Environmental and Social

Management Framework

Nepal Urban Governance and Infrastructure Project

May 2020
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) ................. 11
4.1. Environment and Social Risk Management Procedure ................................................................ 11
4.1.1. Environmental and Social Screening .................................................................................... 11
4.1.2. Scoping ................................................................................................................................... 12
4.1.3. Project categorization ............................................................................................................ 13
4.1.4. Establishment of Baseline Condition ................................................................................... 13
4.1.5. Analysis of Alternative ........................................................................................................... 15
4.1.6. Impact Assessment ................................................................................................................ 15
4.1.7. Mitigation Measures for Identified Impacts and Guide to ESMP ...................................... 19
4.1.8. Stakeholder Consultation ..................................................................................................... 20
4.1.9. Preparation of ESIA/ESMP Report ..................................................................................... 20
4.1.10. Environmental Mitigation and Enhancement Management Plan .................................... 21
4.1.11. Approval and Implementation of Site-specific ESMP ....................................................... 24
4.1.12. Environmental and Social Monitoring of Management Plans ......................................... 24
4.1.13. Applicability of ESMF on Associated Projects .................................................................. 24
4.1.14. List of Ineligible Sub-Projects ............................................................................................ 24
4.1.15. LIPW subprojects ................................................................................................................ 24
4.1.16. Legal Contract for E&S Compliance .................................................................................. 25
4.1.17. Subproject Monitoring ........................................................................................................ 25
4.2. Specific labor and OH&S-related considerations in the context of COVID-19 .......................... 25
4.3. Considerations where CERC is activated .......................................................................................27
5. RESETTLEMENT POLICY FRAMEWORK (RPF) ........................................................ 28
5.1. Principles of RPF ............................................................................................................................ 28
5.2. Land & Asset Acquisition ............................................................................................................... 28
5.2.1. Involuntary Land Acquisition .............................................................................................. 29
5.2.2. Acquisition of Land through Negotiations ......................................................................... 30
5.2.3. Voluntary Land Donation ..................................................................................................... 31
5.2.4. Loss of other Assets .............................................................................................................. 32

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 5.3. Preparation of RAP ........................................................................................................................ 33
5.4. Entitlement Policy Matrix ............................................................................................................. 33
5.5. Monitoring and Reporting of RAP ................................................................................................ 40
5.6. Stakeholder Consultation and Grievance Redress ....................................................................... 40
6. VULNERABLE COMMUNITY DEVELOPMENT FRAMEWORK (VCDF) ...................... 41
6.1. Classification of Vulnerable Groups in Nepal ................................................................................ 41
6.2. Baseline of Vulnerable Groups in Nepal ....................................................................................... 42
6.3. Preparation of VCDP for the sub-projects .................................................................................... 43
6.4. Potential Impacts and Identification of Mitigation measures ..................................................... 44
6.5. Consultation and Information Disclosure .................................................................................... 46
6.6. Institutional Responsibilities ........................................................................................................ 47
6.7. Stakeholder Consultation and Grievance Redress ....................................................................... 47
7. SEA/SH RISK MITIGATION ACTION PLAN ................................................................ 48
7.1. Need and Purpose ........................................................................................................................... 48
7.2. Legal and policy environment for women’s safety ....................................................................... 48
7.3. Recommended Actions to Adddress SEA/SH Risks .................................................................... 49
8. STAKEHOLDER ENGAGEMENT AND CONSULTATION FRAMEWORK .................... 52
8.1. Existing Stakeholder Engagement Process ................................................................................... 52
8.2. Stakeholder Mapping..................................................................................................................... 53
8.3. Mechanism for Consultation ......................................................................................................... 54
8.3.1. Subproject Identification Stage ........................................................................................... 54
8.3.2. Planning/Design Stage .........................................................................................................55
8.3.3. Implementation Stage ......................................................................................................... 56
8.3.4. Post-construction Stage ....................................................................................................... 56
8.4. Information Disclosure.................................................................................................................. 56
8.5. Adapting stakeholder consultions to COVID-19 .......................................................................... 56
9. GRIEVANCE REDRESS MECHANISM ........................................................................ 59
9.1. Existing Grievance Redress Process .............................................................................................. 59
9.2. Establishing Grievance Redress Mechanism................................................................................ 59
9.3. Channels and procedures for receiving and addressing grievances............................................ 59
9.4. Functions of GRCs ......................................................................................................................... 60
9.5. Other Mechanism for Grievance Redress ...................................................................................... 61
9.6. GRM considerations for the COVID-19 context ............................................................................ 61
10. INSTITUTIONAL ARRANGEMENT FOR ESMP IMPLEMENTATION ........................ 62
10.1. Institutional Assessment for E&S Sections/Departments ......................................................... 62
10.1.1. Existing Institutional Capacity ........................................................................................... 62
10.1.2. Capacity Development ........................................................................................................ 62
10.2. Proposed Institutional Arrangement .......................................................................................... 63
ESMP Implementation Structure and Stakeholers Responsibility .................................................. 120

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List of Appendix
Appendix A: Land use map of 17 Municipalities .................................................................................................... 65
Appendix B: Consultation with municipalities ........................................................................................................ 73
Appendix C: Templates for Environmental & Social Screening Checklist / ......................................................... 111
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 ........................................................................................................... 159
Appendix K: COVID-19 considerations in construction/civil works projects ........................................................... 0

List of Figures

Figure 4-1: Flowchart for conducting ESIA .......................................................................................................... 11

Figure 6-1: Composition of Madhesi Caste Groups .............................................................................................. 43
Figure 8-1: Project identification Process through Stakeholder Engagement ........................................................ 53
Figure 9-1: Grievance Redress Process ................................................................................................................. 60
Figure 10-1: Coordination of Proposed Project Implementation Mechanism ....................................................... 64

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................................................... 13
Table 4-2: Anticipated Environmental and Social Impacts due to Development of Sub-projects ......................... 16
Table 4-3: Anticipated Social issues pertaining to the project ............................................................................. 18
Table 4-4.Template Environnemental Mitigation & Enchancement Management Plan ....................................... 21
Table 5-1: Entitlement Matrix applicable for the Project .................................................................................... 36
Table 6-1: Classification of Indigenous People on development ......................................................................... 42
Table 6-2: Population of Indigenous People in project specific districts ............................................................. 42
Table 6-3: Potential Impacts and Mitigation measures ...................................................................................... 44
Table 7-1.Recommended actions to address SEA/SH Risks ...................................................................... 49
Table 8-1: Stakeholder Mapping and Consultation ............................................................................................. 53
Table 10-1. Capacity Development Training Requirement ................................................................................. 63

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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

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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
ULLs Urban Local Levels
USD United States Dollar
VCDP Vulnerable Community Development Plan
VCDF Vulnerable Community Development Framework
VDC Village Development Committee
VGs Vulnerable Groups
WB World Bank

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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 Urban Local Levels (ULLs) 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 ULLs; 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 ULLs
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$ 112 million). This component will provide UDG
to participating ULLs for financing strategic municipal infrastructure sub-projects focusing on, amongst others,
rehabilitation and improvements in municipal roads, drainage, drinking water supply and onsite sanitation (See
Annex 2 for menu of eligible investments), as well as associated design and implementation support.
Component 2 Institutional strengthening of participating ULLs (IDA financing: US$10 million). This component
will focus on strengthening institutional systems and capacities of participating ULLs for improved urban
management and service delivery.
Component 3: Support to ULLs 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 ULLs 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-Mechinagar corridor
and the central region includes 8 municipalities of Pokhara-Lekhnath economic corridors. 17 ULLs were selected
as recipients of resources for municipal infrastructure and service delivery investments. Four additional ULLs in
the Central-Hill cluster were included for the capacity building program under Component 2. In addition to the 17
ULLs, 12 ULLs will supported for COVID-19 response and recovery activities under Component 3.

The present Environmental and Social Management Framework (ESMF) has been prepared 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 guidance on 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.

Under NUGIP, 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 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,

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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 was
publicly 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 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.

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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 the added 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.

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 1. INTRODUCTION
1.1. Project background
The Project Development Objective of the Nepal Urban Governance and Infrastructure Project (NUGIP) is to
strengthen the institutional and fiscal capacities of participating ULLs for strategic municipal infrastructure and
service delivery.

The proposed NUGIP is comprised of the following five components:

Component 1: Urban Development Grants (UDGs) for strategic municipal infrastructure and service
delivery (International Development Association (IDA) allocation of US$ 112 million). This component will
provide UDG to participating ULLs for financing strategic municipal infrastructure sub-projects focusing on,
amongst others, rehabilitation and improvements in municipal roads, drainage, drinking water supply and onsite
sanitation (See Annex 2 for menu of eligible investments), 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 ULLs to develop their multi-year municipal investment program in year 1. ULLs 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 ULLs 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 ULLs (IDA financing: US$10 million). This
component will focus on strengthening institutional systems and capacities of participating ULLs 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 ULLs (see Annex 2). 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 ULLs 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 ULL.

Component 3: Support to ULLs 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). The component will
finance (i) payment of wages for unskilled labor to undertake temporary employment in participating ULLs, (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.

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

1The agreed sectoral allocation formula is: 70 percent weightage for population; 10 percent weightage for equal share; 10 percent
weightage for area of the ULL; and 10 percent weightage for infrastructure gap.

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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 supported under 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 ULLs 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.

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2. ENVIRONMENTAL AND SOCIALREGULATIONS AND POLICY FRAMEWORK
2.1. National and International Laws/Conventions
Table 2-1 and 2-2 list the national laws and 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 2-1 List 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

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These 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.

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2.2. International Conventions
Table 2-2 List of 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 Objective & Brief Description
OP/ BP
Environmental An Environmental Assessment is conducted to ensure that Bank-financed projects are
Assessment (EA) environmentally sound and sustainable, and that decision-making is improved through appropriate
OP/BP 4.01 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 The policy is triggered by any project (including any subproject under a sector investment or
OP/BP 4.04 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 This policy is triggered by forest sector activities and other Bank sponsored interventions, which
4.36 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 The Bank seeks to assist countries to manage their physical cultural resources and to avoid or
Resources mitigate adverse impact of development projects on these resources.
OP/BP 4.11
Involuntary Key objectives of the policy is to avoid or minimize involuntary resettlement where feasible,
Resettlement exploring all viable alternative project designs; assist displaced persons in improving their former
OP/BP 4.12 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 Key objectives of the Indigenous Peoples policy are to:
Peoples OP/BP 1. ensure that indigenous people affected by World Bank funded projects have a voice in project
4.10 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.

4
 World Bank’s Objective & Brief Description
OP/ BP
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 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 The prime objective of the Gender and Development policy is to assist member countries to reduce
Development OP poverty and enhance economic growth, human well-being, and development effectiveness by
4.20 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 The policy triggered when Bank finances new dam project or existing dam on which project is
OP/BP 4.37 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 The policy requires project state to notify other riparian of the proposed project and the intended
Waterways impact on water rights.
OP/BP 7.50 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

Government of Nepal Gaps between Recommendations to

World Bank (WB) Policy
Category (GoN) Policy GoN& WB policy Bridge the Gaps

A. Development Project Environment Assessment Activities listed in Detailed E&S

Environment falling under shall be carried out for EPR Schedule 1 Screening shouldbe
(Natural Environment Protection identifying potential risks requires an IEE, carried out in the
Habitat & Rule (EPR) criteria and adverse impacts, and those listed in feasibility study of the
Forest should be subjected to along with mitigation Schedule 2 requires sub-projects followed
including IEE/EIA as per the measures; EIA. The Schedule by detailed IEE/EIA-
terrestrial and schedules which are Detail Environmental 1 and 2 are based ESMP in parallel with
aquatic) based on nature of work Management Plan (EMP) on activity type, the Detail Engineering
(OP/BP-4.01, work, scale of project, shall be prepared to threshold/size, as Design to bridge the
4.04 & 4.36) location and address all the policies well as location. gap between WB and
jurisdiction. However, triggered related with The Potential risks GoN
5
 Government of Nepal Gaps between Recommendations to
World Bank (WB) Policy
Category (GoN) Policy GoN& WB policy Bridge the Gaps

EIA is required if any natural habitat and associated with the requirements/approach
project development site physical, cultural project are omitted . The ESMP should
is located within - resources. The EMP shall in GoN policy. seek to to address all
1. Historical, cultural adequately address the Hence, the adverse
and archeological sites. relevant issues. Environmental & environmental impacts
2. Environmentally Social (E&S) arise during execution
weak and wet Areas. Screening exercise and operation of the
3. National parks, wild shall be carried out project.
life sanctuaries and to assess the The ESIA/IEE and
conservation areas. potential risk ESMP so prepared
4. Semi-arid, associated with the should be made
mountainous and project before integral part of bidding
Himalayan regions. selection of the document so that the
5. Flood prone and other project proposal. Contractor shall adhere
dangerous areas. to the provisions
6. Residential, school prescribed in the
and hospital areas. ESMP during
7. Areas with main execution of the
sources of public water project
supply
B. Physical- The EPR Rule 28 & 30 OP 4.11 and their “Chance find’ is not E&S study should
Cultural states that physical and application as an integral covered by the EPR include (a) measures to
Resources cultural resources shall part of the Bank’s requirements avoid or mitigate any
(OP/BP- not be disturbed or environmental assessment adverse impacts on
4.11) damaged without the (EA) process physical cultural
prior approval of resources; (b)
concerned authority. provisions for
managing chance finds
C. Clause 3 of the Land Full compensation at The Land ESMF, inclusive of the
Involuntary Acquisition Act states replacement cost for lost Acquisition Act of RPF, should include an
Resettlement that any asset that is assets shall be provided Nepal only has a indicative entitlement
and Loss of required for public according to asset types provision for cash matrix which indicates
Land/Structur purposes shall be and location. compensation based valuation and
e acquired by providing Resettlement and on degree of loss. It associated
Crop/Income compensation. Rehabilitation assistance does not take into compensation for
Source Compensation Fixation to affected people shall be account titleholders and non-
(OP/BP-4.12) Committee will provided by the project to vulnerability of the titleholders.
establish the enable them to improve affected person ESMP for sub-projects
Compensation rates. their living standard. upon losing the affecting livelihood or
As per OP 4.12 land/asset. economic resources
community assets needs to GoNlaws have no should also include
be replaced in consultation provision for livelihood restoration
with the community. compensation to plan
As per OP 4.12, all those non-titleholders Community assets
who are affected needs to (i.e., those who do need to be replaced in
be assisted including not possess land the same or better
tenants and sharecroppers. ownership condition than before.
Full compensation for loss certificates e.g. Livelihood assistance
of land/crop/ asset/income informal should be provided as
source shall be provided. leaseholders, per criteria set by
encroachers)

