattern

• Impact on ecology &biodiversity

• Impact on ambient air quality and noise levels

• Impact on water quality

• Impact on properties (by type/category) (including Community Property Resources)

• Impact on permanent ortemporary useof public spaces and facilities

• Health and safety issues during construction and operation phases

• Occupation and safety hazards during preconstruction, construction and operation phase

• Temporary accesscontrol,includingprovisionforbarricadingand safety signage markers if required

• Construction materials (quantity requirement and storage)

• Water requirement for the project with basis of calculations, and its sources during the construction phase

• Type of vehicle/equipment usage during construction

• Utility shifting

• Quantities of solid and hazardous wastes generated

• Disposal ofexcessexcavatedearth,wastedisposal/reuse

• Waste handling and management, including construction waste, hazardous and non-hazardous waste

Additional E&S risks in the COVID-19 context to be considered include management and disposal of health-care

and medical waste including personal protective equipment (PPE), virus transmission between workers and between

workers and community members.

Qualitative and quantitative impact assessment tools (e.g. GIS mapping, analytical matrices, and other relevant

analytical tools) will be used to understand the extent of impact due to the proposed sub-projects. Effort will be

given to quantify the impacts, to the extent possible. For example, quantitative assessment of impact is essential to

be carried out for loss of land-properties- other assets, loss of trees, acquisition of forest land – waterbodies, impact

on common property resources, impact on utilities, generation of debris/waste, requirement of natural resources in

the project etc. On the other hand, qualitative impact assessment may be carried out for impact due to labour influx,

safety and security of workers and communities etc. If necessary, projection of impact though modeling /statistical

analysis will be undertaken to understand the projected level of pollution load due to the proposed sub-project.

4.1.6.1. Potential Key Environmental and Social Impacts at Sub-project Level

Based on the stakeholder consultation with the municipalities, an indicative list of projects which could be taken up

under NUGIP are road construction/upgradation, drainage, water supply, wastewatertreatment, and solid waste

management. Accordingly, the anticipated environmental and social impacts for the NUGIP sub-projects are

furnished below:

Table 4-2: Anticipated Environmental and SocialImpacts due to Development of Sub-projects

Sector Environmental& Social Impacts

Roads and

drainage

• Land acquisition for widening or realigning roads, damage to crops, loss of livelihood

• Acquisition of forest land

• Loss of trees and vegetation cover, associated biodiversity and natural habitat

• Impact on structures, common property resources, religious/cultural properties, utilities

16

Sector Environmental& Social Impacts

• Generation of debris from dismantling of structures and its disposal

• Traffic congestion and disruption to local access during to preconstruction and construction

phase

• Air Pollution and noise pollution during construction and operation phase due to material

handling, vibration during construction work and movement of traffic

• Destabilization of slope which may lead to impacts such as soil erosion, sedimentation etc.

• Leaching of materials which may lead to contamination of water sources, affecting aquatic

habitats

• Air pollution during preparation of the bitumen

• Contamination of soil, water environment due to accidental spillage of oil, grease from the

construction vehicles, fuel storage area

• Possibility of contamination of surrounding soil, water environment from labor camp sites

and improper material handling/transportation

• Loss/partial acquisition of water body and siltation due to construction work

• Concerns related to excavation of quarries and borrow areas (if required)

• Increase in accidents or Deterioration of safety of road users/ pedestrians

• Urbanization and commercialization leading to drastic change in land use pattern

• Impact on migratory path of wildlife/habitat fragmentation

• Possibility of increased illegal hunting/ trapping/ fishing/poaching due to improved

accessibility

Water

Supply

• Contamination of surface or ground water quality during boring/ well construction

• Stress on water source. Impact on availability of water after abstraction of water for the sub-

project or drying up of water supply due to over-extraction

• Generation of muck/excavated material, other debris and its disposal

• Loss of trees and vegetation cover and associated biodiversity

• Air and water quality deterioration due to dust generation and vehicular emissions during

transportation, loading /unloading of construction materials and construction work

• Soil erosion, Contamination of water resource due to silt runoff during trenching

• Generation of noise due to excavation, other construction works, movement of vehicle and

construction equipment

• Traffic congestion and Disruption to local access due to construction, operation-maintenance

work and excavation

• Temporary disturbance to household water supply

• Impact on religious/cultural properties, utilities

• Temporary flooding of adjacent areas due to accidental leakages/bursts

• Acquisition of land requirement for water treatment plant

• Potential threat to safety of dam due to over-discharge or construction of new structure (if

water is sourced from dam)

Waste Water • Lack of proper hygiene and sanitation facilities in labor worker camps

• Land required for sewer pipe network, sewerage treatment plants and possibly for treatment

ponds

• Generation of muck/excavated material, other debris and its disposal

• Loss of trees and vegetation cover and associated biodiversity

• Air quality deterioration due to dust generation and vehicular emissions during transportation,

loading /unloading of construction materials and construction work

• Generation of noise due to excavation, other construction works, movement of vehicle and

construction equipment

• Impact on religious/cultural properties, utilities

• Soil erosion, Contamination of water resource due to silt runoff during trenching

• Temporary flooding of adjacent areas due to accidental leakages/bursts and also due to

blockages and backlogging of lines in operation phase

17

Sector Environmental& Social Impacts

• Risk of accidental contamination of Soil/surface / ground water resource and possibility of

mixing with water supply line due to leakages/ overflows from the sewer lines in operation

phase

• Traffic congestion and disruption to local access due to construction - excavation and

operation maintenance work

• Disposal of waste generated from waste treatment plant such as effluents, septage and sludge

Solid Waste

Management

• Lack of solid waste (including medical wastes) collection, segregation and its recycling

facilities

• Land acquisition and site clearance for waste disposal sites

• Closure of existing open dumpsites and displacement of dependent waste pickers

• Dust emissions and noise generation from site preparation, excavation, material handling and

other construction activities at site, vehicular movement

• Tree & vegetation removal at waste disposal site and loss of associated biodiversity

• Possibility of contamination of surrounding soil, water environment from labor camp sites

and improper material handling/transportation

• Generation of landfill gas i.e. methane (CH4) and carbon dioxide (CO2)

• Nuisance due to generation of foul odor from disposal site or poor transportation/handling of

waste

• Nuisance associated with irregular collection of waste at household level

• Accidental contamination of soil and water environment during transportation and handling

of waste, including medical wastes

• No segregation of waste may lead to uncontrolled disposal of hazardous and medical waste

which may contaminate soil/water resource

• Risk of flooding of landfills (particularly in low lying areas)

• Risk of contaminating surface and ground water by seepage and leachate from disposal sites

• Destabilization of heaps of waste at the landfill site

Anticipated social issues based on thematic areas are listed in the table below:

Table 4-3: Anticipated Social issuespertaining to the project

Theme Social Issues

Inclusion • Lack of inclusion and representation of women and other vulnerable groups in the LIPW

• Lack of representation of female gender and other vulnerable groups

• Lack of use of participatory approach

• Exclusion of women and other vulnerable groups in the decision-making process of selection

of beneficiaries of the project (project design)

• Limited access to common property or natural resources specially of vulnerable groups

• Exclusion from opportunities (construction and maintenance work),esp. of vulnerable groups

such as women and disadvantaged commuities

• Disparity in wages specially of females and other vulnerable groups

• Lack of subsidies on user charges for females and other vulnerable groups

• Social barriers faced by females and other vulnerable groups

• Lack of proper channelsfor communicating grievances

• Assessment not including differentiated priorities for design of human settlements, the location

of housing and the provision of urban services.

• Differentiation of PAPs on the basis of Gender/caste/ethnicity

• Access to public park, public toilets, public taps, public hall and temples could be restricted

• Not consulting other important stakeholders such as line departments, user groups etc.

• Project design limiting access to common resources for people with disability

Land &

Asset

Related

• Coercion on donating land

• Loss of fruit bearing or flowering trees/ shrubs

• Loss of cultivable land and crops

18

Theme Social Issues

• Loss of major or minor structure (residential)

• Loss of temporary shelters

• Loss of livelihood or residence of non-title holders (e.g., squatters, encroachers, tenants, etc)

• Loss of assets or access to assets

• Damage to Resting sheds, bus stops, water source etc. and other common community resources

• Loss of entitlement to land/ property and compensation thereof (if women/ vulnerable families

are not included in the land ownership certificate)

• Dismantling of existing structures

• Disturbance to agriculture production, influx of invasive species and pests

• Loss of visual aesthetic value of the land/area due to the sub-project

Labor influx • Increased pressure on the forest in the vicinity for fuel wood

• Impact on surface and ground water from unsanitary disposal of toilet waste

• Conflict for the use of forestry resources between locals and labors

• Introduction and spreading of communicable diseases or respiratory disease

• Acquisition of land and property; social conflicts, resettlement issues, over establishment of

labor camps

• In-migration affecting the local social and economic conditions

• Increase in instances of gender violence

Indigenous

people

• Disruption of customary rights over use and access to land and natural resources

• Impact on cultural and communal integrity of vulnerable groups, including indigenous people

• Altering or undermining of the recognition of indigenous knowledge

• Impact on foot trails connecting indigenous groups

Additional environmental and social risks and issues in relation to COVID-19

• Risks to workerssuch as in relation to occupation health and safety,hygiene and sanitation

• Requirements for social distancing amongst workers and with community members

• Risks arising from the disposal of health care and medical waste such as personal protective equipment (PPE)

• Exposure of workers and community members to COVID-19

4.1.7. Mitigation Measures for Identified Impacts and Guide to ESMP

An Environmental and Social Management Plan (ESMP) is the key document focused on implementation of

mitigation measures, once the potential impacts are identified. It starts operationalizing the avoidance /

minimization aspects from design/pre-construction phase and ensures that the project impacts are reduced to an

acceptable level during implementation of the sub-project. Thus, ESMP becomes the document to ensure that all the

effort has been made to ensure environmental quality within thePIA.

The ESMPsprepared under the project will be sub-project specific, and will clearly and concisely describing

adverse impacts, selected management measures to minimize and mitigate those impacts, and the timelines for

implementing these measures. It will also clarify roles and responsibilities of various entities such as Project

Proponent, Municipalities, Contractors and other stakeholders. The key components of an ESMP are the following:

• Mitigation measures to be adopted for every possible potential adverse impacts during the Design, Pre-

construction, Construction/Implementation and Operation phases as identified through IEE/ESIA

• Enhancement plans for positive impacts

• Monitoring Plan with indicators, mechanisms, frequency, locations,

• Budgetary allocations for all the above activities

• Institutional arrangements for each activity and mitigation measures

• Implementation schedules for each activity

• Reporting procedures, including for redressing grievances related to environmental issues

19

The ESMP will abide by the following core principles.

i) Local Community Participation and Demand Driven Decisions

ii) Ownership of ULGs

iii) Environmental Sustainability, Protection and Enhancement

iv) Community Cohesion and Security

v) Gender Equity and Social Inclusion

vi) Empowerment of Local Communities/ULGs

vii) Resilience to Disaster, Climate Change

viii) Institutionalization of Land Donation Processes

ix) Adaptability to changing circumstances and context

The cost for implementation of the management measures, the institutional arrangements for monitoring willbe

included in the estimated project cost. The AppendixE summarizes probable impact, its subsequent mitigation

measures institutional roles and responsibilities. However, the actual mitigation measures will be designed on the

basis of the project, location, IEE/ESIA findings, public recommendations and prevalent best practices.

Budget for ESMP

Each sub-project will have its own budget to cover the ESMP implementation costs relating to mitigation measures,

enhancements, and monitoring costs. In addition, training and capacity building costs willbe added for specific

issues that ESIA may bring out. For instance, there may be a need to have short courses on specific topics,

experience exchanges on any particular issue, and so on.

4.1.8. Stakeholder Consultation

Stakeholder consultation is one of the most important components of the ESIA exercise and is to be carried out with

institutional stakeholders as well as with community. Accordingly, consultations will be carried out during the

ESIA process to collect information on baseline scenario, obtain in-depth understanding of the sub-project and the

related environmental and social issues,understand the applicability of various law/legislation, opinions of the

public and to disseminate information about the Project. The consultationswill be preceded by a stakeholder

analysis to identify relevant stakeholders to the proposed intervention. The primary objective of stakeholder

analysis is to map the stakeholders, their organizational structure, operational network, representation requirements

and impact on type of activity in the project to strategically prioritize them and develop an understanding of

operational and organizational gaps. The stakeholder interactions will be managed in a way that would ensure they

are pluralistic, inclusive and conducted through the following mechanisms including the following: focused group

discussions (FGD); Key Informant Interviews (KII); individualinterviews

The outcome of the consultation and relevant documentswill be maintained and included in the ESIA report. The

concerns and the aspiration received from the consultation will be shared with the relevant authority for their

decisions. Subsequently, the decisions madewill be communicated back to the community members. The ESMF

envisages stakeholder consultationsas a continuous process and will be conducted at various phases of the project.

Initial public consultation will be carried out while conducting reconnaissance survey before categorizing the

project. After the preparation of ESIA report, the report will be made available for public review through public

notice. A copy of the report will be kept available at municipality, Tole and ward level for at least 30 days to seek

public’s recommendation and concerns.

The ability to undertake stakeholder consultations as envisaged when originally preparing this ESMF may be

impacted due to COVID-19. There is consequently a need to consider social distancing and other measures when

undertaking stakeholder engagements to mitigate against the further spread of COVID-19. Chapter 8 on Stakeholder

Engagement includes some considerations for adapting stakeholder consulations and other forms of citizen

engagement in the COVID-19 context.

4.1.9. Preparation of ESIA/ESMP Report

Environmental and Social Impact Assessment (ESIA), ESMP for category B project is the most commonly used

tool to ensure that environmental and social aspects are considered during decision-making by influencing the

design of the sub-projects to avoid/minimize, and where unavoidable,mitigate the adverse impacts and/or

enhancepositive impacts. These instruments also provide a platform for getting views from stakeholders including

the directly affected community and institutions to improve the design so that the asset quality is improved (refer to

Appendices E and F).

20

4.1.10. Environmental Mitigation and Enhancement Management Plan

Environmental management actions to be undertaken and to be adopted for the realization of environmental

environmental mitigation and enhancement for construction and operation phases are presented in Table 4-4. The

Environmental Enhancement and Mitigation Management Plan is part of the ESMP and a templatebriefly describes

impacts, description of enhancement/mitigation action required, individual or agency responsible, national

standards and guidelines, timing of actions, responsible authority, and tentative financial requirements. An example

of a comprehensive EMEMP is provided at Appendix E.

Table 4-4.Template Environnemental Mitigation & Enchancement Management Plan

Construction

Stage/

Environmental

aspects

Environmental

Impact

Mitigation/ Enhancement

Measures

Schedule

of

Actions

Responsible

party

Costs

(NRs)

PRE-CONSTRUCTION STAGE

Physical Environnent

Change in land

use

The project

intervention may

impact the

existing land use

pattern of the area

Appropriate route selection to

minimize impacts

Maximum use of existing road

and public land

Collection of spoils and its

management in scientific way

DPR, ESIA

Consultants,

PCO,

Municipalities

None

Biological / Chemical Environment

Ecologically

sensitive areas

Adjoining

environmentally

sensitive areas

(National Parks,

Wildlife

Reserves, Ramsar

Sites etc) can be

affected

Prior care willbe given during

project screening. Project will

not be developed in

ecologically fragile areas.

DPR, ESIA

Consultants,

PCO,

Municipalities

None

Social-Economic /Cultural Environment

Cultural

heritage

Sites of cultural

and historical

importance can

be affected

Prior care will be given during

project screening. Historically

significant

archaeological/anthropological

site will be avoided in design

stage

DPR, ESIA

Consultants,

PCO,

Municipalities

None

CONSTRUCTION STAGE

Physical, Health and Safety Environment

Sanitation and

health of the

community

Increase in

disease vector

and transmission

of disease from

outside

workforce.

Workers are not allowed to

stay overnight out from the

camp. Awareness program will

be launched to prevent from

the STDs.

Provision of information

around hygiene, particularly in

regards to COVID-19.

Implementation of measures to

address COVID-19 risks

Contractor,

PCO,

Municipalities,

DSC

Integrated

in total

project

cost

21

Occupational

Health Hazard

and Safety

Accidents

causing Deaths/

Injuries

Implementation of OSH

activities. Distribution and

mandatory use of safety hats,

shoes, follow-up of safety

regulation, well-

communication of construction

safety instructions at all levels

Contractor,

PCO,

Municipalities,

DSC

Integrated

in total

project

cost

Risk of virus

transmision

Implementation of social

distancing and hygiene

measures, and other relevant

measures. Provision of

information around hygiene.

Distribution of PPE as

required.

Contractor,

PCO,

Municipalities,

DSC

Integrated

in total

project

cost

Biological / Chemical Environment

Degradation of

water quality

Contamination of

water bodies near

the construction

sites

Silt fencing to be provided in

the construction areas

adjoining water bodies,

material will not be stored near

any waterbody

Provision of proper hygience

and sanitation facilities in

worker labor camp sites

Workerswill be restricted from

polluting the source or

misusing the source.

Contractor,

PCO,

Municipalities

and Wards

in co-

ordination with

DSC

Integrated

in total

project

cost

Degradation of

air quality

Detoriation of air

quality due to

dust and gaseous

emission from

construction

activities and

equipment

Water spraying at regular

intervals, all vehicles,

equipment and machinery used

for construction to be regularly

maintained, regular monitoring

of ambient air quality,

embankment slopes to be

covered with turfing / stone

pitching.

Contractor,

PCO,

Municipalities

and Wards

in co-

ordination with

DSC

Integrated

in total

project

cost

Increase in

noise levels /

vibrations

Disturbance due

to noise from

vehicles,

equipment and

blasting or pre-

splitting

operations

Noise standards will be

maintained at processing

sites. Machinery and vehicles

will be regularly maintained.

Workers working in loud noise

areas will wear earplugs.

Construction will be stopped in

Night-time in sensitive receptor

areas.

Contractor,

PCO,

Municipalities

and Wards in

co- ordination

with DSC

Integrated

in total

project

cost

Social-Economic /Cultural Environment

Community

health and

safety

Uncollected solid

wastes from

worker labor

camps

Traffic

congestion,

possible accidents

Adequate solid wastes

(including medical wastes) are

conducted a

Plan for traffic decongestion

Contractor,

PCO,

Municipalities

and Wards in

co- ordination

with DSC

Integrated

in total

project

cost

22

and death will be kept. Barricades will be

maintained including signs and

flagmen as required. The

construction works will not

interfere with or cause

inconvenience to public or

restrict the access to use of

properties.

POST-CONSTRUCTION STAGE

Physical Environment

Risk of virus

transmission

Provision of information

around hygiene, particularly

with regards to COVID-19.

Implementation of measures to

address COVID-19 risks

Contractor,

PCO,

Municipalities,

DSC

Integrated

in total

project

cost

Disposal of

solid waste,

waste materials

and

construction

spoils

Possible

contamination,

disturbanceto

community,

accidents

Careful segregation of wastes,

regular collection and

treatment of wastes and proper

disposal

Project site and working area

will be cleared of unutilized

construction materials, heavy

equipment and debris; and a

final clean-up of solid wastes

will be conducted.

Contractor,

PCO

Integrated

in total

project

cost

Biological / Chemical Environment

Restoration of

waterways

Clogging of

water bodies,

surface run off

Disturbance of waterways will

be cleared to avoidobstruction

from construction debris and

other waste materials.

Contractor,

PCO

Integrated

in total

project

cost

Social-Economic /Cultural Environment

Termination of

emplyoment

Loss of

temporary jobs

by the local work

force after project

completion,

The local workforce will be

briefed in advance about the

loss of job after project

completion. Compensation, if

applicable, will be provided

Contractor,

PCO,

Municipalities

Integrated

in total

project

cost

OPERATION STAGE

Physical Environment

Soil/Water

quality

degradation

due to surface

run-off

Pollution of water

bodies, erosion

Proper drainage network and

silt fencing will beprovided to

ensure that the water quality is

not impaired due to

contaminants from road run-

off.

PCO,

Municipalities

Integrated

in total

project

cost

Biological/Chemical Environment

Replacement

plantation

Survival of

planted seedling

and their growth

The replacement plantation

will be maintained and taken

care to ensure the survival of

the seedlings to mitigate

vegetation loss during

construction

PCO,

Municipalities

Integrated

in total

project

cost

23

Social-Economic /Cultural Environment

Removal of

fruit trees

Loss of

production

The fruit trees will be

compensated at market value

on the basis of loss of future

production, based on 5 years

annual net production.

PCO,

Municipalities

Integrated

in total

project

cost

4.1.11. Approval and Implementation of Site-specific ESMP

After preparation of the site-specific ESMP report, it has to be endorsed and approved. After its approval the

provisions of the ESMP need to be included in the NUGIP sub project interventions’ designs and estimates before

final approval.After approval, ESMP provisions along with the NUGIP sub projects ‘designs/estimates shall be

implemented along with construction works. The responsibility of overall ESMP implementation as well

monitoring implementation for the category 2 interventions shall lie with the PIU.

4.1.12. Environmental and Social Monitoring of Management Plans

Three types of monitoring envisaged in the plan include: Baseline Monitoring, Compliance Monitoring and Impact

Monitoring. The compliance monitoring comprises two parts; the first is the compliance to the enhancement actions

and second compliance to mitigation actions including the corrective actions issued. The impact monitoring in the

plan relates to only those measurable indicators in the socio-economic, cultural/physical, chemical and biological

environments. For each of the monitoring indicators, monitoring methods, frequency of monitoring, responsible

parties along with the required cost estimates have been estimated (Refer to Appendix E).

4.1.13. Applicability of ESMF on Associated Projects

Besides all the project components and activities, the ESMF is also applicable on all the necessary associated

facilities that are required to set up and operate with the proposed sub-projects or without which the sub-project

would not be viable (e.g. access roads, ancillary buildings etc.). Associated projects under NUGIP do not need to be

funded by the World Bank for the ESMF to be applicable. If the sub-project financed by the World Bank is used as

an associated facility for another investment, the concerned investment will also be assessed to ascertain whether it

meets the requirements of the World Bank and if subsequent improvements can be made. Similarly, the impacts and

risks because of the cumulative effects with other projects in the sub-project region, will also be included in the

ESIA and the DPR and DED are to be updated based on the ESIA/ESMP.

4.1.14. List of Ineligible Sub-Projects

Depending on the scope and scale, a select number of sub-projects are ineligible for financing under the project. To

avoid adverse E&S impacts and to ensure that the projects being funded under NUGIP are ‘Category B’ projects,

proposals that involve activities listed in sub-projects explicitly excluded from funding under NUGIP (Appendix

K), will be screened out.

4.1.15. LIPW subprojects

LIPW subprojects will be selected based on local priorities and with the involvement of communities, for example,

through User Committees at the ward level, and through representative groups of women and Dalits. When

selecting LIPWsubprojects, the project will ensure that the subprojects do not have significiant environmental or

social risks and impacts. Guidance and criteria for selecting LIPWsubprojects will be detailed in the project

implementation manual (PIM).

Target beneficiaries for the LIPW will be individuals from poor and vulnerable groups and households. The

selection process for beneficiaries will specifically cater to supporting vulnerable groups, such as women, the

elderly, minorities, and other discriminated groups. The LIPW subprojects will require a minimum percentage

representation of female workers. Measures for targeting beneficiaries will be further detailed in the PIM.

24

4.1.16. Legal Contract for E&S Compliance

The environmental and social safeguard and mitigation measures willbe integrated in the design of the project itself.

Such approach will enhance the mitigation measures in terms of specific mitigation design, cost estimation of the

mitigation measures and specific implementation criteria. Integration of mitigation measures in the design phase

will also help in strengthening the benefits and sustainability of the project. The legal contractswill include at least

the following commitments:

• Design, construct, operate, maintain and monitor the subprojects in compliance with the specified

applicable E&S requirements.

• Implement the environmental and social mitigation measures specified in the IEE/ESIA-ESMP prepared

based on ESMF, including all conditions stipulated in the ESMP and other relevant plans prepared based

on the process of identification of E&S risks and impacts pursuant provisions tothe World Bank’s

safeguard policies. The project sponsor will also ensure that adequate E&S contracts are included in their

bidding and legal documentation with contractors and suppliers, as needed.

• Use all reasonable efforts to ensure that theenvironmental and social performance of the subproject is in

compliance with the applicable E&S requirements during implementation, including E&S monitoring.

• Provide periodic E&S performance reporting to the PCO andthe World Bank according to an agreed

template within a specified timeframe.

The tender instruction to bidders willexplicitly mention the site-specific mitigation measures to be performed, the

materials to be used, the specified and excluded sites for material retrieval, labor camp specifications, arrangements,

labor influx management and waste management and disposal areas, as well other site-specific environmental and

social 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.

The project contractor willbe bound by the parameters of contractual clauses which will be identified through ESIA

studies pertaining to specific mitigation measures in the subproject. Measures will be taken to ensure that the

contractor is aware and understand the respective contractual clauses and obligations. The final acceptance of the

completed works will not occur until the environmental and social clauses have been satisfactorily implemented.

Role of contractors will be to ensure compliance with ESMP, if any sub-contractors will be hired. There willbe a

legal contract between contractors and subcontractors to adhere to ESMP. Zero tolerance for child/forced labor,

gender-based violence, community H&S, equal wages, labor camp standards for contractors/subcontractors, will be

well-articulated and communicated to the laborers and others.

The contractor’s environmental and social management plan (CESMP) will be prepared by contractor and

submitted to the respective PIU within 45 days of contract signing. This applies to subcontractors too. The

subcontractors report to the main contractor regarding their E and S compliances on regular basis.

4.1.17. Subproject Monitoring

Monitoring is a major part of the ESMF to ensure its goals and objectives are adequately met. The environmental

and social safeguards implementation will be monitored internally. The safeguards staff (E&S) within

Municipalities, DSCs and PCO will monitor the project site in the initial, construction, post construction and

operational phase of project to ensure that all environmental and social issues related to each subprojects are well

addressed and comply with the requirements mentioned in ESMF. Municipalities will prepare quarterly progress

reports and submit them to PCO. PCO will prepare semi-annual monitoring reports and submit to the World Bank.

The reports will cover ESMP implementation, focusing on compliance and any needed corrective actions. As

mentioned earlier, public consultation will be conducted as necessary during preconstruction, construction,

operation phases. The template of monitoring report along with timetablecost is included in Appendix I.

4.2. Specific labor and OH&S-related considerations in the context of COVID-19

In the context of COVID-19, special consideration needs to be given with regards to labor procedures including the

health and safety of workers, the community members with whom workers come into contact, as well as the

management of medical and health care waste. To ensure that workers are safe in the workplace, or that workers

who are at risk or could put others at risk are not at work, is an important first step.

25

Considerations for workers

The World Bank has developed a Safeguards Interim Guidance Note on COVID-19 Considerations in Construction

and Civil Works Projects, which is included in Annex L. Some practical mitigation measures for prevention and

response is provided below.6

• Provide information on COVID-19: Provide information on good practices for preventing COVID-19

transmission, particularly observing recommendations on social distancing, and training to workers to

recognize the symptions of COVID-19.

• Ask sick or potentially infected workers to stay at home: To prevent potentially affected staff from

entering a worksite and infecting co-workers, the project should request workers to stay away from the

worksite where they exhibit any COVID-19 symptons or have been in close contact with a confirmed

COVID-19 patient during the past 14 days

• Cough hygiene: Workers should be instructed to follow cough etiquette to reduce the risk of spreading the

virus when coughing or sneezing, which includes covering the mouth when coughing or sneezing with

tissue and disposing used tissue into wastebasket, or coughing into elbow or sleeve, cleaning hands after

coughing or sneezing preferably by using hand wash or hand sanitizing gel.

• Social distancing: To prevent person-to-person infection, direct contact between workers should be

minimized. Where required to work or meet, a safe distance of 2 metres between people should be

observed. Workers should be informed about the hazards of close contact, and to promote alternative

behaviours such as maintaining safe distances. The contractor may also consider establishing alternative

working days or adding shifts to reduce the total number of employees on a work site at a given time.

• Hand washing: the project should promote frequent and thorough water-soap hand washing and provide

enough places for workers to wash their hands. If soap and running water are not immediately

available, provide alcohol-based hand rubs containing atleast 60% alcohol.

• Cleansing and disinfecting: Touched surfaces should be frequently cleaned such as equipment, handrails,

toilets etc, and instruct workers to clean equipment/workplaces at the end of a shift.

• Food preparation: Staff in labour camps should help ensure that food served to workers is safe. Measures

include: not working if they have symptons; being trained in common food safety practices; required to

wash hands regularly; prevent cross contamination caused by people sharing the same serving spoons.

• Air quality measures: Consider air quality control measures particularly for labor camps

• Personal Protective Equipment: People who come into contact with possibly infected workers or with

infected materials should use gloves and breathing protection

• Workers accommodation: Additional measures to those provided above include preventing infected

persons from entering workers’ accommodation areas, promote, respect and enforce occupancy density

limits in worker accommodations, and where new workers arrive from areas with high risk of COVID-19,

ensure that these persons are adequately quarantined as per local regulations or recommendations from

international organizations.

Health care and medical waste management

The management of health care and medical waste is a critical consideration as part of project activities. The World

Health Organization (WHO) provides guidance on the health-case waste management. As the WHO advises:

“Best practices for safely managing health care waste should be followed, including assigning responsibility and

sufficient human and material resources to dispose of such waste safely. There is no evidence that direct,

unprotected human contact during the handling of health care waste has resulted in the transmission of the COVID-

19 virus. All health care waste produced during the care of COVID 19 patients should be collected safely in

designated containers and bags, treated, and then safely disposed of or treated, or both, preferably onsite. If waste is

moved off-site, it is critical to understand where and how it will be treated and destroyed. All who handle health

care waste should wear appropriate PPE (boots, apron, long-sleeved gown, thick gloves, mask, and goggles or a

face shield) and perform hand hygiene after removing it. For more information refer to the WHO guidance, Safe

management of wastes from health-care activities”

6For more details, see Interim Advice on Supporting Workers in the Context of COVID-19, Interim Advice for IFC Clients on

Preventing and Manaing Health Risks of COVID-19 in the Workplace, as well as Interim Advice for IFC Clients on developing

a COVID-19 Emergency Preparedness & Response Plan.

26

Further details are provided at: https://www.who.int/publications-detail/water-sanitation-hygiene-and-waste-

management-for-covid-19

4.3. Considerations where CERC is activated

This ESMF does not address potential environmental and social risks and impacts arising in relation to the CER

component (CERC), given that the type of likely emergency and indicative list of activities that will be required

under CERC cannot yet be determined. Environmental and social screening of activities under Component 4

(CERC) will follow the procedures outlined in the ESMF and in the CER Implementation Manual. In case new

activities are identified for the CERC when triggered that go beyond the scope of the ESMF, then the ESMF will be

updated as needed and redisclosed.

The costs for of any needed instruments should be included in the budget for the Emergency Action Plan (EAP).

The EAP, to the extent possible, will focus on activities that can be readily implemented on the ground and which

will not result in additional environmental and social risks. The EAP will include a summary of the safeguard

implications of the proposed activities and will list any new safeguard instruments which are required to be

prepared. The sequencing for completing additional safeguard instruments (including requirements for

implementation and monitoring) will be determined at that time.

In the interest of delivering a rapid response in such emergency situations, the updated ESMF where prepared, will

adopt a flexible, “adaptive management” approach. A rapid assessment of the environmental and social baseline of

the CERC activities will be undertaken, based on readily available information. A phased approach to

implementation may be used. Based on the EAP, the CERC activities will be grouped into: (i) those activities which

can proceed as soon as the CERC is activated and with no additional environmental and social assessment; (ii) those

activities which would require an environmental and social assessment, stakeholder consultation, and disclosure of

the relevant management plans (eg ESMP), prior to CERC activities commencing.

The updated ESMF will describe: the potential emergencies and the types of activities likely to be financed and an

evaluation of the potential risks and mitigation measures associated with those activities; identify likely vulnerable

groups and/or locations and includes, where needed, a social assessment to guide emergency responses, such as

potential of exacerbating existing social conflicts. The ESMF will include a screening process for the potential

CERC activities, the institutional arrangements for environmental and social due diligence, and any needed capacity

building measures to implement the CERC-ESMF, generic guidance on emergency small scale civil works, and any

additional safeguard instruments which may be required for the CERC.

It will be determined at the time of CERC activiation whether MOUD-DUDBC will be retained as the

implementing agency, of if a different agency will be responsible for implementing the CERC activities. If

procurement of goods and services is required, the revised ESMF will provide how this will be undertaken.

Additional details regarding CERC implementation will be outlined in the PIM forNUGIP.

27

5. RESETTLEMENT POLICY FRAMEWORK (RPF)

The resettlement policy/strategy adopted for the project aims to ensure that in cases where there is any form of land

acquisition or resettlement on account of sub-projects supported under the project, the affected persons will be

resettled and rehabilitated in a manner that they do not suffer from adverse impacts and that their standard of living,

earning capacities and production levels will either beimproved or at the minimum, will be retained to pre-project

levels. It is also an effort of the project to ensure that resettlement will minimize dependency and be sustainable

socially, economically and institutionally. Special attention will be given to the improvement of living standards of

marginalized and vulnerable groups.

The rationale for the Resettlement Policy Framework has originated from the fact that specific subproject sites and

activities are yet to be identified under the project to be able to understand the exact nature, scope and scale of their

impacts. Thus, this Resettlement Policy Framework (RPF) has been developed to guide detailed resettlement

planning to address land acquisition and resettlement impacts during project implementation. Specifically, this

framework establishes the involuntary resettlement and compensation principles, organizational arrangements to be

applied to meet the needs of the people who may be affected by the project activities due to land acquisition, loss of

shelter, assets or livelihoods, and/or loss of access to economic resources. The RPF is prepared while adhering to

the national regulations as well as the safeguard policy guidelines of the World Bank.

5.1. Principles of RPF

a) Involuntary resettlement willbe avoided where feasible, or minimized, exploring all viable alternative

project designs;

b) Where it is not feasible to avoid resettlement, resettlement activities willbe conceived and executed as

sustainable development programs, providing sufficient investment resources to enable the persons

displaced by the project to share in project benefits. Displaced persons willbe meaningfully consulted and

should have opportunities to participate in planning and implementing resettlement programs;

c) Displaced persons willbe assisted in their efforts to improve their livelihoods and standards of living or at

least to restore them, in real terms, to pre-displacement levels or to levels prevailing prior to the beginning

of project implementation, whichever is higher;

d) Relocation and resettlement of the affected persons/households will be arranged close to the current place

of residence until and otherwise he/she willingly prefers to relocate him/herself;

e) Inclusive programs for the enhancement of their socio- economic development of disadvantagedgroups

(Dalit, Indigenous or Janajati groups and single women etc.) will be planned and implemented as part of

resettlement planning;

f) Compensation support of the built properties including resettlement and rehabilitation benefits for

persons/households who do not have land or legal right for the currently operated land, will be arranged;

g) Access on project benefit (share allocations) will be provided to the affected persons/households for

projects where return on investment is a potential.

5.2. Land & Asset Acquisition7

The World Bank’s Policy, 4.12 Involuntary Resettlement, will guide the social safeguards (land acquisition and

involuntary resettlement) planning and compliance during implementation of sub-projects. In the event a sub-

project requires acquisition of land or asset, necessary measureswillbe taken to ensure that the affected persons are:

i) informed about their options and rights pertaining to resettlement;

ii) consulted on, offered choices and provided with technically and economically feasible resettlement

alternatives;

iii) Provided prompt and effective compensation at full replacement cost for losses of assets attributable directly to

the project.

If the impacts include physical relocation, the resettlement plan or resettlement policy frameworkwill

includemeasures to ensure that the displaced persons are

i) provided assistance (such as moving allowances) during relocation; and

7“Land and Asset Acquisition” here refers to all methods of obtaining land and other asset for project purposes,

which may include involuntary acquisition, acquisition through negotiation and voluntary donation

28

ii) provided with residential housing, or housing sites, or, as required, agricultural sites for which a combination of

productive potential, location advantages, and other factors is at least equivalent to the advantages of the old

site.