6
 Government of Nepal Gaps between Recommendations to
World Bank (WB) Policy
Category (GoN) Policy GoN& WB policy Bridge the Gaps

Factors to be ESMF, inclusive of the

considered for RPF.
calculating Entitlement matrix
compensation are should be drafted for
not clearly defined each project clearly
in the local stating the rights of the
regulations project affected
people.
D. Nepal’s constitution WB policies ensures free, Procedure of free At each sub-project
Indigenous includes provisions prior, and informed and prior level, free prior
People & relating to the social consultation with the consultation with informed consultations
Community security, participation affected indigenous people indigenous group is should be carried out
(IP&C) and representation of to obtain broad not defined in the with the indigenous
(OP/BP-4.10) indigenous community. community support to the local regulations of community and other
National Foundation for project. Nepal. However, vulnerable
the Development of Social Impact Assessment free, prior and communities to obtain
Indigenous Nationalities should be carried out to informed consent broad consent for the
Act 2002 declares 59 identity potential impacts (FPIC) is project.
Janjati as indigenous and prepare plan to ensure recognized in the Project should prepare
Nepal Federation of that indigenous peoples United Nations Vulnerable
Indigenous Nationalities receive social and Declaration on the Community
(NEFIN), an economic benefits that are Rights of Development
autonomous body, has culturally appropriate. Indigenous Peoples Framework (VCDF)
further classified these (UNDRIP) and ILO based on community
groups as Endangered, Convention 169 to needs of indigenous as
Highly marginalized, which Nepal is a well as other
marginalized, signatory. vulnerable
disadvantaged and GoN does not have communities.
advantaged groups a standalone policy
based on historical on Indigenous
economic and political Peoples and other
background. vulnerable
In GESI policy, GoN communities which
defines other vulnerable could have put
groups beyond substantial
indigenous and gender- emphasis on
based groups bringing basic
services to the
disadvantaged and
indigenous people,
Dalits, women,
disabled and other
vulnerable groups.
E. Gender Through constitution of Equal access should be Disaggregated data All government
Development Nepal, guidelines ensured to female is not available. departments should
prepared by National members as of the male Mainstreaming of collect disaggregated
Women Commission members of the society to M&E of GESI data.
and GESI guidelines the opportunities created guidelines hasn’t Where appropriate,
looks after gender issues and the activities happened. sub-projects should
and barriers. These performed by Bank prepare Gender
policies also cover Empowerment Plans

7
 Government of Nepal
World Bank (WB) Policy
Category (GoN) Policy
indicators for supported development
monitoring progress of interventions.
plans on inclusion of all Appropriate Plans and
genders. policies should be
formulated and
implemented adhering to
the principles of free, prior
and impartial consultation
and participation of the
women throughout the
project cycle.
Gaps between Recommendations to
GoN& WB policy Bridge the Gaps
MoUD and and implement the
DUDBC don’t have plan to ensure equal
active GESI unit. access to various
Municipalities does opportunities created
have women by the project
committees, but all
the issues are not
represented
holistically under
one unit
8
3. KEY ENVIRONMENTAL AND SOCIAL CONDITIONS IN THE CLUSTER MUNICIPALITIES

Summary of Key Environmental and Social Issues

Table 3-1: Key Environmental and Social Issues in the Eastern and Western Cluster Municipalities3
Eastern Cluster Municipalities
Key Environmental issues
Birtamod Damak Urlabari SundarHaraicha Mechinagar Itahari Rajbiraj Triyuga Dhankuta
• High iron content in ground • Threat to Sal trees • Solid Waste disposal on • River bank erosion • Flooding in Mechi, • Lack of drainage • Disposal of solid • Pollution due to sewerage • Threat to
water • Threats to dhanesh bird species river banks Ninda, Timai, system & waste on the disposal water body
• Jaljale wetlands need protection • Flooding in Mawa, Hadiya contamination of riverbanks/open field. • Flooding due to
• Blockage of drainage system Bakraha, • High iron content in water through • High iron content in • Deforestation in southern siltation
(particularly in ward no 1,5,8,13) SunpakuwaKhola- and ground water effluent discharge groundwater, and part • Depletion of
• High iron content in ground water land cutting at places • Chure - from industries existing water supply • Landslide prone areas in water sources
• High iron content in Environmental • Depletion of water system unable to cater ward no 4,5,6,14,15,16
ground water Protected Area resources to the demand for • Chure - Environmental
water to growing Protected Area
population
• Flooding in Khado
River
• Depletion of ground
water
Social Baseline Condition
• Immigration rate 8-10% • Very High Immigration (5-7%) • Poverty 20% • Very High Immigration • Poverty about 10% • Very High • Very High • Very High Immigration • Very High
• Poverty 7-10% • Child marriage high in poor • Child marriage common • Poverty 10-12 % Immigration (7-9%). Immigration 1:5 in • Limited illegal mining issue Immigration
• High rates of child marriage communities in indigenous group and • Child marriage in poor • Child Marriagehigh rural areas • Ethnic communities • Aathpariya is
amongTarai caste, Muslim and • Limited threat to Dhimal community Terai caste group in Chaudahry, Dum, among Taraidalits, • Poverty 30-40% dependent to some extent on one of the
Adibasi groups • Ward 3,4, 9 has Dhimal community Jhangar, Bantar and Muslims and • Caste discrimination fishing and forest resources deprived
dependent on forest Musar communities Adibasi groups • About 10% women • Presence of marginalized community
• Limited threat to • Khanar, Budhikhola, haveland owner vulnerable group Musar and concentrated
Dhimal community Sunsari-Morang certificate due to dalits in ward number in Ward no. 8
• Ward 3,4, 9 has Dhimal Irrigation Canal. government tax 1,2,3,4,5,6,7,8,9,10,11,12,13
community dependent • There is proposal to incentive policy.
on forest construct 6 lane • Child marriage is also
road, therefore high among
diverting canal land marginalized
at the TyandraKhola communities
is required
Western Cluster Municipalities
Key Environmental Iissues
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 • Flooding in • During rainy season • During rainy season, • Flooding in Tinahu • Flooding in Tinahu • Flooding in the rivers and siltation in rainy
• Water pollution in some stretches Aandhikhola, there is problem of there is problem of river river season
sumrekhola, bodikhola, flooding, water flooding, water • Water pollution in • Water pollution in • River pollution from crusher plants located
ringikhola pollution, siltation, pollution, siltation, dug wells dug wells near the river
• Water Pollution and landslide landslide in nearby
siltation especially areas of
during rainy season Aandhikhola,
sumrekhola,
bodikhola,
ringikhola
Key social issues

- • Poverty rate 20% • Poverty rate 25% • Poverty rate 35% • Poverty rate 15% • Immigration from • Poverty rate of 15% • Poverty rate 20%
hilly region and
rural wards
• Poverty rate 30%

3 See detailed matrix in Appendix I

9
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 in Appendix A and 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

4
As 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 the Environmental Screeningchecklist, category B sub project EA
requirements is the first step in the conduct of an ESIA and is provided in Appendix C. 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 type
forest land • 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
Conflict for the use of forestry resources between
locals and labors, depletion of NTFP resources
and invasive species
Agriculture Loss of agricultural land due to urbanization due
to the project
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
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 Disturbance/ demolition of water supply
property infrastructure, groundwater changes leading to
resources drinking water and irrigation problems
Damage to resting sheds, bus stops, water source
etc.
Land use by in- Acquisition of land and property; social conflicts,
migrants and resettlement issues
labor
Health Introduction and spreading of communicable
diseases or respiratory disease
Road safety
Cultural Heritage Sites of Religious/ cultural importance being
disturbed
Sites of historical /
archaeological/anthropological Importance
14
Baseline Information
• Flow of migrants/ their sources of forestry
product
• Impact due to increased accessibility.
• 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
• 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
• Changing land use pattern
• Approximate labor requirement for the project
(about 30 % of the labor from outside)
• Existing medical facilities
• List of sensitive receptors (e.g. hospitalsand
schools) and their capacity
• Prevailing diseases
• Type and number of accidents
• Age of the cultural site, its significance,
location, number and type of such properties
• It is to be ensured that safe distance (as per the
defined regulations of GoN has been
maintained from such sites
 Component Possible Social Issue/ aspect Baseline Information
Vulnerable Affects Vulnerable communities (Indigenous • Type of indigenous group present and their
community people) by disrupting customary rights of use and cultural practices
access to land and natural resources, cultural and • Community consultation practices
integrity • 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)
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 Exclusion of community from decision making
Engagement process
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
• 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
• 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)

4.1.5. Analysis of Alternative

The analysis of alternatives will be 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 or temporary use of public spaces and facilities
• Health and safety issues during construction and operation phases
• Occupation and safety hazards during preconstruction, construction and operation phase
• Temporary access control, including provision for barricading and 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 of excess excavated earth, waste disposal/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 ULLs, an indicative list of projects which could be taken up under
NUGIP are road construction/upgradation, drainage, water supply, wastewater treatment, 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 Social Impacts due to Development of Sub-projects

Sector Environmental & Social Impacts

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

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 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 • Contamination of surface or ground water quality during boring/ well construction
Supply • 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 • Lack of proper hygiene and sanitation facilities in labor worker camps
Water • 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

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 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 • Lack of solid waste (including medical wastes) collection, segregation and its recycling
Management 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 issues pertaining 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 channels for 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

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 Theme Social Issues
Land & • Coercion on donating land
Asset • Loss of fruit bearing or flowering trees/ shrubs
Related • Loss of cultivable land and crops
• 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 • Disruption of customary rights over use and access to land and natural resources
people • 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 workers such 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 ESMPs prepared 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

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• Implementation schedules for each activity
• Reporting procedures, including for redressing grievances related to environmental issues
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 will be
included in the estimated project cost. The Appendix E 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); individual interviews
The outcome of the consultation and relevant documents will 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 made will be communicated back to the community members. The ESMF
envisages stakeholder consultations as 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

20
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).

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 template briefly 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 Mitigation/ Enhancement Schedule Responsible Costs
Environmental Impact Measures of party (NRs)
aspects Actions
PRE-CONSTRUCTION STAGE

Physical Environnent
Change in land The project Appropriate route selection to DPR, ESIA None
use intervention may minimize impacts Consultants,
impact the Maximum use of existing road PCO,
existing land use and public land Municipalities
pattern of the area Collection of spoils and its
management in scientific way
Biological / Chemical Environment
Ecologically Adjoining Prior care willbe given during DPR, ESIA None
sensitive areas environmentally project screening. Project will Consultants,
sensitive areas not be developed in PCO,
(National Parks, ecologically fragile areas. Municipalities
Wildlife
Reserves,
Ramsar Sites etc)
can be affected
Social-Economic /Cultural Environment
Cultural Sites of cultural Prior care will be given during DPR, ESIA None
heritage and historical project screening. Historically Consultants,
importance can significant PCO,
be affected archaeological/anthropological Municipalities
site will be avoided in design
stage
CONSTRUCTION STAGE

Physical, Health and Safety Environment

Sanitation and Increase in Workers are not allowed to Contractor, Integrated
health of the disease vector stay overnight out from the PCO, in total
community and transmission camp. Awareness program will Municipalities, project
of disease from be launched to prevent from DSC cost
outside the STDs.
workforce. Provision of information
around hygiene, particularly in
regards to COVID-19.