Where necessary to achieve the objectives of the policy, the resettlement plan or resettlement policy framework also

includes measures to ensure that displaced persons are

i) Offered support after displacement, for a transition period, based on a reasonable estimate of the time likely to

be needed to restore their livelihood and standards of living; and

ii) Provided with development assistance in addition to compensation measures such as land preparation, credit

facilities, training, or job opportunities.

As per the World Bank policy, the RPF requires that no land will be acquired (taken possession of) before

compensation is paid fully and completely to the affected people.Depending on extent of land requirement for sub-

project, the nature of land acquisition process could be through three processes viz. involuntary land acquisition,

acquisition through negotiation, voluntary land donation.

Prerequisites for sub-project finalization and initiation of the land acquisition process

Prior to sub-project finalization and initiation of land acquisition process under NUGIP, the concerned

municipalities have to ensure that:

• Land recordshavebeen correctly updated in revenue record as well as the cadastral maps by the concerned

authorities

• Land and asset acquisition has been done in accordance to the regulation of GoN and World Bank

safeguard standards

• Land and asset acquisition has been done in legal, documented and transparent manner. The documents

pertaining to transfer of land, consents from owners areproperly documented and published in public

domain.

• No land is acquired before compensation is paid completely to the affected people, as per World Bank’s

policy requirements.

• If the land is already transferred to the proponent (executing agency 'EA"), the land entitlement certificate

(LalPurja) is in the name of the EA prior initiation of construction activities. This could be verified with

district land revenue office

• All grievances especially related to the land acquisition is communicated to the World Bank along with the

redress process followed.

5.2.1. Involuntary Land Acquisition

The Project will ensure that where a sub-project involves land acquisition (more than 10% of individual asset)

against compensation or loss of livelihood or shelter, the acquisition process will not proceed until a satisfactory

RAP/ARAP is prepared and shared with the affected persons, local community, and the World Bank. As mentioned

above, civil and other works in the project sitewill not start until the compensation and assistance is made available

in accordance with the framework. The resettlement and rehabilitation (R&R) benefits willbe extended to all the

Project Affected Families (PAF). Compensation amounts willbe based on the principle of replacement value. The

exact value of compensation and replacement cost will be different for each sub-project activity at different project

locations and willbe based on theeconomic and social survey of the area andthat of the affected persons.

The Land Acquisition Act 1977 authorizes the Government of Nepal to acquire any land in any place for any public

purpose as long as compensation is provided for loss of land and assets. According to the Act, public purposes

include functions undertaken in the interest of or, for the benefit or use of, the general public as well as functions to

be undertaken by GoN.

In preparing theRAPsRPF, the following steps will be followed, in accordance with the Land Acquisition Act and

World Bank policy OP4.12:

• The acquisition and compensation of privately-owned assets are undertaken according to a formal

procedure, consisting of (a) initial procedures, (b) a preliminary investigation process, (c) acquisition

notification, (d) compensation notification, and (e) appeal procedures

29

• Compensation Determination Committees are established (at district level) to ascertain compensation rates

for land and other assets

• Compensation must be paid: (a) for damages caused as a result of investigations during the preliminary

investigation process, and (b) for land and assets permanently acquired by the project (including, standing

crops, trees, houses and other assets)

• Compensation must take depreciation for salvage materials into account

• Under World Bank policy, preference should be given to land-based resettlement strategies where

livelihoods are land-based

• Compensation will be made to the person who has the right to claim for the compensation; to be entitled to

compensation for land, a person must submit an official land registration certificate at the time of

compensation claim

• Titleholders are required to submit compensation claims or complaints within a specified period after the

land acquisition notice had been issued by the Local Authority (Chief District Officer). Compensation for

land is paid after determination of rates and verification of the list of entitled applicants by the

Compensation Determination Committee (CDC)

• Two separate rates of compensation can be paid i) to titleholders who lose all their land, and ii) to

titleholders who lose only some part of their land.

• In determining the compensation amount, the committee has to consider relevant periodic guidelines of

GoN and the loss suffered by persons due to acquisition of land, shift of residence or place of business to

another place.

• While determining the compensation amount, the CFC has to consider price of the land prevailing at the

time of notification of land acquisition, price of standing crops and structure, and damage incurred by

persons being compelled to shift their residence or place of business due to land acquisition.

• After the completion of land transfer process, the municipality in coordination with Land Survey Office will

initiate cadastral survey to update the land record and ensure tax relaxation for the acquired land

5.2.2. Acquisition of Land through Negotiations

Section 27 of Land Acquisition Act 1977, refers that ‘notwithstanding anything contained elsewhere in this Act,

Government of Nepal may acquire any land for any purpose through negotiations with the concerned landowner. It

shall not be necessary to comply with the procedure laid down in this Act while acquiring lands through

negotiations’. The above statement from the Land Acquisition Act 1977 means that land acquisition through

negotiation i.e. ‘willing to buy-willing to sell’ is a possibleprocess for land acquisition under the project.

However, the acquisition of land through negotiations willbe based on the following criteria

• Preparation of Land Acquisition Plan (LAP) for the Project: The project design layout will be superimposed

on cadastral map to identify the affected plots and its corresponding area by Municipality in consultation

with the Design and Supervision Consultant (DSC). The details of other assets will also be identified during

this process

• The LAP will be officially verified and ownership details of affected land parcels will be identified by land

survey - land revenue department and the details should be shared with municipality

• The land acquisition through negotiation will be carried out in a transparent manner and without any

pressure/threat on asset ownership. The documents pertaining to transfer of land, consents from owners

willbe properly documented and published in public domain

• The land owners will be consulted by DSC and municipality to explain the project proposal and acquisition

of land through direct negotiation process

• The value of land and other assets willbe decided through negotiation between the land owner and

municipality, with the negotiation process adequately documented.

• The value of land and assets will be at least as per the prevailing market price

• After the completion of land transfer process, the municipality in coordination with Land Survey Office will

initiate cadastral survey to update the land record and ensure tax relaxation for the acquired land.

30

In case the legal owner fails to be present to receive compensation within given time by the project,

compensation can be handed over to their spouse or legitimate heirs or to the nearest relatives if they have no

immediate heirs such as spouse or children. For this, the compensation receiving person must submit evidences

to prove that they are legitimate heirs along with certification from concerned municipality describing reason of

inability of legal owner to presence themselves for claiming compensation

5.2.3. Voluntary Land Donation

The third option that the project will pursue to fulfill its land requirements will be through voluntary donation. In

such cases, the project will ensure that the donation of land is in fact ‘voluntary’ and free of any coercion—it will

be a legally recorded market transactions in which the donor is given an opportunity to retain the land and refuse to

donate it, and is fully informed about available choices and their implications – i.e. not involving expropriation. The

project will maintain a transparent record of all consultations and agreements reached and subject to the World

Bank approval, voluntary land donation will be one mode of land acquisition provided the following criteria is also

met:

Voluntary Land Donation Criteria

• Voluntary land donation will be limited to "Corridor of Impact" area only

• Project affected people are fully aware of required procedures and entitlement as well as principle of land

donation

• Impacts on individual households will be marginal (limited up to 10% of the productive assets) and the

remaining assets are economically viable to ensure livelihood and/or shelter and will not have an impact on

third parties

• Land donation will not cause relocation of households

• The amount of land being donated will not reduce the donor’s remaining land area below that required to

maintain the donor’s livelihood at current levels

• Donor will benefit directly from the project

• Potential donor or donors have been appropriately informed and consulted about the project and the choices

available to them

• The land donation is done in transparent manner without coercion

• Potential donors are aware that refusal is an option, and have confirmed in writing their willingness to

proceed with the donation

• For community or collective land, donation will only occur with the consent of individuals using or

occupying the land.

Land Donation Process

The main steps that will be followed forland and other permanent assets donation process are the following.

• The ULGs will inform local people about the sub-project activities

• The DSC will identify individual land donors, amount of land to be donated and remaining holding, damage

• Loss of residential structure and its percentage and loss of livelihood and minor structural damage or loss, at

the time of social assessment and inform the affected people about their damage/loss. In case of major

losses, voluntary land donation will not be permissible.

• After availability of detailed records on project impacts (based on the SIAs), the ULGs will publish notice

about land and other permanent assets acquisition.

• The DSC will raise awareness amongst local people about the benefits of the sub-project and inform them

about the provision of the project relating to land donation and structural damage.

• The municipality with DSC and community organizations willassist donors and will fill the voluntary land

donation form of the land donors. In case of any complaints, the affected persons will be able to approach

the grievance redress committeesformed to hear complaints related to voluntary donation process.

31

• The municipality in coordination with Land Survey Office will initiate cadastral survey of affected land

parcels to update the land record,

• The municipality will bear cadastral survey and land transfer cost and will take lead role for land ownership

transfer and,

• The municipality through Social Development section or departments/DSC will prepare documents of each

event and finally forward it to PCO in monthly, quarterly and annual report.

The project will adopt different methods of social recognition such as writing names in the hoarding board, and/ or

offering letter of appreciation to the owners for voluntary land donation. Where voluntary land donation has taken

place following the Project Concept Note review and prior to appraisal, the RAP will provide guidance on

undertaking due diligence to demonstrate that World Bank Policy on Involuntary Resettlement has been followed.

Land Transfer Process for Voluntary Land Donation

After identification of land donors from social assessment study, such donors shall be assisted according to

entitlement matrix and as proposed in ESMP. Individual land donation forms will be filled and land transfer process

initiated. The land donors will be exempted from the tax of the government and other costs incurred during land

ownership transfer.

The record of voluntary contribution will be duly taken prior to signing of the contract. Land ownership transfer

will be initiated prior to thecontract signing process and continue until the transfer is completed for all affected

families/ parcels. The land transfer process involves different stages:

i) Obtaining individual consent in written form from the affected people;

ii) Mobilization of cadastral survey / surveyors from Land Survey Office;

iii) Assistance distribution as per the entitlement matrix, and

iv) Formal land transfer and update of revenue record and cadastral map.

5.2.4. Loss of other Assets

Damage / Loss of Residential Structures

Based on past experience, the nature of subprojects supported under NUGIP are likely to cause damages of various

extents to the residential structures (e.g., road widening sub-projects). In the case of structural damage or loss of

residential structures, such damages will be considered ‘major’ impacts and the concerned persons/households will

be supported as per the entitlement matrix presented below. Further, the project will provide compensation to

thetitleholders and non-title holders differently because the titleholders will lose land along with the structure,

whereas the non-title holders will lose structure only. Damage or loss of other private structures such as compound

wall, cowshed, water tap, tape pillar, tube wells, etc. are considered minor structures. In minor structural damage,

the project will provide fixed assistance as per the entitlement matrix. For the damage and loss of common

community structures such as resting place, water tank, temple, bus stops, culverts, foot trail, trial-bridge, and so on,

the project willundertake repairs and renovations of damaged structures.

Loss of Livelihood/Income Source

In case of loss of livelihood or income sources (e.g., petty shops like teashops, mobile/ temporary shop, etc) and/or

land holdings following land acquisition being reduced to less than the minimum economically viable land

holdings, the project will provide rehabilitation assistance to the affected people. Further, for such

persons/households, livelihood assistance will also be provided.A one-time financial assistance in case of loss, or

skills training and income generation support will be provided. Preferential access to employment opportunities in

project-related construction will be given to vulnerable groups, as defined in the VCDF.

Crop Damage

In case of possible damage of crops by the subprojects, the concerned people will be informed in advance giving

time to harvest the crops from the field. However, in cases where crop damage do occur due to subproject activities,

it will be considered as direct impacts for which the project will provide replacement value of the crops as per

current market price in the same vicinity.

Loss of commercial structures

32

Compensation for full or partial loss of structures will be provide at full replacement cost of materials and labor

according to the structure type, with no deduction for depreciation. A notice to vacate will be issued at least 90

days prior to acquisition.

Impacts on community and cultural assets/facilities

Local community and cultural assets and structures which are affected will be restored in a same or better condition

than they were before, or cash compensation provided at full replacement cost. This will be undertaken in

consultation with the local community user’s groups.

Construction-related losses

Care will be taken to avoid any kind of damage to private and public properties during construction. In case of any

damages to private or public property, the affected parties will be compensated by the contractor.

Full details regarding loss of assets and other losses, together with corresponding compensation and other support

are provided in the entitlement matrix at Table 5.1.

5.3. Preparation of RAP

A social impact assessment, as referred in previous sections, will be undertaken for all projects with high to

moderate social impacts to assess the potential social impacts of the proposed projects. Before commencement of

construction under sub-projects, resettlement impacts will be identified, and RAPs will be prepared in accordance

with this RPF, and will be submitted to the World Bank for review and clearance.

The outcome of the SIA will help determine the extent of the impacted PAPs which in turn will govern the

preparation of the resettlement plans – which can either be an Abbreviated Resettlement Action Plans (ARAPs) or a

full Resettlement Action Plan (RAPs). The PIU, with or without external support,will prepare the RAP. The

compensation (if triggered) will be determined by the Compensation Fixation Committee (CFC) of the district. The

project proponent is responsible for the implementation of RAP.

Abbreviated Resettlement Action Plans (ARAPs): An ARAP is prepared when the impacts of the entire displaced

population are minor (if the affected people are not physically displaced and less than 10 percent of their productive

assets are lost), or fewer than 200 people are affected.

Resettlement Action Plan is prepared for (a) projects involving acquisition of private land or permanent loss of

private assets and livelihood, (b) if the project involves physical displacement and causes adverse impacts on more

than 200 PAPs and (c) projects which requires resettlement sites.

The resettlement plans will be prepared based on the principles of World Bank Operational Policy (OP) 4.12 on

Involuntary Resettlement, the national laws on land acquisition and this RPF. All affected persons will be fully

consulted so that they have a chance to participate in the design and implementation of the A/RAPs. The Executive

summary of thereport will be translated in Nepali language, communicated in local language and specifically

announced though public consultation where the indigenous community is not integrated in mainstream community.

Only after the Bank has accepted the RAPs will compensation, resettlement and restoration activities be initiated.

Such activities will be completed before the commencement of civil engineering. The content of RAP & ARAP is

provided in Appendix G.

5.4. Entitlement Policy Matrix

The Entitlement Policy Matrix is prepared with a view to provide assistance and support to those who need some

support and assistance following the process of land acquisition, even in instances where land donations are

voluntary.

Key definitions

1. Affected area: means such area as may be notified by the appropriate Government for the purposes of land

acquisition

33

2. Agricultural land: Means land used for the purpose of: (i) agriculture or horticulture; (ii) dairy farming,

poultry farming, pisciculture, sericulture, seed farming breeding of livestock or nursery growing medicinal

herbs; (iii) raising of crops, trees, grass or garden produce; and (iv) land used for the grazing of cattle;

3. Building: Means a house or other roofed structure of any material whatsoever but does not include a tent

or other portable and temporary shelter;

4. Encroacher: A person who has extended their building, agricultural lands, business premises or

workplaces into public/government land without authority;

5. Income: Income of the PAP shall mean the amount prior to the cut-off date from all occupations taken

together calculated by an objective assessment;

6. Land: "land" includes benefits to arise out of land, and things attached to the earth or permanently

fastened to anything attached to the earth

7. Project Affected Family: The Project Affected Family (PAF) includes the following:

• family whose land or other immovable property has been acquired;

• family which does not own any land but a member or members of such family may be agricultural

laborers, tenants including any form of tenancy or holding of usufruct right, share-croppers or

artisans or who may be working in the affected area for three years prior to the acquisition of the

land, whose primary source of livelihood stand affected by the acquisition of land;

• indigenous people and other traditional forest dwellers who have lost any of their forest rights

recognized under the operational plan of community forest

• family whose primary source of livelihood for three years prior to the acquisition of the land is

dependent on forests or water bodies and includes gatherers of forest produce, hunters, fisher folk

and boatmen and such livelihood is affected due to acquisition of land;

• member of the family who has been assigned land by the State Government or the Central

Government under any of its schemes and such land is under acquisition;

• family residing on any land in the urban areas for preceding three years or more prior to the

acquisition of the land or whose primary source of livelihood for three years prior to the

acquisition of the land is affected by the acquisition of such land;

8. Project Affected Person (PAP) is any person affected either directly or indirectly by the project and/or

project related activity, irrespective of the legal status and would include the following.

• Title holders,

• Encroachers,

• Squatters,

• Tenants, Leaseholders, Sharecroppers,

• Employees, Landless laborers,

9. ProjectAffected Household (PAH): A social unit consisting of a family and/or non-family members

living together, and is affected by the project negatively and/or positively;

10. Replacement Cost: A replacement cost/value of any land or other asset is the cost/value equivalent to or

sufficient to replace/purchase the same land or other asset and other applicable taxes to be incurred by the

affected person.

11. Shop: Means any premises where any trade or business is carried on and where services are rendered to

customers;

12. Squatter: A person who has settled on public/government land, land belonging to institutions, trust, etc.,

and or someone else’s land illegally for residential, business and or other purposes and/or has been

occupying land and building/asset without authority;

13. Temporary Impact: Impact expected during implementation of the project in the form of earth spoil,

tremors and vibrations, etc. affecting land and structure

14. Tenant: A person who holds/occupies land-/structure of another person and (but for a special contract)

would be liable to pay rent for that land/structure. This arrangement includes the predecessor and

successor-in-interest of the tenant but does not include mortgage of the rights of a landowner or a person to

34

whom holding has been transferred; or an estate/holding has been let in farm for the recovery of an arrear

of land revenue; or of a sum recoverable as such an arrear or a person who takes from Government a lease

of unoccupied land for the purpose of subletting it.

15. Vulnerable Households/PAPs: Vulnerable households/PAPs are those defined in VCDF as being

vulnerable (see next section)

16. Cut-off date: In the cases of land acquisition affecting legal titleholders, the cut-off date willbe the date of

issuing the preliminary notice under the Land Acquisition Act 2034. In cases where people lack title, the

cutoff-date shall be thestart date when the census survey was undertaken by the project authority

Entitlements for Project Affected Persons (PAPs)

The entitlement for different categories of impacts is explained in the following entitlement matrix. Briefly, the

entitlement matrix presents the entitlements for different impact categories in the following order:

1. Impact to title holders which covers

a. Loss of land

b. Loss of residential structures

c. Loss of commercial structures

2. Impact to tenants and leaseholders

a. Residential

b. Commercial

3. Impacts to non-title holders

a. residential squatters

b. commercial squatters

c. encroachers

4. Impacts to trees, plants and standing crops

5. Loss of livelihoods (Permanent loss and Temporary disruption to income)

a. Owners

b. Employees in shops, agricultural laborers, sharecroppers etc.,

6. Impacts to Vulnerable Households

7. Impacts to Community Assets

8. Loss of Access to Residences/place of business

9. Unidentified impacts

The exact value of compensation and replacement cost will be different for each sub-project activity at different

project locations and willbe based on the economic and social survey of the area of the activity and of the affected

persons. An indicative entitlement matrix for NUGIP project is furnished in thetable below.

35

Table 5-1: Entitlement Matrix applicable for the Project

Type of Loss Entitlement Unit Description of Entitlement Implementation procedures

Agricultural, Residential, Commercial, Pasture and Forestry Land

Loss of Private

land under any

form of tenure

Titleholder • Provide compensation at full

replacement cost orprovide full

title to land of equal area and

productivity acceptable to owner

in the vicinity.

• If land is not available

elsewhere, provide cash

compensation at full replacement

cost based on current market rate.

• In the case of farmland,

compensation for cultivation

disruption allowance equal to

one-year production.

• In case of vulnerable

groups,give preference for land-

for-land compensation

• Ensure that resettlement

assistance in addition to

compensation for land occupied

(land, other assets, employment)

at least restore their livelihoods

and standards of living to pre-

displacement levels.

• If remaining land becomes

unusable as a result of land

acquisition, option provided to

landowner to relinquish unusable

remaining portion of land and

receive similar benefits to those

losing all their land parcel(s).

• A List of available public land in

each municipality is required.

• A list of affected and entitled

persons and the area of land loss is

required.

• Notice to vacate the land should be

served at least a month priorto

acquisition date.

• To ensure fair compensation,

determination of rates will be

established not more than one year

prior to property acquisition.

• Land registration in the name of

both landowner and spouse (in case

of land for land compensation)

• In case of cash compensation,

deposited into a joint account in the

name of both landowner and spouse.

Loss of

Tenancy Land

Landowners

Tenants

• Both the landlord & the tenant

will be entitled for 50 percent of

land compensation amount each

(As per 2058 B.S. amendment in

Land Reform Act).

• Non-registered

tenant/renter/lease holder does

not qualify for compensation for

land losses; however, they will be

entitled to compensation for

standing crops and any other

assets built by them. Any upfront

cost for the tenancy agreement

will be reimbursed.

• Where a renter/leaseholder has a

share cropping arrangement, the

compensation payable should be

apportioned according to the

arrangement.

• An advance prior notice will be

provided to landlord and tenant

Temporary

Loss of Private

Land

Titleholder Tenants

and landlord

(As both are the

owner of equal (i.e.

50 %) share, hence

treated as private

• Compensation for crop, land

productivity and other property

losses for the duration of

temporary occupation.

• Compensation for other

disturbances & damages caused

• Advance notice for crop harvesting

• The owner/entitled party will sign

a temporary occupation contract

specifying:

1. Period of occupancy,

2. The terms and conditions for

36

Type of Loss Entitlement Unit Description of Entitlement Implementation procedures

land holder. to property.

• Project and the municipalities to

ensure that persons other than the

owner affected as a result of

temporary acquisition are

compensated for the temporary

period.

• Land should be returned to the

owner at the end of temporary

acquisition period, restored to its

original condition or improved as

agreed with owner.

calculation of production

losses,

3. The frequency of

compensation payment, and

4. Annual inflation adjustment

5. Land protection and

rehabilitation measures.

• Advance notice to vacate the land

before civil works start

• Compensation for any losses

crops/structures,

Land donations Voluntary donation

is accepted only if :

• AP is direct

project beneficiary

and is fully

consulted and

informed about

rights and choices

available to them;

• AP doesn’t fall

below poverty line

after land donation;

• No household

relocation is

involved.

• Landowners have

agreed to donate;

• AP is freely

willing to donate, is

awarethat refusal is

an option (with an

agreement,

including a "no

coercion" verified

by a third party);

and

• Impact limited to

less than 10% of

landholding and

minor assets

• Land is free from

disputes regarding

ownership or tenure

• No compensation for the

donated land, but entitled for

compensation of other assets such

as minor structure, trees, crops,

allowances, etc.

• Transfer of land ownership

• Free of any transfer costs,

registration fees or charges

• Preferential employment in

project construction

• Verify the requirements of the

donation

• Carry out due diligence on the

owners and users of land donated:

identify rightful owner(s); any

competing claims of ownership or

use; structures and assets on the

land; any encumbrances on the land.

• Ensure appropriate consultation

and disclosure

• Establish informed consent of the

person donating land

• Sign written commitment; local

witness or third-party verification to

the commitment letter

• Maintain a transparent record of

all consultations and agreements

reached.

Trees and Crops

Loss of Trees &

Crops

(Perennial/

Non- perennial)

Owner of affected

trees, fruits and

crops

• Advance notice to harvest crops

• Net value of existing crops

where harvesting is not possible.

• The crops, which live, in short

time will be paid in accordance

with one-year output value. The

crops which have lived for

• Inventory of the tree and plant

species list

• List of owners, non-perennial

crops and the area (if applicable) of

cultivation

• The APs will get notice 2 months

in advance regarding crop

37

Type of Loss Entitlement Unit Description of Entitlement Implementation procedures

several years will be

compensated at market value on

the basis of loss of future

production, based on 5 years

annual net production for fruit &

fodder trees & 3 years annual net

production for timber/ fuel wood

trees & other perennial crops

harvesting. Crops grown after the

issue of the notice will not be

compensated.

• The work schedule for

construction works will be adjusted

considering the crop seasons for

avoiding crop damage.

• Crop/trees/bamboo market values

will be determined by the CDCs in

consultation with District

agriculture and forestry office.

• Where a tenant/renter/lessee &

landowner have a share cropping

arrangement, the compensation

payable will be apportioned

according to the lease arrangement.

• Materials may be salvaged with no

deduction from compensation

Structures and Other basic facilities

Loss of

privately-

owned

structures

(residential,

commercial and

other structure)

Titleholder /non-

titleholder

• Compensation for full or partial

loss of structures at full

replacement cost of materials and

labor according to structure type,

with no deduction for

depreciation.

• Resettlement assistance (rental,

dislocation and transportation

allowances) for residential and

commercial structures.

• Households which lose

residential structures and/or more

than 10% of their land. Are

entitled to receive additional

training or benefits

• Replacement cost at market value

of structures will be determined by

the municipalities in consultation

with the Malpot(land revenue

office), local experts and

compensation prices will be

finalized with participation of AP

representatives.

• Other structures that will be

considered for compensation if

affected under the project include:

toilet, sheds, walls, fences, water

mills, workshop etc.

• Materials may be salvaged with no

deduction from compensation.

• Notice to vacate at least 90 days

prior to acquisition.

• Renter/ lessee holder will not be

entitled for compensation of

structures. However, if the

structures are made by them, they

will be entitled to compensation or

the nature of compensation will be

in accordance to the lessee

agreement

Community and Cultural Assets/ Facilities

Loss of land

and structures

Local community

user’s group

• Restoration of affected

structures by the project leaving

such facilities in a better

condition than they were before;

or cash compensation at full

replacement cost.

• Restoration of access to

community resources.

• The land revenue office in the

district and concerned Municipality

will be requested to assist

communities for land replacement

identifying the area nearby.

38

Type of Loss Entitlement Unit Description of Entitlement Implementation procedures

• The land revenue office in the

district and concerned

Municipality will be requested to

assist communities for land

replacement identifying the area

nearby.

Loss of

community

forests and

other natural

resources due

to construction

Forest user’s group

(FUG)/Other

Concerned Groups

• Mitigation measures should be

initiated to control erosion caused

by tree cutting, and to stabilize

and rehabilitate the slopes with

suitable bioengineering works

and vegetation.

• Community forestland lost due

to construction activities should

be replaced and reforested.

• Advance notice to harvest

resources from affected

community forest areas.

• Compensation for trees to the

FUG.

• List of plant and tree species lost

and an assessment for maintaining

the samekind of vegetation.

• Compensation for trees calculated

on the basis of type, age, and

productive value of affected trees in

consultation with concerned forest

office and FUG.

• To minimize damage, the

concerned forest office will be

requested to take necessary action.

Rehabilitation Assistance

Displacement of

household

Titleholders

Tenants

• Housing displacement

allowance for loss of own

residential accommodation

• House rental allowance

• Transportation allowance

• Displaced households will receive

a house rent allowance for 6 months

• Allowances will be paid at the

time of serving the notice to vacate.

Loss of income AP from

Vulnerable groups

• One-time financial assistance in

case of loss of income; or

• Skills training and income

generation support

• Preferential access to

employment opportunities in

project-related construction

works

• Priority to vulnerable group and

affected households for

skilled/unskilled employment.

Vulnerable groups as defined in the

VCDF

Damages caused during Construction – temporary losses

Any kind of

private and

public

properties

All categories of

entitled persons

• Extreme care willbe taken by

municipalities and their

contractors to avoid damaging

public and private property.

• Where damages do occur to

public or private property as a

result of construction works, the

affected parties shall be

compensated immediately for

damages to crops and trees,

damaged land, structure and

infrastructure shall be restored

immediately to their former

conditions.

• Compensation at market price

39

Type of Loss Entitlement Unit Description of Entitlement Implementation procedures

for the loss of income, damaged

crops, trees etc.

5.5. Monitoring and Reporting of RAP

Monitoring is a major part of the RAP to ensure its goals and objectives are adequately met. The implementation of

RAP willbe monitored internally bythe municipality staff. The safeguards staff (E&S) within Municipalities, DSCs

and PCO will monitor the project site in the initial design and planning, construction, post construction and

operational phase of project to ensure that compensation and all rehabilitation and resettlement issues related to

each subprojects are well addressed and are complied with the requirements mentioned in ESMF. Municipalities

will prepare quarterly progress reports and submit them to PCO. PCO will prepare semi-annual monitoring reports

and submit to the World Bank. The reports will cover RAP implementation, focusing on compliance and any

corrective actions needed as per the ESMF. Public consultation will be conducted as necessary during

preconstruction, construction, operation phases.

The role of DSC in this process will include impact assessments, resettlement planning/management, supervision of

compensation disbursement, on-site safety, etc. It is proposed that E&S Department of municipality will review

RAP-ARAP Reports prepared by DSCs, disbursement of compensation to PAPs and to supervise contractors work

to ensure E&S Safeguard as per World Bank standard.

5.6. Stakeholder Consultation and Grievance Redress

Stakeholder consultations and public participation will run through the whole resettlement process. RAPs will

describe all measures taken or to be taken to provide compensation and other R&R assistance, involve the affected

persons in the proposed resettlement arrangements, and foster a sense of participation in livelihood or living

standard improvement and/or restoration activities. To ensure that the opinions and suggestions of the affected

persons are fully considered, public participation will be conducted prior to finalization of project design. Public

participation will run through the whole RAP planning, implementation and external monitoring processes. At the

RAP drafting and finalization stages, the individual RAPs will be disclosed to the affected persons and to the public

at certain places of the project site and in relevant languages. The final RAP will be disclosed again after review and

clearance by the World Bank.

The manner in which stakeholder consultations are carried out may need to be altered to minimize the risk of

COVID-19 transmission. Chapter 8 Stakeholder Engagement provides some guidance for adapting stakeholder

consultations in the COVID-19 context.

In order to ensure that the affected persons have a channel to lodge any grievance on any issue concerned to land

acquisition and resettlement, a grievance redress procedure will be available at the various levels, which includes

relevant escalation points. A separate grievance redress mechanism will not be created for the project if there is

already an existing grievance mechanism at the local level. Where there is none existing at the local level, one will

be created.Unsatisfied grievantwill also have recourse to judicial and administrative mechanism, and the World

Bank’s Grievance Redressal System (GRS).

40

6. VULNERABLE COMMUNITY DEVELOPMENT FRAMEWORK (VCDF)

The objective of the Vulnerable Community Development Framework (VCDF) is to guide the preparation of the

Vulnerable Community Development Plan (VCDP) for the sub projects that will have animpact on vulnerable

communities. The impact on vulnerable communities and the need of a VCDP will be identified through a social

screening process.

The VCDF serves as a practical tool that will help ensure that the project fully respects the dignity, human rights,

economies and cultures of vulnerable communities (VCs), including the Indigenous Peoples. The framework also

aims to ensure that the project benefits are accessible to all vulnerable communities living in subproject areas.

Additionally, it details agreed principles, policies, guidelines and procedures to be integrated into project

implementation and will be in compliance with the applicable GoN’s laws relating to indigenous peoples and other

marginalized groups, and the World Bank’s safeguard policies and objectives relating to Indigenous Peoples.

While NUGIP will supportinfrastructure that will benefit all groups, due to social conditions of vulnerable

communities (VCs), their representation, participation and access to services could be limited, hence there is a

requirement foradditional support from the project. Specifically, the project will provideextra consideration to

Adivasi-Janajati and other vulnerable communities that will minimize the magnitude of impacts and provide

support to ensure benefits; and will also ensure their participation in the project cycles. Thus, this Vulnerable

Community Development Planning Framework (VCDF) has been designed to ensure that vulnerable groups,

including Indigenous Peoples, are regarded as special interest groups, and that impacts on their livelihoods are

minimized and addressed in a sensitive manner.

6.1. Classification of Vulnerable Groups in Nepal

Nepal is a country of significant diversity in many dimensions. The 2011 census of Nepal recorded the presence of

125 caste and ethnic groups, 123 languages spoken as mother tongue, and ten different types of religious groups.

Indigenous Peoples of Nepal are officially described as Indigenous Nationalities (Adivasi-Janajati) and make up for

35.81 per cent of the country's total population (approximately 8.5 million out of the 26 million Nepalis).

Indigenous Peoples in Nepal have distinct cultures, languages and belief systems. They live across the country – the

mountains, the hills and the plains.

As per the Article 42 of GoN’s Constitutional Right to Social Justice(1-5),socially backward women, Dalits,

indigenous people, Madhesi, Tharu, Muslim, people with disability, farmers, laborers, people from backward region

could be termed as vulnerable and need special protection and provision for empowerment. Therefore, vulnerable

groups can be broadly be categorized as

1. Indigenous Peoples

2. Poorest of the poor, irrespective of class, caste, gender and ethnicity

3. Female headed poor households

4. Marginal land holders

5. Elderly-headed (Jestha Nagarik) or child-headed households

6. Household members with disability

7. All Dalit and ethnic minorities/ indigenous groups as categorized by GoN as being vulnerable

Given the multi-ethnic, multi-lingual, multi-religious and multi-cultural nature of the social system in the project

specific municipalities, it is difficult to clearly separate the Indigenous Peoples (IPs) from other vulnerable groups.

The IPs and disadvantaged groups, though belonging to different ethnicity and/or social group, share commonalities

in terms of their economic and livelihood activities. Further, gender, caste and ethnicity have been officially

acknowledged as primary factors that determine a group's vulnerability and marginal status owing to: (i) limited

access to livelihood, assets and services; (ii) low levels of social inclusion and empowerment; (iii) restricted legal

inclusion and representation in decision-making positions; and (iv) economic marginalization. Thus, this framework

has been prepared in a manner that would ensure that the principles of World Bank’s OP 4.10 on Indigenous People

are followed and that the different categories of vulnerable groups, including indigenous people, are able to benefit

equally from the project while the adverse impacts are minimized.

41

6.2. Baseline of Vulnerable Groups in Nepal

Women headed household

The high rate of female-headed households in Nepal, as well as the project specific districts, is largely due to high

migration rates (8-10%) among males of productive age. It is noted however that contrary to other countries,

female-headed households are, on average, less poor than the male-headed households. Studies conducted in 2004

showed that only 24% of the female-headed population lived below the poverty line compared to 32% of male-

headed households. Some have attributed this difference due to higher remittances flowing to female-headed

households – approximately 65%, in contrast to only 24% flowing to male-headed households. Further, during the

stakeholder consultations within the municipalities, it was pointed out that due to GoN’s tax incentive for

registering land on woman’s name and efforts from municipalities to establish single woman networks, the status of

woman headed household has improved.

Landless and economically poor

Data from the Nepal Living Standards Survey 2010/11 and Agriculture Census 2011/12 indicates that in all of

Nepal, 22.9% of households do not own any agricultural land; 10.4% do not live in their own house; and 3% do not

have any land holding. It is likely that the data for the 14 project specific districts would be comparable. Thus, the

project will take special measures to address the needs and concerns of these groups while preparing and

implementing the project.

Adivasi and Janjati’s

The Nepal Federation of Indigenous Nationalities (NEFIN) has categorized the 59 indigenous peoples into five

groups based on developmental indicators (e.g. literacy and education, income, wealth, land holding and other

assets) as follows:

Table 6-1: Classification of Indigenous People on development

1 Endangered Group Kusunda; Bankariya; Raute; Surel; Hayu; Raji; Kisan; Lepcha; Meche;

and Kusbadiya

2 Highly marginalized group Majhi; Siyar; Lohmi; Thudam; Dhanuk; Chepang; Satar (Santhal);

Jhagad; Thami; Bote; Danuwar; and Baramu

3 Marginalized group Sunuwar; Tharu; Tamang; Bhujel; Kumal; Rajbansi; Gangai; Dhimal;

Bhote; Darai; Tajpuriya; Pahari; Topkegola; Dolpo; Free; Mugal; Larke;

Lohpa; Dura; and Walung

4 Disadvantaged group Chhairotan; Tangbe; TinganuleThakali; Bargaule; MarphaliThakali;

Gurung; Magar; Rai; Limbu; Sherpa; Yakkha; Chhantyal; Jirel; Byansi;

and Yolmo

5 Advanced group Newar; and Thakali.

Source: Nepal Federation of Indigenous Nationalities (NEFIN) 2004

The advanced group is not taken into consideration while describing the vulnerable groups. In Nepal, census survey

was conducted in 2011 and the data so collected is disaggregated only on the basis of caste and gender. Therefore, it

is very difficult to estimate number of people under other vulnerable group.