21
 Implementation of measures to
address COVID-19 risks
Occupational Accidents Implementation of OSH Contractor, Integrated
Health Hazard causing Deaths/ activities. Distribution and PCO, in total
and Safety Injuries mandatory use of safety hats, Municipalities, project
shoes, follow-up of safety DSC cost
regulation, well-
communication of construction
safety instructions at all levels

Risk of virus Implementation of social Contractor, Integrated

transmision distancing and hygiene PCO, in total
measures, and other relevant Municipalities, project
measures. Provision of DSC cost
information around hygiene.
Distribution of PPE as
required.
Biological / Chemical Environment
Degradation of Contamination of Silt fencing to be provided in Contractor, Integrated
water quality water bodies near the construction areas PCO, in total
the construction adjoining water bodies, Municipalities project
sites material will not be stored near and Wards in cost
any waterbody co- ordination
Provision of proper hygience with DSC
and sanitation facilities in
worker labor camp sites
Workerswill be restricted from
polluting the source or
misusing the source.
Degradation of Detoriation of air Water spraying at regular Contractor, Integrated
air quality quality due to intervals, all vehicles, PCO, in total
dust and gaseous equipment and machinery used Municipalities project
emission from for construction to be regularly and Wards in cost
construction maintained, regular monitoring co- ordination
activities and of ambient air quality, with DSC
equipment embankment slopes to be
covered with turfing / stone
pitching.
Increase in Disturbance due Noise standards will be Contractor, Integrated
noise levels / to noise from maintained at processing PCO, in total
vibrations vehicles, sites. Machinery and vehicles Municipalities project
equipment and will be regularly maintained. and Wards in cost
blasting or pre- Workers working in loud noise co- ordination
splitting areas will wear earplugs. with DSC
operations Construction will be stopped in
Night-time in sensitive
receptor areas.
Social-Economic /Cultural Environment
Community Uncollected solid Adequate solid wastes Contractor, Integrated
health and wastes from (including medical wastes) are PCO, in total
safety worker labor conducted a Municipalities project
camps and Wards in cost

22
 Traffic co- ordination
congestion, Plan for traffic decongestion with DSC
possible will be kept. Barricades will be
accidents and maintained including signs and
death 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 Provision of information Contractor, Integrated
transmission around hygiene, particularly PCO, in total
with regards to COVID-19. Municipalities, project
Implementation of measures to DSC cost
address COVID-19 risks
Disposal of Possible Careful segregation of wastes, Contractor, Integrated
solid waste, contamination, regular collection and PCO in total
waste materials disturbance to treatment of wastes and proper project
and community, disposal cost
construction accidents Project site and working area
spoils will be cleared of unutilized
construction materials, heavy
equipment and debris; and a
final clean-up of solid wastes
will be conducted.
Biological / Chemical Environment
Restoration of Clogging of Disturbance of waterways will Contractor, Integrated
waterways water bodies, be cleared to avoidobstruction PCO in total
surface run off from construction debris and project
other waste materials. cost
Social-Economic /Cultural Environment
Termination of
Loss of The local workforce will be Contractor, Integrated
emplyoment temporary jobs briefed in advance about the PCO, in total
by the local work loss of job after project Municipalities project
force after project completion. Compensation, if cost
completion, applicable, will be provided
OPERATION STAGE

Physical Environment
Soil/Water Pollution of Proper drainage network and PCO, Integrated
quality water bodies, silt fencing will beprovided to Municipalities in total
degradation erosion ensure that the water quality is project
due to surface not impaired due to cost
run-off contaminants from road run-
off.
Biological/Chemical Environment
Replacement Survival of The replacement plantation PCO, Integrated
plantation planted seedling will be maintained and taken Municipalities in total
and their growth care to ensure the survival of project
the seedlings to mitigate cost
23
 vegetation loss during
construction
Social-Economic /Cultural Environment
Removal of Loss of The fruit trees will be PCO, Integrated
fruit trees production compensated at market value Municipalities in total
on the basis of loss of future project
production, based on 5 years cost
annual net production.

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
LIPW subprojects, the project will ensure that the subprojects do not have significiant environmental or social risks
and impacts. Guidance and criteria for selecting LIPW subprojects 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 will explicitly 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 at least 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”

6 For 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 for NUGIP.

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 framework will
includemeasures to ensure that the displaced persons are
i) provided assistance (such as moving allowances) during relocation; and

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

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 the RAPs RPF, 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
• Compensation Determination Committees are established (at district level) to ascertain compensation rates
for land and other assets
29
 • 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.
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

30
 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.
• 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,

31
 • 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 the contract 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

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

32
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
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;

33
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 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)

34
 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 the start 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 Titleholder • Provide compensation at full • A List of available public land in
land under any replacement cost or provide full each municipality is required.
form of tenure title to land of equal area and • A list of affected and entitled
productivity acceptable to owner persons and the area of land loss is
in the vicinity. required.
• If land is not available • Notice to vacate the land should
elsewhere, provide cash be served at least a month priorto
compensation at full acquisition date.
replacement cost based on • To ensure fair compensation,
current market rate. determination of rates will be
• In the case of farmland, established not more than one year
compensation for cultivation prior to property acquisition.
disruption allowance equal to • Land registration in the name of
one-year production. both landowner and spouse (in case
• In case of vulnerable groups, of land for land compensation)
give preference for land-for-land • In case of cash compensation,
compensation deposited into a joint account in
• Ensure that resettlement the name of both landowner and
assistance in addition to spouse.
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).
Loss of Landowners • Both the landlord & the tenant • Where a renter/leaseholder has a
Tenancy Land Tenants will be entitled for 50 percent of share cropping arrangement, the
land compensation amount each compensation payable should be
(As per 2058 B.S. amendment in apportioned according to the
Land Reform Act). arrangement.
• Non-registered • An advance prior notice will be
tenant/renter/lease holder does provided to landlord and tenant
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.
Temporary Titleholder Tenants • Compensation for crop, land • Advance notice for crop
Loss of Private and landlord productivity and other property harvesting
Land (As both are the losses for the duration of
owner of equal (i.e. temporary occupation.
36
Type of Loss Entitlement Unit Description of Entitlement Implementation procedures
50 %) share, hence • Compensation for other • The owner/entitled party will sign
treated as private disturbances & damages caused a temporary occupation contract
land holder. to property. specifying:
• Project and the municipalities 1. Period of occupancy,
to ensure that persons other than 2. The terms and conditions for
the owner affected as a result of calculation of production
temporary acquisition are losses,
compensated for the temporary 3. The frequency of
period. compensation payment, and
• Land should be returned to the 4. Annual inflation adjustment
owner at the end of temporary 5. Land protection and
acquisition period, restored to its rehabilitation measures.
original condition or improved • Advance notice to vacate the land
as agreed with owner. before civil works start
• Compensation for any losses
crops/structures,
Land donations Voluntary donation • No compensation for the • Verify the requirements of the
is accepted only if : donated land, but entitled for donation
• AP is direct compensation of other assets • Carry out due diligence on the
project beneficiary such as minor structure, trees, owners and users of land donated:
and is fully crops, allowances, etc. identify rightful owner(s); any
consulted and • Transfer of land ownership competing claims of ownership or
informed about • Free of any transfer costs, use; structures and assets on the
rights and choices registration fees or charges land; any encumbrances on the
available to them; • Preferential employment in land.
• AP doesn’t fall project construction • Ensure appropriate consultation
below poverty line and disclosure
after land donation; • Establish informed consent of the
• No household person donating land
relocation is • Sign written commitment; local
involved. witness or third-party verification
• Landowners have to the commitment letter
agreed to donate; • Maintain a transparent record of
• AP is freely all consultations and agreements
willing to donate, reached.
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
Trees and Crops

37
Type of Loss Entitlement Unit Description of Entitlement
Loss of Trees & Owner of affected • Advance notice to harvest
Crops trees, fruits and crops
(Perennial/ crops • Net value of existing crops
Non- perennial) 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
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
Structures and Other basic facilities
Loss of Titleholder /non- • Compensation for full or
privately- titleholder partial loss of structures at full
owned replacement cost of materials
structures and labor according to structure
(residential, type, with no deduction for
commercial depreciation.
and other • Resettlement assistance (rental,
structure) 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
Community and Cultural Assets/ Facilities
38
Implementation procedures
• 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
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
• 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
Type of Loss Entitlement Unit Description of Entitlement
Loss of land Local community • Restoration of affected
and structures user’s group 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.
Loss of Forest user’s group • Mitigation measures should be
community (FUG)/Other initiated to control erosion
forests and Concerned Groups caused by tree cutting, and to
other natural stabilize and rehabilitate the
resources due slopes with suitable
to construction 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.
Rehabilitation Assistance
Displacement Titleholders • Housing displacement
of household Tenants allowance for loss of own
residential accommodation
• House rental allowance
• Transportation allowance
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.
• 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.
• 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 • One-time financial assistance Vulnerable groups as defined in the
Vulnerable groups in case of loss of income; or VCDF
• 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.
Damages caused during Construction – temporary losses
Any kind of All categories of • Extreme care willbe taken by
private and entitled persons municipalities and their
public contractors to avoid damaging
properties public and private property.

39
 Type of Loss Entitlement Unit Description of Entitlement Implementation procedures
• 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
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 by the 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 grievant will 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 Total Population of the Percentage distribution
district district 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
Rupandehi 207444 880,196 23.56793

42
 Name of the District Population of IP in the Total Population of the Percentage distribution
district district of IPs in the districts
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 carried with indigenous

43
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 will include 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 will follow 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 Implementation Institutional
Mitigation Phase Responsibility
Measure

1 Lack of representation of Covered in SECF

vulnerable groups

2 Consultative and participatory

approaches not adopted

3 Exclusion in the decision-making Prioritising Planning stage Municipality, ward

process for selection of investments on the and Tole
beneficiaries and also during needs of VCs committee
project design
Ensure
representation of
VCs in public
consultations

4 Baseline data not disaggregated Public consultation Social Assessment/ DPR and ESIA
and thus assessment of needs, during baseline Planning Stage consultants
benefits and impacts of the project survey
inadequate

5 Insufficient analysis of Social mapping Social Assessment/ Municipality, ward

differentiated priorities for design Planning Stage and Tole
of human settlements, location of Assessment of the committee
housing and provision of urban needs and social
services in the social assessment. barriers of different
Gender/caste/ethnicity/location- vulnerable groups.
differentiated access to Conduct separate
employment and income-earning and exclusive
opportunities, access to public FGDs with
park, public toilets, public taps, vulnerable groups
public hall and temples

6 Limited access to common Prior information Preconstruction, Contractor, Tole/

property or natural resources about the impacts Construction stage Municipality staff,
shared with the DSCs, PCO,
affected VCs

44
 Arrangement for various concerned
alternative route to authorities
provide access to
the resource
Arrangement for
alternative access
to the same
resource
7 Persistent discrimination and ill- Engaging VCs in Preconstruction,
practices against VCs various project Construction &
development Operation stage
Lack of proper attention to activities at various
measures to empower vulnerable stages of project
groups
Engaging
representatives of
VCs in decision-
making forums
relating to project
design,
implementation
and monitoring

8 Geographical isolation (due to the Identify settlements Preconstruction,

remoteness, lack of transportation) located in remote Construction &
causing project to place less areas, to the extent Operation stage
priority to remote areas possible, and
inform them about
the project so that
they can get the
chance to engage
themselves in
project
development works

9 User charges for infrastructure Subsidized user Operation stage

services unaffordable to vulnerable charges for
groups vulnerable groups

10 Disruption ofcustomary rights of Compensation & Preconstruction,

use and access to land and natural livelihood Construction
resources restoration

11 Impacts oncultural and communal Shifting, Preconstruction

integrity restoration of
cultural properties
in consultation
with the concerned
VCs

12 Undermining ofindigenous Engage VCs, Preconstruction,

knowledge including Construction &
indigenous people, Operation stage
in decision making
throughout the
project cycle

45
 13 Project features inattentive to the Adopt universal Preconstruction,
needs of people with disability access as a major Construction Phase
design principle
Ensure disability-
friendly design
consideration in the
project, to the
extent possible
14 Inadequate representation of Include women Preconstruction
women in opportunities provided when targeting
under LIPW beneficiaries under
the LIPW

15 Inadequate representation of Include vulnerable Preconstruction

vulnerable groups such as Dalits in groups when
opportunities provided under targeting
LIPW beneficiaries under
the LIPW
16 Inadequate representation of Ensure that groups Preconstruction
vulnerable groups including represented
women and Dalits when vulnerable interests
identifying LIPW subprojects are involved when
LIPW subprojects
are selected

6.5. Consultation and Information Disclosure

Information disclosure and 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.

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.
46
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 Index 8. 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 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.
8UNDP Human Development Report 2017
48
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 Low SEA/SH risks Conduct consultations and As part of PCO/PIU
assessment of highlighted and identify key SEA/SH risks in ESIA
SEA/SH risks (as preliminary project areas and indicate the
low SEA/SH risk) mitigation measures measures to be adopted for the
as part of the identified Project.
social/gender
assessment in Mapping completed Map out SEA/SH prevention and
project’s of available, quality response services in project area
Environmental and services in the of influence – Reference to be
Social Impact project affected area made from the service mapping
Assessment (ESIA) that already exists at the national
level

9Chhaupadiis 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 SEA/SH Action Address how SEA/SH-related During PCO/PIU
risks, and measures plan included in the costs will be reflectedin the preparatio
to address them, in ESMP contract, including the n of ESMP
Project ESMP and procurement documents, to
Contractor ESMP Procurement for mitigate risks.
including the costs. SEA/SH related
activities and costs Clearly define the
outlined in the SEA/SHrequirements and
contract. expectations in a note to bidders.
Develop # of awareness and TOR developed for community During PCO/PIU10
stakeholder consultations held awareness raising activities preparatio
engagement plan (specialized service n of ESMP
Inform providers/contractors/NGOs
communities in identified and hired under Prior to
project areas of contract) and awareness and contractor
SEA/SH risks and consultations carried out. mobilizati
options for on
response
Formulate and CoC developed, Develop CoC and include it in all Prior to PCO/PIU/Cont
adopt code of included in all contracts and also in operations contractor ractor
conduct including contracts, and staff, manual and provide training to all mobilizati
sections on safety consultants, on
of women and girls contractors trained.

Hiring a Gender Appointment of Ensure implementation of the PCO/PIU

Specialist with gender specialist ‘Action Plan’.
expertise on with SEA/SH
SEA/SH to advise expertise Provide technical support for
and monitor action conducting the trainings.
plan during project Measure
implementation effectiveness of Develop tools, monitor and
SEA/SH Action evaluate the action plan items and
Plan over a certain report on a monthly, quarterly and
number of months annual basis.

Project Implementation
Codes of Conduct # of people oriented Ensure requirements in CoCs are Contractor,
signed and and trained on CoC. clearly understood by those Consultant,
understood signing it. PIU.
# of people who
signed CoCs 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.
Awareness on #no. of people made Conduct training on SEA and SH PIU and
Sexual exploitation aware of SEA and for project workers and local Gender
and abuse (SEA) SH issues community. specialist of the
and sexual project
harassment (SH). IEC material on Implement stakeholder
GBV, Codes of engagement plan and conduct
Conduct, etc. put up community awareness raising

10 PIU is understood as Destination Level Units

50
 in the work site, programs about SEA/SH
labor camps, mitigation measures – eg. Codes
surrounding of Conduct, GRM, how to report
communities. and provide multiple entry-points

Establish and Availability of an Provide appropriate referral to Gender

strengthen effective GRM with complainants. specialist of the
grievance redressal multiple channels to project
initiate a complaint At project level, select one
relating to SEA/SH. women member as first point of
contact for the survivors of
SEA/SH and provide appropriate
Number of SEA/SH training to them.
members trained.
Implement stakeholder
Inclusive SEA/SH engagement plan and conduct
system in place. community awareness raising
about SEA/SH mitigation
Number of SEA/SH measures – eg. Codes of Conduct,
issuesthat have been GRM, how to report and provide
referred to GBV multiple entry-points
Services Providers
Maintain proper documentation
for complaint registration and
management
Implement Documentation of Have separate, safe and easily PIU, Gender
appropriate measures taken to accessible facilities for women Specialist of
project-level reduce SEA/SH and men working on the site. the project.
activities to reduce risks.
SEA/SH risks prior Establish locker rooms and/or
to civil works latrines for workers and project
commencing 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.
Project Monitoring
Report in the Successful Reports SEA/SH related issues in PCO, PIU,
quarterly progress implementation of the quarterly progress report and Gender
report and review agreed SEA/SH review during ISR missions. Specialist
during ISR Risk Mitigation
missions. Action Plan (Y/N)

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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 will be 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 be engaged in the decision-making process through Tole Meetings
for identification of project (Refer to Appendix B).

52
 Project/Need
Municipality prioritization and
budgetary allocation

Ward Project/Need review

Tole Level Committee Need/Demand

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 Secondary Regarding the revision in
Ministry of Forest & GoN’s regulations,
Environment policies or plan
Department of National
Parks & Wildlife
Ministry of Women,
Children and Senior
Citizen
DUDBC Primary Regarding NUGIP project
MoUD objective, plan, internal
policies
Local Level Department of Secondary Specialized inputs on
Electricity local conditions,
Forest limitations and needs of
Land Survey the public, compensation
Land Revenue estimation
Irrigation
Water supply & sanitation
Traffic Police

53
 District Coordination
Committee
Municipality Offices Primary Project selection,
Ward offices selection of beneficiary
Tole Development and their needs
Committees
Sub-project Level Ward Representative Primary Impact of the project and
Associations (Business) & possible measures for
user groups ( road, water, mitigating them
irrigation, forest)
Women/ Mothers groups
Shopkeepers & vendors
Farmers group
Households
Extended users of the Secondary Projection of the usage of
project 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 will be 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 will
be 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 will be kept and made available to the public.

At step 5 – Sequencing of investment sub-project implementation over three (or four) years, the Planning Section will
draft a three-year UDG investment plan. The 3-year investment plan will then 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;
• Formation of focus groups involving key stakeholders, like local leaders, women, vulnerable group members
etc.; these could also serve as local community monitoring groups

55
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.

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
56
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 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:

57
 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 members should 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 will be 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 first level 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 remains

11As 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
unaddressed 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.

Online Grievance
• E-mail
• Toll Free No

PCO
3rd Level GRC
GRM 7 Days Max.
Register/Operator
(at PCO)
5 Days Max.
Municipality:
NyayikSamiti
2nd Level GRC 15 Days
Max.
Hearing of
Grievance

Wards
1st Level GRC 15 Days
Max.
30 Days
Max.

Offline
Grievance
from Tole or Verdict by GRC
Subproject
Level

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.

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

12
http://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,
PokharaLekhnath, 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, PokharaLekhnath, 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 (Eastern

62
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 required to 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. Nature of Training Targeted Entity Responsibility
No.
1 Objective, purpose of ESMF PCO, DSCs, Environment & Social World Bank, PCO
Process of ESMF implementation Departments of Municipalities
2 Understanding of ESIA/ESMP as PCO, Environment & Social PCO through UDST’s
decision making tool for Departments of Municipalities (training to be given by
sustainable project development external experts)
3 Awareness training on probable PCO, Environment & Social PCO through UDST’s
E&S concern pertaining to NUGIP Departments of Municipalities (training to be given by
sub-projects external experts)
4 Awareness training on PCO, Environment & Social PCO through UDST’s
Environmental & Social Safeguard Departments of Municipalities (training to be given by
Laws of GoN and World Bank’s external experts)
operational policy
5 Process of land transfer in case of PCO, Social Departments of PCO through UDST’s
involuntary resettlement Municipalities (training to be given by
external experts)
6 Awareness training on occupational PCO, Environment & Social PCO through UDST’s
Health and Safety issues relevant to Departments of Municipalities (training to be given by
various phases (preconstruction, external experts)
construction, operation) of NUGIP
sub-projects
7 Awareness training on purpose of PCO, Environment & Social PCO through UDST’s
stakeholder engagement at various Departments of Municipalities (training to be given by
stages of sub-project 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 Supervision Consultancy
63
(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.

Project Coordinating
Office (PCO-e.g.
DUDBC)

Project Mgmt
Support Team (PMST)
Design & Supervision Municipalities (in East &
Consultancy (DSC) West Clusters)

Municipals Project
Implementation Unit
(PIU-e.g ESD)
.

Figure 10-1.Coordination of Proposed Project Implementation Mechanism

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 Lekhnath

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. Can’t
Particulars Yes No Remarks
No Say
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?

111
 S. Can’t
Particulars Yes No Remarks
No Say
7. Alteration of surface water hydrology of waterways due to
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

Is the project requires acquisition of Govt. land/structures?

c. If yes please mention the area of land, number of affected structures,
Households

Present use of Govt. Land that will be used for the project activities
d.
with Persons/Households using

Is the project requires acquisition of private land/structures?

e. If yes please mention the area of land, number of affected structures,
Households

Present use of Govt. Land that will be used for the project activities
with Persons/Households using
✓ Agricultural purposes
f.
✓ Residential purposes
✓ Commercial purposes
✓ Other purposes (Indicate)

Is the project requires relocation of encroachers/squatters

g.
If yes please elaborate number and nature

Is the project requires relocation of community facilities/Govt.

h. establishment or any object that are of religious, cultural and historical
significance

Proposed project located in an area where residents are-

• All Mainstream
i. • All Indigenous peoples
• Majority Mainstream or Non-indigenous peoples
• Majority Indigenous peoples

2 Potential Social Impacts- Will the Project cause

Involuntary resettlement of people? (physical displacement and/or

a.
economic displacement)

Impacts on the poor, women and children, Indigenous Peoples or other

b.
vulnerable groups?

c. Will community facilities require relocation?

Will the sub-project disturb any traditional activity on adjoining or

d.
nearby?

poor sanitation and solid waste disposal in construction camps and

e.
work sites

113
 S. No. Particulars Details

Possible transmission of communicable diseases (such as STI's and

f.
HIV/AIDS) from workers to local populations?

Large population influx during project construction and operation that

g. causes increased burden on social infrastructure and services (such as
water supply and sanitation systems)?

Social conflicts relating to inconveniences in living conditions where

h.
construction interferes with preexisting roads

Describe any other impacts that have not been covered in this screening
i.
form

Describe alternatives, if any, to avoid or minimize displacement from

j.
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 have Moderate impacts;
straightforward issues; likely need for some routine mitigation and monitoring

Such NUGIP sub projects require 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

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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 Likely BoQ/

Env Issues/ Mitigation Time of Responsib
Sub Location Potential
Significance Measures Action ility
Project Impacts Cost

Sample Environmental Mitigation Measures

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CONSTRUCTION PHASE IMPACTS
Physical Environment
S.N Identified Impacts
1 Impacts associated with management of
excavated materials
2 Impacts of air pollution (particularly
dust) and its impacts on surrounding
environment
3 Impacts related to noise created by the
vehicle used for the transportation of
construction material
4 Impacts related to stockpiling of
construction materials
5 Impacts related to traffic obstruction and
traffic management
6 Possibility of contamination of water
source due sub project construction
activities.
7 Impacts related to health and safety of
workers, and visitors /worshippers
8 Impacts related to obstruction and
disturbances to visitors/worshippers of
temple/shrine
9 Impacts related to liquid waste, solid
waste, and sewage management during
construction phases of the project
Biological Environment
Environment Mitigation Measures
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.
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.
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.
Construction material shall be stored/stockpiled in designated
area (fenced and secured, covered).
Adequate traffic signs, warning signs, and scheduling of
transport operator in off office hours to avoid traffic congestion
and inconvenience to people.
Regular water sprinkling in approach road, construction sites.
Discourage use of direct discharge of water in to water bodies
without proper treatment.
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.
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.
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
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 S.N Identified Impacts Environment Mitigation Measures

1 Impacts related to disturbance to flora Trees should be protected and its cutting/removal is strictly not
and it’s cutting/removal during recommended.
construction period

Socio-economic, Cultural and Archaeological Environment

S.N Identified Impacts Environmental Mitigation Measures

1 Disturbance to local residents due to Prior information dissemination to the public regarding the
obstruction to their access, pollution etc 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 Record keeping of workers

influx 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 The access shall be provided to the priest of the temple/shrine

worshippers/pilgrims/visitors for for certain hours of the day. Due to this arrangement, the priest
entering temple premises during and visitors can visit the temple.
renovation of 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 Impacts Environmental Responsible Timing of Action
no. Monitoring Measures and Agencies
Construction/
Projected Cost
Operation

Impacts on Physical Environment

1. Disposal of solid waste, Hazardous wastes are Contractor

waste materials and properly segregated, treated
construction debris.

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2. Degradation of water
quality, air quality & noise
level due to project
construction activities.
3 Occupational Health
Hazard and Safety
11 Impacts on sanitation and
health of the community
due to increase in disease
vector and transmission of
disease from outside
workforce.
26 Reducing the land use
ESMP Implementation Structure and Stakeholers Responsibility
and disposed in approved
landfill sites.
Construction debris can de
used for land recovery and
land filling
Treatment facility during
construction period
Use of personal protective
equipment for workers.
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.
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.
Appropriate route
selection to minimize
impacts
Maximum use of existing
road and public land
Collection of spoils and its
management in scientific
way
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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.

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

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Appendix D: Initial scoping for subprojects

Pokhara Lekhnath: Upgradation of Talchowk- Begnas Road

Key Environmental Issues
• The project is expected to end approximately 500m away from Ramsar site
(Begnaslake). Since this is an urban road project and at the fringes of the lake, it is
important to determine its impact on the lake’s catchment area.
• As Talchowk is near to the lake there is more water vapor in the air due to which in
winter they have lot of fog in the surrounding area. When there will be increase in traffic
Proposed length: 3.2 Km and vehicular pollution the fog will become denser which might lead to deterioration
of air quality as well as visibility.
RoW: 30m
• Private trees will be cut during RoW clearance, some of the trees are fruit bearing
Carriage way: 14m tillSisuwa Chowk • Roads have water streams and culverts over it, during construction water pollution
could be an issue
7m afterthat intersection • There are un-utilized canals along the road (the land should belong to irrigation
department and there should be user group) which needs to be shifted
Design features: Road, greenarea, flexible • Electric poles, telephone lines and drains need to be shifted
pavement, trafficsigns, street furniture, • During operations, the increase in m o v e m e n t of vehicles might cause
cyclelane significant air pollution
• Road have sensitive receptors (both hospitals and schools) on the side
–air pollution and noise pollution is important issue
Key Social Issues
Benefits of the project:
• RoW was cleared few years back but there is encroachment from farmers which will
• Project will increase tourism to Begnas Lake have to be removed which might lead to crop loss
• This will provide economic opportunities to locals • Disruption to basic utilities and common property resources
• Currently there are lot of road accidents happening which could • Few homes have built ramps for access roads which will have to be destroyed
be reduced by using signal and speed control and road crossing • A religious place built by mothers’ group will be relocated
features in the proposed project
• Road connects to essential services like hospital and school
• Proposed drainage system will reduce the inundation
happening every year
• Reduce time for commuting

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Urlabari Municipality: Upgradation of Krishna Chowk to Community forest office road
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
Benefits of the project:
• Will improve economic prospects for dhamil community which is
socially deprived IP
• Due to lack of pucca access road, rate of development has been very slow
and very few public buses ply on theroad
• It will improve connectivity of public transportation
• Reduce commuting time to health facility, higher gradeschool, market
etc. Currently, community has to travel at least 7-8kmto access these
facilities, which takes the mmanyhoursasthereisno directconnectivity.
• Might also reduce immigration rate
• Drainage system will reduce the flooding of theroad
Key Environmental Issues
• The road terminates at community forest office, hence the proximity of community
forest is anenvironmental concern. However the road doesnot pass or require any
forestland, therefore the implications of the project on the community forest are
minimal.
• Cutting of private trees which belong to Kadamand Bakainaa species
• Road have water streams and culverts over it, during constructionwater pollution
could be an issue
• Electric poles need to be shifted
• Road have sensitive receptors (school) – air pollution and noise pollution is
important issue
• Due to increased accessibility to community forest, there could be increase in
Illegal waterlogging
Key Social Issues
• RoW is not cleared in Tribeni Sunjoda stretch but Municipality has ascertained
people have land ownership document and would be willing to donate portion of land
• There is an agricultural land, part of land will have to be acquired
• There will be damages to structures like boundary of house ands chool, private
handpump
• Disruption to basic utilities and common property resources
• Due to high immigration rate most households are women headed. Due to project
some of the temporary shops (owned by females) have to be shifted. If the
landownership is on their name, transferring portion of land to municipality might
bring conflict in household. During construction, there will be risk of raise in safety
issue of females.
• Due to labor influx, there might be rise in conflict due to shared resources
Like fuelwood
• Project alignment runs along Sunjhoda Riverbank, during constructionfew
settlement’s road accessibility will be impacted
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114
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Damak Municipality: Upgradation of road at ward no. 2 and 5- P21