Table 6-2: Population of Indigenous People in project specific districts

Name of the District Population of IP in the

district

Total Population of the

district

Percentage distribution

of IPs in the districts

Baglung 84656 268,613 31.51597

Dhankuta 84393 163,412 51.64431

Jhapa 309308 812,650 38.06165

Kaski 152104 492,098 30.90929

Morang 333528 965,370 34.54924

Palpa 145167 261,180 55.58121

Parsa 78230 601,017 13.01627

42

Name of the District Population of IP in the

district

Total Population of the

district

Percentage distribution

of IPs in the districts

Rupandehi 207444 880,196 23.56793

Saptari 128249 639,284 20.06135

Sunsari 237064 763,487 31.05017

Syangja 91550 289,148 31.66199

Tanahu 144310 323,288 44.63822

Terhathum 52186 101,577 51.3758

Udayapur 162731 317,532 51.24869

Grand Total 2210920 6,878,852 36.34872

The data above depicts that close to 37% of the population in the project specific districts is constituted by

indigenous peoples.

Madhesis

Madhesi by definition means people who inhabit the flat southern region of Nepal (the Terai plains). All the NUGIP

municipalities in the eastern cluster, except Dhankuta have presence of madhesi groups. In these municipalities,

theTeraidalits, terai caste groups, dumjhangar, bantar, muslims, are the most socially backward groups. The

composition of these caste groupsis shown in the graph below:

Source: South Asia Check

Figure 6-1: Composition of Madhesi Caste Groups

Data on other vulnerable groups is not available in census data as the survey did not capture these dimensions.

6.3. Preparation of VCDP for the sub-projects

The need for VCDP will be identified through a social screening process carried as part of the environmental and

social screening for the project investments during the sub-project identification stage. The screening will help

determine whether vulnerable communities will be affected, either positively or negatively, by the proposed sub-

project activities.

If social screening indicates presence of Indigenous Peoples in the subproject area, a social assessment will be

carried out. The assessment will comprise ofsocio-economic survey, focused group discussion and social mapping

etc., in the subproject area to identify the vulnerable groups and determine the magnitude of impact andascertain

losses such as temporary impacts, severity of impacts etc. Information will be collected from separate group

meetings withthe different groups of vulnerable communities. A free, prior and informed consultation will be

43

carried with indigenous peoples to ensure that there is broad community support for the project. The significance of

impacts of the subprojects on vulnerable community will be determined by assessing the magnitude of impact in

terms of:

• Socioeconomic status

• Cultural and communal integrity

• Health, education, livelihood, and social security status and on the level of vulnerability of the affected

person/group/community

• Inclusion/exclusion dynamics

• Customary rights of use and access to land and natural resources

VCDP will be prepared based on the findings from social assessment and consultations with the vulnerable groups,

including indigenous people. The VCDP willinclude mitigation measures of potential adverse impacts through

revision of subproject design and development assistance to maximize subproject benefits. The subproject

willensure that the rights of vulnerable groups, including indigenous people, will not be violated and that if land

acquisition or structural losses involve vulnerable communities then they will be compensated for the use of any

part of their land or property in a manner that is socially and culturally acceptable to them. The subprojects

willfollow the process and procedures as well as compensation measures prescribed in RPF.

6.4. Potential Impacts and Identification of Mitigation measures

Table 6-3: Potential Impacts and Mitigation measures

S. No. Potential Impact on VG Proposed

Mitigation

Measure

Implementation

Phase

Institutional

Responsibility

1 Lack of representation of

vulnerable groups

Covered in SECF

2 Consultative and participatory

approaches not adopted

3 Exclusion in the decision-making

process for selection of

beneficiaries and also during

project design

Prioritising

investments on the

needs of VCs

Ensure

representation of

VCs in public

consultations

Planning stage Municipality, ward

and Tole

committee

4 Baseline data not disaggregated

and thus assessment of needs,

benefits and impacts of the project

inadequate

Public consultation

during baseline

survey

Social Assessment/

Planning Stage

DPR and ESIA

consultants

5 Insufficient analysis of

differentiated priorities for design

of human settlements, location of

housing and provision of urban

services in the social assessment.

Gender/caste/ethnicity/location-

differentiated access to

employment and income-earning

opportunities, access to public

park, public toilets, public taps,

public hall and temples

Social mapping

Assessment of the

needs and social

barriers of different

vulnerable groups.

Conduct separate

and exclusive

FGDs with

vulnerable groups

Social Assessment/

Planning Stage

Municipality, ward

and Tole

committee

6 Limited access to common

property or natural resources

Prior information

about the impacts

shared with the

affected VCs

Preconstruction,

Construction stage

Contractor, Tole/

Municipality staff,

DSCs, PCO,

various concerned

44

Arrangement for

alternative route to

provide access to

the resource

Arrangement for

alternative access

to the same

resource

authorities

7 Persistent discrimination and ill-

practices against VCs

Lack of proper attention to

measures to empower vulnerable

groups

Engaging VCs in

various project

development

activities at various

stages of project

Engaging

representatives of

VCs in decision-

making forums

relating to project

design,

implementation

and monitoring

Preconstruction,

Construction &

Operation stage

8 Geographical isolation (due to the

remoteness, lack of

transportation)causing project to

place less priority to remote areas

Identify settlements

located in remote

areas, to the extent

possible, and

inform them about

the project so that

they can get the

chance to engage

themselves in

project

development works

Preconstruction,

Construction &

Operation stage

9 User charges for infrastructure

services unaffordable to vulnerable

groups

Subsidized user

charges for

vulnerable groups

Operation stage

10 Disruption ofcustomary rights of

use and access to land and natural

resources

Compensation &

livelihood

restoration

Preconstruction,

Construction

11 Impacts oncultural and communal

integrity

Shifting,

restoration of

cultural properties

in consultation

with the concerned

VCs

Preconstruction

12 Undermining ofindigenous

knowledge

Engage VCs,

including

indigenous people,

in decision making

throughout the

project cycle

Preconstruction,

Construction &

Operation stage

45

13 Project features inattentive to the

needs of people with disability

Adopt universal

access as a major

design principle

Ensure disability-

friendly design

consideration in the

project, to the

extent possible

Preconstruction,

Construction Phase

14 Inadequate representation of

women in opportunities provided

under LIPW

Include women

when targeting

beneficiaries under

the LIPW

Preconstruction

15 Inadequate representation of

vulnerable groups such as Dalits in

opportunities provided under

LIPW

Include vulnerable

groups when

targeting

beneficiaries under

the LIPW

Preconstruction

16 Inadequate representation of

vulnerable groups including

women and Dalits when

identifying LIPW subprojects

Ensure that groups

represented

vulnerable interests

are involved when

LIPW subprojects

are selected

Preconstruction

6.5. Consultation and Information Disclosure

Information disclosureand public consultations are important and necessary during sub-project preparation and

implementation as well. As such, during project implementation, meaningful consultation, including with

vulnerable groups, will be a continuous feature. It is envisaged that such an approach would enable project affected

people, vulnerable groups, and other stakeholders to participate in and contribute to the project planning and

implementation, and thereby help minimize adverse impacts and maximize benefits.

Once the project-targeted vulnerable groups have been identified, ‘free, prior, and informed consultations’ will be

held with vulnerable groups, including IPs. Concerns raised during the consultations will be documented and

incorporated in the overall project design, the project implementation plan and the individual vulnerable community

development plan.

During the preparation of VCDP, consultations will also be held with relevant departments and district level offices

of the government, project-affected groups, community-based organizations, women’s groups, indigenous peoples’

organizations, etc., and also at local levels about the project’s environmental and social aspects. To ensure

meaningful consultations, the concerned groups will be provided with the draft documents in a timely manner prior

to consultation and in a form and language that is understandable and accessible to the groups to be consulted (See

SECF of the Environment and Social Management Framework (ESMF) for summary discussions of the

consultations).

Once the VCDPs are prepared they will be disclosed through municipalities’ website. The VCDP will also be made

available at both central/sub-project level project co-ordination offices and municipalities and respective ward

offices. Further, summary of VCDPs in Nepali language will be made available to the concerned communities, local

level NGOs and the others concerned at the subproject sites.

A detailed engagement and consultation process is outlined in the SECF section of the ESMF which is also

applicable to vulnerable communities.

46

The manner in which stakeholder consultations are carried out may need to be altered to minimize the risk of

COVID-19 transmission. Chapter 8 Stakeholder Engagement provides some guidance to adapting stakeholder

consultations in the COVID-19 context.

6.6. Institutional Responsibilities

As mentioned above, the necessity for a VCDP will be determined based on social assessment and stakeholder

consultations which will be conducted by DSCs and municipal officers. If it is found that VCDP is necessary for

any sub-project, the DSC will develop VCDP and get it approved through municipality and PCO. The VCDP will

be implementedthroughout the initial design and planning, construction, post construction and operational phase of

project to ensure that concerns pertaining to vulnerable community for the subproject/s are well addressed and

complied with the requirements mentioned in ESMF. The safeguards staff (E&S) within Municipalities, DSCs and

PCO will monitor the project site in the municipalities, prepare quarterly progress reports and submit them to PCO.

The PCO will prepare semi-annual monitoring reports and submit to the World Bank. The reports will cover the

implementation of VCDP, among others, focusing on compliance and any corrective actions that may be needed.

Public consultations will be conducted as necessary during the preconstruction, construction, operation phases of

the subprojects. The role of DSC includes preparing VCDP for subproject/s, if applicable while the E&S

departments of the respective municipalities will review VCDP prepared by DSCs, disbursement of compensation

to PAPs, and to supervise contractors work to ensure effective implementation of VCDP as per the ESMF.

6.7. Stakeholder Consultation and Grievance Redress

Consultations as part of the implementation stage will involvedirect interactions between the municipality project

engineers, the Environment and Social Development Staff of the municipality, and the Project Affected Persons

especially from the vulnerable communities. These would comprise consultations relating to relocation of the PAPs,

relocation of cultural properties and addressing the impacts on common property resources (CPRs) such as places of

religious importance, community buildings, trees, etc. With the implementation of the R&R provisions in progress,

consultations and information dissemination will be undertaken to inform the affected persons about the progress of

the same. Implementation stage will also involve redress of grievances in case of R&R issues and environment and

social concerns as discussed in detail under Chapter 9 of the ESMF.

47

7. SEA/SH RISK MITIGATION ACTION PLAN

7.1. Need and Purpose

Nepal ranks 118 out of 160 countries on the Gender Inequality Index8. In relation to that, most women face various

kinds of violence since the time they are conceived to old age. Violence against women are gender-based where

there is unequal distribution of power dynamic between men and women.

The Nepal Demographic and Health Survey (NDHS) 2016 records 23 percent women experiencing physical

violence with significant differences across various social groups. The experience of such violence was highest

among Madhesi Dalit women at 44 percent, Muslims at 38 percent while only 9 percent of hill Brahminsreported

having experienced it. By province, women’s experience of physical violence varies from a low of 12 percent in

Province 4 to a high of 34 percent in Province 2. Besides physical violence, about 12 percent of women in Nepal

also reported having experienced emotional violence with 17 percent to 19 percent Madhesi Brahman Chhetri, hill

Dalit and Newar women, respectively experiencing it. Seven percent of women aged 15-49 reported having

experienced sexual violence. Divorced, separated, or widowed women are much more likely to have experienced

sexual violence (20%) than currently married women (8%) and never married women (2%). Likewise, women with

only primary or no education are more vulnerable to sexual violence than educated women.

The current status of gender inequality and gender-based violence in Nepal reveals the need to mainstream gender

sensitivity and GBV, and more specifically, sexual exploitation and abuse, and sexual harassment (SEA/SH) risk

mitigation measures at all organization levels and all phases of project cycle. In Nepal, SEA/SH is prevalent due to

unequal gender relations and discrimination towards women in both public and private sphere. It has direct

implications on the reproductive health status of women and physical, emotional, and mental health of their

children.

The purpose of this action plan is to identify the issues, stakeholders, possible service providers and assess their

capacity and document the legal and institutional mechanisms that aid in accessing grievance redressal related to

gender-based violence. The action plan focuses on sensitizing the communities and other stakeholders

andstrengthening the institutional capacities to respond to the risks of such violence. In preparing the plan, a

survivor-centric approach is followed - all through, victimssurvivors’ care and provision for access to different

referral mechanisms, are considered key aspects of this plan.

One of the key aims of the project is to address critical gaps in core municipal services and infrastructure. For Year

1, four sub-project areas have been identified namely, in Pokhara, Damak, Urlabari and Birtamod, all of which

except for Pokhara, fall in Terai belt. All four subprojects involve upgradingof the road within the ROW (Right of

Way). Out of the total human resources, approximately two thirds are unskilled labors and one third skilled labors.

To the extent possible, laborers will be from the host community, and if not, from other parts of Nepal or

neighboring countriesincluding India. There are cases of domestic violence in the sub-projects and at least 80% of

women do not report cases of domestic violence, and beating is considered a common practice. In Birtamod, the

practice of child marriage is prevalent within the Dhimal and Satar community while in Pokhara teenage marriage

has become a common practice. With Pokhara being a tourist spot, risk of child labour is also prevalent as well a

commercial sex work leading to high risks of sexually transmitted disease. Trafficking of girls is high in Jhapa as

they share border with India.

Based on the SEA/SH Risk Assessment checklist and assessment carried out for the project by the World Bank, the

Project’s SEA/SH risks are assessed to be “Low”. Accordingly, this action plan has addressed “Table – 1:

Recommended actions to address SEA/SH Risks in IPF Projects” as per the “Good Practice Note” published by the

World Bank in September 2018.

This action plan is intended for and is applicable to Project implementing agencies, including contractors, and cover

the Project’s footprint and adjoining communities.

7.2. Legal and policy environment for women’s safety

Nepal is party to 16 international human rights instruments including the International Covenant on Economic,

Social and Cultural Rights, 1966, the International Covenant on Civil and Political Rights, 1966, the Second

Optional Protocol to the International Covenant on Civil and Political Rights, 1989, the Convention Against Torture

and Other Cruel, Inhuman or Degrading Treatment or Punishment, 1984 and the Convention on the Elimination of

all forms of Discrimination Against Women (CEDAW), 1979. By ratifying these conventions, the Government of

Nepal has committed to guaranteeing equality to both men and women in all spheres of their lives, which entails

ensuring that they are not subject to sexual harassment. General Recommendation No.19 (eleventh session, 1992) of

8UNDP Human Development Report 2017

48

the CEDAW Committee clearly stipulated that gender-based violence is a form of discrimination that seriously

inhibits women's ability to enjoy rights and freedoms on the basis of equality with men.

Under the Constitution of Nepal 2015, GBV has been quoted under the fundamental rights of women (Article 38) as

"No woman shall be subjected to physical, mental, sexual, psychological or other form of violence or exploitation

on grounds of religion, social, cultural tradition, practice or on any other grounds.” Similarly, Part 4 of the

Constitution, under directive principles, policies and obligations of the state, directs the policies relating to social

justice and inclusion be directed toward making self-dependent the women who are vulnerable, subjected to social

and family exclusion and victims of violence self-reliant by making their rehabilitation, protection and

empowerment (Article 51-j-2). The constitution under Part 27 makes provisions for various constitution

commissions and under Article 253, filing cases against any persons or bodies on matters of violence against

women or being subjected to social ill-practices or infringement of or deprivation of enjoyment of women’s rights is

listed as a major function, duty and power of National Women Commission.

The Gender Equality Act in 2006, brought tangible legal changes to sexual violence against women. A major

achievement of this act is the provision that an offender convicted for rape must compensate the victim for mental

and physical damage. Also important is the 2009 Domestic Violence (Crime and Punishment) Act, which

recognized for the first time that domestic violence is a crime punishable by law. However, while the act recognizes

domestic violence as a crime, it contains provisions for negotiations through police offices, which seems

contradictory. Also the National Civil Code Act 2017 states not to commit any inhumane or degrading treatment or

domestic violence and the Criminal Code Act 2017 states that violence against women in form of accusing of

witchcraft or practicing of ‘chhaupadi’ tradition9 and sexual violence is treated as criminal offense. Although there

are some laws and provisions against domestic violence, many victims are left without support mainly because of

the poor mechanism to deliver support services as well as a lack of awareness among people regarding such

provisions.

The Human Trafficking Act (2007) extended the definition of trafficking to include the offense of transportation for

the purpose of trafficking. With this extended definition and other support measures, the new Act helps to control

human trafficking and affords needed support and care for victims.

Apart from these laws and policies, the Supreme Court has also issued orders at different times prohibiting different

malpractices that contribute to GBV. For example, the Supreme Court issued a directive order that required the

government to declare Chhaupadi as a malpractice based on superstitious beliefs. Similarly, the court issued a

directive order requiring the government to launch a massive awareness campaign to stop the exploitation of

women accused of practicing witchcraft.

Further, the government's National Safe Motherhood Plan (2002-2017) recognizes GBV as an important issue for

women's health. The Nepal Health Sector Implementation Plan 2010-2015 has outlined GBV as an integral

component of health care provision. Protocols on the management of GBV, including sexual abuse, have been

developed and are now operational. These protocols will study the feasibility of implementing a screening and

support program at Maternity Hospital, Kathmandu for GBV.

7.3. Recommended Actions to Adddress SEA/SH Risks

Table 7-1: Recommended actions to address SEA/SH Risks

Objective Indicator Activities Timeline Responsibility

Project Appraisal

Include the

assessment of

SEA/SH risks (as

low SEA/SH risk)

as part of the

social/gender

assessment in

project’s

Environmental and

Social Impact

Assessment (ESIA)

Low SEA/SH risks

highlighted and

preliminary

mitigation measures

identified

Mapping completed

of available, quality

services in the

project affected area

Conduct consultations and

identify key SEA/SH risks in

project areas and indicate the

measures to be adopted for the

Project.

Map out SEA/SH prevention and

response services in project area

of influence – Reference to be

made from the service mapping

that already exists at the national

level

As part of

ESIA

PCO/PIU

9Chhaupadi is a tradition associated with the menstrual taboo, in the western part of Nepal which prohibits Hindu women and girls from participating in normal family activities while menstruating, as they are considered "impure"

49

Reflect SEA/SH

risks, and measures

to address them, in

Project ESMP and

Contractor ESMP

including the costs.

SEA/SH Action

plan included in the

ESMP

Procurement for

SEA/SH related

activities and costs

outlined in the

contract.

Address how SEA/SH-related

costs will be reflectedin the

contract, including the

procurement documents, to

mitigate risks.

Clearly define the

SEA/SHrequirements and

expectations in a note to bidders.

During

preparatio

n of ESMP

PCO/PIU

Develop

stakeholder

engagement plan

Inform

communities in

project areas of

SEA/SH risks and

options for

response

# of awareness and

consultations held

TOR developed for community

awareness raising activities

(specialized service

providers/contractors/NGOs

identified and hired under

contract) and awareness and

consultations carried out.

During

preparatio

n of ESMP

Prior to

contractor

mobilizati

on

PCO/PIU10

Formulate and

adopt code of

conduct including

sections on safety

of women and girls

CoC developed,

included in all

contracts, and staff,

consultants,

contractors trained.

Develop CoC and include it in all

contracts and also in operations

manual and provide training to all

Prior to

contractor

mobilizati

on

PCO/PIU/Cont

ractor

Hiring a Gender

Specialist with

expertise on

SEA/SH to advise

and monitor action

plan during project

implementation

Appointment of

gender specialist

with SEA/SH

expertise

Measure

effectiveness of

SEA/SH Action

Plan over a certain

number of months

Ensure implementation of the

‘Action Plan’.

Provide technical support for

conducting the trainings.

Develop tools, monitor and

evaluate the action plan items and

report on a monthly, quarterly and

annual basis.

PCO/PIU

Project Implementation

Codes of Conduct

signed and

understood

# of people oriented

and trained on CoC.

# of people who

signed CoCs

Ensure requirements in CoCs are

clearly understood by those

signing it.

Have CoCs signed by all those

with a physical presence at the

project site.

Train project-related staff on the

behavior obligations under the

CoCs.

Disseminate CoCs (including

visual illustrations) and discuss

with employees and surrounding

communities.

Contractor,

Consultant,

PIU.

Awareness on

Sexual exploitation

and abuse (SEA)

and sexual

harassment (SH).

#no. of people made

aware of SEA and

SH issues

IEC material on

Conduct training on SEA and SH

for project workers and local

community.

Implement stakeholder

PIU and

Gender

specialist of the

project

10 PIU is understood as Destination Level Units11 As per Article 221 (Subsection 1) of the Constitution of Nepal 2015, the

municipalities are required to establish a separate act or regulation which will outline the roles and responsibilities of the judicial

committee.

50

GBV, Codes of

Conduct, etc. put up

in the work site,

labor camps,

surrounding

communities.

engagement plan and conduct

community awareness raising

programs about SEA/SH

mitigation measures – eg. Codes

of Conduct, GRM, how to report

and provide multiple entry-points

Establish and

strengthen

grievance redressal

Availability of an

effective GRM with

multiple channels to

initiate a complaint

relating to SEA/SH.

Number of SEA/SH

members trained.

Inclusive SEA/SH

system in place.

Number of SEA/SH

issuesthat have been

referred to GBV

Services Providers

Provide appropriate referral to

complainants.

At project level, select one

women member as first point of

contact for the survivors of

SEA/SH and provide appropriate

training to them.

Implement stakeholder

engagement plan and conduct

community awareness raising

about SEA/SH mitigation

measures – eg. Codes of Conduct,

GRM, how to report and provide

multiple entry-points

Maintain proper documentation

for complaint registration and

management

Gender

specialist of the

project

Implement

appropriate

project-level

activities to reduce

SEA/SH risks prior

to civil works

commencing

Documentation of

measures taken to

reduce SEA/SH

risks.

Have separate, safe and easily

accessible facilities for women

and men working on the site.

Establish locker rooms and/or

latrines for workers and project

staff in separate, well-lit areas and

include the ability to lock them

from the inside.

Visibly display signs around the

project site (if applicable) that

signal to workers and the

community that the project site is

an area where SEA/SH is

prohibited.

As appropriate, ensure that public

spaces around the project grounds

are well-lit.

PIU, Gender

Specialist of

the project.

Project Monitoring

Report in the

quarterly progress

report and review

during ISR

missions.

Successful

implementation of

agreed SEA/SH

Risk Mitigation

Action Plan (Y/N)

Reports SEA/SH related issues in

the quarterly progress report and

review during ISR missions.

PCO, PIU,

Gender

Specialist

51

8. STAKEHOLDER ENGAGEMENT AND CONSULTATION FRAMEWORK

A good communication strategy among the institution and community needs to be established to ensure that the

project is implemented in sustainable manner.There are two key objectives of stakeholder engagement and

consultation framework prepared for the project. First, it is to keep all stakeholders informed of the project

activities, the potential beneficial and adverse impacts. Second, it is to ensure that stakeholders actively participate

in all levels of the project cycles, are able to share local knowledge, mitigation plans are able to minimize the

potential negative impacts of the project, and the relevant stakeholders are well-trained and equipped to take over

the responsibilities of operation and management once the project phases out. These will ultimately contribute

towards narrowing down the gaps between the project officials and beneficiaries and help create a

conduciveenvironment to mitigate the adverse social and environmental issues through optimal cooperation from

the project beneficiaries themselves. Stakeholder engagement strategy outlines engagement through the project

development phases and recommends a set of stakeholders’ engagement activities to be carried out throughout the

project development cycle. The SECF reiterates elements of the strategy that is relevant to social and environmental

issues in general and the ESMF in particular. In addition, it also outlines the disclosure requirements of documents

already prepared and planned under the project. It should be noted that consultations on social and environmental

issues carried out during implementation of subprojects will be done in an inclusive manner, including the inclusion

of vulnerable social groups (such as poor household, caste, and persons with disabilities, among others) and women.

Each municipality will develop a citizen engagement strategy based on the principles laid out in the Stakeholder

Engagement and Consultation Framework.

This chapter should be read in the current COVID-19 context. Social restrictions and other measures to prevent the

further transmission of COVID-19 may impact on the ability to follow guidance on carrying stakeholder

engagements provided in this chapter. Section 8.5 provides suggestions for adapting stakeholder engagement to the

COVID-19 context.

8.1. Existing Stakeholder Engagement Process

The project will use existing institutions established at the local level to carry out stakeholder engagements.

Municipal forums will be the primary mechanism for engaging with stakeholders and community participation, to

ensure that projects identified reflect local needs and priorities. Other mechanisms for community engagement and

consultations include community-based user committees in construction supervision and operations and

maintenance, as a social accountability and safeguard mechanism.As mentioned earlier, the stakeholder

consultations will draw on mechanisms already established at the local level. If such mechanisms doesnot exist, a

mechanism elaborated below willbe followed which is developed in consultation with municipalities during the

preparation of ESMF.

A three-layered decision-making procedure will befollowed to identify the need for infrastructural sub-project at

municipality level. The first level is the Tole Coordination committee, which willbe formed with theparticipation of

representatives of households of the respective Toles. The next level is Ward Level followed by municipality. At

the Tole level, meetingswill beorganized on regular interval to discuss the needs of the tole, including the

infrastructure need of the area. The requirements of particular toles are then forwarded to next level i.e. ward level.

The ward office will review the demand from various toles, screen the proposed interventionsand then forward their

recommendation further to municipality level for assessment and budgetary allocation. After receiving the demands

from various wards covering various toles, the municipality will prioritize the projects considering the available

fund. In case a municipality is not able to cater to the need of any particular area (Ward/tole) due to unavailability

of funds, the said project will automatically become apriority for next year, and this decision will be shared with all

the concerned stakeholders. In all municipalities, the citizens will beengaged in the decision-making process

through Tole Meetings for identification of project (Refer to Appendix B).

52

Figure 8-1: Project identification Process through Stakeholder Engagement

8.2. Stakeholder Mapping

“Stakeholders” under the project refer to those who have plausible stake in the environmental/social impacts due the

project or activity and are ascertained with a view to taking into account all the material concerns in the project or

activity design, as appropriate. It is highly desirable for all key stakeholders to arrive at a consensus on sensitive

features, impacts and remedial actions. The primary objective of stakeholder analysis is to map the stakeholders,

their role, operational network, representation requirements and impact on type of activity in the project to

strategically prioritize consultation with them and develop an understanding of operational and organizational gaps.

The stakeholder interactions will be through the following activities.

• Focused group discussions

• Public consultations

• Key informant interactions

• Consultation with institutional stakeholders

Through the formal and informal consultation, stakeholder mapping willbe done, and their interests concerning the

various project activities willbe identified. The indicative types of stakeholders are furnished in Table 8-1.

Table 8-1: Stakeholder Mapping and Consultation

Government Level Stakeholder Primary/ Secondary Consultation

Federal Level Department of Roads

Ministry of Forest &

Environment

Department of National

Parks & Wildlife

Ministry of Women,

Children and Senior

Citizen

Secondary Regarding the revision in

GoN’s regulations,

policies or plan

DUDBC

MoUD

Primary Regarding NUGIP project

objective, plan, internal

policies

Local Level Department of

Electricity

Forest

Land Survey

Land Revenue

Irrigation

Water supply & sanitation

Traffic Police

Secondary Specialized inputs on local

conditions, limitations and

needs of the public,

compensation estimation

Municipality

Ward

Tole Level Committee Need/Demand

Project/Need review

Project/Need prioritization and

budgetary allocation

53

District Coordination

Committee

Municipality Offices

Ward offices

Tole Development

Committees

Primary Project selection, selection

of beneficiary and their

needs

Sub-project Level Ward Representative

Associations (Business) &

user groups ( road, water,

irrigation, forest)

Women/ Mothers groups

Shopkeepers & vendors

Farmers group

Households

Primary Impact of the project and

possible measures for

mitigating them

Extended users of the

project

Secondary Projection of the usage of

the project infrastructure

8.3. Mechanism for Consultation

The Consultation Framework envisages involvement of all the stakeholders at each stage of project planning and

implementation. Involvement of the community is not limited to interactions with the community but also

disclosing relevant information pertaining to the project tasks. Community participation willbe ensured at the

following stages:

8.3.1. Subproject Identification Stage

The Project Implementation Manual (PIM) for NUGIP provides in detail the steps for identifying and selecting sub-

projects for investment. The municipalities will establish mechanisms to ensure that stakeholders are enagaged at

each step of the process. Some examples of mechanisms to engage with stakeholders are outlined below:

At step 1: Identification and selection of investment sub-projects, two processes will be followed while identifying

investment sub-projects:

• Conducting a comprehensive needs assessment and gap analysis for core municipal

services/infrastructure; and

• Conducting consultations with elected representatives, ULG Thematic Sections, civil society

organizations and community groups, to validate the gap analysis and to identify the local municipal

service delivery needs and priorities.

At step 2: Technical prioritization of investment sub-projects, based on the pre-appraisal of all selected investment

sub-projects conducted under Step 1, the ULG Planning Section will bring together ward representatives, municipal

officials, elected representatives to share and discuss the prioritized sub-projects that will be submitted to the

Municipal Executive.

At step 3: Executive prioritization of investment sub-projects, the Municipal Executive decides on a prioritized and

sequenced list of potential investment sub-projects which will be presented to and discussed with the Municipal

Investment Forum, the outomces of which will be presented to stakeholders

At step 4,the Municipal Executive presents its sub-project recommendations to a consultative forum, the Municipal

Investment Forum and seeks feedback and comments from citizens and local stakeholders. It is the Step during

which citizens and local stakeholders are informed of the Municipal Executive’s recommendations with respect to

the investment sub-projects to be financed out of the ULG’s UDG allocations.

Municipal Investment Forum (MIF): composition and process

The MIF will bring together the following citizen and stakeholder representatives in a half-day meeting with the

Municipal Executive (assisted by ULG Thematic Sections as needed).

• 2-3 representatives from each ward. Ward representatives will be selected by each Ward Committee;

54

• Representatives of 3-4 community-based groups in the ULG jurisdiction. Such groups include women’s

associations, youth organizations, pensioner associations, etc.;

• Representatives of local economic actors (e.g. Chamber of Commerce, trades unions, transport associations,

cooperatives, etc.);

• Representatives of local NGOs;

• Representatives of the local media etc;

The list of MIF members willbe agreed upon and drawn up by the Municipal Executive; and posted on the ULG

notice board. MIF will include for example women and other vulnerable community representatives.Members

willbe formally invited to the MIF at least one week before the meeting. Invited MIF members willbe informed of

the meeting agenda in advance.

By the end of the MIF session, the Municipal Executive willbe able to make a final decision on the prioritization of

its sub-project proposals for UDG funding. Minutes of the MIF meeting willbe kept and made available to the

public.

At step 5 – Sequencing of investment sub-project implementation over three (or four) years, the Planning Section

willdraft a three-year UDG investment plan. The 3-year investment plan willthen be translated into annual budget

proposals, to be confirmed by the Municipal Executive, included in each year’s annual budget proposals and then

submitted to the Municipal Assembly for approval and then will be publicly disclosed.These subprojects will then

be supported under NUGIP. For the subprojects that are selected, social and environmental screening, assessments

and preparation of safeguards management plans will be developed.

8.3.2. Planning/Design Stage

Dissemination of project information to the community and relevant stakeholders will be carried out by

municipality at this stage of the project initiative. The community at large willbe made aware of the project

alternatives and necessary feedback will be obtained. Further, other stakeholders will also be involved in the

decision making to the extent possible. Consultationsfor the project with stakeholders will also be carried out in the

relevant ward offices under the supervision of the Ward Chairperson, and will be done in an inclusive manner,

including vulnerable social groups (such poor household, caste, persons with disabilities, among others) and

women.

The outcome of consultations will be incorporated as appropriate in the designs and mitigation plans. As part of

such consultations, the draft safeguard management plans will also be presented and explained to the people on the

content and process of the implementation of the plans. Consultations with Project Affected Persons and their

profiling are mandatory as per the requirements of ESIA and preparation of RAP, ESMP, VCDP, etc. Consultations

with respect to cultural aspects are to be carried out as part of the Social Impact Assessments for all alternatives and

the selected alternative subproject option.

During ESIA study, two rounds of consultation meetings will be conducted, including consultations for obtaining

the informed views of the affected people and local Non-governmental Organizations (NGOs).

1 Hold consultation meeting at the site.

2 Hold consultations after preparing draft IEE/ESIA report with local communities. At this time ESMP,

RAP/ARAP to be disclosed at relevant local authorities and made available in Nepali/local language to the

community and other stakeholders.

In all subprojects involving resettlement, and prior to the preparation of Resettlement Action Plans, the PAPs will

be informed of the project objectives, likely impacts and essential provisions of Resettlement Policy through the

following activities:

• Awareness campaigns using local Cable TV channel, print media such as posters or information leaflets;

• Holding public information meetings in various project site locations and affected areas;

• Arranging interactive sessions with the PAPs & their representative stakeholder groups;

55

• Formation of focus groups involving key stakeholders, like local leaders, women, vulnerable group

members etc.; these could also serve as local community monitoring groups

For disseminating information pertaining to the subproject, work schedule and the procedures involved; finalization

of project components with identification of impacts, entitled persons, mitigation measures; and Grievance Redress

Mechanisms to be adopted.

In order to discuss and seek opinions and suggestions, all the PAPs and/or their representativeswill be formally

invited to participate in various meetings regarding resettlement issue as convened by the municipality. During such

consultations, draft RAPs will be presented and its contents, processes, eligible entitlements, institutional roles and

responsibilities, etc., will be shared publicly. Once the individual safeguards management plans have been finalized,

they will be shared with the PCO and the World Bank for review and clearance.

8.3.3. Implementation Stage

Consultations as part of the implementation stage will comprisedirect interactions of the municipality project

engineers, environment and social development staffs, DSC representatives, municipal officers, and the Project

Affected Persons. These would usually be one to one meeting of PAP or community representatives with the

grievance redress committeesestablished for the project. All consultations on social and environmental issues

carried out during implementation of subprojects willbe done in an inclusive manner, including vulnerable social

groups (such poor household, caste, persons with disabilities, among others) and women.

8.3.4. Post-construction Stage

The supervision consultant, and contractor will be responsible for Operations and Maintenance (O&M) during the

defect liability period. Thereafter the municipality will be responsible for O&M together with users’ groups.

8.4. Information Disclosure

Most often a development project, including its socio-economic and environmental setting, fails due to lack of

information or misinformation. For the success of a given program, the management must share all the information

obtained about the proposed activities and their expected results with the affected and interested public. The project

will commit itself for proactive disclosure and sharing of information with the key stakeholders, including the

communities/beneficiaries. The project will have a communication strategy focusing on efficient and effective

usage of print and electronic media, billboards, posters, wall writing, and adoption of any other method suiting local

context, logistics, human and financial resources.

Accordingly, in collaboration with different local authority, NGOs and other groups, the project willdisclose all the

relevant information to PAPs and other relevant stakeholders during the different stages of project cycle. Agencies

working for environmental and social aspects willalso be informed at both local and national level about the

ongoing and planed activities, to identify jointly appropriate protective or corrective measures. Subprojects will

adopt the following approaches to make information accessible to all the concerned stakeholders throughout the

project cycle. Project documents will be disclosed in the Nepali language, and if relevant in the local languages.

• Mass Media: Local media like newspaper, radio and TV will be used to broadcast any information

regarding the project.

• Meeting/Workshops: Meetings and workshops will be held to disseminate the information.

•Distribution of project document: Project related information materials in Nepali version will be

distributed prior to each construction work to local officials, PAPs and other concerned offices like

Municipality, Ward, Tole Committee etc. Such information will among othersinclude project description,

project benefits and impacts, entitlements, implementation arrangements, entitlement frameworks as well

as various periodic information sheets on compensation entitlements, project time frames etc.

An information centre will be established during implementation stage at the municipality level to disseminate all

the documents related to the project activities. Based on the policy on public information disclosure, PCO and

Municipality will also disclosethe information through its website.

56

8.5. Adapting stakeholder consultions to COVID-19

The Government of Nepal has imposed various measures to mitigate the spread of COVID-19 including restrictions

on non-essential movement, requirements for social distancing, and prohibitions on social gathering. Other

measures have also been recommended by health organizations to limit the spread within countries. These measures

impact the ability to undertake stakeholder engagement activities in the manner originally envisaged under the

NUGIP project. Given these measures, some practical suggestions have been provided below to undertake citizen

engagement and stakeholder participation activities.It is key that these mechanisms involve the participation of the

local government to help build and maintain trust between citizens and the local government, and to continue to

build the capacity of local governments. Adaptive and sustained citizen engagement is crucial to ensuring that

projects continue to be planned and implemented during this period, whilst ensuring successful efforts in

combatting COVID-19.

Considerations for adapting engagement activities

• Review the current approach and methodology for engagement activities and assess the adjustments

required: The PCO should assess the feasibility of undertaking engagement activities, including assessing

the potential risks of virus transmission and in consideration of current advice and restrictions of Government

of Nepal. Questions that should be considered include:

o Which activities are critical and cannot be postponed?

o What is the level of proposed engagement, including location and size of gatherings, frequency of

gatherings, and groups of stakeholders?

o What is the risk of virus transmission for carrying out these engagements?

o What is the level of ICT usage amongst the stakeholders, and which communication channels can be

used most effectively?

• Identify and connect with potential local partners for supporting in CE activities, including NGOs and

CSOs supporting particular vulnerable groups such as womens and Dalit groups. This may require connecting

with different local partners to those envisaged under the project. These local groups may be able to: provide

insights into the local context on the ground and current conditions; support in information dissemination on

both project information and COVID-19 prevention and precautions; serve as communication link between

project teams and local communities

• Engage local mobilizers or social influencers to support engagement: Individuals or organizations

engaged on the ground in the community can serve as strategic partners that would function as social

mobilizers and intermediaries for the project team. These could include trusted local individuals or social

influencers, for example, youth social influencers, respected elderly persons, representatives of indigenous

groups or women’s groups. They can facilitate consultations and community engagement when public

gatherings are restricted, or consultants cannot work safely with community members. An effective

engagement approach may be for project teams to convey information to the social influencers through ICT

tools, who can then use traditional methods to communicate with local communities.

• Special attention should be paid to vulnerable groups: Vulnerable groups are likely to be

disproportionately impacted by COVID-19 and may have further limitations in accessing information and

being engaged. The project should assess how COVID-related impacts might further restrict the ability of

vulnerable groups to engage and participate in project consultations. Strategic local partners can be key to

ensuring full engagement of vulnerable communities. The local community mobilizers noted above can be

instrumental in identifying and engaging with these groups.

• Broaden the channels for information dissemination using ICT channels where appropriate: Identify

the project information that needs to be disseminated and assess the available channels for distribution. Note

that channels for dissemination of project information can also be leveraged for sharing COVID-19 related

information where appropriate. Identify the extent to which ICT communication channels are accessed by

local communities to draw on these mechanisms. These may include Viber, WhatsApp, and Facebook groups

and other social media and online channels. ICT channels can also provide a useful feedback mechanism for

COVID-related queries and concerns.

• Diversify traditional transmission media(including radio, TV) for information dissemination to

maximise the reach of communications, particularly where other forms of communication such as meetings

and consultations may not be possible, and where communities do not have access to ICT tools. If radio

stations are not already a channel for information dissemination, consider delivering project information via

local radio, given the high rates which local communities in Nepal listen to radio. Other possible channels

57

could include distribution of messages via television, and using loudspeakers to travel through wards to

disseminate project-related information (where feasible).

• Adapt COVID protocols in consultation meetings: For consultations that cannot be postponed, and which

cannot be held virtually, some considerations:

o If smaller meetings are permitted, conduct meetings in small-group sessions, ensuring that meeting sizes

adhere to local regulations, and for example, space members at least 1.5 metres

o Project team membersshould express their understandings on social behaviour and good hygiene

practices, and that any consultations are preceded with the procedure for articulating such hygiene

practices

• Undertake consultation meetings virtually where feasible:The project should consider the following for

those consultations which cannot be postponed, and where all participants have proper ICT access and can be

notified in advance regarding timing and format of meetings. Some considerations:

o Where all participants have proper ICT access, deploy online meeting facilities, where large meetings,

workshops and consultations are essential, such Webex, Skype and Zoom. In the case of low ICT access,

audio meeting means can also be effective used (including Viber and Whatsapp)

o Vulnerabilities of participants need to be considered to ensure that vulnerable participants are not

disadvantaged by being unable to connect.

o Where direct consultation and engagement with beneficiaries is required, such for completion of

resettlement activities or indigenous peoples plans, identify direct channels for communication with the

affected household via a combination of email messages, text messages, dedicated phone lines

• Review the range of digital platforms which can be drawn upon for completing CE requirements such as

data collection: In-person data collection methods can be substituted by remote data collection methods, which

take into account limitations related to ICT access and literacy of community members. SMS surveys are a

common way to collect community-level data required to complete safeguard document requirements.

Customized SMS-based surveys can gather data from remote villages and traditionally hard-to-reach places as

it requires only access to mobile numbers of local users, without dependency on data plans or internet access.

Local partners and social mobilizers, as discussed above, can assist in obtaining mobile numbers.

58

9. GRIEVANCE REDRESS MECHANISM

An accessible and responsive complaint management process is an important part of any stakeholder engagement

strategy. A Grievance Redress Mechanism will accessible wherein all project stakeholders willbe provided with a

forum to lodge complaints regarding any aspect of the land acquisition, compensation, resettlement requirements,

hygiene, pollution, safety and any other project-related issues. The affected persons will have access to all levels of

grievance redress procedures.

9.1. Existing Grievance Redress Process

At present, there are several mechanisms for raising grievances including with the ward-level mediation centres and

with themunicipality’s judicial committee. Currently, grievances including environmental and social issues are

generally submitted directly with the judicial committee (NyayikSamiti).NyayikSamiti is a three-member

committee comprisingthe Deputy Mayor and two persons from the executive committee or ward11. Sometimes, the

views of environmental and social development sectionis taken into consideration to inform the decision-making

process if the committee feels relevant. The grievance can also be submitted to Chief Administrative Officer (CAO)

at Municipality level or to Ward Chairperson at Ward Level. Beside judicial committee, the municipalitiesalso have

a separate kiosk to register gender-based violence related grievances.

The project should drawn upon mechanisms established by local municipalities for receiving and addressing

grievances, to help strengthen these local systems and to support and build the capacity of local governments in

receiving and addressing grievances. As part of developing sub-project ESIAs, existing mechanisms for receiving

and addressing grievances will be identified and assessed. Grievants will first raise their grievances with the ward-

level mediation centre before going to the judicial committee.A grievance officer assigned to the municipality level

will also have the proper knowledge on the issues. The GRM mechanism as well as its procedures will also be

detailed in the Project Implementation Manual (PIM). The decision as to whether the case is addressed by the

judicial committee, or by the ward level GRM, is decided by the municipality Grievance Officer. The Grievance

Officer will keep all detailed documentation regarding the grievance with proper verification to answer how and

when the grievance was reported and addressed.

9.2. Establishing Grievance Redress Mechanism

The sub-project will build on existing grievance redress procedures. In the absence of any mechanism to address

grievances at the municipality level, a grievance redress mechanism will be established.

- The firstlevel will be set up at the Ward level. The staffing of the grievance redress committee will include

Ward Chairman, Environmental and Social Officers from respective Municipality

- the second level will be at the municipality level and will comprise the Nyayik Samit. The Nyayik Samiti

will discuss the environmental and social concern with E&S section/department of municipality to redress

grievance pertaining to gender, vulnerable community, and other social and environmental issues in

transparent and effective manner.

- the third level will be at the PCO level comprising members from the PCO. The teams who will be

engaged as the monitoring unit for ESMP, RAP, VCDP implementation for various subprojects, can be the

part of the committee.

9.3. Channels and procedures for receiving and addressing grievances

Grievances if any, may be submitted through various mediums, including in person, in written form to a noted

address, through a toll-free phone line or through direct calls to concerned officials, and emails. PCO will appoint a

person (Operator) at PCO- Kathmandu to receive such calls and receive online messages. The person (Operator)

based on nature of complaint, will forward the same to the concerned GRC at Ward Level (to Ward Chairman). A

ticket or a unique number will be generated for all such calls, messages and letters.

The complainant will follow up based that unique number with Operator at PCO-Kathmandu. All complaints will

be responded to within two weeks at any level. In case a response is not received fromthe first level within two

weeks, the complaint will be escalated to next level and the complainant will be notified accordingly. If a complaint

11 As per Article 221 (Subsection 1) of the Constitution of Nepal 2015, the municipalities are required to establish a separate act

or regulation which will outline the roles and responsibilities of the judicial committee.

59

remainsunaddressed at 1st and 2nd GRC levels, within maximum 30 days after registering the compliant, it will be

elevated to 3rd level of GRC at PCO level. GRC-PCO within 7 days of time willinstruct the concerned GRC at

Municipality level to arrange for a hearing within maximum 5 days of time. Effort will be given by all level of

GRCs to conduct hearing and resolve the concern at their level up to the satisfaction of complainant within the

stipulated timeframe. After conducting hearing at any level of GRC, the decision should be communicated to the

complainant within maximum 30 daysof time in writing.

All local contact information and options for complaint submission willbe available on site, on Toles, Wards,

Municipalities, PCO on information boards and municipality websites. A half yearly report on grievance redress by

the subproject project willbe prepared and sent to Municipalities’GRCs by Wards’ GRCs and ultimately to GRC of

PCO. The PCO will forward the same to World Bank.

Figure 9-1: Grievance Redress Process

9.4. Functions of GRCs

The functions of grievance mechanism include but not limited to:

• To redress grievances of community / beneficiaries / project affected persons (PAPs) in all respects

• Address complaints relating to rehabilitation and resettlement assistance and related activities

• Hear grievances from workers involved in the project at any level or phase

• Receive complains and issues related to environment, R&R and other matters relevant to the project

GRC will give its decision/verdict within 30 days after hearing the issues/concerns of the aggrieved person. The

final verdict of the GRC will be given by the Head of GRC in consultation with other members of the GRCs and

will be binding to all other members.

GRM Register/Operator

(at PCO)

Online Grievance

• E-mail

• Toll Free No

Offline Grievance

from Tole or Subproject

Level

Wards 1st Level GRC

Municipality: NyayikSamiti 2nd Level GRC

PCO 3rd Level GRC

15 Days Max.

Hearing of Grievance

7 Days Max.

Verdict by GRC

30 Days Max.

15 Days Max.

5 Days Max.

60

An indicative list of grievance, which will be addressed under the project are furnished below-

i. Rehabilitation &resettlement and compensation issue

ii. Loss of livelihood

iii. Access to resource /utility/facility

iv. Ambient air and noise quality

v. Impact on water quality/resource

vi. Grievance from vulnerable community

vii. Gender related issues

viii. Labor-related matters

ix. Safety risksrelated to the project

9.5. Other Mechanism for Grievance Redress

All grievants will have the option to approach the court / judiciary, or the World Bank’s Grievance Redress

Service12 in case he or she is not satisfied with the verdict provided by the project-level GRCs.

9.6. GRM considerations for the COVID-19 context

Restrictions and guidance on social distancing and travelling may impact the ability of individuals and groups to

submit grievances.Some factors to consider when adapting grievance redress to the COVID-19 context:

• The grievance mechanisms used should be reviewed to check that they are currently functioning and capable

of receiving grievances, given potentially restrictions on being able to access ward offices or project sites to

raise grievances

• Channels for receiving grievances should be reviewed to maximise ways to submit and response to

grievances. For example, whilst the project may envisage communities going to ward offices to submit

grievances, the project should consider establishing a phone line for people to call in concerns. Where

feasible, ICT-related options such as SMS or via email should be implemented and communicated

• Members assigned to receive and respond to or escalate grievances should be taught on how to respond to

grievances related to COVID-19

12http://www.worldbank.org/en/projects-operations/products-and-services/grievance-redress-service#3

61

10. INSTITUTIONAL ARRANGEMENT FOR ESMP IMPLEMENTATION

10.1. Institutional Assessment for E&S Sections/Departments

10.1.1. Existing Institutional Capacity

In Nepal, the municipalities usually have a separate social development sectionand a separate environmental

section. The municipalities like Birtamod, Damak, Sundarharaicha, Mechinagar, Itahari, Rajbiraj, Triyuga,

Dhankuta, Pokhara, Putalibazar, Tansen, Tilottama have environmental &social development department. Whereas

Vyas has only Social Development Department.Urlabari, Baglung,Ramgram municipalities do not have

Environmental and Social Development Department. To ensure that the investment sub-projects are efficiently

implemented, delivered on time, and completed in accordance with environmental and social safeguards

requirements, technical assistance will be provided by design and supervision consultant (DSC) to the concerned

municipalities. DSC will deploy engineering, procurement, E&S safeguards and other technical specialists to work

closely with ULG municipal engineers and other technical staff to design and supervise the implementation of sub-

projects in a socially and environmentally sustainable manner.

Roles and Responsibilities of Environmental & Social Development Departments

The Environment Department of municipalities are mostly engaged in plantation, maintenance of public parks,

greenery promotion, landscaping, pond conservation, conservation of religious trees, gabion filling, landslide

protection, solid waste management etc. In addition, theItahari Municipality also looks after issuance of ‘Pollution

under Control’ Certificate for various operational industries as well.The activities of Social Development

Departments include registration of vital events (Birth, Death), targeted group development (Women, Child,

Indigenous People, Sr. Citizen, Differently abled), need-based skill development programs through 3rd parties

(vegetable farming, cattle-poultry farming, handicrafts, driving, plumbing, mobile repair, computer training,

mushroom farming etc.), co-ordination and facilitation with ToleVikas Committees, issuance of senior

citizen/differently abled cards, etc.

Involvement in preparation/review of IEE/ESIA/ESMP Reports

Some of the municipalities like Damak, Sundarharaicha, Triyuga, Dhankuta, Pokhara, Vyas, Putalibazar, Tilottama

have prior experience of preparing ESIA, ESMP, RAPs, through external agencies. However, the staff of

Environment and Social Development department havenot been involved in the preparation or review of ESIAs,

ESMPs, RAPs, etc., as such. Only in the case of Dhankuta municipality one staff of Social Development sectionwas

involved in review of ESIA/ESMP report for UGDP Project (ADB funded). Similarly, the Environmental Officer of

Itahari municipality has prior experience of conducting IEE/ESIA-ESMP studies. Thus, capacity of the preparation,

implementation and monitoring of environmental and social safeguards issues is limited in the participating

municipalities.

Involvement in process of decision making for project Execution

As indicated by the staff of the Environment and Social Development Department of various Municipalities, they

are not engaged by the municipality in project planning process. As per the practice, after project finalization, the

responsibility is handed over to concerned user committees and they take charge of execution, monitoring of the

project.

Experience in working Multilateral Funded Project

Most of the staff of Environment and Social Development Department do not have prior experinece multilateral

funded project. Only the Environmental Officer of Itahari and one Staff of Social Development Department in

Dhankuta, were engaged in preparation/review of ESIA reports (both for ADB funded Projects).

A detailed statement on assessment of Institutional capacity is furnished in Appendix- H

10.1.2. Capacity Development

Role of UDSTs in process of Capacity Development

In order to deliver technical assistance to ULGs for their institutional strengthening, NUGIP will deploy two

regional Urban Development Support Teams (UDSTs), each of which will be responsible for working with a cluster

62

(Eastern and Western) of ULGs. One UDST (Eastern Cluster) will be based in Biratnagar and the second UDST

(Western Cluster) will be based in Pokhara.

Each UDST will consist of a team of full-time professionals to provide TA inputs that are aimed at strengthening

the overall ULG management capabilities. These inputs will be in areas such as urban and investment planning,

citizen engagement and gender inclusion, procurement, financial management, budgeting and budget execution,

asset management (O&M, etc.), E&S safeguards and other issues.UDST members will provide regular mentoring,

facilitation and on-the-job support to the ULGs within their respective clusters. UDSTs, however, will be

responsible for coordinating, quality assuring and backstopping such formal ICD processes and for providing advice

on the substance of training sessions, workshops and the like.

Apart from the regular mentoring and on-the-job support functions, each UDST will be responsible for drawing up

an annual TA plan and budget for training and other formal activities in its respective cluster. Annual plans willbe

based on needs identified by each ULG; such plans would ensure that training and other TA activities are efficiently

organized. These annual plans and budgets will be submitted to and discussed with the PCO by each UDST. Once

agreed, the PCO will allocate funds and then procure trainers/consultants. Implementation of annual cluster plans

for TA activities would be coordinated and overseen by the PCO and the UDSTs (for their respective cluster).

Institutional Capacity Development at Municipality Level

Urlabari, Baglung, Ramgram Municipalities and Vyas Municipality are requiredto create a Social Development

Department and Environment Department respectively, prior to sub-project identification.

Capacity Development Training Requirement

The following trainings are recommended for effective implementation of ESMF.

Table 10-1. Capacity Development Training Requirement

S.

No.

Nature of Training Targeted Entity Responsibility

1 Objective, purpose of ESMF

Process of ESMF implementation

PCO, DSCs, Environment & Social

Departments of Municipalities

World Bank, PCO

2 Understanding of ESIA/ESMP as

decision making tool for sustainable

project development

PCO, Environment & Social

Departments of Municipalities

PCO through UDST’s

(training to be given by

external experts)

3 Awareness training on probable

E&S concern pertaining to NUGIP

sub-projects

PCO, Environment & Social

Departments of Municipalities

PCO through UDST’s

(training to be given by

external experts)

4 Awareness training on

Environmental & Social Safeguard

Laws of GoN and World Bank’s

operational policy

PCO, Environment & Social

Departments of Municipalities

PCO through UDST’s

(training to be given by

external experts)

5 Process of land transfer in case of

involuntary resettlement

PCO, Social Departments of

Municipalities

PCO through UDST’s

(training to be given by

external experts)

6 Awareness training on occupational

Health and Safety issues relevant to

various phases (preconstruction,

construction, operation) of NUGIP

sub-projects

PCO, Environment & Social

Departments of Municipalities

PCO through UDST’s

(training to be given by

external experts)

7 Awareness training on purpose of

stakeholder engagement at various

stages of sub-project

PCO, Environment & Social

Departments of Municipalities

PCO through UDST’s

(training to be given by

external experts)

10.2. Proposed Institutional Arrangement

The institutional setup plays a vital role in successful implementation of Environmental and Social Safeguards

measures. The MoUD, Nepal has setup a Project Coordination Office (PCO) under DUDBC for NUGIP in

Kathmandu. PIU in each municipality is established for the implementation in the field. To ensure that the

investment sub-projects are efficiently implemented, delivered on time, and completed in accordance with

environmental and social safeguards requirements, technical assistance will be delivered through a Design and

63

Supervision Consultancy (DSC). DSC will deploy engineering, procurement, E&S safeguards and other technical

specialists to work closely with municipal engineers and other technical staff to design and supervise the

implementation of the sub-projectsin two clusters. The role of PIU/DSC includes implementation of ESMP, RAP,

VCDP, etc. The PCO with support from Project Management Support Team (PMST) will review implementation

support of environmental and social safeguard studies/ management plan prepared by PIUs/DSCs.

At subproject level, the contractor will be responsible for ESMP implementation. Each municipality will need

Environmental and Social Development (ESD) expert to review IEE/ESIA-ESMP, RAP-ARAP, etc. The E&Ssocial

safeguard specialists of DSCs will regularly visit both cluster municipalities and work closely with its technical

staff to ensure project implementation in accordance to World Bank’s safeguard standards. The ESD will bepart of

PIU. The DSCs provide municipalities’ technical staff with on-the-job training and mentoring. The role of DSC will

also include ensuring compliance of pertaining laws, policies, regulation for all sub projects, coordination and

liaising with government stakeholders as well as the World Bank with respect to various E&S issues. The PCO will

have overall responsibility to ensure compliance withpertaining laws, policies, regulation for all sub projects, and

development of sub-projects in sustainable way and allocation of fund for institutional capacity development. The

reporting of the PMST on the monitoring and evaluation on the project’s safeguard performance to WB is done

internally by the PCO and externally by the WB experts. The capacity of Municipalities isattached in the

Annex.

.

Figure 10-1.Coordination of Proposed Project Implementation Mechanism

Project Coordinating Office (PCO-e.g.

DUDBC)

Project Mgmt Support Team (PMST)

Municipalities (in East & West Clusters)

Design & Supervision Consultancy (DSC)

Municipals Project Implementation Unit

(PIU-e.g ESD)

64

Appendix A: Land use map of 17 Municipalities

Land use map of 17 Municipalities showing various physiographic features and drainage patterns

A.1. Birtamod&Mechinagar

A.2. Damak&Urlabari

65

A.3. Itahari&Sundarharaicha

A.4. Rajbiraj

66

A.5. Triyuga

A.6. Dhankuta

67

A.7. Pokhara

A.8. Byas

68

A.9. Putalibazar

A.10. Baglung

69

A.11. Shuklagandaki

A.12. Tansen

70

A.13. Ramgram

A.14. Tilottama

71

72

Appendix B: Consultation with municipalities

1. Birtamod

Attendance Sheet from the stakeholder consultation

73

74

75

Pictures from stakeholder consultations

76

2. Damak

Attendance Sheet for the consultations

77

Pictures from the stakeholder consultations

78

3. Urlabari

Attendance sheet for the stakeholder consultations

79

80

Pictures from stakeholder consultations

81

4. SundarHaraicha

Attendance sheet for the stakeholder consultations

82

5. Mechinagar

Attendance sheet for the stakeholder consultations

83

6. Itahari

Attendance sheet for the stakeholder consultations

84

Pictures from the stakeholder consultations

85

7. Rajbiraj

Attendance sheet from the stakeholder consultations

86

Pictures from the stakeholder consultation

87

8. Triyuga

Attendance sheet for the stakeholder consultation

88

Pictures from stakeholder consultation

89

Attendance sheet for the stakeholder consultations

90

9. PokharaLeknath

Attendance sheet for the stakeholder consultation

91

92

Pictures from the stakeholder consultation

93

10. Vyas

Attendance sheet for the stakeholder consultation

94

Pictures from the consultation

95

Putalibazar

Attendance sheet for the stakeholder consultation

96

97

Pictures from the stakeholder consultation

98

11. Baglung

Attendance sheets for the stakeholder consultation

99

100

Pictures from the stakeholder consultations

101

102

12. Shuklagandaki

Attendance sheet for the stakeholder consultation

103

13. Tansen

Attendance sheet for the stakeholder consultation

104

Pictures from the stakeholder consultation

105

14. Ramgram

Attendance sheet for stakeholder consultation

106

Pictures from stakeholder consultation

15. Tilottama

107

Attendance sheet for the stakeholder consultation

108

109

Pictures from the stakeholder consultation

110

Appendix C: Templates for Environmental &Social Screening Checklist /

Environment and Social Impact Assessment (ESIA) / Environment and Social

Management Plan (ESMP)

A. CHECKLIST FOR ENVIRONMENTAL AND SOCIAL SCREENING

Project Details

Sub Project Title

Nature of Project (New/ Expansion/Redevelopment/Upgradation

Brief about Project Components

Project Municipality

Project Ward/s

Terrain- flat, ridge, undulating, Hilly, valley etc.

Current land use (agriculture, grazing, barren, forest, settlement, road etc.

Type Quantity of construction materials/Resource needed

Quantity of debris that needs to be disposed

Any hazardous materials mixed with debris

Environmental Aspects

Checklist for Environmental Screening

S.

No Particulars Yes No

Can’t

Say Remarks

1. Is the site vulnerable to major natural or induced hazards

such as: Landslides, Flooding, Storm surge, Severe wind

damage, Earthquakes, Fire, Explosion, Other (specify)

2. Is the project area adjacent to or within any of thefollowing

environmentally sensitive areas?

• Cultural heritage site (historical, religious,

traditional, or cultural significance)

• Protected Area (National Parks, Wildlife Reserve,

Hunting Reserve, Conservation Areas, and Buffer

Zones etc.)

• Wetland/Ramsar Site/Simsar

• Forest

• Special area for protecting biodiversity/interest

• Breeding/nesting ground of wildlife/occurrence of

migratory species

• Migration route/Wildlife corridor

• Any site of national or international importance

3. Likely impact on trees (including Timber & fruit

bearing)and vegetation cover

4. Possibility of degradation of land and ecosystems of

surrounding?

5. Is the project area densely populated?

6. Heavy with development activities/big industries nearby &

type?

7. Alteration of surface water hydrology of waterways due to

111

S.

No Particulars Yes No

Can’t

Say Remarks

the project resulting in increased sediment in streams

affected by increased soil erosion at construction site?

8. Chance of deterioration of surface water quality due to silt

runoff and sanitary wastes from worker-based camps and

chemicals used in construction

9. Does the sub project requires significant extraction

ofsurface or ground water?

10. Increased risk of water pollution from oil, grease, fuel spills

and other materials

11. Impact on water quality due to release of sewage/sludge?

12. Possibility of flooding due to sewage

13. Possibility of increased air pollution during

preconstruction/construction/operation phase?

14. Other pollution concerns relating to inconveniences in

living conditions that may trigger cases of upper respiratory

problems?

15. Risks and vulnerabilities related to occupational health and

safety due to physical, chemical, biological hazards during

project construction and operation

16. Noise and vibration due to blasting and/or other civil

works?

17. Possibility of poor sanitation and solid waste disposal

18. Creation of temporary breeding habitats for diseases such

as those transmitted by mosquitoes and rodents?

19. Accident risks associated with pre construction,

construction & operation phases of project

20. large population influx during project construction and

operation that causes increased burden on social

infrastructure and services (such as water supply and

sanitation systems)

21. Risks to community health and safety due to the transport,

storage, and use and/or disposal of materials such as

explosives, fuel and other chemicals during construction

and operation?

22. interference with other utilities and blocking of access to

resource/utility

23. Generation of solid waste and/or hazardous waste during

construction/operation of project?

24. Conduct of medical health screening and testing to identify

the presence of suspected covid-19 positive individuals

among the construction workers in the workers’ labor

camps or among the community members that might infect

the construction workers

112

Social Aspects

Checklist for Social Screening

S. No. Particulars Details

1 Proposed Site Location-

a. Land requirement for the project

b. Landownership of the project area: Govt. / Private lands

c.

Is the project requires acquisition of Govt. land/structures?

If yes please mention the area of land, number of affected structures,

Households

d. Present use of Govt. Land that will be used for the project activities

with Persons/Households using

e.

Is the project requires acquisition of private land/structures?

If yes please mention the area of land, number of affected structures,

Households

f.

Present use of Govt. Land that will be used for the project activities

with Persons/Households using

✓ Agricultural purposes

✓ Residential purposes

✓ Commercial purposes

✓ Other purposes (Indicate)

g. Is the project requires relocation of encroachers/squatters

If yes please elaborate number and nature

h.

Is the project requires relocation of community facilities/Govt.

establishment or any object that are of religious, cultural and

historical significance

i.

Proposed project located in an area where residents are-

• All Mainstream

• All Indigenous peoples

• Majority Mainstream or Non-indigenous peoples

• Majority Indigenous peoples

2 Potential Social Impacts- Will the Project cause

a. Involuntary resettlement of people? (physical displacement and/or

economic displacement)

b. Impacts on the poor, women and children, Indigenous Peoples or

other vulnerable groups?

c. Will community facilities require relocation?

d. Will the sub-project disturb any traditional activity on adjoining or

nearby?

e. poor sanitation and solid waste disposal in construction camps and

work sites

113

S. No. Particulars Details

f. Possible transmission of communicable diseases (such as STI's and

HIV/AIDS) from workers to local populations?

g.

Large population influx during project construction and operation that

causes increased burden on social infrastructure and services (such as

water supply and sanitation systems)?

h. Social conflicts relating to inconveniences in living conditions where

construction interferes with preexisting roads

i. Describe any other impacts that have not been covered in this

screening form

j. Describe alternatives, if any, to avoid or minimize displacement from

private and public lands

k. RAP/ARAP Requirement

B. Category B Project’s ESIA Requirement

The potential negative and positive direct or indirect impacts and provide clarity on issue, which needs to be

investigated under Category B EA type (for higher impact category requires ESIA, for medium impact category

requires abbreviated EMP and for lower impact category require Best Environmental Practices-BEP).

Medium to High Impact Category B project: NUGIP Intervention Requiring ESIA and ESMP

Sub projects under this category havepotentially major Impacts of (CAT B range type); complex issues; likely need

for significant mitigation and monitoring. The indicative sub projects under this category include:

• Construction of sanitary landfill

• Construction of new waste water treatment plant, water supply projects

ESIA Template

• Executive Summary

• Introduction about sub project (nature, type, project location, site characteristics : physical, biological,

socio-economic)

• ESIA methodology

• Environmental and Social Baseline

• Legal and Regulatory Framework

• Environmental and Social Screening, Impact Identification, Prediction, and Management

• Resettlement Action Plan (RAP), Gender Action Plan, VCDP (as applicable)

• Environmental and Social Management Plan

• Information Dissemination and Communication Plan

• Appendix

Low to Medicum Impact Category B project: NUGIP Intervention Requiring ESMP

NUGIP sub projects which don’t require ESIA,but may involve civil construction works with some minor to

moderate degree of environmental and social issues.The sub projects under this category will haveModerate

impacts; straightforward issues; likely need for some routine mitigation and monitoring

Such NUGIP sub projectsrequire ESMP. The format and table of content for preparing ESMP is included below.

The following process will be followed to prepare the ESMP:

114

C. Environment and Social Management Plan (ESMP)

Phase I: Preparation of ESMP. The ESMP is an overall plan, which addresses the minor to moderate safeguard

issues arising from implementation of the NUGIP sub projects and suggests a strategy and action plan to mitigate

the adverse environmental and social impacts and enhance the beneficial impacts of the interventions. The EMP for

such sub projects 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. An EMP is required for

the following indicative sub projects

• Existing road upgrading related sub projects

• Waste to energy sub project projects

• Renovation and upgrading of sewerage and water supply projects

The ESMP includes:

• Site Specific ESMP Activity Schedule, including cost for implementation of mitigation measures.

• Site Specific ESMP Monitoring Schedule, including monitoring responsibility delineation.

• Cost Estimate for EMP Monitoring. This can include cost required for capacity building and training

activities basis as required or stated in activity

The PCO with external support (as required)will prepare the ESMP in the prescribed ESMP format incorporating all

information and data.

115

ESIA TEMPLATE

TABLE OF CONTENTS

CHAPTER 1

PROJECT DESCRIPTION

1. Introduction

1.1 Background

1.2 Project Scope

Project Activities

The project activities may be categorized mainly into two phase which are activities in the Pre- Construction,

Construction and Operational Phases.

CHAPTER 2

2.1 Scope of Environment and Social Management Plan (ESMP)

2.1 Objectives of Environment and Social Management Plan

The basic objectives of the ESMP are to:

• to ensure that all mitigation measures and monitoring requirements will actually be carried out at different

stages of project implementation and operation - pre-construction, construction and operation and

maintenance;

• recommend a plan of action and a means of testing the plan to meet existing and projected environmental

problems;

• establish the roles and responsibilities of all parties involved in the project’s environmental management;

• describe mitigation measures that shall be implemented to avoid or mitigate adverse environmental

impacts and maximizing the positive ones;

• ensure implementation of recommended actions aimed at environmental management and its enhancement;

and

• ensure that the environment and its surrounding areas are protected and developed to meet the needs of the

local people, other stakeholders and safeguard the interests of the common people

• ensure requirements of RAP, GAP, VCDP (as applicable) in the sub project context of NUGIP.

2.2 Implementation of ESMP

2.3 Project Impacts

The anticipated impacts due to project in and mitigation measures are mentioned in table 1 attached with this

document.

2.3.1 Anticipated Environmental Impacts and Mitigation Measures

Environmental impacts on the physical, biological, and socio-economic and cultural environments during the pre-

construction, construction and operation and maintenance phases are discussed here in detail with the mitigating

measures.

The summary of the anticipated environmental impacts and the mitigation measures are given in matrix form

attached with this document

2.3.1.1 Pre-construction Phase

a. Environmental impacts due to project design

116

2.3.1.2 Construction Phase

a. Environmental impacts due to project construction

i. Physical Environment (Examples)

Water and land pollution

Pollution due to air, noise and vibrations

ii. Biological Environment

iii. Socio-Economic and Cultural Environment

Reinstatement of damaged community services and infrastructure

Influx of outside workforce, money and unwanted activities

Occupational Health and Safety (OHS)

Traffic management

2.3.1.3 Operational Phase

3.0 Mitigation Measures:

The mitigation measures shall be designed during the construction and operation phases of the project to minimize

the adverse environmental impacts. The mitigation measures along with the item wise mitigation cost are prepared

in ESMP. A sample ESMP is shown below.

The envisaged impacts due to implementation of NUGIP component could be grouped into positive and adverse

impacts. The goal of mitigation measures is to maximize the positive impacts and minimize or reduce the adverse

impacts.

The proposed mitigation measures for predicted adverse impacts could be grouped into three categories as Physical,

Biological, Socio-economic and cultural environment. Such impacts could be further classified as impacts during

the construction stage and operation stage.

3.1 Mitigation Cost: The environmental and social mitigation cost in ESMP are basically related to activities

associated with the physical constructions, environmental conservations, health and safety and awareness raising.

The construction related mitigation measures are linked to the project's DPR and such costs are included in

construction Bill of Quantity. For such mitigation measures, the ESMP shall clearly highlight "included in project

BoQ" and ensure that DPR has included such cost in BoQ. For other mitigation costs like environmental and social

enhancement, awareness raising etc, the ESMP report should include the cost based on the district rates, or norms of

the government. Such mitigation cost should of clearly included in mitigation cost. This type of mitigation cost will

apply for construction and operation phases of the project.

ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN (ESMP)

Environmental management actions to be undertaken and to be adopted for the realization of environmental

mitigation and enhancement for construction and operation phases are presented in the table below. The

Environmental Mitigation and Enhancement Management Plan (EMEMP) which is part of the ESMP describes

impacts, description of enhancement/mitigation action required, individual or agency responsible, national

standards and guidelines, timing of actions, responsible authority, and tentative financial requirements.

Site-Specific ESMP Matrix

Name of

Sub

Project

Location Env Issues/

Significance

Likely

Potential

Impacts

Mitigation

Measures

BoQ/

Cost

Time of

Action

Responsib

ility

Sample Environmental Mitigation Measures

117

CONSTRUCTION PHASE IMPACTS

Physical Environment

S.N Identified Impacts Environment Mitigation Measures

1 Impacts associated with management of

excavated materials

The excavated materials shall be used as construction material

(as applicable). The unused materials will be sold to needy, non-

sellable items shall be disposed properly in identified areas.

2 Impacts of air pollution (particularly

dust) and its impacts on surrounding

environment

Vehicle speed control and sprinkling of water in road and in

construction site in a regular basis. Use of old and worn out

vehicles shall be avoided to control air pollution.

The construction material shall be covered during the

transportation of materials.

3 Impacts related to noise created by the

vehicle used for the transportation of

construction material

Night time construction work shall not be allowed (in general

conditions, for urgent work local community should be informed

and consent should be obtained). Vehicle speed control and

maintained vehicle shall be used. Use of old and worn out

vehicles shall be avoided to control noise pollution.

4 Impacts related to stockpiling of

construction materials

Construction material shall be stored/stockpiled in designated

area (fenced and secured, covered).

5 Impacts related to traffic obstruction and

traffic management

Adequate traffic signs, warning signs, and scheduling of

transport operator in off office hours to avoid traffic congestion

and inconvenience to people.

6 Possibility of contamination of water

source due sub project construction

activities.

Regular water sprinkling in approach road, construction sites.

Discourage use of direct discharge of water in to water bodies

without proper treatment.