Key Environmental Issues

Proposed length: 4.861Km
RoW: 12 m
Carriage way: 7m
Designfeatures: Road, utility duct on both
sides, pavement, street furniture, cyclelane,
Tactiletileto aidmovement ofvisually impaired,
Junction improvement of Tarabari Dipu
Benefits of the project:
• Reduce congestion on East-WestHighway
• Due to lack of pucca access road, there is lot of dust dispersion by
vehicular movement
• There is flooding in monsoon, culverts are not properly constructed, and
riverbed rises due to sedimentation. Project will improve drainage system
and culverts as well.
• Will bring more economic opportunities to the area. Currently, community
is not able to develop marketplace ast he road is kuccha there is limited
traffic movement
• Roads have water streams and culverts over it, during construction
Water pollution could be an issue
• CuttingtreesfromKadamspecies
• Electric poles need to beshifted
• Road have sensitive receptors (school)–air pollution and noise pollution is
important issue
• Due to increased accessibility to riverbed, there could be increase in
Illegal sandmining
• Clearing of trees
Key Social Issues
• There is agricultural land, part of land will have to be acquired
• There will be relocation of one temporary shop owned by backward group
• Disruption to basic utilities and common property resources
• Lack of sufficient publictoilets and hence open defecation
• With construction of project there will be increase in movement of heavy
vehicles as well as other motorized vehicle which will increase road safety
concerns
• Due to labor influx, there might be rise in conflict due to shared
Resources like fuel wood, water, food

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Birtamod Municipality: Upgradation of Buttabari-Pyakurel Road-P15
Key Environmental Issues
Proposed length: 6.26Km
RoW: 12m (9-10mat Saraswati
School Area) Carriageway: 7m
Design features: Road, utility duct on
both sides, pavement, street, Tactile tile to aid movement
of visually impaired, Junction improvement at E-W
Highway Junction and Birtamod Chandragadhi Road,
minor bridges
Key Social Issues
Benefits of the project:
• Due to lack of pucca access road, there is lot dust dispersion by
vehicularmovement
• There is flooding in monsoon, culverts are not properly constructed.
Project will improve drainage system and culverts as well.
• Will bring more economic opportunities to the area
• Accessibility to local religious places
• There is a National Forest Patch (CharaliForest) maintained by community at the eastern
side of project road at a distance of 0.250 to 1.000Km range. Denia Khola, a perennial
river flows adjacent to the forest area on the easternside of project road. But as the road is
intermediate which will have limited traffic there by limited environmental impact
• Roads have water streams and culverts over it, during construction water pollution
could be an issue
• Electric poles need to be shifted
• Road have sensitive receptor (school)–air pollution and noise pollution
Is an important issue
• Near Khoparion proposed road, there was a low-lying small section of 50m which was
affected due to waterlogging for quite a long time
• Herdof migratory Elephant (6-13 in a herd) use to follow Charali forest patch
tomigratetowards Jalthal National Forest. Jalthal Forest is located about 8km away to the
southern side of project road. Elephant migration occurs about 3 times in the year during
harvesting seasons in the associated area
• Clearing of private trees
• There will be relocation of a school which is already under process
• A few indigenous women sell Bhakka (indigenouscookedbread on vapor) on the roadside
which will be relocated.
• Disruption to basic utilities and common property resources
• With construction of project there will be increase in movement of heavy vehicles as well
as other motorized vehicle which will increase road safety concerns
• Due to labor influx, there might be rise in conflict due to shared resources like
Fuel wood, water, food, raise women safety concerns
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Appendix E: Environmental & Social Mitigation Measures
Environmental Impacts and Mitigation Measures
EnvironmentalImpact /
Aspect
DESIGNSTAGE
Consideration of Design
Alternatives
Issues from stakeholder
consultations
Design for Geologically
Unstable/Land Slide prone areas
Impact on Ecologically
Sensitive areas like Protected
Areas (National Parks, Wildlife
Reserve, Hunting Reserve,
Conservation Areas, Buffer
Zones), Ramsar Site, Breeding,
Nesting Ground of
migratoryspecies, Wildlife
Corridor/Migration Route etc.
Impact on historically significant
sites
Road safety issue due to poor
geometrics
PRE-CONSTRUCTION
STAGE
Land Acquisition and
Loss of Properties
Acquisition of Private Land
Impact on structures/properties
Impact on vulnerable
communities
Shifting of Utilities
Relocation of Utilities
ResponsibleEntity
MitigationMeasures
The proposed alignment/design to be selected/ DPR consultant, PCO,
adjusted Municipalities
to minimize land acquisition
to avoid socially, culturally & environmentally
sensitive areas–structures, Common Property
Resources, cultural properties, waterbodies,
vegetation cover, forestetc.
Various issues raised during public consultation to be DPR consultant, PCO,
examined & suitably incorporated based on merit & Municipalities
other safety measures
Provision of retaining wall/breast wall (as DPR consultant, PCO,
applicable) and other suitable measures for Municipalities
land stabilization should be adopted
Prior care should be given to finalize the project DPR consultant, PCO,
location/s. Project shouldn’t be developed in such Municipalities
ecologically fragile or in the vicinity which may
have plausible impact on these ecosystems
To avoid impact on historically significant DPR consultant, PCO,
archaeological/ anthropological sites, the Municipalities
project development shouldn’t be commenced in
the vicinity of historically important sites
Design of geometric improvements as per DPR consultant, PCO,
design standards Municipalities
Compensation for loss ESIA consultant, ULGs,
Livelihood restoration PCO, Municipalities
Training and capacity building
Engaging PAPs in process of project development
All community underground and overhead DPR consultant, concerned
utilities will be shifted as per proper Utility department/s, PCO,
Shifting Plan after taking prior permission Municipalities
from concerned departments like Electricity,
Telecommunications, Waterworks etc.
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 EnvironmentalImpact/
Aspect
Loss of drinking water source
Mobilisation&Site
Clearance
Removal of Trees & Vegetation
Cover
Loss of Forest Land
Loss of Agricultural Land &
Crops
Dismantling of Existing
Structures
Mobilization of Crushers,
Construction plants, other
Construction Vehicles,
Equipment and Machinery
Setting up of construction
camps
Identification of construction
debris disposal site
Generation of Dust and
Emission from site clearing
equipment
ResponsibleEntity
MitigationMeasures
Drinking water source to be replaced in DPR consultant,
consultation with the locals. Temporary concerned stakeholders,
arrangements should be provided, if the PCO, Municipalities
existing water supply is likely to be
disrupted/disturbed
Trees and Vegetation cover will be removed from ESIA Consultant,
the project development area before the Contractor, PCO,
Commencement of Construction after obtaining Municipalities
necessary permissions from the forest
Department. Provision for compensatory plantation
should be kept as per the guideline of the Forest
Department
Forest Clearance from Forest Department to be ESIA Consultant,
obtained prior to initiation of any activity on Contractor, PCO,
forest Municipalities
Compensation to landowner for acquisition of land ESIA Consultant, PCO,
and damage of crops (as applicable) Municipalities
Existing structures (if any) from project ESIA Consultant,
development area should be dismantled after Contractor, PCO,
taking formal concurrence from respective Municipalities
stakeholder/s
Specifications of crushers, construction plants, Contractor, PCO,
Other Construction Vehicles, Equipment and Municipalities in co-
Machinery should comply to the norms of ordination with DSC
pollution control legislations of Nepal
Ideally the construction camps should be located at Contractor, PCO,
least 500m away from habitations away from Municipalities in co-
sensitive locations. ordination with DSC
The Contractor during the progress of work will
provide, erect and maintain necessary (temporary)
living accommodation and ancillary facilities for
labour to standards and scales approved by the
World Bank.
Following points are to be considered for Contractor, PCO,
Selection of site for Debris disposal- Municipalities in co-
It should not be located within designated to ordination with DSC
restore ecologically sensitive areas
The dumping should not impact natural drainage
courses
Settlements should be located acceptably away
from the disposal site
Vehicles carrying dismantled materials should Contractor, PCO,
be covered to reduce spills and dust blowing off Municipalities in
the load. coordination with DSC
Water spraying should be carried out at regular
intervals to limit the dust to below
Plants, machinery and equipment shall be so
handled (including clearing and dismantling) as to
minimize generation of dust.
All vehicles, equipment and machinery used for
construction shall be regularly maintained
118
 EnvironmentalImpact/
Aspect
Shifting of Cultural/Religious
Properties
CONSTRUCTIONSTAGE
Clearances and approvals
Land
Soil Erosion and
Sedimentation control
Loss of agricultural topsoil
Compaction of Soil and
Damage to Vegetation
EnvironmentalImpact/
Aspect
ResponsibleEntity
MitigationMeasures
To ensure that pollution emission levels comply
with the relevant requirements of MoFE
Regular monitoring of ambient air quality should
be conducted for the parameters like PM10,
PM2.5, SO2,NOx,CO,O3, at suitable locations
Cultural and Religious properties should be Contractor, PCO,
shifted to the nearby location in consultation with Municipalities in
local community and administration. coordination with DSC
Prior to initiation of construction work ESIA Consultant,
necessary permissions are to be taken from Contractor, PCO,
respective stakeholders. Municipalities
Main reason of soil erosion is downpour. Contractor, PCO,
Contractor should plan the activities so that no Municipalities in
naked /loose earth surface is left out before the onset coordination with DSC
of monsoon. For minimising the soil erosion
following preventive measures to be taken such as:
Top soil from borrow area, debris disposal sites,
construction site to be protected/ covered for soil
erosion.
Debris due to excavation of foundation,
dismantling of existing structure will be removed
from the watercourse immediately and should be
reused for backfilling.
Along locations abutting waterbodies, stone
pitching can be carried out.
Embankment slopes to be covered, soon after
completion.
Diversions for bridges/culverts will be removed
from the water course before the onset of
monsoon
All areas to be permanently covered or borrow areas Contractor, PCO,
will be stripped to a depth of 150mm and Municipalities in
Stored in stockpile. The stockpile will be designed coordination with DSC
such that the slope does not exceed 1:2 (vertical to
horizontal), and the height of the pile is to be
restricted to 2m. The stockpiles should be covered
with gunny bags or tarpaulin.
Top soil will be safeguarded from erosion and
will be reused as follows:
Covering all borrow areas after excavation is
over.
Dressing of slopes of road embankment
Agricultural field, acquired temporarily
Landscaping
Construction vehicles should operate within the Contractor, PCO,
project development zone to avoid damaging Municipalities in
soil and vegetation of outside. coordination with DSC
ResponsibleEntity
MitigationMeasures
119

Contamination of soil
1.Quarrying
2.Material sources
Generation of Debris
Disposal of Debris
Air
Dust generation and gaseous
emission from construction
activities and equipment
Diversions, access roads used will be redeveloped
by Contractor to the satisfaction of the owner/
villagers once the construction work is over. While
operating on temporarily acquired agricultural
land for any construction activities, topsoil will be
preserved in stockpiles.
Due to handling of Hazardous waste Contractor, PCO,
Vehicle/machinery and equipment operation, Municipalities in
maintenance and refueling shall be carried out in coordination with DSC
such a fashion that spillage of fuels and lubricants
does not contaminate the ground.
Fuel storage shall be in proper bunded areas. All
spills and collected petroleum products shall be
disposed of in accordance with Government of
Nepal guidelines at designated locations.
Oil interceptor should be installed at construction
site for wash down and refueling areas.
Septic tank will be constructed for safe disposal
of labour camp waste.
Quarry material shall be sourced from approved Contractor, PCO,
and licensed aggregate and sand quarries. Municipalities in
For operating new quarries, the Contractor shall coordination with DSC
obtain materials from quarries only after consent
of the concerned authorities and only after
development of a comprehensive quarry
redevelopment plan.
Adequate safety precautions shall be ensured
during transportation of quarry material from
quarries to the construction site. Vehicles
transporting the material shall be covered to
prevent spillage.
Debris generated due to excavation, dismantling of Contractor, PCO,
structures, cutting of the hill etc should be suitably Municipalities in
reused in the construction activity to the extent coordination with DSC
possible
The disposal of debris shall be carried out only at Contractor, PCO,
sites identified for the purpose. All arrangement for Municipalities in
transportation, dismantling and clearing debris coordination with DSC
should be planned and implemented by the
Contractor in an environmentally acceptable manner
Vehicles delivering materials should be covered Contractor, PCO,
to reduce spills and dust blowing off the load. Municipalities in
Clearing and grubbing to be done, just before the coordination with DSC
start of next activity on that site.
Waterspraying is needed to aid compaction of the
earth material. After the compaction,
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 EnvironmentalImpact/ ResponsibleEntity
MitigationMeasures
Aspect
water spraying should be carried out at regular
intervals to limit the dust to below
Construction surfaces should be cleaned with air
compressor and vacuum cleaners prior to the
construction works.Manual labour using brooms
should be avoided, if used labour to be provided
with masks.
For roads, embankment slopes to be covered with
turfing/stonepitching immediately after
completion.
The Contractor shall take every precaution to
reduce the level of dust emission from the hot
mix plants and the batching plants
Plants,machinery and equipment shall be so
handled (including dismantling) as to
minimisegenerationofdust.
All vehicles,equipment and machinery used for
construction shall be regularly maintained to
ensure that pollution emission levels comply with
the relevant requirements of MoFE
Regular monitoring of ambient air quality should
be conducted for the parameters like PM10,
PM2.5, SO2,NOx,CO,O3,Pb at suitable locations

Only the crushers already having valid license of Contractor, PCO,

Pollution from Crusher GoN shall be used. Municipalities in
coordination with DSC
Water
Proposed site should be devoid of any waterbody Contractor, PCO,
so that no acquisition ofwater body takes place Municipalities in
In case of unavoidable situation (like widening coordination with DSC
ofroad) if the waterbody is partly affected; the
volumetric loss of capacity should be
compensated byexcavation of an equal volume of
similar dep that closest possible location should
be done in an environmentallyacceptable manner
Debris shouldn’t be disposed or no material
should be stored near any waterbody which
threats to cause volumetric loss of water resource
due to siltation
Silt fencing to be provided in the construction
Impacton water resources areas (near water bodies)
Prior permission from authorities for use of water
(surface/ground) for construction activity should
be taken.
Construction labours to be restricted from
polluting the source or misusing the source.
Shifting of drinking water source to be

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 EnvironmentalImpact/ ResponsibleEntity
MitigationMeasures
Aspect
completed prior to disruption of the actual source
Alternate measures to be taken/ensured during
disrupted period.
Source to be replaced immediately, in case of
accidental loss.