7 Impacts related to health and safety of

workers, and visitors /worshippers

Social distancing during construction and medical testing to

determine the presence of covid-19 positive individuals among

the constructions workers or in the communities where the sub-

projects are located

Use of safety signs in places, fencing of active work

places/construction sites provision of PPE to workers.

8 Impacts related to obstruction and

disturbances to visitors/worshippers of

temple/shrine

Adequate signs shall be used, construction materials shall be

stored in designated areas with proper fencing, and construction

work shall be planned in such a way that it won’t stop

worshippers.

9 Impacts related to liquid waste, solid

waste, and sewage management during

construction phases of the project

Implementation of solid and liquid waste management

segregation, collection and treatment technology. Prohibition of

littering and illegal dumping of waste in premises and its

surroundings.

Establishment of adequate hygiene and sanitation facilities

Biological Environment

118

S.N Identified Impacts Environment Mitigation Measures

1 Impacts related to disturbance to flora

and it’s cutting/removal during

construction period

Trees should be protected and its cutting/removal is strictly not

recommended.

Socio-economic, Cultural and Archaeological Environment

S.N Identified Impacts Environmental Mitigation Measures

1 Disturbance to local residents due to

obstruction to their access, pollution etc

Prior information dissemination to the public regarding the

nature, schedule of work in advance

Timely completion of work to minimize disturbance

Adherence to pollution control measures as elaborated above.

2 Pressure on local infrastructures due to

influx of workers

Record keeping of workers

Provide orientation and training to workers for maintaining

social harmony, prohibition of ill social behaviors (alcohol,

gambling etc)

Local people shall be engaged in construction as per their skills

and qualifications.

3 Obstruction to

worshippers/pilgrims/visitors for

entering temple premises during

renovation of temple

The access shall be provided to the priest of the temple/shrine for

certain hours of the day. Due to this arrangement, the priest and

visitors can visit the temple.

Operation Phase Mitigation Measures

• Physical Environment

• Biological Environment

• Socio-economic environment

ENVIRONMENTAL AND SOCIAL MONITORING MANAGEMENT PLAN

Three types of monitoring are envisaged in the plan, namely: Baseline Monitoring, Compliance Monitoring and

Impact Monitoring. The compliance monitoring comprises two parts; the first is the compliance to the enhancement

actions and second compliance to mitigation actions including the corrective actions issued.

The impact monitoring in the plan relates to only those measurable indicators in the socio-economic,

Cultural/Physical, Chemical and Biological environments. For each of the monitoring indicators, monitoring

methods, frequency of monitoring, responsible parties along with the required cost estimates have been estimated.

Environment and Social Monitoring Management Plan and Responsible Agency

Issue

no.

Impacts Environmental

Monitoring Measures and

Projected Cost

Responsible

Agencies

Timing of Action

Construction/

Operation

Impacts on Physical Environment

1. Disposal of solid waste,

waste materials and

construction debris.

Hazardous wastes are

properly segregated, treated

and disposed in approved

Contractor

119

landfill sites.

Construction debris can de

used for land recovery and

land filling

2. Degradation of water

quality, air quality & noise

level due to project

construction activities.

Treatment facility during

construction period

Use of personal protective

equipment for workers.

3 Occupational Health

Hazard and Safety

Implementation of OSH

activities. Distribution and

encouragement for the use

of safety hats, shoes, follow-

up of safety regulation,

well-communication of

construction safety

instructions at all levels.

Contaminated medical

wastes are properly

segregated, treated and

disposed in approved

landfill sites.

11 Impacts on sanitation and

health of the community

due to increase in disease

vector and transmission of

disease from outside

workforce.

Workers are not allowed to

stay overnight out from the

camp. Awareness program

will be launched to prevent

covid-19 infection/

contamination and from the

STDs.

26 Reducing the land use

Appropriate route

selection to minimize

impacts

Maximum use of existing

road and public land

Collection of spoils and its

management in scientific

way

ESMP Implementation Structure and Stakeholers Responsibility

The overall project environmental management is the responsibility of PIU. The ESMP shall be prepared to show

linkages with different parties to be involved directly or indirectly during the different phases of project

development and operation in compliance with the existing Act and Rules.

120

Category III: NUGIP interventions requiring Codes of Conduct

NUGIP sub projects which don’t fall into categories I and II shall follow Codes of best practices during the

implementation and operation phases. This category has clearly minimal or no impacts; very simple or no

mitigation required

Environmental codes of practices provide technically specified solutions illustrating the general principles of

environmentally sound and sustainable planning, design and construction. This will help to enhance positive

impacts and to avoid or lessen adverse or negative impacts. This environmental and social code of practices should

be applied in conjunction with the standard technical standards for preparation of designs of civil works and during

implementation. The NUGIP sub projects requiring application of best practice code of conducts are component 2

activities such as:

1) Environmental Enhancement Projects

2) Minor repair and maintenance works

3) Small scale rain water harvesting schemes

The generic environmental best practices to be followed for NUGIP Sub projects and interventions are elaborated

below:

▪ Solid Waste Management, including medical wastes, should be based on Reduce, Reuse, and Recycle (3R)

principles: Generation of solid, semi-solid and liquid waste requires proper on site management and scientific

disposal.

▪ As there may be settlements around the component 2 activities, no or few nuisances to the community should

be produced. Examples: use of less noisy equipment and no work during night hours as well as adoption of

Environmentally Sound Technologies (energy efficient system design, selection of less polluting technology) in

civil construction.

▪ Covid-19 regulations and Health and Safety Standards (e.g., use of personal protective equipment, use of safety

signs) should be adopted in construction areas and replacement activities,

▪ Environment, Health, and Safety (EHS) related orientation and job specific training should be provided to

employees; IFCs General Environmental Health and Safety Guidelines section 2.2 (Occupational Health and

Safety ; Communication and Training shall be followed

▪ Strict implementation of ESMP, adherence to GoN Rules, Regulations, Policies and World Bank policies, and

compliance with formats and checklists developed by ministries

▪ Correction of shortcomings, periodic review meetings, clear assignment of roles and responsibilities

▪ Environmentally friendly technologies and awareness rising in environmental (including cultural and

archeological) should be promoted.

▪ Information dissemination and public consultations prior, during and concomitant to the garner understanding

and consensus should be an integral part of all activities under NUGIP

113113113

Appendix D: Initial scoping for subprojects

Pokhara:UpgradationofTalchowk- BegnasRoad

Proposed length: 3.2 Km

RoW: 30m

Carriage way: 14m tillSisuwa Chowk

7m afterthat intersection

Designfeatures: Road, greenarea, flexible

pavement, trafficsigns, street furniture,

cyclelane

Benefitsofthe project:

• ProjectwillincreasetourismtoBegnasLake

• Thiswill provideeconomicopportunitiestolocals

• Currentlytherearelotofroadaccidentshappeningwhich

couldbereducedbyusingsignalandspeedcontrolandroad

crossingfeaturesintheproposedproject

• Roadconnectstoessentialserviceslikehospitalandschool

• Proposeddrainagesystemwillreducetheinundation

happeningeveryyear

• Reducetimeforcommuting

KeyEnvironmentalIssues

• The project is expected to end

approximately500mawayfromRamsarsite(Begnaslake).Sincethisisanurbanroadproject

and at the fringes of the lake, it is important to determine its impact on the lake’s

catchment area.

• AsTalchowkisneartothelakethereismorewatervaporintheairduetowhich

inwintertheyhavelotoffoginthesurrounding area.Whentherewillbe

increaseintrafficandvehicular pollution thefogwillbecomedenserwhich

mightleadtodeteriorationofairqualityaswellas visibility.

• Privatetreeswill becutduringRoWclearance,someofthetreesarefruit bearing

• Roadshavewaterstreamsandculvertsoverit,duringconstructionwater

pollutioncouldbeanissue

• Thereare un-utilizedcanals alongthe road (the land shouldbelongto

irrigationdepartmentand thereshouldbe user group)whichneedsto be shifted

• Electricpoles,telephonelinesanddrainsneedto beshifted

• During operations, theincreaseinm o v e m e n t ofvehiclesmightcause

significantairpollution

• Roadhavesensitivereceptors (bothhospitals andschools)ontheside

–air pollutionandnoisepollutionisimportantissue

KeySocialIssues

• RoWwasclearedfewyearsbackbutthereisencroachmentfromfarmers

whichwillhavetoberemovedwhichmightleadtocroploss

• Disruptiontobasicutilitiesandcommonpropertyresources

• Fewhomeshavebuiltrampsforaccessroadswhichwillhaveto bedestroyed

• A religiousplacebuiltby mothers’ groupwillberelocated

114114114

UrlabariMunicipality:UpgradationofKrishna Chowk to Communityforest officeroad

Proposed length: 5.275 Km

RoW: 12 m

Carriage way: 7m

Designfeatures: Road, utility duct on both

sides, pavement, street furniture, cyclelane,

Tactiletileto aidmovement ofvisuallyimpaired,

Junction improvement ofKrishna Chowk

Benefitsofthe project:

• Willimproveeconomicprospectsfordhamilcommunitywhichis

sociallydeprivedIP

• Duetolackof puccaaccessroad,rateofdevelopmenthasbeenvery

slowandveryfewpublic busesplyontheroad

• It willimproveconnectivityofpublictransportation

• Reducecommutingtimeto healthfacility,highergradeschool,

marketetc.Currently,communityhastotravelatleast7-8kmto

accessthesefacilities,whichtakesthemmanyhoursasthereisno

directconnectivity.

• Mightalsoreduceimmigrationrate

• Drainagesystemwillreducethefloodingoftheroad

KeyEnvironmentalIssues

• Theroadterminatesatcommunityforestoffice,hencetheproximityof

communityforestisanenvironmental concern.Howevertheroaddoesnot

passorrequireanyforestland,thereforetheimplicationsoftheprojecton

thecommunityforestareminimal.

• CuttingofprivatetreeswhichbelongtoKadamandBakainaaspecies

• Roadhavewater streamsandculverts overit,during constructionwater

pollutioncouldbeanissue

• Electricpolesneedto beshifted

• Road have sensitive receptors (school) – air pollution and noise

pollutionisimportantissue

• Duetoincreasedaccessibilitytocommunityforest,therecouldbeincreasein

Illegalwaterlogging

KeySocialIssues

• RoW is not cleared in Tribeni Sunjoda stretch but Municipality has ascertained

peoplehavelandownership documentandwouldbewilling to donateportionofland

• Thereisan agriculturalland,partoflandwillhaveto beacquired

• Therewillbedamagestostructureslikeboundaryofhouseandschool, privatehandpump

• Disruptiontobasicutilitiesandcommonpropertyresources

• Duetohighimmigrationratemosthouseholdsarewomenheaded.Dueto

projectsomeofthe temporaryshops(ownedbyfemales)haveto be

shifted.Ifthelandownershipisontheir name,transferringportionof land

tomunicipalitymightbringconflictinhousehold.Duringconstruction,there

willberiskofraiseinsafetyissueoffemales.

• Due tolabor influx,theremightbe riseinconflictdue tosharedresources

Likefuelwood

• ProjectalignmentrunsalongSunjhodaRiverbank,duringconstructionfew

settlement’sroadaccessibilitywillbeimpacted

115115115

DamakMunicipality:Upgradationofroadat wardno. 2and5- P21

Proposed length: 4.861Km

RoW: 12 m

Carriage way: 7m

Designfeatures: Road, utility duct on both

sides, pavement, street furniture, cyclelane,

Tactiletileto aidmovement ofvisuallyimpaired,

Junction improvement of TarabariDipu

Benefitsofthe project:

• Reducecongestionon East-WestHighway

• Duetolackof puccaaccessroad,thereislot of dustdispersionby

vehicularmovement

• Thereisfloodinginmonsoon,culvertsarenotproperlyconstructed,

andriverbedrisesduetosedimentation.Projectwillimprove

drainagesystemandculvertsaswell.

• Willbringmoreeconomicopportunitiestothearea.Currently,

communityisnotabletodevelopmarketplaceastheroadis kuccha

thereislimitedtraffic movement

KeyEnvironmentalIssues

• Roadshavewaterstreamsandculvertsoverit,duringconstruction

Waterpollutioncouldbeanissue

• CuttingtreesfromKadamspecies

• Electricpolesneedto beshifted

• Roadhavesensitivereceptors(school)–airpollutionandnoise

pollutionisimportantissue

• Duetoincreasedaccessibilitytoriverbed,therecouldbeincreasein

Illegalsandmining

• Clearingoftrees

KeySocialIssues

• Thereisagriculturalland, partoflandwillhaveto beacquired

• Therewillberelocationofonetemporaryshopownedbybackward group

• Disruptiontobasicutilitiesandcommonpropertyresources

• Lackofsufficientpublictoiletsandhenceopendefecation

• Withconstructionofprojecttherewill beincreaseinmovementof

heavyvehiclesaswellasothermotorized vehiclewhich willincrease

roadsafetyconcerns

• Duetolaborinflux,theremightberiseinconflictduetoshared

Resourceslikefuel wood,water,food

Birtamod Municipality:Upgradationof Buttabari-Pyakurel Road-P15

116116116

Proposedlength: 6.26Km

RoW:12m(9-10mat

SaraswatiSchoolArea) Carriageway:

7m

Designfeatures: Road,utilityduct on

both sides,pavement, street, Tactile tile to aidmovement

ofvisuallyimpaired, Junction improvement at E-W

Highway JunctionandBirtamodChandragadhi

Road,minorbridges

Benefitsofthe project:

• Duetolackof puccaaccessroad,thereislotdustdispersionby

vehicularmovement

• Thereisfloodinginmonsoon,culvertsarenotproperlyconstructed.

Projectwillimprovedrainagesystemandculvertsas well.

• Willbringmoreeconomicopportunitiestothearea

• Accessibilitytolocalreligiousplaces

KeyEnvironmentalIssues

• ThereisaNationalForestPatch(CharaliForest)maintainedbycommunity at the

easternsideofprojectroadatadistance of0.250to1.000Kmrange.

DeniaKhola,aperennialriverflowsadjacenttotheforestareaontheeasternside

ofprojectroad.Butastheroadisintermediate whichwillhavelimitedtraffic

therebylimitedenvironmentalimpact

• Roadshavewaterstreamsandculvertsoverit,duringconstructionwater

pollutioncouldbeanissue

• Electricpolesneedto beshifted

• Roadhavesensitivereceptor(school)–airpollutionandnoisepollution

Isanimportantissue

• NearKhoparionproposedroad,therewasalow-lyingsmallsectionof50mwhich was

affectedduetowaterloggingfor quitealongtime

• Herdof migratoryElephant(6-13ina herd)usetofollowCharaliforestpatch

tomigratetowards JalthalNationalForest. JalthalForest islocatedabout8km

awaytothesouthernsideofprojectroad.Elephantmigration occursabout3

timesintheyearduringharvestingseasonsintheassociatedarea

• Clearingofprivatetrees

KeySocialIssues

• Therewillberelocationofaschoolwhichisalreadyunderprocess

• AfewindigenouswomensellBhakka(indigenouscookedbread onvapor)on

theroadsidewhichwillberelocated.

• Disruptiontobasicutilitiesandcommonpropertyresources

• Withconstructionofprojecttherewillbeincreaseinmovementofheavyvehicles

aswellasothermotorizedvehiclewhichwillincreaseroadsafetyconcerns

• Duetolaborinflux,there might beriseinconflictdueto sharedresourceslike

Fuelwood,water,food,raisewomensafetyconcerns

117

Appendix E:Environmental & SocialMitigation Measures EnvironmentalImpactsandMitigationMeasures

EnvironmentalImpact /

Aspect

MitigationMeasures ResponsibleEntity

DESIGNSTAGE

Consideration ofDesign

Alternatives

The proposedalignment/design tobeselected/

adjusted

to minimize landacquisition

toavoidsocially,culturally&environmentally

sensitive areas–structures, Common Property

Resources, cultural properties,

waterbodies,vegetationcover,forestetc.

DPRconsultant,PCO,

Municipalities

Issuesfromstakeholder

consultations

Variousissuesraisedduringpublic consultationtobeexamined&suitably incorporatedbasedon merit&othersafety measures

DPRconsultant,PCO,

Municipalities

DesignforGeologically Unstable/Land Slide prone areas

Provisionof retainingwall/breastwall(as applicable)andothersuitablemeasuresfor landstabilizationshouldbe adopted

DPRconsultant,PCO,

Municipalities

ImpactonEcologically

Sensitive areaslikeProtected

Areas (National Parks,

WildlifeReserve, Hunting

Reserve,Conservation Areas,

BufferZones), Ramsar Site,

Breeding, NestingGroundof

migratoryspecies, Wildlife

Corridor/MigrationRouteetc.

Priorcareshouldbe giventofinalizethe project

location/s.Projectshouldn’tbedevelopedin

suchecologicallyfragileor inthevicinitywhich

mayhaveplausibleimpactontheseecosystems

DPRconsultant,PCO,

Municipalities

Impactonhistorically

significantsites

Toavoidimpactonhistoricallysignificant archaeological/anthropologicalsites,the projectdevelopmentshouldn’tbecommenced in the vicinityof historicallyimportantsites

DPRconsultant,PCO, Municipalities

Roadsafetyissueduetopoor geometrics

Designofgeometricimprovementsasper designstandards

DPRconsultant,PCO, Municipalities

PRE-CONSTRUCTION STAGE

LandAcquisitionand LossofProperties

AcquisitionofPrivateLand Compensationforloss

Livelihoodrestoration

Trainingandcapacitybuilding

EngagingPAPsinprocessofproject development

ESIA consultant, ULGs,

PCO,Municipalities Impacton structures/properties

Impactonvulnerable communities

ShiftingofUtilities

RelocationofUtilities

Allcommunityundergroundandoverhead utilitieswillbeshiftedasperproperUtility ShiftingPlanaftertakingpriorpermissionfrom concerneddepartments likeElectricity, Telecommunications, Waterworksetc.

DPRconsultant, concerneddepartment/s, PCO,Municipalities

118

EnvironmentalImpact/ Aspect

MitigationMeasures ResponsibleEntity

Lossofdrinkingwatersource

Drinkingwatersourcetobe replacedin consultationwiththelocals.Temporary arrangementsshouldbe provided,if theexistingwatersupplyis likelytobe disrupted/disturbed

DPRconsultant,

concernedstakeholders,

PCO,Municipalities

Mobilisation&Site

Clearance

Removalof Trees &Vegetation

Cover

TreesandVegetationcoverwillberemoved fromthe projectdevelopmentareabeforethe Commencementof Constructionafterobtaining necessarypermissionsfromtheforest Department.Provisionforcompensatoryplantationshould be keptasperthe guidelineof the Forest Department

ESIAConsultant, Contractor,PCO, Municipalities

LossofForestLand

ForestClearancefromForestDepartmenttobe

obtainedpriortoinitiationofanyactivityon forest

ESIAConsultant,

Contractor,PCO,

Municipalities

LossofAgriculturalLand&Crops

Compensationtolandownerforacquisitionof landanddamageofcrops(asapplicable)

ESIAConsultant,PCO, Municipalities

Dismantlingof Existing Structures

Existingstructures(ifany)fromproject

developmentareashouldbedismantledafter

takingformalconcurrencefromrespective

stakeholder/s

ESIAConsultant, Contractor,PCO, Municipalities

Mobilizationof Crushers,

Constructionplants,other

ConstructionVehicles,

EquipmentandMachinery

Specificationsofcrushers,constructionplants,

OtherConstructionVehicles,Equipmentand

Machineryshouldcomplytothenormsof

pollutioncontrollegislationsofNepal

Contractor,PCO, Municipalitiesinco- ordinationwithDSC

Settingupof construction camps

Ideally theconstruction camps should be located

atleast 500mawayfromhabitations

awayfromsensitivelocations.

TheContractor duringtheprogressofwork

willprovide,erectandmaintain necessary

(temporary) livingaccommodation and

ancillaryfacilitiesforlabourtostandardsand

scalesapprovedbytheWorldBank.

Contractor, PCO, Municipalitiesinco- ordinationwithDSC

Identificationofconstruction

debrisdisposalsite

Followingpointsaretobe consideredfor

SelectionofsiteforDebrisdisposal-

It shouldnot belocatedwithindesignated to restore

ecologicallysensitiveareas

The dumping should not impact natural

drainagecourses

Settlements should be located acceptably

awayfromthedisposalsite

Contractor,PCO, Municipalitiesinco- ordinationwithDSC

GenerationofDustand

Emissionfromsiteclearing

equipment

Vehicles carrying dismantled materials

shouldbecovered toreduce spillsanddust

blowingofftheload.

Water spraying should be carried out at

regularintervalstolimitthedusttobelow

Plants,machinery andequipment shallbeso

handled(including clearingand dismantling) asto

minimize generationofdust.

Allvehicles,equipment andmachinery used

forconstructionshallberegularlymaintained

Contractor, PCO,Municipalitiesin coordinationwithDSC

119

EnvironmentalImpact/

Aspect

MitigationMeasures ResponsibleEntity

Toensurethatpollutionemission levels

complywiththerelevantrequirements of MoFE

Regular monitoring of ambient air quality

shouldbeconductedfortheparameters like PM10,

PM2.5, SO2,NOx,CO,O3,at suitablelocations

ShiftingofCultural/Religious

Properties

CulturalandReligiousproperties shouldbe

shiftedtothenearbylocation inconsultation

withlocalcommunityandadministration.

Contractor, PCO,

Municipalitiesincoordination

withDSC

CONSTRUCTIONSTAGE

Clearancesandapprovals

Priortoinitiationofconstructionwork

necessarypermissionsaretobetakenfrom

respective stakeholders.

ESIAConsultant,

Contractor,PCO,

Municipalities

Land

SoilErosionand

Sedimentationcontrol

Main reason of soil erosion is downpour.

Contractor shouldplantheactivitiessothatno naked

/looseearthsurfaceisleftoutbeforethe

onsetofmonsoon. Forminimising

thesoilerosionfollowingpreventive measurestobe

takensuchas:

Topsoilfromborrowarea,debrisdisposal

sites,construction sitetobeprotected/

coveredforsoil erosion.

Debris due to excavation of foundation,

dismantling ofexistingstructurewillbe

removedfrom thewatercourse immediately

andshouldbe reusedfor backfilling.

Alonglocations abuttingwaterbodies,stone

pitchingcan be carriedout.

Embankmentslopestobecovered,soonafter

completion.

Diversions for bridges/culvertswillbe

removedfromthe water coursebeforethe

onsetofmonsoon

Contractor,PCO,

Municipalitiesincoordination

withDSC

Lossofagriculturaltopsoil

Allareastobepermanentlycoveredorborrow areas will

be strippedtoadepthof150mmand

Storedinstockpile.Thestockpilewillbedesignedsuchtha

tthe slopedoesnotexceed1:2(verticalto

horizontal),andthe heightofthepileis tobe

restrictedto2m.Thestockpilesshouldbe

coveredwithgunnybagsor tarpaulin.

Topsoilwill besafeguardedfromerosionand

willbereusedas follows:

Coveringallborrowareasafterexcavationis over.

Dressingofslopesofroadembankment

Agriculturalfield,acquiredtemporarily

Landscaping

Contractor,PCO,Municipaliti

esincoordinationwithDSC

CompactionofSoiland

DamagetoVegetation

Constructionvehiclesshouldoperatewithinthe

projectdevelopmentzoneto avoiddamaging

soilandvegetationofoutside.

Contractor, PCO,

Municipalitiesincoordination

withDSC

EnvironmentalImpact/

Aspect

MitigationMeasures ResponsibleEntity

120

Diversions,accessroadsusedwillberedeveloped

byContractor tothesatisfactionof theowner/

villagersoncetheconstructionworkisover. While

operating on temporarily acquired

agriculturallandforanyconstructionactivities,

topsoilwillbe preservedin stockpiles.

Contaminationofsoil

DuetohandlingofHazardouswaste

Vehicle/machinery and

equipmentoperation,maintenance and refueling

shall becarried outinsuchafashion thatspillage

offuelsandlubricants doesnotcontaminate

theground.

Fuelstorageshallbeinproperbundedareas.

Allspillsandcollectedpetroleum products

shallbedisposedofinaccordancewith Government

ofNepalguidelinesatdesignatedlocations.

Oilinterceptorshouldbeinstalledat construction

siteforwashdownand refueling areas.

Septic tankwill beconstructed forsafe

disposaloflabourcampwaste.

Contractor, PCO,

Municipalitiesincoordinatio

nwithDSC

1.Quarrying

2.Materialsources

Quarry material shall be sourced from

approvedand licensedaggregateand sand quarries.

Foroperatingnewquarries,theContractor

shallobtainmaterialsfromquarriesonlyafter

consentoftheconcernedauthoritiesandonly

afterdevelopmentofacomprehensivequarry

redevelopmentplan.

Adequatesafetyprecautionsshallbeensured

duringtransportationofquarrymaterialfrom

quarriestotheconstruction site.Vehicles

transporting thematerialshallbecoveredto

preventspillage.

Contractor,PCO,

Municipalitiesincoordinatio

nwithDSC

GenerationofDebris

Debrisgeneratedduetoexcavation,dismantlingofstruct

ures, cuttingofthehilletcshouldbe

suitablyreusedintheconstructionactivitytothe

extentpossible

Contractor, PCO,

Municipalities in

coordination with DSC

Disposalof Debris

Thedisposalofdebrisshallbecarriedoutonly

atsitesidentified for the purpose. All

arrangementfortransportation, dismantling

andclearing debris shouldbeplannedand

implementedbytheContractor inan

environmentallyacceptablemanner

Contractor, PCO,

Municipalitiesincoordination

withDSC

Air

Dustgenerationand gaseous

emissionfromconstruction

activitiesandequipment

Vehicles delivering materials should be

coveredtoreducespills anddustblowing off

theload.

Clearingand grubbingtobe done, justbefore

thestartofnextactivityon thatsite.

Watersprayingisneededtoaidcompactionof the

earth material. After the compaction,

Contractor, PCO,

Municipalitiesin

coordinationwithDSC

121

EnvironmentalImpact/

Aspect

MitigationMeasures ResponsibleEntity

water spraying should be carried out at

regularintervalstolimitthedusttobelow

Construction surfaces shouldbecleanedwith

aircompressor andvacuum cleanerspriorto

theconstruction works.Manuallabourusing

brooms should beavoided, ifusedlabour to be

providedwithmasks.

Forroads,embankment slopestobecovered

withturfing/stonepitching immediately

aftercompletion.

TheContractorshall take everyprecautionto

reducethelevelofdustemissionfromthehot mix

plantsand thebatchingplants

Plants,machinery andequipment shallbeso

handled(includingdismantling) asto

minimisegenerationofdust.

Allvehicles,equipment andmachinery used

forconstructionshallberegularlymaintained

toensure thatpollutionemission levels

complywiththerelevantrequirements of MoFE

Regular monitoring of ambient air quality

shouldbeconductedfortheparameters like PM10,

PM2.5, SO2,NOx,CO,O3,Pbat suitablelocations

PollutionfromCrusher

Onlythecrushers already havingvalidlicense

ofGoNshall beused.

Contractor,PCO,

Municipalitiesincoordinatio

nwithDSC

Water

Impacton waterresources

Proposedsite should be devoid of any waterbody

sothatnoacquisition ofwater bodytakesplace

In case of unavoidable situation(like widening

ofroad)ifthewaterbody ispartly affected;

thevolumetric lossofcapacity

shouldbecompensated byexcavation ofan

equalvolume ofsimilardepthatclosest possible

location shouldbedoneinan

environmentallyacceptablemanner

Debrisshouldn’t bedisposed ornomaterial should

bestorednearanywaterbody which

threatstocausevolumetric lossofwater

resourceduetosiltation

Siltfencingtobeprovidedintheconstruction

areas(nearwaterbodies)

Priorpermission fromauthoritiesforuseof

water(surface/ground) forconstruction

activityshouldbetaken.

Constructionlabours to be restricted from

pollutingthesourceor misusingthe source.

Shifting of drinking water source to be

Contractor, PCO,

Municipalitiesincoordinatio

nwithDSC

122

EnvironmentalImpact/

Aspect

MitigationMeasures ResponsibleEntity

completedpriortodisruptionoftheactual source

Alternate

measurestobetaken/ensuredduringdisruptedper

iod.

Source tobereplaced immediately, in case of

accidentalloss.

Alterationofdrainage

SurfaceRunoff&Water

Logging

Siltationinwaterbody

If any alteration of existingdrainage is

requiredthendiversions willbeconstructed

duringdryseason,with adequate drainage facility,

and willbecompletely removed

beforetheonsetofmonsoon

Debris generated dueto the excavation of

foundationorduetothedismantling of

existingstructure willberemovedfromthe

watercourse

Siltfencing tobeprovidedonthemouth of

dischargeintonaturalstream

Properdrainage network tobedeveloped to

avoidanyimpactondrainage conditionand

tocatersurfacerunoffflow.

Contractor,PCO,

Municipalitiesincoordinatio

nwithDSC

Waterrequirementfor

project/stressonwater

source

Contractorshouldidentifyalistofsources

(surface/ ground)forconstructionwater

Priorto use of water (surface/ground) permission

shouldbetakenfromrespective authority

Duringconstructiononlypermittedquantity

(permission taken)fromapprovedsources

willbeused.

Contractorwillensureoptimumuseofwater;

wastage ofwaterinconstruction/labourcamp

shouldbereligiouslyrestricted.

Contractor, PCO,

Municipalities in

coordinationwithDSC

Silting/sedimentation

Measuressuggestedunder“SoilErosionand

Sedimentationcontrol”shouldbefollowed.

Silt fencing should be provided in the

constructionareasnearwaterbodies.

Construction activities should be avoided

nearwaterbodiesduringmonsoon.

Contractor, PCO,

Municipalities

incoordinationwithDSC

Contaminationof water

Measuressuggestedunder“Contaminationof

soil”will beenforced.

Construction work close to water bodies

shouldbeavoidedduringmonsoon.

Silt fencing should be provided in the

constructionareasnearwaterbodies.

Labour campsshouldbelocatedawayfrom

waterbodiesandshouldbeequipped with

septictank.

Caretobetakensothatthedischarge from

labourcamp/construction campdoesn’t

contaminatesurfaceor groundwater

Carwashing/workshopsnearwaterbodies

Contractor, CO,

Municipalities in

coordinationwithDSC

123

EnvironmentalImpact/

Aspect

MitigationMeasures ResponsibleEntity

shouldbeavoided.

Oilinterceptorshouldbeinstalledatsuitable

locations

Waterquality(surfaceand ground)should

bemonitoredatsuitablelocations

Contaminationof Ground

waterduringboring/well

construction

Necessarycareshouldbegivenduringwell

construction topreventaccidental contaminationof

Groundwater

Contractor, PCO,

Municipalities in

coordinationwithDSC

Noise

NoisefromVehicles,Plants

andEquipment,Blastingor Pre-

splittingOperations

Noise standard at processing sites, e.g. aggregate

crushing plants, batching plant,

hotmixplantwillbestrictlymonitored to

preventexceedingofnoisestandards.

Workersinvicinityofloudnoise,andworkers

workingwithorincrushing, compaction,

concretemixingoperations shallwear earplugs

andtheirworking timeshouldbe

limitedasasafetymeasure.

Inconstructionsiteswithin150mofsensitive

receptorsconstruction willbestoppedin Night-

time(from22:00to06:00).

Machineryand vehicleswill bemaintainedto

keeptheirnoisetoaminimumlevel.

Noisebarriersmaybe constructedatsensitive

receptorlocations.

All vehicles and equipment used in construction

shallbefittedwithexhaust silencers.

During routine servicing operations, the

effectiveness ofexhaustsilencersshouldbe

checkedandiffoundtobedefective shallbe replaced.

Contractor, PCO,

Municipalities in

coordinationwithDSC

SitesofHistorical

/CulturalImportance

ChanceFinds

The contractor should keep provisions for

managing chancefindswhichwillbeapplied

intheeventifcultural heritageis subsequently

discoveredorencountered unexpectedly

duringprojectdevelopment. Thecontractor

shouldensurenodisturbance

toanychancefindfurtheruntilanassessment

bycompetentprofessionals ismadeand

actionistakenbyconcernedauthority.

Contractor, PCO,

Municipalities

incoordinationwithDSC

Flora&Fauna

Fellingof trees and

disturbanceof vegetation

cover

Clearingofvegetation/treesmustbelimited

onlywithinprojectdevelopmentzone.

Avoidabletreesmust besaved

Possibility for transplantation of trees shouldbe

explored

Plantation/afforestationactivityshouldbe

activityinitiatedinaccordancetoGovt.of

Contractor, PCO,

Municipalities in

coordinationwithDSC

124

EnvironmentalImpact/

Aspect

MitigationMeasures ResponsibleEntity

Nepalafforestationpolicy

Provision of LPG should be kept for

construction campasfuelsourcetoavoid

treecutting

ImpactonFauna

Construction camps shouldbelocatedaway

fromecologicallysensitiveareas

Constructionworkers must protect natural

resourcesandwildanimals.

Huntingmust be prohibited.

Nestinggrounds&migratorypaths/wildlife corridor

ofthevicinity(ifany)shouldbe protected.

Compensatory afforestationshouldbetaken

uptomitigatelossofbiodiversity associated

withlossoftreeandvegetationcover

Contractor, PCO,

Municipalities in

coordinationwithDSC

Disturbance ofaquatic ecosystem

duetounwanted

discharge,malhandling of

material

Itshouldbeensuredthattreatedwasteare

onlydischarged todrainage systems(which

eventuallymeetaquaticsystem).

Provision for silt fencing/Oil interceptor shouldbe

keptforsuitablelocations

Construction materials should be handled

properlytoavoidaccidentalcontaminationof

aquaticsystem

Contractor, PCO,

Municipalities in

coordinationwithDSC

Socio–Economic

Environment

PublicHealthandSafety

Debris generated should be disposed of properly

indesignateddisposalsite/s

Monitoringofair,water,noiseandsoilshould

beconductedtocrosscheck environmental

conditionand to take necessarymitigation

measuresifrequired.

Contractor, PCO,

Municipalities in

coordinationwithDSC

ThreatofAccidents

The Contractorwillprovide,erectand maintain

barricades,includingsignsmarkingflats,lights

andflagmenasrequiredin theprojectduring

constructionphase

Contractor,PCO,

Municipalitiesincoordi

nationwithDSC

TemporaryLossof

Access/TrafficCongestion

Theconstruction worksshouldnotinterfere

withorcauseinconvenience topublicor

restricttheaccesstouseofpropertieswhetherpublic

or private and plan for traffic

decongestionshouldbe kept.

Contractor,

PCO,Municipalities in

coordinationwithDSC

Road Safety And

ConstructionSafety

TrafficControlandSafety

Detailed Traffic Control Plans should be

prepared. Thetrafficcontrolplansshould

containdetailsofarrangements for construction

undertrafficanddetailsof

trafficarrangementaftercessationof work eachday.

The Contractor shall take all necessary measures

forthesafety oftrafficduring

constructionandprovide,erectandmaintain

Contractor, PCO,

Municipalities in

coordinationwithDSC

125

EnvironmentalImpact/

Aspect

MitigationMeasures ResponsibleEntity

Suchbarricades, includingsigns,markings, flags,

lightsandflagmen asmayberequired

fortheinformationandprotection oftraffic

approachingorpassingthroughthesectionof

theroadunderimprovement.

RiskfromConstructionWork

TheContractorisrequiredtocomplywithall

theprecautions asrequiredforthesafetyof

theworkersaspertheInternational Labour

Organisation(ILO).

The Contractor shall supply all necessary safety

appliances such as safety goggles,

helmets,masks,etc.,totheworkersandstaff.

The Contractorhas to comply with all

regulationregardingsafescaffolding,ladders,

workingplatforms, gangway,stairwells,

excavations,trenchesandsafemeansofentry

andegress.

Nochildlabourshallbeutilizedintheproject

Contractor, PCO,

Municipalities in

coordinationwithDSC

RiskfromElectricalEquipment

Adequateprecautionsshouldbebetakento

preventdangerfromelectricalequipment.