If any alteration of existing drainage is required Contractor, PCO,

then diversions will be constructed during dry Municipalities in
season, with adequate drainage facility, and will coordination with DSC
be completely removed before the on set of
monsoon
Alteration of drainage Debris generated due to the excavation of
foundation or due to the dismantling of existing
structure will be removed from the watercourse
Surface Runoff & Water
Logging Silt fencing tobe provided on the mouth of
discharge into natural stream
Siltation in water body Proper drainage network to be developed to avoid
any impact on drainage condition and to cater
surface run off flow.

Contractor should identify a list of sources Contractor, PCO,

(surface/ ground) for construction water Municipalities in
Prior to use of water (surface/ground) permission coordination with DSC
should be taken from respective authority
During construction onlypermittedquantity
Water requirement for (permission taken) from approved sources
project/stress on water willbeused.
source Contractor will ensure optimum use of water;
wastage of water in construction/labour camp
should be religiously restricted.

Measures suggested under “Soil Erosion and Contractor, PCO,

Sedimentation control” should be followed. Municipalities in
Silt fencing should be provided in the construction coordination with DSC
Silting/sedimentation areas near water bodies.
Construction activities should be avoided near
water bodies duringmonsoon.
Measure ssuggested under “Contamination of Contractor, CO,
soil” will be enforced. Municipalities in
Construction work close to water bodies coordination with DSC
shouldbeavoidedduringmonsoon.
Silt fencing should be provided in the
construction areas near water bodies.
Labour camps should be located away from water
Contaminationof water bodies and should be equipped with septic tank.
Care to be taken so that the discharge from labour
camp/construction camp doesn’t contaminate
surface or groundwater
Carwashing/workshops near water bodies

122
 EnvironmentalImpact/
Aspect
should be avoided.
Contaminationof Ground
waterduringboring/well
construction
Noise
Noise from Vehicles, Plants
and Equipment, Blasting or
Pre-splitting Operations
Sites of Historical
/Cultural Importance
Chance Finds
Flora&Fauna
Avoidable trees must be saved
Felling of trees and
disturbance of vegetation
cover
ResponsibleEntity
MitigationMeasures
Oil interceptor should be in stalled at suitable
locations
Water quality (surface and ground) should be
monitored at suitable locations
Necessary care should be given during well Contractor, PCO,
construction to prevent accidental contamination Municipalities in
of Groundwater coordination with DSC
Noise standard at processing sites, e.g. aggregate Contractor, PCO,
crushing plants, batching plant, hot mix plant will Municipalities in
be strictly monitored to prevent exceeding of coordination with DSC
noise standards.
Workers in vicinity of loud noise, and workers
working with or incrushing, compaction, concrete
mixing operations shall wear earplugs and their
working time should be limited as a safety
measure.
In construction sites within 150m of sensitive
receptors construction will be stopped in Night-
time (from 22:00 to 06:00).
Machinery and vehicles will bemaintained to keep
their noise to a minimum level.
Noise barriers may be constructed at sensitive
receptor locations.
All vehicles and equipment used in construction
shall be fitted with exhaust silencers.
During routine servicing operations, the
effectiveness of exhaust silencers should be
checked and if found to be defective shall be
replaced.
The contractor should keep provisions for Contractor, PCO,
managing chance finds which will be applied in Municipalities in
the event if cultural heritage is subsequently coordination with DSC
discovered or encountered unexpectedly during
project development. The contractor should
ensure no disturbance to any chance find further
until an assessment by competent professionals is
made and action is taken by concerned authority.
Clearing of vegetation/trees must be limited Contractor, PCO,
only within project development zone. Municipalities in
coordination with DSC
Possibility for transplantation of trees should be
explored
Plantation/afforestation activity should be
activity initiated in accordance to Govt.of
123
 EnvironmentalImpact/
Aspect
Impact on Fauna
Disturbance of aquatic
ecosystem due to un wanted
discharge, malhandling of
material
Socio–Economic
Environment
Public Health and Safety
Threat of Accidents
Temporary Loss of
Access / Traffic Congestion
Road Safety And
Construction Safety
Traffic Control and Safety
ResponsibleEntity
MitigationMeasures
Nepal afforestation policy
Provision of LPG should be kept for
construction camp as fuel source to avoid tree
cutting
Construction camps should be located away from Contractor, PCO,
ecologically sensitive areas Municipalities in
Construction workers must protect natural coordination with DSC
resources and wild animals.
Hunting must be prohibited.
Nesting grounds & migratory paths/wildlife
corridor of the vicinity (if any) should be
protected.
Compensatory afforestation should be taken up to
mitigate loss of biodiversity associated with loss
of tree and vegetation cover
It should be ensured that treated waste are only Contractor, PCO,
discharged to drainage systems (which eventually Municipalities in
meet aquatic system). coordination with DSC
Provision for silt fencing/Oil interceptor should
be kept for suitable locations
Construction materials should be handled
properly to avoid accidental contamination of
aquatic system
Debris generated should be disposed of properly Contractor, PCO,
in designated disposal site/s Municipalities in
Monitoring of air, water, noise and soil should be coordination with DSC
conducted to cross check environmental condition
and to take necessary mitigation measures if
required.
The Contractor will provide, erect and maintain Contractor, PCO,
barricades, including signs marking flats, lights and Municipalities in co
flagmen as required in the project during ordination with DSC
construction phase
The construction works should not interfere with Contractor, PCO,
or cause inconvenience to public or restrict the Municipalities in
access to use of properties whether public or coordination with DSC
private and plan for traffic decongestion should
be kept.
Detailed Traffic Control Plans should be Contractor, PCO,
prepared. The traffic control plans should contain Municipalities in
details of arrangements for construction under coordination with DSC
traffic and details of traffic arrangement after
cessation of work eachday.
The Contractor shall take all necessary measures
for the safety of traffic during construction and
provide, erect and maintain
124
 EnvironmentalImpact/
Aspect
Risk from Construction Work
Risk from Electrical Equipment
Risk at Hazardous Activity
Risk caused by Force Majure
First Aid
Health and Hygiene
ResponsibleEntity
MitigationMeasures
Such barricades, including signs, markings, flags,
lights and flagmen as may be required for the
information and protection of traffic approaching
or passing through the section of the road under
improvement.
The Contractor is required to comply with all the Contractor, PCO,
precautions as required for the safetyof the Municipalities in
workers as per the International Labour Org coordination with DSC
anisation (ILO).
The Contractor shall supply all necessary safety
appliances such as safety goggles, helmets,
masks, etc., to the workers and staff.
The Contractor has to comply with all regulation
regarding safe scaffolding, ladders, working
platforms, gangway, stairwells, excavations,
trenches and safe means of entry and egress.
No child labour shall be utilized in the project
Adequate precautions should be be taken to Contractor, PCO,
prevent danger from electrical equipment. Municipalities in
All necessary fencing and lights will be provided coordination with DSC
to protect the public.
All workers employed on mixing asphaltic Contractor, PCO,
material, cement, lime mortars, concrete etc, will Municipalities in
be provided with protective footwear and coordination with DSC
protective goggles.
Workers, who are engaged in welding works,
would be provided with welder’s protective eye-
shields. Stonebreakers will be provided with
protective goggles and clothing and will be seated
at sufficiently safe intervals.
Theuse of any toxic chemical shall be strictly in
accordance with the manufacturer’s instructions.
All reasonable precaution will be taken to prevent Contractor, PCO,
danger of the workers andthepublic from fire, flood, Municipalities in
drowning, etc. All necessary steps will be taken for coordination with DSC
prompt first aid treatment of all injuries likely to be
sustained during the course of work.
At every workplace, a readily available first aid Contractor, PCO,
unit including an adequate supply of sterilised Municipalities in
dressing material and appliances will be provided. coordination with DSC
Suitable transport should be provided to bring
injured or ill person(s) to the nearest applicable
hospital.
Latrines in construction/labour camp should be Contractor, PCO,
provided with septictank. Municipalities in
The septic tank should be cleaned periodically. coordination with DSC
125
 EnvironmentalImpact/ ResponsibleEntity
MitigationMeasures
Aspect
The effluents can be diverted for horticulture
inside the camps.
Workers must have access to potable water.
Garbage bins must be provided in the camps
and regularly disposed off in a hygienic
manner.
Adequate health care facility should be
provided for the workforce. Unless otherwise
arranged for by the locals anitary authority, the
local medical health or municipal authorities.
On completion of the works, all such temporary
structures shall be cleared away, septic tank
and other disposal pits should be filled in
environmentally acceptable manner

Contractor should prepare site restoration Contractor, PCO,

plans. The plan is to be implemented by the Municipalities in
Contractor prior to demobilisation. coordination with DSC
On completion of the works, all such temporary
Construction Camps’ structures shall be cleared away, septic tank and
Restoration other disposal pits should be filled in
environmentally acceptable manner.
Residual top soil (if any) will be distributed on
adjoining/landscaping areas.
The monitoringof Air, land, water and Noise to Contractor, PCO,
Monitoring of Environmental
be carried out at suitable critical locations of Municipalities in
Quality
project site. coordination with DSC
POST-CONSTRUCTION STAGE
STAGE
• Clean up the project site and clear the working Contractor
Stockpiles, solid wastes and area of unutilized construction materials and
construction debris heavy equipment
• Conduct a final clean-up of solid wastes
• Proper disposal of construction debris

Signages, barriers, road obstructions • Removal barriers and other signages Contractor

Waterways • Ensure that waterways are not clogged with Contractor

construction debris and other waste materials

OPERATION STAGE
Soil/Water quality degradation
due to surface run-off
Siltfencing, Oil & Grease traps, etc. shall be PCO, Municipalities
provided to ensure that the waterquality is not
impaired due to contaminants from road run-
off.
Monitoring shall be carried out at suitable
locations
Provision for proper drainage network should
be kept

Contamination of Soil and Water
Resources from Spills/Accidents
Increase of Pollution Level
EnvironmentalImpact/
Aspect
In Ambient Air
Noise
Ecology
Traffic and Accident Safety
Generation of dust and noise
due to maintenance work
Temporary loss of access / traffic
congestion
Risk of accidental
contamination of soil/ surface,
groundwater resource and
possibility of mixing with
water supply line due to
leakages/overflows from the
sewer lines in operation phase
Contingency plans to be in place for cleaning PCO, Municipalities
up of spills of oil, fuel and toxic chemicals.
Spill of oil, fuel and automobile servicing units
without adequate disposal systems in place to
be discouraged.
Accidental spills are potentially disastrous, but
its probability is quite low as one of the
objectives of this project is to enhance road
safety.
The Public will be informed about the
regulations on land pollution.
Land pollution monitoring program has been
devised for checking pollution level and
suggesting remedial measures.
Dust suppression PCO, Municipalities
ResponsibleEntity
MitigationMeasures
HORN PROHIBITED sign post will be enforced PCO, Municipalities
Maintenance of noise barriers
The public will be informed about the regulations
on noise pollution.
Compensatory afforestation PCO, Municipalities
Protection of planted trees
Depending on the level of congestion and traffic PCO, Municipalities
hazards, traffic management planswill be
prepared.
Traffic control measures including speed
limitstobeenforcedstrictly.
Road control width to be enforced. Local
government bodies and development authorities
will be encouraged to control building
development along the highway.
As recommended under construction section Contractor, PCO,
Municipalities in
coordination with DSC
The construction works should not interfere with Contractor, PCO,
or cause inconvenience to public or restrict the Municipalities in
access to use of properties whether public or coordination with DSC
private and plan for traffic decongestion should
be kept.
Immediate action to restrict the contamination and Contractor, PCO,
overflow of sewage Municipalities in
coordination with DSC
Chance of contamination due to
handling, transportation and
disposal of solid waste and
sewage treatment plants
Risk of contaminating surface
and groundwater by seepage and
leachate from disposal sites &
destabilization of heaps of waste
at the landfillsite
Segregation of waste at source. Contractor, PCO,
Collection of waste at regular interval. Municipalities in
Proper collection, handling and disposal of waste coordination with DSC
is necessary to avoid contamination of
surrounding soil, water environment and nuisance
due to generation of foul smell.
Maintenance of disposal site
Proper monitoring of landfill site and its PCO, Municipalities
maintenance
Slope stabilization

The monitoring of Air, land, water and Noise to be PCO, Municipalities

Environmental Monitoring at
carried out identified critical locations as identified
critical locations
Appendix F: Contents of the Resettlement Action Plan

Contents of the Resettlement Action Plan (RAP) shall include the following as a basic minimum:

Executive Summary

Project description

Objectives and Study Methodology

Socio-Economic Profile of the projectarea

Regulatory Policies with respect to Social Safeguards

Proposed Improvements under the project

Options considered for minimizing adverse impacts

Assessment of Project impacts

Baselines Socio Economic Survey

Public Consultation & Disclosure and Plan

Nature and magnitude of impacts

Type of impacts

Compensation and R&R assistance

Livelihood Restoration and Income Generation Plan

Gender Dimensions and Action Plan

Grievance Redress Mechanism

Implementation Schedule and Budget

Institutional Arrangements

Implementation Arrangements

Monitoringand Evaluation

A RAP would be prepared covering the following minimum elements:

A census survey of displaced persons and valuation of assets;

Description of compensation and other resettlement assistance to be provided;

Consultations with displaced people about acceptable alternatives;

Institutional responsibility for implementation and procedures for grievanceredress;

Arrangements for monitoring and implementation; and

A time table and budget.

Appendix G: Assessment of Institutional Capacity
A glimpse of Institutional Strength (E&S Department) of Eastern Cluster Municipalities

Particulars Birtamod Damak Urlabari Sundar Mechinagar Itahari Rajbiraj Triyuga Dhankuta
Haraicha
Separate Yes Yes No Yes Yes Yes Yes Yes Yes
Environment
& Social cell
Efficacy of •5 Environment •Environment •Staff are •10 permanent •Staff are •Head of the unit •Both experts •1 Environmental
E&S and 3 Social staff staff are hired permanent staff involved in permanent ispermanent and are Staff & 3 Social
departments (including on temporary •Staff are not survey work and temporary others staff are permanent Staff
permanent and basis. Social involved in pertaining to •The temporary. •Staff are not •Staff are not
temporary) involv staff is project social and Environment •Department is involved in involved in
ed in preliminary permanent planning or environmental officer had past responsible for project project
survey work •Staff are not appraisal assessment experience of coordination and planning or planning or
pertaining to involved in process conducting facilitation of the appraisal appraisal
social and project •Municipality IEE/ESIA environmental process process
environmental planning or has studies. He is and social •Municipality •Municipality
assessment (like appraisal experience also committee under has hasexperience
assessment of process in preparing responsiblefor the municipality experience of preparing
impact on trees, •Municipality ESIA/ESMP monitoring of •The department’s of preparing EIA/ ESMF
structures) has through efficacy of roles include ESIA/ESMP but all were
experience of external EMP being management of through outsourced
preparing agencies adopted in education, external •One of the staff
ESIA/ ESMP •Hasn’t various health, social agencies was engaged in
through prepared industries security, •Haven’t review of
external ESIA / prior to issuing sanitation etc. prepared ESIA-ESMP
agencies ESMP for pollution related issues ESIA/ESMP prepared by
multilateral under control •Staff are not for external
funding certificate involved in multilateral consultant for
agencies project planning funding UGDP (ADB
or appraisal agencies funded)-2
process weekly market
•Staff carry out development
preliminary project
social and
environmental

131
131
131
 Particulars Birtamod Damak Urlabari Sundar Mechinagar Itahari Rajbiraj Triyuga Dhankuta
Haraicha
survey (like
assessment of
impact on trees,
structures) after
project
identification

A glimpse of Institutional Strength (E & S Department) of Western Cluster Municipalities

Particulars Pokhara Vyas Putalibazar Baglung Tansen Ramgram Tilottama Shuklagandaki

Leknath
Separate Yes OnlySocialUnit Yes No Yes No Yes Yes
Environment
&Social cell
Efficacy of Roles: Roles:social Roles: social Roles: social Roles: social 1 Env. Officer, 3
departments Social safeguard, safeguard, safeguard, safeguard, staffinsocialcell
safeguard, social Panjikaran, Panjikaran, Panjikaran, Roles:Solidwaste
Panjikaran, inclusionand women –child- women – child- women–child- management,
women child- monitoringof Dalit-Janajati Dalit - Janajati Dalit - Janajati Women
Dalit –Janajati Social targeted program, targeted targeted Empowerment
targeted Organization elder citizen program, elder program, elder programs, Social
programs,elder Municipality program, social citizen program, citizenprogram, security and
citizen has inclusion and social inclusion social inclusion registrationofvital
program, social experience of monitoring of and monitoring and monitoring events, Co-
inclusion and preparing SocialOrganization of Social of Social ordination and
monitoring of ESIA/ ESMP Solid waste Organization Organization facilitation of tole
Social through management, Solid waste Solid waste vikassanstha.Skill
Organization external pollution, management, management, development
Solid waste agencies plantation, pollution, pollution, Staff have never
management, Have supervision of plantation, plantation, prepared/reviewed
plantation, experience of environment supervision of supervision of any ESIA-ESMP
Greenery working with activities environment environment
promotion ADB Municipality has activities activities
&Landscaping, experience of
Pond preparing ESIA/
Conservation

132
132
132
 Particulars Pokhara Vyas Putalibazar Baglung Tansen Ramgram Tilottama Shuklagandaki
Leknath
•Municipality has ESMP through •Municipality has
experience of external agencies experience of
preparing •Have experience of preparing
ESIA/ESMP working with ADB ESIA/ ESMP
through through external
external agencies
agencies
•Have
experience of
working with
ADB and JICA
•Technicalteam
examines and
conducts
survey;prepare
feasibility
report and the
DPR.

Institutional Assessment of Environment Department of Various Municipalities

Parameters Pokhara Putalibazar Shuklagandaki Itahari Dhankuta S.Haraincha

Strength of Env.Cell -1 Staff (BSc- Env.Cell-1 Staff (MA- Env.Cell -1Staff (B.Com); Env. Cell -1 Staff (M.Sc- Env. Cell -1 Staff Disaster Management
Environment Cell Environmental Science, Economics, MA-Pol. Innearfuture one more Environmental Science, (B.Com); Officer is currently in
Ukraine) Disaster Science, LLB- Environmental Person will Khulna University).The additional charge of Env.
Management– 1 Staff Environmental Law). The be appointedin the staff isholding additional Officer (B.ED). However,
staff is holding additional municipality charge of Disaster Disaster Management
charge of Management Officer officer is a part
AdminOfficer,Headof andSolid Waste ofSocialCell
Legal Section, Disaster Management Officer
Management Officer
Roles and responsibilities Plantation, Plantation, Gavian Solid waste Issuance of Pollution Solid Waste Management, Awareness on threat
Maintenance of Public Filling, Landslide management only Under Control Supervision of landfill site from Elephant, fire
Park, Greenery Protection Certificate for various redevelopment, awareness prevention; monitoring
promotion & Landscaping, operational industries, program on of plantation,
Pond Supervision of Solid

133
133
133
Parameters Pokhara Putalibazar Shuklagandaki Itahari Dhankuta S.Haraincha
Conservation, Waste Management, River environmental Cleanliness, supervision of solid
Conservation of religious Bank Protection& Flood plantation & greenery wastemanagement
trees, Control, Monitoring of development
plantation activity

Key Expertise/ - The staff completed - The staff had been Solid waste management & -
Specialization LLB in Environmental Involved in preparation of landfill site management
lawin2017 ESIA/IEE Reports.
Had verygood
understanding about
Environmental laws and
regulationsofGoN.
Involvement in Project Not involved/consulted Not involved/consulted Not involved/consulted Not involved/consulted Notinvolved/consulted Notinvolved/consulted
execution (Planning, during planning of during planning of during planning of during planning of during planning of during planning of
Construction & Operation) infrastructure development infrastructure development infrastructure development infrastructure development infrastructure development infrastructure development
project project project project. project project
Sometimes, theviewof
Env. cell is considered by
the municipality. For eg.
in case of extraction of
borrow material from river
banks, the staff’s
recommendation was
adopted by the
municipality. On other
hand, the suggestion of
expert is not considered in
case of dumping of solid
waste in forest area (as
there is no immediate
alternative is available).
Pertinent to state that,
currently the solid waste is
disposed in Hasposa
Community Forest.

Ratio of budget allocated to 20 Cr (4% of total Budget) 5% of Total Budget approx. 1% of total Not any specific budget approx. 1% of total approx. 0.3% of total
Environment cell to the Budget kept. But project specific Budget Budget
total budget of the budget is kept like
municipality fortesting of water quality
(during

134
134
134
Parameters Pokhara Putalibazar Shuklagandaki Itahari Dhankuta S.Haraincha
construction/operation
phase),Plantation etc.
Understanding of The staff neither had The staff had quite a The staff neither had The staff had quite a The staff neither had The staff neither had
Environmental laws and the understanding of fair awareness about the understanding of good understanding the understanding of the understanding of
regulations of Nepal Environmental laws Environmental laws Environmental laws about Environmental Environmental laws and Environmental laws and
pertaining to and regulations of and regulations of GoN and regulations of laws andregulationsof regulations of Nepal regulations of Nepal
infrastructure Nepal nor aware about Nepal nor aware about GoN. The operational nor aware about nor aware about
development project EIA/IEE requirements EIA/IEE requirements procedure forItahari EIA/IEE requirements EIA/IEE requirements
Municipality for
Pollution Prevention &
Control,2018 is
prepared by the staff
Understanding of World The staff does not have The staff does not have The staff does not have The staff was not The staff does not have The staff does not have
Bank/ADB understanding about understanding about understanding about involved in any World understanding about understanding about
Policies/Experience of World Bank’s OPs/BPs World Bank’s OPs/BPs World Bank’s OPs/BPs Bank-funded project World Bank’s OPs/BPs World Bank’s OPs/BPs
Working with any of and other safeguard and other safeguard and other safeguard but worked in LGCDP and other safeguard and other safeguard
the above policies. The present policies. The present policies. The present project which was policies. The present policies. The present
staff have never worked staff have never worked staff have never worked funded by ADB in past staff have never worked staff have never worked
in any multilateral in any multilateral in any multilateral (not in Itahari in any multilateral in any multilateral
General understanding agency funded
The staff project
had very basic agency
The stafffunded project
had very basic agency
The stafffunded project
had very basic Municipality)
The staff had very good agency funded
The staff had a project
very agency funded
The staff project
had very
of Environmental Issues idea of common ideaof common idea of common understanding of good understanding of generic understanding
pertaining to environmental impacts environmental impacts environmental impacts environmental solid waste of common
development of due to aninfrastructure due to an infrastructure due to an infrastructure concerns/issues as he management including environmental impacts
infrastructure project project such as impact project. Thestaff added project. The staff added was engaged in its disposal. (lacking understanding
on trees, dust that hiring of an that hiring of an preparation of IEE/ESIA However, had very of project specific
generation etc. Environmental Expert Environmental Expert reports. His current generic understanding environmental impacts)
however, they lacked for supervising ESMP for supervising ESMP responsibility also of common
project specific and implementation work implementation work includes monitoring of environmental impacts
location specific would be of help. would be of help. environmental pollution (lacking understanding
environmental impacts. of project specific
environmental impacts)

Understanding of The staff had no idea of The staff had no in The staff had no in The staff has a very The staff had no idea of The staff had no idea of
Environmental Environmental depth idea of depth idea of thorough idea of Environmental Environmental
Standards (like Standards such as on Environmental Environmental Environmental Standards such as on Standards such as on
Ambient Air,Noise etc.) air, noise and water Standards such as on Standards such as on Standards and current air, noise and water air, noise and water
quality. air, noise and water air, noise and water responsibility includes quality. quality.
quality quality issue of PollutionUnder
Control Certificates for

135
135
135
136
136
136
Parameters Pokhara
Understanding ofESIA- The staff had an
ESMP process understanding about the
purpose of ESIA- ESMP.
However, had never
prepared/reviewed any
ESIA-ESMP
Role in Stakeholder The staff is not involved in
Engagement Process stakeholder engagement
processes for development
of any infrastructure
projects.
Experience of ESMP The present
Implementation (at least Environmental cell was
in supervisory role) not involved in ESMP
implementation work
forany project in the past
in any capacity and hence
does not possess any such
experience.
Participation/Role in All grievances including
resolving Environment environmental issues are
related grievances directly registered in
municipality and are
Putalibazar Shuklagandaki Itahari Dhankuta S.Haraincha
the operational industries
The staff had an The staff had an The staff was engaged in The staff had The staff had an
understanding about the understanding about the the preparation of understanding about the understanding about the
purpose of ESIA- ESMP. purpose of ESIA- ESMP. IEE/ESIA reports for purpose of ESIA- ESMP. purpose of ESIA- ESMP.
At municipality, the staf However, had never more than 300 projects. However, had never However, had never
ftook help from external prepared/reviewed any prepared/reviewed any prepared/reviewed any
consultant for preparation ESIA-ESMP ESIA-ESMP ESIA-ESMP
of IEE. However, had
never prepared/reviewed
any ESIA-ESMP
The staff is not involved The staff is not involved in The staff is not involved The staff is not involved in The staff is not involved in
in stakeholder engagement stakeholder engagement in stakeholder engagement stakeholder engagement stakeholder engagement
processes for development processes for development processes for development processfor development of processes for development
of any infrastructure of any infrastructure of any infrastructure any infrastructure project. of any infrastructure
project project projects in the project
municipality. However, he
had very fair idea of
purpose and process of
stakeholder engagements
in project development.
The present The present The staff’s current profile The present The present
Environmental cell was Environmental cell was at municipality Environmental cell was Environmental cell was
not involved in ESMP not involved in ESMP includes monitoring of not involved in ESMP not involved in ESMP
implementation work implementation work efficacy of EMP being implementation work for implementation work
forany project in the past forany project in the past adopted in various any project in the past in foranyprojectin the past in
in any capacity and hence in any capacity and hence industries. any capacity and hence any capacity and hence
does not possess any such does not possess any such does not possess any does not possess any such
experience. The staff experience. suchexperience. experience.
added that hiring of an
Environmental Expert for
supervising EMP
implementation work
would be of help.
All grievances including All grievances including All grievances including All grievances including All grievances including
environmental issues are environmental issues are environmental issues are environmental issues are environmental issues are
directly registered in directly registered in directly registered in directly registered in directly registered in
municipality and are municipality and are municipality and are municipality and are municipality and are
137
137
137
 Parameters Pokhara Putalibazar Shuklagandaki Itahari Dhankuta S.Haraincha
handled by handled by handled by handled by handled by handled by
municipality’s judicial municipality’s judicial municipality’s judicial municipality’s judicial municipality’s judicial municipality’s judicial
committee (Nyayik committee (Nyayik committee (Nyayik committee (Nyayik committee (Nyayik committee (Nyayik
Samiti). The Samiti). The Samiti). The Samiti).Based on the Samiti). Based on the Samiti). TheDisaster
environmental cell is environmental cell is environmental cell is natureof grievance,the natureof grievance, the Management Officer is
not involved in this not involved in this not involvedinthis view of Env. Cell is view of Env. Cell is partof Nyayik Samity
process.Grievance can process. Grievance can process. Grievance can taken as and when taken as and when body. Basedon the
also be submitted to also be submitted to also be submitted to required. Grievance can required. Grievance can nature of grievance, the
CAO at Municipality CAO at Municipality CAO at Municipality also be submitted to also be submitted to view of Env. Cell is
levelor toWard levelor toWard levelor to Ward CAOat Municipality CAO at Municipality taken as and when
Chairmanat Ward Level Chairman at Ward Level Chairman at Ward Level levelor toWard levelor toWard required. Grievance can
ChairmanatWardLevel Chairman at Ward Level also be submitted to
CAO at Municipality
levelor toWard
Chairman at Ward Level