All necessary fencing and lights will be

providedtoprotectthe public.

Contractor, PCO,

Municipalities in

coordinationwithDSC

RiskatHazardousActivity

All workers employed on mixing asphaltic

material,cement,limemortars,concreteetc, will

beprovidedwithprotectivefootwearand

protectivegoggles.

Workers, whoareengagedinweldingworks,

wouldbeprovided withwelder’s protective eye-

shields. Stonebreakerswillbeprovided

withprotectivegogglesandclothing andwill

beseatedatsufficientlysafeintervals.

Theuse of anytoxic chemicalshallbestrictly

inaccordance with themanufacturer’s instructions.

Contractor, PCO,

Municipalities in

coordinationwithDSC

RiskcausedbyForceMajure

All reasonable precaution will be taken toprevent

danger oftheworkers andthepublic fromfire,flood,

drowning,etc. All necessary

stepswillbetakenforpromptfirstaidtreatment

ofallinjurieslikelytobesustained duringthe

courseofwork.

Contractor, PCO,

Municipalities in

coordinationwithDSC

FirstAid

Ateveryworkplace,areadilyavailablefirst

aidunitincluding anadequate supplyof sterilised

dressingmaterialandappliances willbeprovided.

Suitable transport should be provided to

bringinjuredorillperson(s) tothenearest

applicablehospital.

Contractor, PCO,

Municipalities in

coordinationwithDSC

HealthandHygiene

Latrinesinconstruction/labourcampshould be

providedwithseptictank.

The septic tank should be cleaned periodically.

Contractor, PCO,

Municipalities in

coordinationwithDSC

EnvironmentalImpact/

Aspect

MitigationMeasures ResponsibleEntity

Theeffluentscanbedivertedforhorticulture

insidethecamps.

Workersmusthaveaccesstopotablewater.

Garbagebinsmustbeprovided inthecamps

andregularly disposedoffinahygienic manner.

Adequate health care facility should be

providedfortheworkforce.Unlessotherwise

arranged forbythelocalsanitaryauthority,

thelocal medicalhealth ormunicipal authorities.

On completion of the works, all such temporary

structures shallbeclearedaway,

septictankandotherdisposal pitsshouldbe

filledinenvironmentallyacceptablemanner

ConstructionCamps’

Restoration

Contractor should prepare site restoration

plans.TheplanistobeimplementedbytheContract

orpriortodemobilisation.

On completion of the works, all such temporary

structures shallbeclearedaway,

septictankandotherdisposal pitsshouldbe

filledinenvironmentallyacceptablemanner.

Residualtopsoil(ifany)willbedistributedon

adjoining/landscapingareas.

Contractor,

PCO,Municipalities in

coordinationwithDSC

MonitoringofEnvironmentalQuality ThemonitoringofAir,land,waterandNoiseto

becarriedoutatsuitablecriticallocationsof

projectsite.

Contractor, PCO,

Municipalities in

coordinationwithDSC

POST-CONSTRUCTION STAGE STAGE

Stockpiles, solid wastes and

construction debris

• Clean up the project site and clear the working

area of unutilized construction materials and

heavy equipment

• Conduct a final clean-up of solid wastes

• Proper disposal of construction debris

Contractor

Signages, barriers, road obstructions • Removal barriers and other signages

Contractor

Waterways • Ensure that waterways are not clogged with

construction debris and other waste materials

Contractor

OPERATIONSTAGE

Soil/Water quality

degradationdue to surface run-off

Siltfencing, Oil&Greasetraps,etc.shallbe

provided toensure thatthewaterqualityis

notimpairedduetocontaminants fromroad run-

off.

Monitoringshallbecarriedout at suitable

locations

Provisionforproperdrainagenetworkshould be

kept

PCO,Municipalities

Contamination ofSoiland

WaterResources from

Spills/Accidents

Contingency planstobeinplaceforcleaning

upofspillsofoil,fuelandtoxicchemicals.

Spill of oil, fuel and automobile servicing

unitswithoutadequate disposalsystemsin

placetobe discouraged.

Accidental spills are potentially disastrous,

butitsprobability isquitelowasoneofthe

objectives ofthisprojectistoenhance road safety.

The Public will be informedabout the

regulationsonland pollution.

Landpollutionmonitoringprogramhasbeen

devisedforchecking pollution leveland

suggestingremedialmeasures.

PCO,Municipalities

Increaseof PollutionLevel Dustsuppression PCO,Municipalities

EnvironmentalImpact/

Aspect

MitigationMeasures ResponsibleEntity

InAmbientAir

Noise

HORN PROHIBITED sign post will be enforced

Maintenanceofnoisebarriers

The public will be informed about the

regulationson noisepollution.

PCO,Municipalities

Ecology Compensatoryafforestation

Protectionofplantedtrees

PCO,Municipalities

TrafficandAccidentSafety

Depending on the level of congestion and

traffichazards,trafficmanagementplanswill be

prepared.

Traffic control measures including speed

limitstobeenforcedstrictly.

Road control width to be enforced. Local

government bodiesanddevelopment authorities

willbeencouraged tocontrol

buildingdevelopmentalongthe highway.

PCO,Municipalities

Generationofdustandnoise

duetomaintenancework

Asrecommendedunderconstructionsection Contractor, PCO,

Municipalities in

coordinationwithDSC

Temporarylossofaccess/trafficcon

gestion

Theconstruction worksshouldnotinterfere

withorcauseinconvenience topublicor

restricttheaccesstouseofpropertieswhetherpublic

or private and plan for traffic

decongestionshouldbe kept.

Contractor, PCO,

Municipalities

incoordinationwithDSC

Riskofaccidental

contaminationofsoil/surface,

groundwaterresourceand

possibilityof mixingwith

watersupplylineduetoleakages/

overflowsfromthe

sewerlinesinoperation phase

Immediate action to restrict the

contaminationandoverflowofsewage

Contractor, PCO,

Municipalities in

coordinationwithDSC

Chanceofcontaminationdue

tohandling,transportation

anddisposalofsolidwaste

andsewagetreatmentplants

Segregationofwasteatsource.

Collectionofwasteatregularinterval.

Propercollection,handling and disposalof

wasteisnecessarytoavoidcontamination of

surroundingsoil,waterenvironment and

nuisanceduetogenerationoffoulsmell.

Maintenanceofdisposalsite

Contractor,

PCO,Municipalities in

coordinationwithDSC

Riskofcontaminatingsurface

andgroundwaterbyseepage

andleachatefromdisposal sites&

destabilization of heapsof

wasteatthelandfillsite

Proper monitoring of landfill site and its

maintenance

Slopestabilization

PCO,Municipalities

EnvironmentalMonitoringat

criticallocations

ThemonitoringofAir,land,waterandNoisetobecarriedo

utidentifiedcriticallocationsas identified

PCO,Municipalities

Appendix F: Contents of the Resettlement Action Plan

ContentsoftheResettlementActionPlan(RAP)shallincludethefollowingasabasic minimum:

ExecutiveSummary

Projectdescription

ObjectivesandStudyMethodology

Socio-EconomicProfileofthe projectarea

RegulatoryPolicieswithrespecttoSocialSafeguards

ProposedImprovementsunderthe project

Optionsconsideredforminimizingadverseimpacts

AssessmentofProjectimpacts

BaselinesSocioEconomicSurvey

PublicConsultation&DisclosureandPlan

Natureandmagnitudeofimpacts

Typeofimpacts

CompensationandR&Rassistance

LivelihoodRestorationand IncomeGenerationPlan

GenderDimensionsandActionPlan

GrievanceRedressMechanism

ImplementationScheduleandBudget

InstitutionalArrangements

ImplementationArrangements

Monitoringand Evaluation

ARAPwouldbe preparedcoveringthefollowingminimumelements:

A censussurveyofdisplacedpersonsandvaluationof assets;

Descriptionofcompensationandotherresettlementassistancetobe provided;

Consultationswithdisplacedpeopleaboutacceptablealternatives;

Institutionalresponsibilityforimplementationand proceduresforgrievanceredress;

Arrangementsformonitoringandimplementation;and

A timetableandbudget.

131131131

Appendix G: Assessment of Institutional Capacity

AglimpseofInstitutionalStrength(E&SDepartment)ofEasternClusterMunicipalities

Particulars Birtamod Damak Urlabari Sundar Haraicha

Mechinagar Itahari Rajbiraj Triyuga Dhankuta

SeparateEnvironment&Social cell

Yes Yes No Yes Yes Yes Yes Yes Yes

Efficacy of E&S departments

•5Environment and 3 Socialstaff (including permanent and

temporary) involved in preliminary survey work pertaining to social and environmental assessment (like assessment of impact on trees, structures)

•Environment staff are hired ontemporary basis. Social staff is permanent

•Staff are not involved in projectplanning or appraisal process

•Municipalityhas experienceof preparingESIA/ ESMP through external agencies

•Staff are permanent

•Staff arenot involved in projectplanningor appraisal process

•Municipalityhas experience in preparing ESIA/ESMP through external agencies

•Hasn’t prepared ESIA/ESMP for multilateral funding agencies

•10 permanent

staff involved in survey work pertaining tosocial and environmental assessment

•Staff are permanent and temporary

•The Environment officer had pastexperience of conducting IEE/ESIA studies. He is alsoresponsiblefor monitoring of efficacy of EMP being adopted in various industriespriortoissuing pollution under control certificate

•Headoftheunit ispermanentand others staff are temporary.

•Department is responsible for coordinationand facilitationofthe environmental and social committeeunder themunicipality

•The department’s roles include management of education, health, social security, sanitation etc. related issues

•Staff are not involved in project planning or appraisal process

•Staff carryout preliminary social and environmental

•Bothexperts are permanent

•Staffarenot involved in project planning or appraisal process

•Municipality hasexperienceof preparing ESIA/ESMP through externalagencies

•Haven’t prepared ESIA/ESMP for multilateral funding agencies

•1Environmental Staff&3Social Staff

•Staff are not involved in project planning or appraisal process

•Municipality hasexperience of preparing EIA/ ESMF but all were outsourced

•Oneofthestaff wasengagedin review of ESIA-ESMP prepared by external consultant for UGDP (ADB funded)-2 weekly market development project

132132132

Particulars Birtamod Damak Urlabari Sundar Haraicha

Mechinagar Itahari Rajbiraj Triyuga Dhankuta

survey (like assessment of impact on trees, structures) after project identification

AglimpseofInstitutionalStrength(E&SDepartment)of WesternClusterMunicipalities

Particulars Pokhara

Leknath

Vyas Putalibazar Baglung Tansen Ramgram Tilottama Shuklagandaki

Separate

Environment

&Social cell

Yes OnlySocialUnit Yes No Yes No Yes Yes

Efficacy of

departments Roles:

Social

safeguard,

Panjikaran,

women child-

Dalit –Janajati

targeted

programs,elder

citizen

program, social

inclusion and

monitoring of

Social

Organization

Solid waste

management,

plantation,

Greenery

promotion

&Landscaping,

Pond

Conservation

Roles:social

safeguard,

social

inclusionand

monitoringof

Social

Organization

Municipality

has

experience of

preparing

ESIA/ ESMP

through

external

agencies

Have

experience of

working with

ADB

Roles: social

safeguard,

Panjikaran,

women –child-

Dalit-Janajati

targeted program,

elder citizen

program, social

inclusion and

monitoring of

SocialOrganization

Solid waste

management,

pollution,

plantation,

supervision of

environment

activities

Municipality has

experience of

preparing ESIA/

Roles: social

safeguard,

Panjikaran,

women – child-

Dalit - Janajati

targeted

program, elder

citizen program,

social inclusion

and monitoring

of Social

Organization

Solid waste

management,

pollution,

plantation,

supervision of

environment

activities

Roles: social

safeguard,

Panjikaran,

women–child-

Dalit - Janajati

targeted

program, elder

citizenprogram,

social inclusion

and monitoring

of Social

Organization

Solid waste

management,

pollution,

plantation,

supervision of

environment

activities

1 Env. Officer, 3

staffinsocialcell

Roles:Solidwaste

management,

Women

Empowerment

programs, Social

security and

registrationofvital

events, Co-

ordination and

facilitation of tole

vikassanstha.Skill

development

Staff have never

prepared/reviewed

any ESIA-ESMP

133133133

Particulars Pokhara Leknath

Vyas Putalibazar Baglung Tansen Ramgram Tilottama Shuklagandaki

•Municipality has experience of preparing ESIA/ESMP through external agencies

•Haveexperience ofworking with ADB and JICA

•Technicalteam examines and conducts survey;prepare feasibilityreport and the DPR.

ESMP through externalagencies

•Haveexperienceof workingwithADB

•Municipalityhas experience of preparing

ESIA/ ESMPthrough external agencies

InstitutionalAssessmentofEnvironmentDepartmentofVariousMunicipalities

Parameters Pokhara Putalibazar Shuklagandaki Itahari Dhankuta S.Haraincha

Strength of

Environment Cell

Env.Cell -1Staff(BSc-

Environmental Science,

Ukraine)DisasterManage

ment–1Staff

Env.Cell-1Staff (MA-

Economics, MA-Pol.

Science, LLB-

Environmental Law). The

staff is holding additional

charge of

AdminOfficer,Headof

Legal Section, Disaster

Management Officer

Env.Cell -1Staff (B.Com);

Innearfuture one more

Environmental Person will

be appointedin the

municipality

Env. Cell -1 Staff (M.Sc-

Environmental Science,

Khulna University).The

staff isholding additional

charge of Disaster

Management Officer

andSolid Waste

Management Officer

Env. Cell -1 Staff

(B.Com);

Disaster Management

Officer iscurrentlyin

additional charge of Env.

Officer(B.ED). However,

Disaster

Managementofficeris a

part ofSocialCell

Roles andresponsibilities Plantation,

Maintenance of Public

Park, Greenery

promotion &Landscaping,

Pond

Plantation, Gavian

Filling, Landslide

Protection

Solid waste

management only

Issuance of Pollution

Under Control

Certificate for various

operational industries,

Supervision of Solid

SolidWasteManagement,

Supervisionoflandfillsite

redevelopment, awareness

program on

Awareness on threat

from Elephant, fire

prevention; monitoring

of plantation,

134134134

Parameters Pokhara Putalibazar Shuklagandaki Itahari Dhankuta S.Haraincha

Conservation,

Conservation of

religioustrees,

Waste Management,

RiverBankProtection&

Flood Control, Monitoring

of plantationactivity

environmentalCleanliness,

plantation&greenery

development

supervision of solid

wastemanagement

KeyExpertise/Specializatio

n

- Thestaff completed

LLB in Environmental

lawin2017

- The staff had been

Involvedin preparation of

ESIA/IEE Reports.

Had verygood

understanding about

Environmental laws and

regulationsofGoN.

Solid wastemanagement

&landfill sitemanagement

-

Involvementin Project

execution (Planning,

Construction & Operation)

Notinvolved/consulted

during planning of

infrastructure development

project

Notinvolved/consulted

during planning of

infrastructure development

project

Notinvolved/consulted

during planning of

infrastructure development

project

Notinvolved/consulted

during planning of

infrastructure development

project.

Sometimes, theviewof

Env. cell is considered by

the municipality. For eg.

in case ofextraction

ofborrowmaterial from

riverbanks, thestaff’s

recommendation was

adopted by the

municipality.On other

hand, the

suggestionofexpert is not

considered in case of

dumping of solid waste

inforestarea(as thereisno

immediate alternative is

available). Pertinentto

state that,

currentlythesolidwaste is

disposed in Hasposa

Community Forest.

Notinvolved/consulted

during planning of

infrastructure development

project

Notinvolved/consulted

during planning of

infrastructure development

project

Ratio of budgetallocated

toEnvironmentcelltothetota

l budget of the municipality

20 Cr (4% of total Budget) 5% ofTotalBudget approx. 1% of total

Budget

Notanyspecificbudgetkept.

But project specific budget

is keptlikefortestingofwater

quality (during

approx. 1% of total

Budget

approx. 0.3% of total

Budget

135135135

Parameters Pokhara Putalibazar Shuklagandaki Itahari Dhankuta S.Haraincha construction/operation

phase),Plantation etc.

Understanding of

Environmental laws and

regulations of Nepal

pertaining to

infrastructure

development project

Thestaffneitherhadtheu

nderstanding of

Environmental laws

and regulations of

Nepal norawareabout

EIA/IEE requirements

Thestaffhadquiteafaira

wareness about

Environmental laws

and regulationsofGoN

Thestaffneitherhadtheu

nderstanding of

Environmental laws

and regulations of

Nepal norawareabout

EIA/IEE requirements

The staff had quite a

good understanding

about Environmental

laws andregulationsof

GoN.The

operationalprocedure

forItahari Municipality

for Pollution

Prevention&

Control,2018 is

prepared by the staff

Thestaffneitherhadtheu

nderstanding of

Environmental laws and

regulations of Nepal

norawareabout EIA/IEE

requirements

Thestaffneitherhadtheu

nderstanding of

Environmental laws and

regulations of Nepal

norawareabout EIA/IEE

requirements

Understanding ofWorld

Bank/ADB

Policies/Experience of

Workingwithanyofthe

above

Thestaffdoesnothaveun

derstanding

aboutWorldBank’sOPs/

BPsand othersafeguard

policies. Thepresent

staffhave neverworked

in anymultilateral

agency funded project

The staff does not have

understanding about

World Bank’s OPs/BPs

and other safeguard

policies. The present

staff have never worked

in any multilateral

agency funded project

The staff does not have

understanding about

World Bank’s OPs/BPs

and other safeguard

policies. The present

staff have never worked

in any multilateral

agency funded project

The staff was

notinvolved in any

WorldBank-

fundedprojectbutworke

d in LGCDP project

which was funded

byADBin past (notin

Itahari Municipality)

The staff does not have

understanding about

World Bank’s OPs/BPs

and other safeguard

policies. The present

staff have never worked

in any multilateral

agency funded project

The staff does not have

understanding about

World Bank’s OPs/BPs

and other safeguard

policies. The present

staff have never worked

in any multilateral

agency funded project General

understandingof

Environmental Issues

pertainingto

development

ofinfrastructureproject

Thestaffhadverybasicid

eaof common

environmental impacts

duetoaninfrastructurepr

ojectsuchas impact on

trees, dust generation

etc. however,

theylacked

projectspecific and

location specific

environmentalimpacts.

Thestaffhadverybasicid

eaof common

environmental impacts

duetoan

infrastructureproject.

Thestaff added that

hiring of an

Environmental Expert

forsupervising ESMP

implementation work

wouldbeofhelp.

Thestaffhadverybasicid

eaof common

environmental impacts

duetoaninfrastructurepr

oject. Thestaff added

that hiring of an

Environmental Expert

forsupervising ESMP

implementation work

wouldbeofhelp.

Thestaffhadverygoodund

erstanding of

environmental

concerns/issues as hewas

engagedin preparation of

IEE/ESIA reports.His

current responsibility

also includes monitoring

of

environmentalpollution

Thestaffhad a

verygoodunderstanding

of solid waste

management including

its disposal.

However, had very

generic understanding

of common

environmental impacts

(lacking understanding

of projectspecific

environmentalimpacts)

The staff had

verygeneric

understanding of

common environmental

impacts(lacking

understanding of

project specific

environmentalimpacts)

Understanding of

Environmental

Standards (like

Ambient Air,Noise etc.)

Thestaffhadnoideaof

Environmental

Standards such as on

air, noise and water

quality.

The staff had no in

depth idea of

Environmental

Standards such as on

air, noise and

waterquality

The staff had no in

depth idea of

Environmental

Standards such as on

air, noise and water

quality

The staffhas a very

thorough idea of

Environmental

Standards and current

responsibility includes

issueofPollutionUnderC

ontrol Certificates for

Thestaffhadnoideaof

Environmental

Standards such as on

air, noise and water

quality.

Thestaffhadnoideaof

Environmental

Standards such as on

air, noise and water

quality.

136136136

137137137

Parameters Pokhara Putalibazar Shuklagandaki Itahari Dhankuta S.Haraincha

the operational industries

Understanding ofESIA-

ESMP process

Thestaff had an

understanding about the

purpose of ESIA- ESMP.

However, had never

prepared/reviewed any

ESIA-ESMP

The staff had an

understanding about the

purpose of ESIA- ESMP.

Atmunicipality, the

stafftook helpfrom

external consultant for

preparation of IEE.

However, had never

prepared/reviewed any

ESIA-ESMP

The staff had an

understanding about the

purpose of ESIA- ESMP.

However, had never

prepared/reviewed any

ESIA-ESMP

Thestaffwasengagedin the

preparation of IEE/ESIA

reports for morethan 300

projects.

The staff hadunderstanding

about the purpose of ESIA-

ESMP. However, had

never prepared/reviewed

any ESIA-ESMP

The staff had an

understanding about the

purpose of ESIA- ESMP.

However, had never

prepared/reviewed any

ESIA-ESMP

Role in

StakeholderEngagement

Process

The staff is notinvolved in

stakeholder

engagementprocessesfor

development of

anyinfrastructureprojects.

The staff is notinvolved in

stakeholder

engagementprocesses for

development ofany

infrastructureproject

The staff is notinvolved in

stakeholder

engagementprocessesfor

development of

anyinfrastructureproject

The staff is notinvolved in

stakeholder

engagementprocessesfor

developmentof

anyinfrastructure projects

in the municipality.

However, he had very

fairideaof purpose and

process of stakeholder

engagements in project

development.

The staff is notinvolved in

stakeholder engagement

processfor development of

anyinfrastructureproject.

The staff is notinvolved in

stakeholder engagement

processes for development

of any

infrastructureproject

Experience of

ESMPImplementation

(atleast in supervisory

role)

The

presentEnvironmentalcell

wasnotinvolvedin ESMP

implementation work

forany project in the past

in any capacity and hence

doesnotpossess any

suchexperience.

The

presentEnvironmentalcell

wasnotinvolvedin ESMP

implementation work

forany project in the past

in any capacity and hence

doesnotpossess any such

experience. The

staffaddedthat hiring of an

Environmental Expert

forsupervising EMP

implementation work

wouldbeofhelp.

The present

Environmentalcellwasnoti

nvolvedin ESMP

implementation work

forany project in the past

in any capacity and hence

doesnotpossess any

suchexperience.

The staff’s currentprofile

at municipality

includes monitoring of

efficacyof EMPbeing

adopted in various

industries.

The

presentEnvironmentalcell

was notinvolvedin ESMP

implementation work

foranyprojectin the past in

any capacity and hence

does notpossess any

suchexperience.

ThepresentEnvironmental

cellwasnotinvolvedin

ESMP implementation

work foranyprojectin the

past in any capacity and

hence does notpossess any

suchexperience.

Participation/Role in

resolving Environment

related grievances

Allgrievancesincludingenv

ironmental issues

aredirectlyregisteredin

municipality and are

All grievances including

environmental issues are

directly registered in

municipality and are

All grievances including

environmental issues are

directly registered in

municipality and are

All grievances including

environmental issues are

directly registered in

municipality and are

All grievances including

environmental issues are

directly registered in

municipality and are

All grievances including

environmental issues are

directly registered in

municipality and are

138138138

Parameters Pokhara Putalibazar Shuklagandaki Itahari Dhankuta S.Haraincha handled by

municipality’s judicial committee (Nyayik Samiti). The environmental cell is not involvedinthis process.Grievance can also besubmittedto CAOat Municipality levelor toWard ChairmanatWardLevel

handled by municipality’s judicial committee (Nyayik Samiti). The environmental cell is not involvedinthis process.Grievance can also besubmittedto CAOat Municipality levelor toWard ChairmanatWardLevel

handled by municipality’s judicial committee (Nyayik Samiti). The environmental cell is not involvedinthis process.Grievance can also besubmittedto CAOat Municipality levelor toWard ChairmanatWardLevel

handled by municipality’s judicial committee (Nyayik Samiti).Based on the natureof grievance,the view of Env. Cell is taken as andwhen required. Grievance can also besubmittedto CAOat Municipality levelor toWard ChairmanatWardLevel

handled by municipality’s judicial committee (Nyayik Samiti).Basedon the natureof grievance,the view of Env. Cell is taken as andwhen required. Grievance can also besubmittedto CAOat Municipality levelor toWard ChairmanatWardLevel

handled by municipality’s judicial committee (Nyayik Samiti). TheDisaster Management Officer is partof Nyayik Samity body. Basedon the natureof grievance,the view of Env. Cell is taken as andwhen required. Grievance can also besubmittedto CAOat Municipality levelor toWard ChairmanatWardLevel

InstitutionalAssessmentofSocialDevelopmentDepartmentofVariousMunicipalities

Parameters Pokhara Putalibazar Shuklagandaki Itahari Dhankuta S.Haraincha StrengthofSocialCell Social Cell-6 Staff

(MA-Sociology, MA-

Public Administration,

BA-Sociology, MA-

Anthropology)

Social Cell- 2 Staff

(B.Sc.,)

Social Cell- 3 Staff

(B.A. in Public

Administration,

MastersinEnglishand

LLB)

Social Cell-3 Staff

(MA-Rural

Development, MA-

Sociology, 12th ); 3-4

new staff will be

appointed soon

Social Cell-3 Staff;

(MA-Geography,

PGD-Disaster

Management);

Disaster Management

CellalsopartofSocial

Cell

Social Cell-4 Staff

(MA-Rural

development, B.ED,

BA)

Rolesandresponsibilities Registration of Vital

Events(Birth,Death),

Targeted Group

Development

(Women, Child,

Indigenous People,Sr.

Citizen, Differently

abled), Need based

skill development

programs (vegetable

farming,cattle/poultry,

farming,handicrafts)

Skill

Development,Awarene

ss

Program,Socialsecurity

and registration of vital

events and Co-

ordination and

facilitation of tolevikas

sanstha

WomenEmpowerment

programs, Social

security and

registration of vital

events, Co-ordination

andfacilitation of tole

vikas sanstha.Skill

developmentprograms

onsewing, agriculture,

computer

training,beautyparlora

ndonhandicraftsetc.

Monitoring

&RegistrationofNGOs

,Maintenance of

Record forBirth&

Death, issuanceof

SeniorCitizen /

Differently abled card,

awareness program

forchildren and

women, awarenesson

Gender Based

Violence and ensuring

safety of victim

Social Mobilization-

arrangement for tole

meetings, senior

citizen day care/health

checkup, Janjati

/women/child

development

through3rd party

trainer

(capacitydevelopment

/ skilltraining-sewing,

Driving, plumbing,

mobile

repair,computer

training,

Issuance cards for

Senior

Citizen/Differently

abledperson,Targeted

program for Janjati,

Women, Children

(SkillDevelopment for

Shoemaking,

plumbing, bag

making, sewing etc.

through3rdparties.

139139139

138

Parameters Pokhara Putalibazar Shuklagandaki Itahari Dhankuta S.Haraincha

mushroom farming etc.) Clean cityawareness

programs anddustbin

distribution

Key Expertise/Specialization - - - - - -

Involvement in Project

execution (Planning,

Construction&Operation)

Notinvolved/consulted

during planning of

infrastructure

development project

Notinvolved/consulted

during planning

ofinfrastructure

development project

Notinvolved/consulted

during planning

ofinfrastructure

development project

Notinvolved/consulted

during planning

ofinfrastructure

development project

Notinvolved/consulted

during planning

ofinfrastructure

development project

Notinvolved/consulted

during planning

ofinfrastructure

development project

Ratio of budget allocated to

Socialcelltothetotalbudgetof

themunicipality

Approx.3Cr(lessthan

1% oftotalbudget)

Approx. 5 % of total

budget

Approx. 3 % of total

budget

Approx. 2 % of total

budget

Approx. 13-14% of

totalbudget

Approx. 1% of total

budget

Understanding of social laws

and regulations of Nepal pertaining

to infrastructure

development project suchas land

acquisition,R&R,Gender related,

Vulnerable Communities etc.

Thestaffdoesn’thaveunde

rstanding of social

safeguardlegislationsof

GoN

Thestaffdoesn’thaveunders

tandingof social safeguard

legislationsofGoN

Thestaffdoesn’thaveunder

standing of social

safeguardlegislationsof

GoN

The staff don’t

haveunderstanding of

social

safeguardlegislationsof

GoN

The staff don’t

haveunderstandingof

social

safeguardlegislationsof

GoN

The staff don’t

haveunderstanding of

social

safeguardlegislationsof

GoN

Understanding of World

Bank/ADB Policies/Experience

ofworkingwithanyoftheabove

Thestaffdoesnothave

understanding about

WorldBanks OPs/BPs

and other safeguard

Policiesof Multilateral

Agencies. However, few

of thestaff from social

cell were involved in

consultationandsocial

survey for Talchowk-

Begnas Lake roadin

theUGDP

The staffdonot have

understanding about

WorldBank’s OPs/BPs

and other

safeguardpolicies.

Thepresent

staffhaveneverworked in

anymultilateral agency

funded project

Thestaffdo nothave

understanding about

World Bank’s OPs/BPs

and

otherSafeguardpolicies.T

he presentstaff have

neverworked in any

multilateral agency

funded project

Thestaffdo nothave

understanding about

World Bank’s OPs/BPs

and

otherSafeguardpolicies.T

he presentstaff have

neverworked in any

multilateral agency

funded project

Thestaffdo nothave

understanding about

World Bank’s OPs/BPs

and othersafeguard

policies. However,

oneofthe staff was

engagedin review of

ESIA-ESMP prepared by

external consultantfor

UGDP (ADBfunded)-2

weekly market

development project

The staff do not have

understanding about

World Bank’s OPs/BPs

and

otherSafeguardpolicies.T

he presentstaff have

neverworked in any

multilateral agency

funded project

GeneralunderstandingofSocial

Issues pertainingto developmentof

infrastructure project

The staff hadbasic

understandingof key

social issues and impacts

pertaining todevelopment

of infrastructureproject

The staff had basic

understandingof key

social issues and impacts

pertaining todevelopment

of infrastructureproject

The staff hadbasic

understandingof key

social issues and impacts

pertaining

todevelopment of

infrastructureproject

The staff hadbasic

understandingof key

social issues and impacts

pertaining

todevelopment of

infrastructureproject

The staff hadbasic

understandingof key

social issues and impacts

pertaining

todevelopment of

infrastructureproject

The staff hadbasic

understandingof key

social issues and impacts

pertaining

todevelopment of

infrastructureproject Understanding of

LandAcquisition,R&R Process

Thepresent

staffhadbasicunderstandin

g ofLand Acquisition and

The present staff

hadbasicunderstandingofL

and Acquisition and

Thepresentstaffhadbasic

understanding ofLand

Acquisition and

Thepresentstaffhadbasicu

nderstandingofLand

Acquisition and

Thepresentstaffhad

basicunderstandingofLand

Acquisition and

Thepresentstaffhad

basicunderstandingofLand

Acquisition and

140

Parameters Pokhara Putalibazar Shuklagandaki Itahari Dhankuta S.Haraincha

R&R requirement.

However, theydid not

have detailed

understandingof the

process, entitlements and

other related activities.

R&R requirement.

However, theydidnot

have detailed

understandingof the

process, entitlements and

other related activities.

R&R requirement.

However, they did not

have detailed

understandingof the

process, entitlements and

other related activities

R&R requirement.

However, they did not

have detailed

understandingof the

process, entitlements and

other related activities.

R&R requirement.

However, they did not

have detailed

understandingof the

process, entitlements and

other related activities.

R&R requirement.

However, they did not

have detailed

understandingof the

process, entitlements and

other related activities.

Understanding of ESIA-

ESMPprocess

They hadunderstanding

about the purpose of

ESIA-

ESMP.However,they

have never

prepared/reviewed ESIA-

ESMP

They hadunderstanding

about the purpose of

ESIA- ESMP. However,

they have never

prepared/reviewed ESIA-

ESMP

Thestaffdidnothave

anyunderstanding on

ESIA-ESMP processes

and had neverworked

onpreparingthem.

They hadunderstanding

about the purpose of

ESIA-

ESMP.However,they

have never

prepared/reviewed ESIA-

ESMP

One of the staff

wasengaged in review of

ESIA-ESMP prepared

byexternal consultant

forUGDP(ADB funded)-

2weekly market

development project

They hadunderstanding

about the purpose of

ESIA-

ESMP.However,they

have never

prepared/reviewed ESIA-

ESMP

Role in StakeholderEngagement

Process

The social cell is

notinvolvedin stakeholder

engagement

processesfordevelopmento

fany infrastructureproject

The social cell is not

involved in stakeholder

engagement processes for

development of any

infrastructure project

The social cell is not

involved in stakeholder

engagement processes

for development of any

infrastructure project

The social cell is not

involved in stakeholder

engagement processes

for development of any

infrastructure project

The social cell is not

involved in stakeholder

engagement processes

for development of any

infrastructure project

The social cell is not

involved in stakeholder

engagement processes

for development of any

infrastructure project

Experience ofESMPImplementation

(at least in supervisory role)

Thepresentstaffofthesoci

al cell havenot been

involved in

ESMPimplementation

work of any project inthe

pastand hence donot

possessanysuch

experience.

The present staff of the

social cell have not been

involved in ESMP

implementation work of

any project in the past

and hence donot possess

any such experience.

The present staff of the

social cell have not been

involved in ESMP

implementation work of

any project in the past

and hence donot possess

any such experience.

The present staff of the

social cell have not been

involved in ESMP

implementation work of

any project in the past

and hence donot possess

any such experience.

The present staff of the

social cell have not been

involved in ESMP

implementation work of

any project in the past

and hence donot possess

any such experience.

The present staff of the

social cell have not been

involved in ESMP

implementation work of

any project in the past

and hence donot possess

any such experience.

Participation/Roleinresolving

socialgrievances

All grievances

aredirectly registered in

municipality and

arehandled by the

municipality’s judicial

committee (Nyayik

Samiti). Thesocial cell is

notinvolvedin this

process. Grievances can

also be submittedto the

CAO at Municipality

All grievancesincluding

environmental andsocial

issues are directly

registered in municipality

andare handled by

municipality’s judicial

committee (Nyayik

Samiti).The social cell

isnotinvolvedinthis

All grievancesincluding

environmental andsocial

issues are directly

registered in

municipality andare

handled by

municipality’s judicial

committee (Nyayik

Samiti). The social cell

isnotinvolvedinthis

All grievances

aredirectly registered in

municipality and

arehandled by

municipality’s judicial

committee (Nyayik

Samiti).Grievance can

also besubmittedto CAO

at Municipality level or

to Ward

All grievancesincluding

environmental andsocial

issues are directly

registered in

municipality andare

handled by

municipality’s judicial

committee (Nyayik

Samiti).

All grievancesincluding

environmental issues

are directly registered in

municipality and are

handled by

municipality’s judicial

committee (Nyayik

Samiti). The Disaster

Management Officer

(part of SocialCell)is

141

Parameters Pokhara Putalibazar Shuklagandaki Itahari Dhankuta S.Haraincha

level orto Ward

Chairman atWard Level

process.Grievances can

also be submittedto CAO

at Municipality levelor

toWard Chairman atWard

Level

process.Grievances can

also besubmittedto CAO

at Municipality level

ortoWard Chairman

atWard Level

Chairman at Ward

Level

Based on the nature of

grievance, the view of

Social.Cell is taken as

andwhen required.

Grievances can alsobe

submitted to the CAOat

the Municipality level or

to WardChairman at

Ward Level

part of Nyayik Samity

body. Basedon the nature

of grievance, the view of

Social Cell is taken as

andwhen required.

Grievances can also

besubmitted

toCAOatMunicipality

level orto Ward

Chairman atWard Level

142

Appendix H: Summary Environmental and Social Conditions in the Cluster Municipalities Basic Environmental and Social Conditions inthe Eastern and Western Cluster municipalities

Baseline Environment and Social information in the Eastern Cluster municipalities

Particulars Birtamod Damak Urlabari Sundar

Haraicha

Mechinagar Itahari Rajbiraj Triyuga Dhankuta

ULB Status Municipality Municipality Municipality Municipality Municipality Sub-

metropolitan

Municipality Municipality Municipality

District Jhapa Jhapa Morang Morang Jhapa Sunsari Saptari Udayapur Dhankuta

Population 92,575 87,637 122,803 80,562 176,153 173,312 72,106 87,557 36,619

Sex ratio (F:M) 1.07 1.13 1.14 1.10 1.10 1.11 0.95 1.12

1.13

Municipal area 7824 ha 7086 ha 7462 ha 9890 ha Total: 19261 ha Total: 9378 ha 5527 ha

54744 ha 11084 ha

Physiography Terai Terai Terai Terai Terai Terai Terai Terai Hill

Climatic Zone Tropical Tropical Tropical Tropical Tropical Tropical Tropical Tropical Sub-tropical

Land Use Agriculture

land: 87.05%

Barren:1.46%

Forest: 1.5%

Residential:

5.04%

Sand/

gravel/Boulders:

1%

Shrubland/

grassland: 0.6%

Agriculture

land: 70.32%

Barren: 4.2%

Forest: 7.2%

Residential: 9.35

%

Sand/

gravel/Boulders:

4.7%

Shrubland/

grassland:

4.33%

Agriculture

land: 77.8%

Barren: 7.2%

Forest: 0.9%

Residential:

5.02%

Sand/

gravel/Boulders:

7.8%

Shrubland/

grassland:

1.35%

Agriculture

land: 45.4%

Barren: 0.2%

Forest: 50%

Residential:

1.4%

Sand/

gravel/Boulders:

1.7

Shrubland/

grassland:

1.32%

Agriculture

land: 68.5%

Barren: 9%

Forest: 12.9%

Residential:

2.4%

Sand/

gravel/Boulders:

6.71%

Shrubland/

grassland:

0.52%

Agriculture

land: 72%

Barren:0%

Forest: 13.2%

Residential:

10.5%

Sand/

gravel/Boulders:

2.02%

Shrubland/

grassland: 2.3%

Agriculture

land: 83%

Barren:0%

Forest: 0%

Residential:

7.4%

Sand/

gravel/Boulders:

7.5%

Shrubland/

grassland: 2.3%

Agriculture

land: 13.17%

Barren: 0.6%

Forest: 80%

Residential:

0.2%

Sand/

gravel/Boulders:

5.3%

Shrubland/

grassland: 1.2%

Agriculture

land: 40%

Barren: 0.6%

Forest: 57%

Residential:

0.02%

Sand/

gravel/Boulders:

2.2%

Shrubland/

grassland:

0.27%

Key

municipality

services demand

Road

upgradation;

Drainage;

Solid waste

segregation and

disposal facility;

Increased access

to Water supply

(presently 57%

of the

population has

access to water

Road

upgradation;

Drainage

Upgradation of

urban roads with

drainage;

Solid waste

management;

Landfill site;

Water supply

(currently water

supply network

covers 40% area

of municipality);

Cold storage for

Urban Roads;

Demand of solid

waste

management

facility;

Water supply;

Drainage along

the roads

Urban Roads

and drainage

system;

Solid waste

management

system;

Water Supply

pipeline;

Treatment and

proper

management of

sewage;

Upgradation of

Urban Roads;

Solid Waste

management

and Water

supply pipelines

in rural wards;

Waste Water

treatment;

Parking space;

Public

Transport;

Urban Roads

and drainage

especially from

wards 1 and 9-

16;

Solid Waste

Management

facility for urban

area;

Water Supply

Urban Roads;

Water supply;

Public

transportation;

River protection

works

Drinking Water

Supply;

Drainage; solid

waste

management

and disposal

143

Particulars Birtamod Damak Urlabari Sundar

Haraicha

Mechinagar Itahari Rajbiraj Triyuga Dhankuta

supply

network);

Lack of

treatment and

proper

management of

sanitation;

Parking facility;

traffic

management

agriculture

products

Parking areas;

Better Traffic

management

River

embankment

Key

Environmental

issues

High iron

content in

ground water

Threat to Sal

trees; Dhanesh

Bird

Jaljale wetlands

need protection

blockage of

drainage system

(particularly in

ward no

1,5,8,13)

High iron

content in

ground water

Solid Waste

disposal on river

banks

Flooding in

Mawa, Bakraha,

Sunpakuwa

Khola- and land

cutting at places

High iron

content in

ground water

River bank

erosion

Flooding in

Mechi, Ninda,

Timai, Hadiya

High iron

content in

ground water

Lack of drainage

system &

contamination

of water through

effluent

discharge from

industries

Depletion of

water resources

Disposal of solid

waste on the

bank of rivers or

open field

High iron

content in

ground water

existing water

supply system

unable to cater

the demand of

water to

growing

population

Flooding in

Khado River

Depletion of

ground water

• Pollution due

to sewerage

disposal

Flooding

Deforestation in

southern part

Landslide prone

area in ward no

4,5,6,14,15,16

Threat to water

body due to

siltation

Depletion of

water sources

Social Baseline

Condition

Immigration rate

8-10%

Poverty 7-10%

Child marriage

in Tarai caste,

Muslim and

Adibasi group

Very High

Immigration (5-

7%)

Child marriage

in poor

communities

Limited threat to

Dhimal

community

Ward 3,4, 9 has

Poverty 20%

Child marriage

in Indigenous

group and Terai

caste group

Very High

Immigration

Poverty 10-12 %

Child marriage

in poor in

Chaudahry,

Dum, Jhangar,

Bantar and

Musar

communities

Poverty about

10%

Very High

Immigration (7-

9%)

Child Marrige in

Backward caste

like Tarai dalits,

Muslim and

Adibasi group

Khanar,

Budhikhola,

Very High

Immigration 1:5

in rural areas

Poverty 30-40%

Caste

discrimination

About 10%

woman has land

owner certificate

due to

Very High

Immigration

Limited illegal

mining issue

Some extent to

ethnic

communities

dependent on

fishing and

forest resources

Very High

Immigration

Aathpariya is

one of the

deprived

community

concentrated in

Ward no. 8

144

Particulars Birtamod Damak Urlabari Sundar

Haraicha

Mechinagar Itahari Rajbiraj Triyuga Dhankuta

Dhimal

community

dependent on

forest

Limited threat to

Dhimal

community

Ward 3,4, 9 has

Dhimal

community

dependent on

forest

Sunsari-Morang

Irrigation Canal.

There is

proposal to

construct 6 lane

road. Therefore,

there will be

requirement of

diverting canal

land at the

Tyandra Khola

government tax

incentive policy.

Child marriage

is also among

backward

communities;

Presence of

marginalized

vulnerable

group Musar

and dalits in

ward number

1,2,3,4,5,6,7,8,9,

10,11,12,13

Local

Governance

Tole committee

meetings happen

as per the need,

generally once a

month. On the

local issues;

especially

sanitation,

awareness and

so on. In

Municipality, 50

households have

1 tole

development

committee

They demand

development

plan and budget

to tole

development

committee

Project

identification as

a process.

Sometime, the

municipality

informed the

Effective

governance

system.

Municipality has

420 tole

committees.

Discussion as

per program and

other services

such as road

development,

women right,

child right, drug

issues

Meeting records

are recorded in a

written minute

format

Tole meetings

happen once a

month. On the

local issues;

especially

infrastructure

development

and upgrade;

livelihood

upliftment,

saving and

credit and so on

Project

identification as

a process.

Sometime, the

municipality

informed the

villagers about

the project.

Then they

discuss in tole

and then to

ward, and

municipality and

finally the

municipality

Effective

governance

system.

Municipality

Discussion as

per program and

other services

such as road

development,

Meeting records

are recorded in a

written minute

format

As per the need.

In the

municipality 40-

80 households

have one tole

development

committee.

Generally once a

month. On the

local issues;

especially

saniation,

awareness and

so on.

Project

identification as

a process.

Sometime, the

municipality

informed the

villagers about

the project.

Then they

discuss in tole

and then to

ward, and

municipality and

Effective

governance

system in older

municipal areas

whereas newly

added

municipalities

do not have tole

committees

Project

identification as

a process.

Sometime, the

municipality

informed the

villagers about

the project.

Then they

discuss in tole

and then to

ward, and

municipality and

finally the

municipality

assembly

approve the

project. Without

As per the need,

generally once a

month there is

tole committee

meetings.

Discuss on the

local issues;

especially

infrastructure

development

like drainage

and widening of

existing road

There are 113

tole committee

in the

municipality but

only few are

active and the

large numbers

are inactive

Project

identification as

a process.

Sometime, the

municipality

informed the

Effective

governance

system.

Municipality

Discussion on

project demands

and progress of

ongoing projects

Meeting records

are recorded in a

written minute

format

No major

dispute has

come up, If any,

it will be

resolved through

negotiation; and

provision of

Justice

committee in

Municipality

Effective Tole

system

Discussion as

per program and

other services

such as road

development

Meeting records

are recorded in a

written minute

format

There are 7

steps in planning

process where

public

participation is

ensured

Small disputes

get resolved at

tole committee

level,

municipality

also has Justice

Committee

145

Particulars Birtamod Damak Urlabari Sundar

Haraicha

Mechinagar Itahari Rajbiraj Triyuga Dhankuta

villagers about

the project.

Then they

discuss in tole

and then to

ward, and

municipality and

finally the

municipality

assembly

approve the

project. Without

women and

dalits

participation

project will not

be approved.

assembly

approve the

project. Without

women and

dalits

participation

project will not

be approved.

We follow the

government

policy regarding

the participation

of women and

dalits.

finally the

municipality

assembly

approve the

project. Without

women and

dalits

participation

project will not

be approved.

We follow the

government rule

regarding the

participation of

women and

dalits.

women and

dalits

participation

project will not

be approved.

We follow the

government

policy regarding

the participation

of women and

dalits.

villagers about

the project

through FM.

Then they

discuss in tole

and then to

ward, and

municipality and

finally the

municipality

assembly

approve the

project. Without

women and

dalits

participation

project will not

be approved.

We follow the

government rule

regarding the

participation of

women and

dalits. In each

committee 33%

is women. And

Dalits are also in

committee as

per the GoN

rule.

Availability of

updated

cadastral maps

Updation of

cadastral map is

under process

Cadastral maps

updated almost

entire

municipality (2

wards

remaining)

Cadastral Maps

are not updated.

Cadastral Maps

are updated.

Survey is under

process towards

updating

cadastral maps

Cadastral Maps

are updated.

There is some

confusion about

the extent of

jurisdiction. GIS

Map shows the

land belongs to

Dharan

Cadastral Maps

are not updated.

Updation of

cadastral map is

under process

Cadastral Maps

are not updated.

146

Particulars Birtamod Damak Urlabari Sundar

Haraicha

Mechinagar Itahari Rajbiraj Triyuga Dhankuta

Municipality,

however the

land has been

traditionally

used by Itahari

Sub-

metropolitan

city

Forest Areas One Community

Forest namely

sundarnicha

Jhoda managed

by user group

Community

Forest and

National Forest

present in the

municipality

300-400 ha

Forest Land in

municipality.

Presence of 8

community

forest and 1

collaborative

forest

17 % areas in

municipality is

forest.

7 Community

Forest and 2

collaborative

forest

13 Community

Forests managed

by user groups

Three

Community

Forests in the

municipality

namely

Saraswati,

Hanspokhari

and Santinagar

managed by

User groups

- Community

Forest and

National Forest

in the

municipality

Community

Forest and

National Forest

in the

municipality

Protected

Area/Ramsar

Site

No No No No Chure -

Environmental

Protected Area

No No Chure -

Environmental

Protected Area

No

Source: Stakeholder consultation at Municipalities, Municipality Profiles. This data is based on the available data.

Baseline Information of Western Cluster municipalities (partial)

Baseline Information of Western Cluster municipalities

Particulars Pokhara Leknath Vyas Putalibazar Baglung Tansen Ramgram Tilottama Shuklagandaki

ULB Status Metropolitan Municipality Municipality Municipality Municipality Municipality Municipality Municipality

District Kaski Tanahun Syangia Baglung Palpa Parasi Rupandehi Tanahun

Population 444,936

81,277 70,277

59,919 51,419

62,698

100,149

39,462

Sex ratio 1.10

1.25 1.29

1.24

1.21

1.04

1.12

1.18

Municipal area 46423 ha 24733 ha 14721 ha 9890 ha

10980 ha 9386 ha 12619 ha

147

Particulars Pokhara Leknath Vyas Putalibazar Baglung Tansen Ramgram Tilottama Shuklagandaki

Physiography Hill Hill Hill Hill Hill Terai Terai Hill

Climatic Zone Predominantly

subtropical and

tropical

Tropical Tropical and Sub-

tropical

Tropical Predominantly

subtropical

Tropical Tropical Tropical

Land Use Agriculture land:

40.29%

Barren: 0.63%

Forest: 46%

Residential: 8%

Sand/

gravel/Boulders:

4.5%

Shrubland/

grassland: 0.5%

Agriculture land:

36.4%

Barren: 0.11%

Forest: 57.5%

Residential:

0.32%

Sand/

gravel/Boulders:

3%

Shrubland/

grassland: 2.8%

Agriculture land: 48%

Barren: 0.02%

Forest: 50%

Residential: 1.4%

Sand/ gravel/Boulders:

1.8%

Shrubland/ grassland:

1.32%

Agriculture land:

45.4%

Barren: 0.2%

Forest: 50%

Residential:

1.4%

Sand/

gravel/Boulders:

1.7

Shrubland/

grassland: 1.32%

Agriculture land:

58.4%

Barren: 0.7%

Forest: 36%

Residential: 2.8%

Sand/

gravel/Boulders:

1.8%

Shrubland/

grassland: 0.4%

Agriculture land:

90.5%

Barren: 0.72%

Forest: 0.1%

Residential:

3.4%

Sand/

gravel/Boulders:

2.71%

Shrubland/

grassland: 2.45%

Agriculture land:

69.48%

Barren: 0.4%

Forest: 10%

Residential: 15%

Sand/

gravel/Boulders:

2.1%

Shrubland/

grassland: 3.5%

Key municipality

services demanded • Road

Upgradation

• Solid waste

management in

rural wards

• Water supply in

rural wards

• Drainage along

the roads

• Public

Transportation

• Solid waste

management

facility (

especially for

6 to 14

wards)

• Solid waste

management

• Water supply

(lacking in

wards 1,4,5)

• Road

upgradation

and drainage

Road upgradation;

Drainage

Management;

Safe and pure drinking

water

• Urban roads

and drainage

• Safe and pure

drinking water,

• Sewage

management

• Urban roads

and drainage

• Solid waste

collection.

Segregation and

disposal

• Sewage

management

• Drinking water

suuply

• Bus Terminal

• Road

upgrade;

• Drainage

Management

• Solid waste

management

• Water supply

• Transportatio

n in rural

wards

• Road upgrade;

• Drainage

Management

• solid waste

management,

• water supply

• Road

upgradation

• Drainage

Management,

• safe drinking

water,

• solid waste

management

Key

Environmental

issues

Flooding in Seti

and Mardi River • Flooding in

Madi & Seti

River

• Water

pollution in

some

stretches

• Flooding in Aandhi

khola, sumrekhola,

bodikhola, ringi

khola

• Water Pollution

and siltation

especially during

rainy season

During rainy

season there is

problem of

flooding, water

pollution,

siltation,

landslide

During rainy

season there is

problem of

flooding, water

pollution,

siltation,

landslide in

nearby areas of

• Flooding in

Tinahu river

• Water

pollution in

dug wells

• Flooding in

Tinahu river

• Water pollution

in dug wells

• Flooding in the

rivers and

siltation in rainy

season

• River pollution

from crusher

plants located

near the river

148

Particulars Pokhara Leknath Vyas Putalibazar Baglung Tansen Ramgram Tilottama Shuklagandaki

Aandhi khola,

sumrekhola,

bodikhola, ringi

khola

Key social issues - Poverty rate

20%

Poverty rate 25% Poverty rate

35%

Poverty rate 15% Immigration

from hilly region

and rural wards

Poverty rate

30%

Poverty rate of

15%

Poverty rate 20%

Local Governance

Level • As per law,

project

identification

starts from tole

committee

andthe demand

is forwarded to

wards and

Municipality

Council

approves the

program

• One Judicial

Committee is

at municipality

to take action

on public

complaints.

• A Cell is there

to register

gender based

grievances and

take necessary

action on that

• Tole

meetings are

conducted

once in a

month

• there are 235

tole

committee in

the

municipality

• Tole

committees

are the

lowest level

unit =for

project

identificatio

and also

works for

implementati

on

• One Judicial

Committee

is there at

municipality

to take

action on

public

complaints

• 120 Tole

committee are

there in the

municipality

• Issues like need for

road development,

women right, child

right etc. are

discussed

• Tole committees

are the lowest

level unit for

project

identification and

also works for

implementation

• Municipality plays

roles to address

these issues

• 80 Tole

committee are

there in the

municipality

• Issues like

road

development,

women right,

child right,

sanitation etc.

are discussed

• Tole

committees are

the lowest

level unit for

project

identification

and also works

for

implementatio

n

•

• 100 Tole

committee are

there in the

municipality

• Issues like road

development,

women right,

child right,

sanitation etc.

are discussed

• Tole

committees are

the lowest level

unit for project

identification

and also works

for

implementation

• One Judicial

Committee is

there at

municipality to

take action on

public

complaints

• Tole

meetings

once in a

month

• 235 Tole

committee

are there in

the

municipality

• Issues like

road

development,

women right,

child right,

sanitation etc.

are discussed

As per law, project

identification starts

from tole

committee and the

demand is

forwarded to wards

and Municipality.

Municipality

Council approves

the program

As per law, project

identification starts

from tole

committee and the

demand is

forwarded to wards

and Municipality.

Municipality

Council approves

the program

149

Particulars Pokhara Leknath Vyas Putalibazar Baglung Tansen Ramgram Tilottama Shuklagandaki

Forest Areas • Community

Forest and

National Forest

present in the

municipality

• Community

Forest and

National

Forest

present in the

municipality

• Community Forest

and National

Forest present in

the municipality

• Community

Forest and

National

Forest

present in the

municipality

• Community

Forest and

National

Forest present

in the

municipality

• Community

Forest and

National Forest

present in the

municipality

• Community

Forest and

National Forest

present in the

municipality

Protected

Area/Ramsar Site • Ramsar Site-

Lake Cluster of

Pokhara Valley

• Municipality

boundary

overlaps with

southern part’s

Annapurna

Conservation

Area

No No No No No No No

Source: Stakeholder consultation at Municipalities, Municipality Profiles, This data is based on the available data.

150

Appendix I: Summary Information on the Type of Baseline Indicators

Description of Environmental Baseline Information Required for Road Project

Environmental

Components/Concerns Baseline Information Source (Primary / Secondary)

Physical Environment

Geography Geographical information of Project Area

Location, physiography, geology, slope and elevation, drainage pattern, seismology, topography, landslide prone zones, flood

plain and contour map.

Secondary

Weather and

Climatology

Long term climatological profile of the project area

Temperature (max/min), precipitation

Secondary

Land Use Land Use pattern of immediate zone of Impact and Project Influence Area (PIA)

Cadastral map/land ownership document/record [only for new road] for immediate Zone of Impact and topographic and GIS

map for of PIA

Secondary

Ambient Air Ambient Air Quality (at highest traffic volume area and closest recipient at the interval of 10km)

• Level of PM10, PM2.5, CO, SO2, NOx

• Inventory of sensitive receptors like school, college, and hospital in the vicinity of the project area

•

Primary in case of site specific

secondary data of present time is

not available

Ambient Noise Ambient Noise Level (at highest traffic volume area and closest recipient at the interval of 10km), if primary data to be

generated.

• Day and night time Noise Levels

• Inventory of sensitive receptors like school, college, and hospital in the vicinity of the project area

• Inventory of major noise generating sources/industries in PIA

Primary in case of site specific

secondary data of present time is

not available

Water Information on ground and surface water resources (only in new road construction)

• Information of surface water resources in the PIA including tentative quantity, use and its distance from project site

• Information on hydrogeology and availability of groundwater table(upto 10 m. below the road surface)

Secondary-Hydrogeology and

ground water availability

Primary- quality monitoring and

inventory of surface water

resources

Soil Nature of soil in the RoW

• Soil profile

Nature of soil and fertility in the

RoW Secondary

Soil Quality- Secondary (DPR)

Natural Hazard Natural Hazard Threat

• Records on natural calamity like earthquake, flood, , drought, famine, etc. in the project area supported with local

consultation

Secondary

Debris Disposal Site Identification of Debris Disposal Site, mainly for new alignment.

Tentative site for disposal of dismantled/construction debris may be identified, if scarifying is expected.

Secondary

Quarry Sites and

Borrow Areas

Identification of Licensed Quarry Sites and Borrow Areas

Probable Borrow Areas and Quarry sites to be used in the sub project should be listed out with lead distance and mode of

Secondary

151

Description of Environmental Baseline Information Required for the Water Supply Project

transportation

Biological Environment

Felling of Trees and

Clearance of Vegetation

Cover

Trees falling within direct impact zone

• Listing with coordinate of species, girth size of trees and poles within RoW

• Information of endemic, endangered, medicinal, protected species in 50 meter from road edge

• Information on offset areas for compensation plantation

• List ofProtected Tree Species in RoW

Primary

Forest Area Forest within the proposed RoW

• Legal status of forest land

• Block/Compartment Number of the forest area concerned

• Extent of Forest area to be acquired

• Delineation of affected forest area on map (cadastral map preferably)

• Threat to associated biodiversity (flora and fauna)

• Information of endemic, endangered, medicinal, protected species (flora and fauna)

Primary and Secondary

Protected

Area/Ecologically

Sensitive Areas/

Ramsar Sites/Important

Bird Areas

Protected Area/Ecologically Sensitive Areas/ Ramsar Sites/Important Bird Areas in PIA

• Information on presence of Protected Area (National Parks, Wildlife Reserve, Hunting Reserve, Conservation Areas,

Buffer Zones) / site of ecological importance like nesting, breeding ground, important bird areas, Ramsar sites,

wildlife corridor/migration route, forest areas, any site of national/international importance etc. within PIA.

Information should include GIS map showing distance of protected area site from the road alignment, its ecological

condition and biodiversity

Primary and Secondary

Biodiversity Floral and faunal community of PIA

• Floral and faunal community of PIA

• Biodiversity of aquatic system

• Endangered/Vulnerable/rare/critically endangered species as per IUCN red list

• record of local extinction of any species or declining species (population decreasing day by day

Secondary information through

stakeholder consultation, literature study

followed by primary survey

Environmental

Components/Concerns

Baseline Information Source (Primary / Secondary)

Physical Environment

Geography Geographical information of project area

Location, physiography, geology, slope and elevation, drainage pattern, seismology, topography, landslide prone zones,

flood plain.

Contour map, flood passages and information on high levels flood periodicity as available data

Secondary

Weather and

Climatology

Long term climatological profileof the project area

Temperature (max/min), precipitation, , record of natural calamity

Secondary

152

Land Use Land Use pattern of Impact area including service areas and Project Influence Area (PIA)

Cadastral map/land ownership document/record of RoW and topographic and GIS maps of PIA

Secondary

Ambient Air Baseline condition of Ambient Air Quality

Primary in case of site specific secondary

data of present time is not available

Ambient Noise Baseline condition of Ambient Noise Level through primary 24hr Monitoring

• Day and night time noise level

• Inventory of sensitive receptors like school, college, hospital etc. in the immediate impact area

Primary in case of site specific secondary

data of present time is not available

Water Information on ground water and surface water resources

• Surface water resources in the PIA including tentative capacity, use and its distance from project site

• Information on Ground water table

• Ground and surface water quality of the PIA, ( if t is to be used as source)

Secondary-Hydrogeology and ground

water availability

Primary- Quality monitoring and

inventory of Surface water resources

Soil Nature of soil

• Nature and type of soil

Nature of soil and fertility in the PIA-

Secondary

Soil Quality-Secondary

Natural Hazard Threat from Natural Hazard

• Records on natural calamity like earthquake, flood, , drought, famine, epidemic, wildfire etc. in the project area

supported with local consultation

• Land slide prone /geologically unstable slope areas with respect to GPS Coordinate

Secondary

Debris Disposal Site Identification of debris disposal site, if the pipe to be laid is more than 500 mm diameter

Tentative site for disposal of dismantled/construction debris may be identified

Secondary

Biological Environment

Felling of Trees and

clearance of Vegetation

Cover

Trees falling within Raw of road

• Listing of species, girth size of affected trees and poles with location

• Information of endemic, endangered, medicinal, protected species

• List of affected protected tree species

Primary

Forest Area Acquisition of forest land for the project

• Legal status of forest land proposed for acquisition

• Block/compartment number of the area concerned

• Extent of Forest area to be acquired

• Delineation of affected forest area on map (Cadastral Map preferably)

• Threat to associated biodiversity (flora and fauna)

• Information of endemic, endangered, medicinal, protected species (flora and fauna)

Primary and Secondary

Protected

Area/Ecologically

Sensitive Areas/

Ramsar Sites/Important

Ecological condition of PIA

• Information on presence of Protected Area (National Parks, Wildlife Reserve, Hunting Reserve, Conservation Areas,

Buffer Zones) / site of ecological importance like nesting, breeding ground, Important Bird Areas, Ramsar Sites,

Wildlife Corridor/Migration Route, Forest Areas, any site of national/international importance etc. within PIA.

Secondary

153

Description of Environmental Baseline Information required for Wastewater ManegementProject

Bird Areas Information should include GIS Map showing distance of Protected Area site from project site, its ecological

condition and biodiversity

• Record of local extinction of any species or declining species (population decreasing day by day)

Biodiversity Floral & Faunal Community of PIA

• Floral and faunal community of PIA

• Biodiversity of aquatic system in case its within PIA

• Endangered/vulnerable/rare/critically endangered species as per IUCN red list

Secondary information through

stakeholder consultation, literature study

followed by primary survey

Environmental

Components/Concerns

Baseline Information Source (Primary / Secondary)

Physical Environment

Geography Geographical information of Project Area

Location, physiography, geology, slope and elevation, drainage pattern, , topography, landslide prone zones, flood plain

and river morphology.

Contour map, drainage, flood passages and information on high levels flood periodicity of available data

Secondary

Weather and

Climatology

Long term climatological profile of the project area

Temperature (max/min), precipitation, wind direction at the treatment site, wind speed, cloud cover, humidity, record of

natural calamity

Secondary

Land Use Land Use pattern of immediate zone of Impact and Project Influence Area (PIA) around the treatment site.

Cadastral Map/Land Ownership document/Record for immediate Zone of Impact by treatment site&Topographic and

GIS maps for Project Influence Area (PIA)

Secondary

Ambient Air Baseline condition of Ambient Air Quality at treatment site

• Level of CO2, SO2, NOxInventory of sensitive receptors like school, college, hospital etc. in the vicinity of the

treatment site

Primary in case of site specific secondary

data of present time is not available

Ambient Noise Baseline condition of Ambient Noise Level in receipants close to project foot prints through primary Monitoring

Day and night time noise level

• Inventory of sensitive receptors like school, college, and hospital in the vicinity of the project area

Primary in case of site specific secondary

data of present time is not available

Water Information on ground water and surface water resources

• Inventory surface water resources in the PIA including tentative capacity, use and its distance from project site

• Information on hydrogeology at the treatment site

•

Secondary-Hydrogeology

Primary- Quality monitoring and

inventory of Surface water resources

Soil Nature of soil Nature and type of soil

• Soil profile

Nature of soil and fertility in the PIA-

Secondary

154

Description of Environmental Baseline Information required for Solid Waste Management Project

Soil Quality- Secondary (DPR)

Natural Hazard Threat from Natural Hazard

• Records on natural calamity like flood, , epidemic, etc. in the project area supported with local consultation

• Land slide prone /geologically unstable slope areas with respect to GPS Coordinate

Secondary

Debris Disposal Site Identification of Debris Disposal Site, if the conveyance size is more than 0.25 sq.m.

Tentative site for disposal of dismantled/construction debris may be identified

Secondary (to be validated through

stakeholder consultation)

Biological Environment

Felling of Trees and

clearance of Vegetation

Cover

Trees falling within direct impact zone [construction site]

• Listing of Species, Girth size of affected Trees & Poles with respect to GPS Coordinates

• Information of Endemic, Endangered, Medicinal, Protected species

• Details of affected protected tree species

Primary

Forest Area Acquisition of forest land for the project

• Legal status of forest land proposed for acquisition

• Block/Survey/Compartment No. of the area concerned

• Extent of Forest area to be acquired

• Delineation of affected forest area on map (Cadastral Map preferably)

• Threat to associated biodiversity (Flora & Fauna)

• Information of Endemic, Endangered, Medicinal, Protected species (Flora & Fauna)

Primary and Secondary

Protected

Area/Ecologically

Sensitive Areas/

Ramsar Sites/Important

Bird Areas

Ecological condition of treatment site

• Information on presence of Protected Area (National Parks, Wildlife Reserve, Hunting Reserve, Conservation Areas,

Buffer Zones) / site of ecological importance like nesting, breeding ground, Important Bird Areas, Ramsar Sites,

Forest Areas, any site of national/international importance etc. within PIA. Information should include GIS Map

showing distance of Protected area site from project site, its ecological condition and biodiversity

Secondary

Biodiversity Floral and faunal community of PIA

• Floral and faunal (community of PIA

• Biodiversity of aquatic system in case its within PIA

• Endangered/vulnerable/rare/critically endangered species as per IUCN red list

Secondary information through

stakeholder consultation, literature

study followed by primary survey

Record of communicable

diseases

Collect data on communicable diseases in an around proposed treatment plant Secondary information

Environmental

Components/Concerns

Baseline Information Source (Primary / Secondary)

Physical Environment

Geography Geographical information of Project Area

Location, physiography, geology, slope and elevation, drainage pattern, seismology, topography, landslide prone

Secondary

155

zones, flood plain and river morphology.

Contour map, , flood passages and information on high levels flood periodicity of maximum available data

Weather and Climatology Long term climatological profile of the project area

Temperature (max/min), precipitation, wind direction, wind speed, cloud cover, humidity, record of natural calamity

Secondary

Land Use Land Use pattern of immediate zone of Impact and Project Influence Area (PIA) around the Sanitary

Management Site and route from transshipment site

Cadastral map/land ownership document/record of around the Sanitary management site and 50 m on both sides from

the transshipment routeand topographic and GIS maps for Project Influence Area (PIA)

Secondary

Ambient Air

Baseline condition of Ambient Air Qualityat proposed Sanitary management site

• Level of PM10, PM2.5, CO2, SOx, NOx, HC

• Indicators for odour, communicable dieses and vectors like moscutoes and fliees be added

• Inventory of sensitive receptors like school, college, hospital etc. in the vicinity of the project area

Primary in case of site specific

secondary data of present time is

not available

Ambient Noise

• Noise measurement at nearest receptor Primary in case of site specific

secondary data of present time is

not available

Water Information on ground water and surface water resources at and downstream of the sanitary management site.

• Inventory Surface Water resources including tentative quantity, use and its distance from project site

Quality of Ground and Surface Water at the sanitary management site through primary monitoring

Secondary-Hydrogeology

Primary- Quality monitoring and

inventorization of Surface water

resources

Soil • Nature and type of soil

• Soil profile

Nature of soil and fertility in the

PIA- Secondary

Soil Quality-Primary

Natural Hazard Threat from Natural Hazard

• Records on natural calamity like flood, epidemic, wildfire etc. in the Sanitary management area supported with

local consultation

• Land slide prone /geologically unstable slope areas near the Sanitary Management Sitewith respect to GPS

Coordinate

Secondary

Biological Environment

Felling of Trees and clearance

of Vegetation Cover

Trees falling within direct impact zone Sanitary management site and transshipment route

• Listing of Species, Girth size of affected Trees & Poles with respect to GPS Coordinates

• Information of Endemic, Endangered, Medicinal, Protected species

• Information on offset areas for tree plantation

• List of affected Protected Tree Species

Primary

Forest Area Acquisition of forest land for the project

• Legal status of forest land proposed for acquisition

• Block/Survey/Compartment No. of the area concerned

• Extent of Forest area to be acquired

• Delineation of affected forest area on map (Cadastral Map preferably)

• Threat to associated biodiversity (Flora & Fauna)

Primary and Secondary

156

Description of Environmental Baseline Information required for Stormwater Drainage Project

• Information of Endemic, Endangered, Medicinal, Protected species (Flora & Fauna)

Protected Area/Ecologically

Sensitive Areas/ Ramsar

Sites/Important Bird Areas

Ecological condition of PIA

• Information on presence of Protected Area (National Parks, Wildlife Reserve, Hunting Reserve, Conservation

Areas, Buffer Zones) / site of ecological importance like nesting, breeding ground, Important Bird Areas, Ramsar

Sites, Wildlife Corridor/Migration Route, Forest Areas, any site of national/international importance etc. within

PIA. Information should include GIS Map showing distance of Protected area site from project site, its ecological

condition and biodiversity

• record of local extinction of any species or declining species (population decreasing day by day)

In case proposed land fill site is located within PIA, a detailed ecological assessment may be undertaken. The study

should cover biological diversity, species richness of the area; seasonal, Diurnal and nocturnal movement of wildlife

towards project site; probable threat from proposed project and suggested mitigation in consultation with concerned

stakeholders

Primary and Secondary

Biodiversity Floral & Faunal community of PIA

• Floral and faunal community of PIA

• Biodiversity of aquatic system in case its within PIA and 200 m downstream where treated latchet and accidental

seepage will merge.

• Endangered/Vulnerable/rare/critically endangered species as per IUCN red list

• occurrence of Protected Species in PIA

Secondary information through

stakeholder consultation, literature

study followed by primary survey

Environmental

Components/Concerns

Baseline Information Source (Primary / Secondary)

Physical Environment

Geography Geographical information of Project Area

Location, Physiography, Geology, Slope & Elevation, Drainage Pattern, seismology, topography, landslide prone

zones, Flood plain & River Morphology.

Contour map, details of micro drainage, flood passages and information on high levels flood periodicity at least of last

50 years in the area

Secondary

Weather and Climatology Long term climatological profileof the project area

Temperature (Max/Min), Precipitation, record of natural calamity

Secondary

Land Use Land Use pattern of Project Influence Area (PIA) [Cadastral Map/Land Ownership document/Record for

immediate Zone of Impact & Topo Sheet and GIS Map for Project Influence Area (PIA)

Details of wetland and water log area, even if they are seasonal.

Secondary

Ambient Air Baseline condition of Ambient Air Quality [Level of PM10, PM2.5

• Inventory of sensitive receptors like school, college, hospital etc. in the vicinity of the project area

Primary in case of site specific

secondary data of present time is

not available

Ambient Noise Baseline condition of Ambient Noise Level through primary Monitoring [How does it relate? Primary in case of site specific

secondary data of present time is

not available

Water Information on ground water and surface water resources Secondary-Hydrogeology

157

• Inventory Surface Water resources in the PIA including tentative capacity, use and its distance from project site

Quality of Ground and Surface Water of the PIA through primary monitoring

Primary- Quality monitoring and

inventorization of Surface water

resources

Soil Nature of soil and fertility in the PIA

Nature and type of soil

• Soil profile

Nature of soil and fertility in the

PIA- Secondary

Soil Quality-Primary

Natural Hazard Threat from Natural Hazard

• Records on natural calamity like flood, drought, famine, epidemic, etc. in the project area supported with local

consultation

• Land slide prone /geologically unstable slope areas with respect to GPS Coordinate

• Prevalence of water born dieses especially mosquito vectored.

Secondary

Debris Disposal Site Identification of Debris Disposal Site

Tentative site for disposal of dismantled/construction debris may be identified

Secondary (to be validated through

stakeholder consultation)

Biological Environment

Felling of Trees and clearance

of Vegetation Cover

Trees falling within construction area.

• Listing of Species, Girth size of affected Trees & Poles with respect to GPS Coordinates

• Information of Endemic, Endangered, Medicinal, Protected species

• List of affected Protected Species of trees

Primary and secondary

Forest Area Acquisition of forest land for the project

• Extent of Forest area to be acquired (including Legal status of forest land,Block/Survey/Compartment No. of the

area concerned)

• Delineation of affected forest area on map (Cadastral Map preferably)

• Threat to associated biodiversity (Flora & Fauna)

• Information of Endemic, Endangered, Medicinal, Protected species (Flora & Fauna)

Primary and Secondary

Protected Area/Ecologically

Sensitive Areas/ Ramsar

Sites/Important Bird Areas

Ecological condition along the drain site

• Information on presence of Protected Area (National Parks, Wildlife Reserve, Hunting Reserve, Conservation

Areas, Buffer Zones) / site of ecological importance like nesting, breeding ground, Ramsar Sites and other wetland

and seasonal water logged area, Wildlife Corridor/Migration Route, Forest Areas, any site of national/international

importance etc. around the intervention (especially construction and diversion) site. Information should include GIS

Map showing distance of Protected area site from project site, its ecological condition and biodiversity

Secondary

information through stakeholder

consultation,

Biodiversity Floral & Faunal

Secondary information through

stakeholder consultation,

158

Appendix J: List of Ineligible Sub-Projects

Road sector

• New roads, road rehabilitation, road-surfacing or track upgrading of any kind inside critical natural habitats, forests, environmentally sensitive areas, protected areas (National Parks,

Wildlife Reserve, Hunting Reserve, Conservation Areas etc.), significant biodiversity and/or protected conservation zones

• Projects that may cause, or have the potential to result in permanent and/or significant damage to non-replicable cultural property, irreplaceable cultural relics, historical buildings and/or

archaeological sites

• Projects that may significantly convert or provide access into critical natural habitats or negatively affect rare or endangered species and their natural habitats

• New road construction that may cause habitat fragmentation and impact the wildlife corridors

• The projects that may result in large-scale involuntary land acquisition or significant physical displacement of affected communities or relocation of Indigenous Peoples that would restrict

or cease their access to traditional lands or resources

• Projects that does not meet minimum design standards with poor design or construction quality, particularly if located in vulnerable areas

Water supply

• Greenfield water supply projects: Projects involving withdrawal of surface water which may have a significantly reduce and create negative impacts13 on the quality, quantity and velocity of

the environmental flows that would affect the physical and ecological conditions, biodiversity (terrestrial and aquatic life) and ecosystem services of the surface water course at any point in

the water channel and its tributaries (from upstream, midstream and downstream).

• Brownfield water supply projects: Projects which result in the increased demand from the existing water source and if the watershed or aquifer feeding this source is not sufficient to meet

the increased demand14.

• Projects that will adversely affect the water supply and livelihoods of the communities in the project’s area of influence

• Projects which may result in abstraction of ground water in ground water stressed areas

• Projects that pass through critical natural habitats, forests, environmentally sensitive areas, significant biodiversity and/or protected conservation zones, protected areas (National Parks,

Wildlife Reserve, Hunting Reserve, Conservation Areas etc.)

• Projects that may cause, or have the potential to result in, permanent and/or significantly damage to non-replicable cultural property, irreplaceable cultural relics, historical buildings and/or

archaeological sites

• The projects that will result in large-scale involuntary land acquisition or significant physical displacement of affected communities, or relocation of Indigenous Peoples that would restrict

or cease their access to traditional lands or resources

• If the project would rely on the performance of an existing dam. The large dam (with a height of more than 15 m) triggers dam safety due diligence process and OP 4.37

Wastewater

13 To be assessed through detailed study of water availability, ecological assessment, assessment of permissible volume of water 14 To be assessed by determination of a water balance of the location of the water source and the demand from the existing water supply network and any informal extraction from deep wells,

shallow wells etc. to ensure that the replenishment rate in the water source is greater than the extraction rate of the water

159

• Treatment plant and effluent discharge is located/proposed to be located in critical natural habitats, forests, environmentally sensitive areas, significant biodiversity and/or protected

conservation zones, protected areas (National Parks, Wildlife Reserve, Hunting Reserve, Conservation Areas etc.) and environmentally fragile areas

• Projects that will cause, or have the potential to result in, permanent and/or significantly damage to non-replicable cultural property, irreplaceable cultural relics, historical buildings and/or

archaeological sites

• Projects that will adversely affect the water supply and livelihoods of the communities in the project’s area of influence

• The projects that will result in large-scale involuntary land acquisition or significant physical displacement of affected communities or relocation of Indigenous Peoples that would restrict or

cease their access to traditional lands or resources;

• Construction of wastewater treatment plant which receives industrial or hazardous influent without any pre-treatment to ensure that any incoming wastewater will not upset the designed

treatment process

Solid waste management

• Construction of a new landfill near a surface water body or aquifer, with the possibility of untreated leachate draining or contaminating any source of water supply, surface water or

groundwater resource or communities in the project’s area of influence

• Landfill site is proposed to be located in critical natural habitats, forests, environmentally sensitive areas, significant biodiversity and/or protected conservation zones, protected areas

(National Parks, Wildlife Reserve, Hunting Reserve, Conservation Areas etc.) and environmentally fragile area

• Construction of new landfill disposal site which may result in large-scale involuntary land acquisition or significant physical displacement of affected communities or relocation of

Indigenous Peoples that would restrict or cease their access to traditional lands or resources

• Waste to Energy projects with the installed capacity of greater than 25 MW or lower capacities with no air pollution control device or residual waste treatment process

• Projects involving management of significant quantities of toxic waste – toxic waste is defined as waste containing chemicals or materials that are capable of causing injury/death to life

having poisonous, radioactive, explosive, carcinogenic, mutagenic or teratogenic properties.

Storm water drainage system

• Storm water drainage network development or upgradation along new roads or existing roads inside critical natural habitats, forests, environmentally sensitive areas, protected areas

(National Parks, Wildlife Reserve, Hunting Reserve, Conservation Areas etc.), significant biodiversity and/or protected conservation zones

• Projects that would curtail, divert or reduce the environmental flows of surface water courses away from sources of water supply, agricultural lands or important water resources

• Storm water drainage projects resulting in the siltation or contamination of any surface water or groundwater resource or communities in the project’s area of influence

• Storm water drainage projects along New road construction that may cause habitat fragmentation and impact the wildlife corridors

0

Appendix K: COVID-19 considerations in construction/civil works projects

ESF/SAFEGUARDS INTERIM NOTE: COVID-19 CONSIDERATIONS IN

CONSTRUCTION/CIVIL WORKS PROJECTS

This note was issued on April 7, 2020 and includes links to the latest guidance as of this date (e.g. from WHO).

Given the COVID-19 situation is rapidly evolving, when using this note it is important to check whether any updates

to these external resources have been issued.

1. INTRODUCTION

The COVID-19 pandemic presents Governments with unprecedented challenges. Addressing COVID-19 related issues

in both existing and new operations starts with recognizing that this is not business as usual and that circumstances

require a highly adaptive responsive management design to avoid, minimize and manage what may be a rapidly

evolving situation. In many cases, we will ask Borrowers to use reasonable efforts in the circumstances, recognizing

that what may be possible today may be different next week (both positively, because more supplies and guidance may

be available, and negatively, because the spread of the virus may have accelerated).

This interim note is intended to provide guidance to teams on how to support Borrowers in addressing key issues

associated with COVID-19 and consolidates the advice that has already been provided over the past month. As such, it

should be used in place of other guidance that has been provided to date. This note will be developed as the global

situation and the Bank’s learning (and that of others) develops. This is not a time when ‘one size fits all’. More than

ever, teams will need to work with Borrowers and projects to understand the activities being carried out and the risks

that these activities may entail. Support will be needed in designing mitigation measures that are implementable in the

context of the project. These measures will need to take into account the capacity of the Government agencies,

availability of supplies and the practical challenges of operations on-the-ground, including stakeholder engagement,

supervision and monitoring. In many circumstances, communication itself may be challenging, where face-to-face

meetings are restricted or prohibited, and where IT solutions are limited or unreliable.

This note emphasizes the importance of careful scenario planning, clear procedures and protocols, management

systems, effective communication and coordination, and the need for high levels of responsiveness in a changing

environment. It recommends assessing the current situation of the project, putting in place mitigation measures to avoid

or minimize the chance of infection, and planning what to do if either project workers become infected or the work

force includes workers from proximate communities affected by COVID-19. In many projects, measures to avoid or

minimize will need to be implemented at the same time as dealing with sick workers and relations with the community,

some of whom may also be ill or concerned about infection. Borrowers should understand the obligations that

contractors have under their existing contracts (see Section 3), require contractors to put in place appropriate

organizational structures (see Section 4) and develop procedures to address different aspects of COVID-19 (see Section

5).

2. CHALLENGES WITH CONSTRUCTION/CIVIL WORKS

Projects involving construction/civil works frequently involve a large work force, together with suppliers and

supporting functions and services. The work force may comprise workers from international, national, regional, and

local labor markets. They may need to live in on-site accommodation, lodge within communities close to work sites or

return to their homes after work. There may be different contractors

permanently present on site, carrying out different activities, each with their own dedicated workers. Supply chains may

involve international, regional and national suppliers facilitating the regular flow of goods and services to the project

(including supplies essential to the project such as fuel, food, and water). As such there will also be regular flow of

parties entering and exiting the site; support services, such as catering, cleaning services, equipment, material and

supply deliveries, and specialist sub-contractors, brought in to deliver specific elements of the works.

Given the complexity and the concentrated number of workers, the potential for the spread of infectious disease in

projects involving construction is extremely serious, as are the implications of such a spread. Projects may experience

large numbers of the work force becoming ill, which will strain the project’s health facilities, have implications for local

emergency and health services and may jeopardize the progress of the construction work and the schedule of the

project. Such impacts will be exacerbated where a work force is large and/or the project is in remote or under-serviced

areas. In such circumstances, relationships with the community can be strained or difficult and conflict can arise,

particularly if people feel they are being exposed to disease by the project or are having to compete for scarce resources.

The project must also exercise appropriate precautions against introducing the infection to local communities.

3. DOES THE CONSTRUCTION CONTRACT COVER THIS SITUATION?

Given the unprecedented nature of the COVID-19 pandemic, it is unlikely that the existing construction/civil works

contracts will cover all the things that a prudent contractor will need to do. Nevertheless, the first place for a Borrower

to start is with the contract, determining what a contractor’s existing obligations are, and how these relate to the current

situation.

1

The obligations on health and safety will depend on what kind of contract exists (between the Borrower and the main

contractor; between the main contractors and the sub-contractors). It will differ if the Borrower used the World Bank’s

standard procurement documents (SPDs) or used national bidding documents. If a FIDIC document has been used, there

will be general provisions relating to health and safety. For example, the standard FIDIC, Conditions of Contract for

Construction (Second Edition 2017), which contains no ‘ESF enhancements’, states (in the General Conditions, clause

6.7) that the Contractor will be required:

• to take all necessary precautions to maintain the health and safety of the Contractor’s Personnel

• to appoint a health and safety officer at site, who will have the authority to issue directives for the purpose of

maintaining the health and safety of all personnel authorized to enter and or work on the site and to take protective

measures to prevent accidents

• to ensure, in collaboration with local health authorities, that medical staff, first aid facilities, sick bay, ambulance

services and any other medical services specified are available at all times at the site and at any accommodation

• to ensure suitable arrangements are made for all necessary welfare and hygiene requirements and for the prevention of

epidemics

These requirements have been enhanced through the introduction of the ESF into the SPDs (edition dated July 2019).

The general FIDIC clause referred to above has been strengthened to reflect the requirements of the ESF. Beyond

FIDIC’s general requirements discussed above, the Bank’s Particular Conditions include a number of relevant

requirements on the Contractor, including:

• to provide health and safety training for Contractor’s Personnel (which include project workers and all personnel that

the Contractor uses on site, including staff and other employees of the Contractor and Subcontractors and any other

personnel assisting the Contractor in carrying out project activities)

• to put in place workplace processes for Contractor’s Personnel to report work situations that are not safe or healthy

• gives Contractor’s Personnel the right to report work situations which they believe are not safe or healthy, and to

remove themselves from a work situation which they have a reasonable justification to believe presents an imminent

and serious danger to their life or health (with no reprisal for reporting or removing themselves)

• requires measures to be in place to avoid or minimize the spread of diseases including measures to avoid or minimize

the transmission of communicable diseases that may be associated with the influx of temporary or permanent contract-

related labor

• to provide an easily accessible grievance mechanism to raise workplace concerns

Where the contract form used is FIDIC, the Borrower (as the Employer) will be represented by the Engineer (also

referred to in this note as the Supervising Engineer). The Engineer will be authorized to exercise authority specified in

or necessarily implied from the construction contract. In such cases, the Engineer (through its staff on site) will be the

interface between the PIU and the Contractor. It is important therefore to understand the scope of the Engineer’s

responsibilities. It is also important to recognize that in the case of infectious diseases such as COVID-19, project

management – through the Contractor/subcontractor hierarchy – is only as effective as the weakest link. A thorough

review of management procedures/plans as they will be implemented through the entire contractor hierarchy is

important. Existing contracts provide the outline of this structure; they form the basis for the Borrower to understand

how proposed mitigation measures will be designed and how adaptive management will be implemented, and to start a

conversation with the Contractor on measures to address COVID-19 in the project.

4. WHAT PLANNING SHOULD THE BORROWER BE DOING?

Task teams should work with Borrowers (PIUs) to confirm that projects (i) are taking adequate precautions to prevent

or minimize an outbreak of COVID-19, and (ii) have identified what to do in the event of an outbreak. Suggestions on

how to do this are set out below:

• The PIU, either directly or through the Supervising Engineer, should request details in writing from the main

Contractor of the measures being taken to address the risks. As stated in Section 3, the construction contract should

include health and safety requirements, and these can be used as the basis for identification of, and requirements to

implement, COVID-19 specific measures. The measures may be presented as a contingency plan, as an extension of the

existing project emergency and preparedness plan or as standalone procedures. The measures may be reflected in

revisions to the project’s health and safety manual. This request should be made in writing (following any relevant

procedure set out in the contract between the Borrower and the contractor).

• In making the request, it may be helpful for the PIU to specify the areas that should be covered. This should include

the items set out in Section 5 below and take into account current and relevant

guidance provided by national authorities, WHO and other organizations. See the list of references in the Annex to this

note.

• The PIU should require the Contractor to convene regular meetings with the project health and safety specialists and

medical staff (and where appropriate the local health authorities), and to take their advice in designing and

implementing the agreed measures.

• Where possible, a senior person should be identified as a focal point to deal with COVID-19 issues. This can be a

work supervisor or a health and safety specialist. This person can be responsible for coordinating preparation of the site

and making sure that the measures taken are communicated to the workers, those entering the site and the local

2

community. It is also advisable to designate at least one back-up person, in case the focal point becomes ill; that person

should be aware of the arrangements that are in place.

• On sites where there are a number of contractors and therefore (in effect) different work forces, the request should

emphasize the importance of coordination and communication between the different parties. Where necessary, the PIU

should request the main contractor to put in place a protocol for regular meetings of the different contractors, requiring

each to appoint a designated staff member (with back up) to attend such meetings. If meetings cannot be held in person,

they should be conducted using whatever IT is available. The effectiveness of mitigation measures will depend on the

weakest implementation, and therefore it is important that all contractors and sub-contractors understand the risks and

the procedure to be followed.

• The PIU, either directly or through the Supervising Engineer, may provide support to projects in identifying

appropriate mitigation measures, particularly where these will involve interface with local services, in particular health

and emergency services. In many cases, the PIU can play a valuable role in connecting project representatives with

local Government agencies, and helping coordinate a strategic response, which takes into account the availability of

resources. To be most effective, projects should consult and coordinate with relevant Government agencies and other

projects in the vicinity.

• Workers should be encouraged to use the existing project grievance mechanism to report concerns relating to COVID-

19, preparations being made by the project to address COVID-19 related issues, how procedures are being

implemented, and concerns about the health of their co-workers and other staff.

5. WHAT SHOULD THE CONTRACTOR COVER?

The Contractor should identify measures to address the COVID-19 situation. What will be possible will depend on the

context of the project: the location, existing project resources, availability of supplies, capacity of local

emergency/health services, the extent to which the virus already exist in the area. A systematic approach to planning,

recognizing the challenges associated with rapidly changing circumstances, will help the project put in place the best

measures possible to address the situation. As discussed above, measures to address COVID-19 may be presented in

different ways (as a contingency plan, as an extension of the existing project emergency and preparedness plan or as

standalone procedures). PIUs and contractors should refer to guidance issued by relevant authorities, both national

and international (e.g. WHO), which is regularly updated (see sample References and links provided in the Annex).

Addressing COVID-19 at a project site goes beyond occupational health and safety, and is a broader project issue which

will require the involvement of different members of a project management team. In many cases, the most effective

approach will be to establish procedures to address the issues, and then to ensure that these procedures are implemented

systematically. Where appropriate given the project context, a designated team should be established to address

COVID-19 issues, including PIU representatives, the Supervising Engineer, management (e.g. the project manager) of

the contractor and sub-contractors, security, and medical and OHS professionals. Procedures should be clear and

straightforward, improved as necessary, and supervised and monitored by the COVID-19 focal point(s). Procedures

should be documented, distributed to all contractors, and discussed at regular meetings to facilitate adaptive

management. The issues set out below include a number that represent expected good workplace management but are

especially pertinent in preparing the project response to COVID-19.

(a) ASSESSING WORKFORCE CHARACTERISTICS

Many construction sites will have a mix of workers e.g. workers from the local communities; workers from a different

part of the country; workers from another country. Workers will be employed under different terms and conditions and

be accommodated in different ways. Assessing these different aspects of the workforce will help in identifying

appropriate mitigation measures:

• The Contractor should prepare a detailed profile of the project work force, key work activities, schedule for carrying

out such activities, different durations of contract and rotations (e.g. 4 weeks on, 4 weeks off).

• This should include a breakdown of workers who reside at home (i.e. workers from the community), workers who

lodge within the local community and workers in on-site accommodation. Where possible, it should also identify

workers that may be more at risk from COVID-19, those with underlying health issues or who may be otherwise at risk.

• Consideration should be given to ways in which to minimize movement in and out of site. This could include

lengthening the term of existing contracts, to avoid workers returning home to affected areas, or returning to site from

affected areas.

• Workers accommodated on site should be required to minimize contact with people near the site, and in certain cases

be prohibited from leaving the site for the duration of their contract, so that contact with local communities is avoided.

• Consideration should be given to requiring workers lodging in the local community to move to site accommodation

(subject to availability) where they would be subject to the same restrictions.

• Workers from local communities, who return home daily, weekly or monthly, will be more difficult to manage. They

should be subject to health checks at entry to the site (as set out above) and at some point, circumstances may make it

necessary to require them to either use accommodation on site or not to come to work.

(b) ENTRY/EXIT TO THE WORK SITE AND CHECKS ON COMMENCEMENT OF WORK

Entry/exit to the work site should be controlled and documented for both workers and other parties, including support

staff and suppliers. Possible measures may include:

3

• Establishing a system for controlling entry/exit to the site, securing the boundaries of the site, and establishing

designating entry/exit points (if they do not already exist). Entry/exit to the site should be documented.

• Training security staff on the (enhanced) system that has been put in place for securing the site and controlling entry

and exit, the behaviors required of them in enforcing such system and any COVID -19 specific considerations.

• Training staff who will be monitoring entry to the site, providing them with the resources they need to document entry

of workers, conducting temperature checks and recording details of any worker that is denied entry.

• Confirming that workers are fit for work before they enter the site or start work. While procedures should already be

in place for this, special attention should be paid to workers with underlying health issues or who may be otherwise at

risk. Consideration should be given to demobilization of staff with underlying health issues.

• Checking and recording temperatures of workers and other people entering the site or requiring self-reporting prior to

or on entering the site.

• Providing daily briefings to workers prior to commencing work, focusing on COVID-19 specific considerations

including cough etiquette, hand hygiene and distancing measures, using demonstrations and participatory methods.

• During the daily briefings, reminding workers to self-monitor for possible symptoms (fever, cough) and to report to

their supervisor or the COVID-19 focal point if they have symptoms or are feeling unwell.

• Preventing a worker from an affected area or who has been in contact with an infected person from returning to the

site for 14 days or (if that is not possible) isolating such worker for 14 days.

• Preventing a sick worker from entering the site, referring them to local health facilities if necessary or requiring them

to isolate at home for 14 days.

(c) GENERAL HYGIENE

Requirements on general hygiene should be communicated and monitored, to include:

• Training workers and staff on site on the signs and symptoms of COVID-19, how it is spread, how to protect

themselves (including regular handwashing and social distancing) and what to do if they or other people have symptoms

(for further information see WHO COVID-19 advice for the public). • Placing posters and signs around the site, with

images and text in local languages. • Ensuring handwashing facilities supplied with soap, disposable paper towels and

closed waste bins exist at key places throughout site, including at entrances/exits to work areas; where there is a toilet,

canteen or food distribution, or provision of drinking water; in worker accommodation; at waste stations; at stores; and

in common spaces. Where handwashing facilities do not exist or are not adequate, arrangements should be made to set

them up. Alcohol based sanitizer (if available, 60-95% alcohol) can also be used. • Review worker accommodations and

assess them in light of the requirements set out in IFC/EBRD guidance on Workers’ Accommodation: processes and

standards, which provides valuable guidance as to good practice for accommodation. • Setting aside part of worker

accommodation for precautionary self-quarantine as well as more formal isolation of staff who may infected (see

paragraph (f)).

(d) CLEANING AND WASTE DISPOSAL Conduct regular and thorough cleaning of all site facilities, including

offices, accommodation, canteens, common spaces. Review cleaning protocols for key construction equipment

(particularly if it is being operated by different workers). This should include: • Providing cleaning staff with adequate

cleaning equipment, materials and disinfectant. • Review general cleaning systems, training cleaning staff on

appropriate cleaning procedures and appropriate frequency in high use or high-risk areas. • Where it is anticipated that

cleaners will be required to clean areas that have been or are suspected to have been contaminated with COVID-19,

providing them with appropriate PPE: gowns or aprons, gloves, eye protection (masks, goggles or face screens) and

boots or closed work shoes. If appropriate PPE is not available, cleaners should be provided with best available

alternatives. • Training cleaners in proper hygiene (including handwashing) prior to, during and after conducting

cleaning activities; how to safely use PPE (where required); in waste control (including for used PPE and materials). •

Any medical waste produced during the care of ill workers should be collected safely in designated containers or bags

and treated and disposed of following relevant requirements (e.g., national, WHO). If open burning and incineration of

medical wastes is necessary, this should be for as limited a duration as possible. Waste should be reduced and

segregated, so that only the smallest amount of waste is incinerated (for further information see WHO interim guidance

on water, and sanitiation and waste management for COVID-19)

(e) ADJUSTING WORK PRACTICES Consider changes to work processes and timings to reduce or minimize

contact between workers, recognizing that this is likely to impact the project schedule. Such measures could include: •

Decreasing the size of work teams. • Limiting the number of workers on site at any one time.• Changing to a 24-hour

work rotation. • Adapting or redesigning work processes for specific work activities and tasks to enable social

distancing, and training workers on these processes. • Continuing with the usual safety trainings, adding COVID-19

specific considerations. Training should include proper use of normal PPE. While as of the date of this note, general

advice is that construction workers do not require COVID-19 specific PPE, this should be kept under review (for further

information see WHO interim guidance on rational use of personal protective equipment (PPE) for COVID-19). •

Reviewing work methods to reduce use of construction PPE, in case supplies become scarce or the PPE is needed for

medical workers or cleaners. This could include, e.g. trying to reduce the need for dust masks by checking that water

sprinkling systems are in good working order and are maintained or reducing the speed limit for haul trucks. •

Arranging (where possible) for work breaks to be taken in outdoor areas within the site. • Consider changing canteen

4

layouts and phasing meal times to allow for social distancing and phasing access to and/or temporarily restricting access

to leisure facilities that may exist on site, including gyms. • At some point, it may be necessary to review the overall

project schedule, to assess the extent to which it needs to be adjusted (or work stopped completely) to reflect prudent

work practices, potential exposure of both workers and the community and availability of supplies, taking into account

Government advice and instructions.

(f) PROJECT MEDICAL SERVICES

Consider whether existing project medical services are adequate, taking into account existing infrastructure (size of

clinic/medical post, number of beds, isolation facilities), medical staff, equipment and supplies, procedures and training.

Where these are not adequate, consider upgrading services where possible, including:

• Expanding medical infrastructure and preparing areas where patients can be isolated. Guidance on setting up isolation

facilities is set out in WHO interim guidance on considerations for quarantine of individuals in the context of

containment for COVID-19). Isolation facilities should be located away from worker accommodation and ongoing work

activities. Where possible, workers should be provided with a single well-ventilated room (open windows and door).

Where this is not possible, isolation facilities should allow at least 1 meter between workers in the same room,

separating workers with curtains, if possible. Sick workers should limit their movements, avoiding common areas and

facilities and not be allowed visitors until they have been clear of symptoms for 14 days. If they need to use common

areas and facilities (e.g. kitchens or canteens), they should only do so when unaffected workers are not present and the

area/facilities should be cleaned prior to and after such use.

• Training medical staff, which should include current WHO advice on COVID-19 and recommendations on the

specifics of COVID-19. Where COVID-19 infection is suspected, medical providers on site should follow WHO

interim guidance on infection prevention and control during health care when novel coronavirus (nCoV) infection is

suspected.

• Training medical staff in testing, if testing is available.

• Assessing the current stock of equipment, supplies and medicines on site, and obtaining additional stock, where

required and possible. This could include medical PPE, such as gowns, aprons, medical masks, gloves, and eye

protection. Refer to WHO guidance as to what is advised (for further information see WHO interim guidance on

rational use of personal protective equipment (PPE) for COVID-19).

• If PPE items are unavailable due to world-wide shortages, medical staff on the project should agree on alternatives and

try to procure them. Alternatives that may commonly be found on constructions sites include dust masks, construction

gloves and eye goggles. While these items are not recommended, they should be used as a last resort if no medical PPE

is available.

• Ventilators will not normally be available on work sites, and in any event, intubation should only be conducted by

experienced medical staff. If a worker is extremely ill and unable to breathe properly on his or her own, they should be

referred immediately to the local hospital (see (g) below).

• Review existing methods for dealing with medical waste, including systems for storage and disposal (for further

information see WHO interim guidance on water, sanitation and waste management for COVID-19, and WHO guidance

on safe management of wastes from health-care activities).

(g) LOCAL MEDICAL AND OTHER SERVICES

Given the limited scope of project medical services, the project may need to refer sick workers to local medical

services. Preparation for this includes:

• Obtaining information as to the resources and capacity of local medical services (e.g. number of beds, availability of

trained staff and essential supplies).

• Conducting preliminary discussions with specific medical facilities, to agree what should be done in the event of ill

workers needing to be referred.

• Considering ways in which the project may be able to support local medical services in preparing for members of the

community becoming ill, recognizing that the elderly or those with pre-existing medical conditions require additional

support to access appropriate treatment if they become ill.

• Clarifying the way in which an ill worker will be transported to the medical facility, and checking availability of such

transportation.

• Establishing an agreed protocol for communications with local emergency/medical services.

• Agreeing with the local medical services/specific medical facilities the scope of services to be provided, the procedure

for in-take of patients and (where relevant) any costs or payments that may be involved.

• A procedure should also be prepared so that project management knows what to do in the unfortunate event that a

worker ill with COVID-19 dies. While normal project procedures will continue to apply, COVID-19 may raise other

issues because of the infectious nature of the disease. The project should liaise with the relevant local authorities to

coordinate what should be done, including any reporting or other requirements under national law.

(h) INSTANCES OR SPREAD OF THE VIRUS

WHO provides detailed advice on what should be done to treat a person who becomes sick or displays symptoms that

could be associated with the COVID-19 virus (for further information see WHO interim guidance on infection

prevention and control during health care when novel coronavirus (nCoV) infection is suspected). The project should

5

set out risk-based procedures to be followed, with differentiated approaches based on case severity (mild, moderate,

severe, critical) and risk factors (such as age, hypertension, diabetes) (for further information see WHO interim

guidance on operational considerations for case management of COVID-19 in health facility and community). These

may include the following:

• If a worker has symptoms of COVID-19 (e.g. fever, dry cough, fatigue) the worker should be removed immediately

from work activities and isolated on site.

• If testing is available on site, the worker should be tested on site. If a test is not available at site, the worker should be

transported to the local health facilities to be tested (if testing is available).

• If the test is positive for COVID-19 or no testing is available, the worker should continue to be isolated. This will

either be at the work site or at home. If at home, the worker should be transported to their home in transportation

provided by the project.

• Extensive cleaning procedures with high-alcohol content disinfectant should be undertaken in the area where the

worker was present, prior to any further work being undertaken in that area. Tools used by the worker should be cleaned

using disinfectant and PPE disposed of.

• Co-workers (i.e. workers with whom the sick worker was in close contact) should be required to stop work, and be

required to quarantine themselves for 14 days, even if they have no symptoms.

• Family and other close contacts of the worker should be required to quarantine themselves for 14 days, even if they

have no symptoms.

• If a case of COVID-19 is confirmed in a worker on the site, visitors should be restricted from entering the site and

worker groups should be isolated from each other as much as possible.

• If workers live at home and has a family member who has a confirmed or suspected case of COVID-19, the worker

should quarantine themselves and not be allowed on the project site for 14 days, even if they have no symptoms.

• Workers should continue to be paid throughout periods of illness, isolation or quarantine, or if they are required to

stop work, in accordance with national law.

• Medical care (whether on site or in a local hospital or clinic) required by a worker should be paid for by the employer.

(i) CONTINUITY OF SUPPLIES AND PROJECT ACTIVITIES

Where COVID-19 occurs, either in the project site or the community, access to the project site may be restricted, and

movement of supplies may be affected.

• Identify back-up individuals, in case key people within the project management team (PIU, Supervising Engineer,

Contractor, sub-contractors) become ill, and communicate who these are so that people are aware of the arrangements

that have been put in place.

• Document procedures, so that people know what they are, and are not reliant on one person’s knowledge.

• Understand the supply chain for necessary supplies of energy, water, food, medical supplies and cleaning equipment,

consider how it could be impacted, and what alternatives are available. Early pro-active review of international, regional

and national supply chains, especially for those supplies that are critical for the project, is important (e.g. fuel, food,

medical, cleaning and other essential supplies). Planning for a 1-2-month interruption of critical goods may be

appropriate for projects in more remote areas.

• Place orders for/procure critical supplies. If not available, consider alternatives (where feasible).

• Consider existing security arrangements, and whether these will be adequate in the event of interruption to normal

project operations.

• Consider at what point it may become necessary for the project to significantly reduce activities or to stop work

completely, and what should be done to prepare for this, and to re-start work when it becomes possible or feasible.

(j) TRAINING AND COMMUNICATION WITH WORKERS Workers need to be provided with regular

opportunities to understand their situation, and how they can best protect themselves, their families and the community.

They should be made aware of the procedures that have been put in place by the project, and their own responsibilities

in implementing them. • It is important to be aware that in communities close to the site and amongst workers without

access to project management, social media is likely to be a major source of information. This raises the importance of

regular information and engagement with workers (e.g. through training, town halls, toolboxes) that emphasizes what

management is doing to deal with the risks of COVID-19. Allaying fear is an important aspect of work force peace of

mind and business continuity. Workers should be given an opportunity to ask questions, express their concerns, and

make suggestions.

• Training of workers should be conducted regularly, as discussed in the sections above, providing workers with a clear

understanding of how they are expected to behave and carry out their work duties.

• Training should address issues of discrimination or prejudice if a worker becomes ill and provide an understanding of

the trajectory of the virus, where workers return to work.

• Training should cover all issues that would normally be required on the work site, including use of safety procedures,

use of construction PPE, occupational health and safety issues, and code of conduct, taking into account that work

practices may have been adjusted.

• Communications should be clear, based on fact and designed to be easily understood by workers, for example by

displaying posters on handwashing and social distancing, and what to do if a worker displays symptoms.

6

(k) COMMUNICATION AND CONTACT WITH THE COMMUNITY

Relations with the community should be carefully managed, with a focus on measures that are being implemented to

safeguard both workers and the community. The community may be concerned about the presence of non-local

workers, or the risks posed to the community by local workers presence on the project site. The project should set out

risk-based procedures to be followed, which may reflect WHO guidance (for further information see WHO Risk

Communication and Community Engagement (RCCE) Action Plan Guidance COVID-19 Preparedness and Response).

The following good practice should be considered:

• Communications should be clear, regular, based on fact and designed to be easily understood by community members.

• Communications should utilize available means. In most cases, face-to-face meetings with the community or

community representatives will not be possible. Other forms of communication should be used; posters, pamphlets,

radio, text message, electronic meetings. The means used should take into account the ability of different members of

the community to access them, to make sure that communication reaches these groups.

• The community should be made aware of procedures put in place at site to address issues related to COVID-19. This

should include all measures being implemented to limit or prohibit contact between workers and the community. These

need to be communicated clearly, as some measures will have financial implications for the community (e.g. if workers

are paying for lodging or using local facilities). The community should be made aware of the procedure for entry/exit to

the site, the training being given to workers and the procedure that will be followed by the project if a worker becomes

sick.

• If project representatives, contractors or workers are interacting with the community, they should practice social

distancing and follow other COVID-19 guidance issued by relevant authorities, both national and international (e.g.

WHO).

6. EMERGENCY POWERS AND LEGISLATION

Many Borrowers are enacting emergency legislation. The scope of such legislation, and the way it interacts with other

legal requirements, will vary from country to country. Such legislation can cover a range of issues, for example:

• Declaring a public health emergency

• Authorizing the use of police or military in certain activities (e.g. enforcing curfews or restrictions on movement)

• Ordering certain categories of employees to work longer hours, not to take holiday or not to leave their job (e.g. health

workers)

• Ordering non-essential workers to stay at home, for reduced pay or compulsory holiday

Except in exceptional circumstances (after referral to the World Bank’s Operations Environmental and Social Review

Committee (OESRC)), projects will need to follow emergency legislation to the extent that these are mandatory or

advisable. It is important that the Borrower understands how mandatory requirements of the legislation will impact the

project. Teams should require Borrowers (and in turn, Borrowers should request Contractors) to consider how the

emergency legislation will impact the obligations of the Borrower set out in the legal agreement and the obligations set

out in the construction contracts. Where the legislation requires a material departure from existing contractual

obligations, this should be documented, setting out the relevant provisions.

ANNEX

WHO Guidance

Advice for the public

WHO advice for the public, including on social distancing, respiratory hygiene, self-quarantine, and seeking medical

advice, can be consulted on this WHO website: https://www.who.int/emergencies/diseases/novel-coronavirus-

2019/advice-for-public

Technical guidance

Infection prevention and control during health care when novel coronavirus (nCoV) infection is suspected, issued on 19

March 2020

Coronavirus disease (COVID-19) outbreak: rights, roles and responsibilities of health workers, including key

considerations for occupational safety and health, issued on 18 March 2020

Risk Communication and Community Engagement (RCCE) Action Plan Guidance COVID-19 Preparedness and

Response, issued on 16 March 2020

Considerations for quarantine of individuals in the context of containment for coronavirus disease (COVID-19), issued

on 19 March 2020

Operational considerations for case management of COVID-19 in health facility and community, issued on 19 March

2020

Rational use of personal protective equipment for coronavirus disease 2019 (COVID-19), issued on 27 February 2020

Getting your workplace ready for COVID-19, issued on 19 March 2020

Water, sanitation, hygiene and waste management for COVID-19, issued on 19 March 2020

Safe management of wastes from health-care activities issued in 2014

Advice on the use of masks in the community, during home care and in healthcare settings in the context of the novel

coronavirus (COVID-19) outbreak, issued on March 19, 2020

ILO GUIDANCE

7

ILO Standards and COVID-19 FAQ, issued on March 23, 2020 (provides a compilation of answers to most frequently

asked questions related to international labor standards and COVID-19)

MFI GUIDANCE

IDB Invest Guidance for Infrastructure Projects on COVID-19: A Rapid Risk Profile and Decision Framework

KfW DEG COVID-19 Guidance for employers, issued on 31 March 2020

CDC Group COVID-19 Guidance for Employers, issued on 23 March 2020