Institutional Assessment of Social Development Department of Various Municipalities

Parameters Pokhara Putalibazar Shuklagandaki Itahari Dhankuta S.Haraincha

Strength o fSocial Cell
Roles and responsibilities
Social Cell-6 Staff Social Cell- 2 Staff Social Cell- 3 Staff Social Cell-3 Staff Social Cell-3 Staff; Social Cell-4 Staff
(MA-Sociology, MA- (B.Sc.,) (B.A. in Public (MA-Rural (MA-Geography, (MA-Rural
Public Administration, Administration, Development, MA- PGD-Disaster development, B.ED,
BA-Sociology, MA- MastersinEnglishand th
Sociology, 12 ); 3-4 Management); BA)
Anthropology) LLB) new staff will be Disaster Management
appointed soon CellalsopartofSocial
Registration of Vital Skill Development, Women Monitoring & Cell
Social Mobilization- Issuance cards for
Events(Birth,Death), Awareness Program, Empowerment Registration of NGOs, arrangement for tole Senior
Targeted Group Social security and programs, Social Maintenance of meetings, senior Citizen/Differently
Development registration of vital security and Record for Birth & citizen day care abledperson, Targeted
(Women, Child, events and Co- registration of vital Death, issuance of /health checkup, program for Janjati,
Indigenous People,Sr. ordination and events, Co-ordination SeniorCitizen / Janjati /women/child Women, Children
Citizen, Differently facilitation of tole andfacilitation of tole Differently abled card, development through (Skill Development
abled), Need based vikas sanstha vikas sanstha.Skill awareness program for 3rd party trainer for Shoemaking,
skill development development children and women, (capacity development plumbing, bag
programs (vegetable programs onsewing, awareness on Gender / skill training-sewing, making, sewing etc.
farming, agriculture, computer Based Violence and Driving, plumbing, through 3rd parties.
cattle/poultry, training,beauty parlor ensuring safety of mobile repair,
farming, handicrafts) and on handicrafts etc. victim computer training,

138
138
138
139
139
139
Parameters Pokhara
Key Expertise/Specialization - -
Involvement in Project Not involved/consulted
execution (Planning, Construction during planning of
& Operation) infrastructure
development project
Ratio of budget allocated to Approx.3Cr (less than
Social cell to the total budget of 1% of total budget)
the municipality
Understanding of social laws The staff doesn’t have
and regulations of Nepal pertaining understanding of social
to infrastructure safeguard legislations of
development project such as land GoN
acquisition, R&R, Gender related,
Vulnerable Communities etc.
Understanding of World The staff does not have
Bank/ADB Policies/Experience of understanding about
working with any of the above World Banks OPs/BPs
and other safeguard
Policies of Multilateral
Agencies. However, few
of thestaff from social
cell were involved in
consultation and social
survey for Talchowk-
Begnas Lake road in the
UGDP
General understanding of Social The staff had basic
Issues pertaining to development understanding of key
of infrastructure project social issues and impacts
pertaining to
development of
infrastructure project
Understanding of Land The present staff had basic
Acquisition,R&R Process understanding of Land
Acquisition and
Putalibazar Shuklagandaki Itahari Dhankuta S.Haraincha
mushroom farming etc.) Clean city awareness
programs and dust bin
distribution
- - - -
Not involved/consulted Not involved/consulted Not involved/consulted Not involved/consulted Not involved/consulted
during planning of during planning of during planning of during planning of during planning of
infrastructure development infrastructure infrastructure development infrastructure infrastructure
project development project project development project development project
Approx. 5 % of total Approx. 3 % of total Approx. 2 % of total Approx. 13-14% of Approx. 1% of total
budget budget budget totalbudget budget
The staff doesn’t have The staff doesn’t have The staff don’t have The staff don’t have The staff don’t have
understandingof social understanding of social understanding of social understanding of social understanding of social
safeguard legislations of safeguard legislations of safeguard legislations of safeguard legislations of safeguard legislations of
GoN GoN GoN GoN GoN
The staff do not have The staff do not have The staffdo not have The staff do not have The staff do not have
understanding about understanding about understanding about understanding about understanding about
WorldBank’s OPs/BPs World Bank’s OPs/BPs World Bank’s OPs/BPs World Bank’s OPs/BPs World Bank’s OPs/BPs
and other safeguard and other Safeguard and other Safeguard and other safeguard and other Safeguard
policies. The present staff policies. The present policies. The present policies. However, one policies. The present
have never worked in any staff have never worked staff have never worked of the staff was engaged staff have never worked
multi lateral agency in any multilateral in any multilateral in review of ESIA- in any multilateral
funded project agency funded project agency funded project ESMP prepared by agency funded project
external consultant for
UGDP (ADB funded)-2
weekly market
development project
The staff had basic The staff had basic The staff had basic The staff had basic The staff had basic
understanding of key understanding of key understanding of key understandingof key understanding of key
social issues and impacts social issues and impacts social issues and impacts social issues and impacts social issues and impacts
pertaining to development pertaining to pertaining to pertaining to pertaining to
of infrastructure project development of development of development of development of
infrastructure project infrastructure project infrastructure project infrastructure project
The present staff had basic The present staff had basic The present staff had basic The present staff had basic The present staff had basic
understanding of Land understanding of Land understanding of Land understanding of Land understanding of Land
Acquisition and Acquisition and Acquisition and Acquisition and Acquisition and
138
Parameters Pokhara
R&R requirement.
However, theydid not
have detailed
understandingof the
process, entitlements and
other related activities.
Understanding of ESIA-ESMP They had understanding
process about the purpose of
ESIA-
ESMP.However,they
have never
prepared/reviewed ESIA-
ESMP
Role in Stakeholder Engagement The social cell is not
Process involved in stakeholder
engagement processes for
development of any
infrastructure project
Experience of ESMP The present staff of the
Implementation (at least in social cell have not been
supervisory role) involved in ESMP
implementation work of
any project in the past
and hence do not possess
any such experience.
Participation / Role in resolving All grievances are
social grievances directly registered in
municipality and are
handled by the
municipality’s judicial
committee (Nyayik
Samiti). The social cell
is not involved in this
process. Grievances can
also be submitted to the
CAO at Municipality
Putalibazar
R&R requirement.
However, theydidnot have
detailed understandingof
the process, entitlements
and other related
activities.
They had understanding
about the purpose of
ESIA- ESMP. However,
they have never
prepared/reviewed ESIA-
ESMP
The social cell is not
involved in stakeholder
engagement processes for
development of any
infrastructure project
The present staff of the
social cell have not been
involved in ESMP
implementation work of
any project in the past
and hence do not possess
any such experience.
All grievances including
environmental and social
issues are directly
registered in municipality
and are handled by
municipality’s judicial
committee (Nyayik
Samiti).The social cell is
not involved in this
Shuklagandaki
R&R requirement.
However, they did not
have detailed
understandingof the
process, entitlements and
other related activities
The staff did not have
any understanding on
ESIA-ESMP processes
and had never worked
onpreparingthem.
The social cell is not
involved in stakeholder
engagement processes
for development of any
infrastructure project
The present staff of the
social cell have not been
involved in ESMP
implementation work of
any project in the past
and hence do not possess
any such experience.
All grievances including
environmental and social
issues are directly
registered in
municipality andare
handled by
municipality’s judicial
committee (Nyayik
Samiti). The social cell
is not involved in this
140
Itahari
R&R requirement.
However, they did not
have detailed
understandingof the
process, entitlements and
other related activities.
They had understanding
about the purpose of
ESIA-
ESMP.However,they
have never
prepared/reviewed ESIA-
ESMP
The social cell is not
involved in stakeholder
engagement processes
for development of any
infrastructure project
The present staff of the
social cell have not been
involved in ESMP
implementation work of
any project in the past
and hence do not possess
any such experience.
All grievances are
directly registered in
municipality and are
handled by
municipality’s judicial
committee (Nyayik
Samiti). Grievance can
also besubmittedto CAO
at Municipality level or
to Ward
Dhankuta
R&R requirement.
However, they did not
have detailed
understandingof the
process, entitlements and
other related activities.
One of the staff was
engaged in review of
ESIA-ESMP prepared
byexternal consultant for
UGDP (ADB funded)-2
weekly market
development project
The social cell is not
involved in stakeholder
engagement processes
for development of any
infrastructure project
The present staff of the
social cell have not been
involved in ESMP
implementation work of
any project in the past
and hence do not possess
any such experience.
All grievances including
environmental and social
issues are directly
registered in
municipality andare
handled by
municipality’s judicial
committee (Nyayik
Samiti).
S.Haraincha
R&R requirement.
However, they did not
have detailed
understandingof the
process, entitlements and
other related activities.
They had understanding
about the purpose of
ESIA-
ESMP.However,they
have never
prepared/reviewed ESIA-
ESMP
The social cell is not
involved in stakeholder
engagement processes
for development of any
infrastructure project
The present staff of the
social cell have not been
involved in ESMP
implementation work of
any project in the past
and hence do not possess
any such experience.
All grievances including
environmental issues
are directly registered in
municipality and are
handled by
municipality’s judicial
committee (Nyayik
Samiti). The Disaster
Management Officer
(part of Social Cell) is
Parameters Pokhara Putalibazar Shuklagandaki Itahari Dhankuta S.Haraincha
level or to Ward process. Grievances can process. Grievances can Chairman at Ward Based on the nature of part of Nyayik Samity
Chairman atWard Level also be submitted to CAO also be submitted to Level grievance, the view of body. Based on the
at Municipality level or CAO at Municipality Social.Cell is taken as nature of grievance, the
toWard Chairman at level or toWard and when required. view of Social Cell is
Ward Level Chairman at Ward Level Grievances can also be taken as and when
submitted to the CAO at required. Grievances can
the Municipality level or also be submitted to
to Ward Chairman at CAO at Municipality
Ward Level level or to Ward
Chairman atWard Level

141
Appendix H: Summary Environmental and Social Conditions in the Cluster Municipalities
Basic Environmental and Social Conditions in the Eastern and Western Cluster municipalities
Baseline Environment and Social information in the Eastern Cluster municipalities
Particulars Birtamod Damak Urlabari Sundar Mechinagar Itahari Rajbiraj Triyuga Dhankuta
Haraicha
ULB Status Municipality Municipality Municipality Municipality Municipality Sub- Municipality Municipality Municipality
metropolitan
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 Agriculture Agriculture Agriculture Agriculture Agriculture Agriculture Agriculture Agriculture
land: 87.05% land: 70.32% land: 77.8% land: 45.4% land: 68.5% land: 72% land: 83% land: 13.17% land: 40%
Barren:1.46% Barren: 4.2% Barren: 7.2% Barren: 0.2% Barren: 9% Barren:0% Barren:0% Barren: 0.6% Barren: 0.6%
Forest: 1.5% Forest: 7.2% Forest: 0.9% Forest: 50% Forest: 12.9% Forest: 13.2% Forest: 0% Forest: 80% Forest: 57%
Residential: Residential: Residential: Residential: Residential: Residential: Residential: Residential: Residential:
5.04% 9.35 % 5.02% 1.4% 2.4% 10.5% 7.4% 0.2% 0.02%
Sand/ Sand/ Sand/ Sand/ Sand/ Sand/ Sand/ Sand/ Sand/
gravel/Boulders: gravel/Boulders: gravel/Boulders: gravel/Boulders: gravel/Boulders: gravel/Boulders: gravel/Boulders: gravel/Boulders: gravel/Boulders:
1% 4.7% 7.8% 1.7 6.71% 2.02% 7.5% 5.3% 2.2%
Shrubland/ Shrubland/ Shrubland/ Shrubland/ Shrubland/ Shrubland/ Shrubland/ Shrubland/ Shrubland/
grassland: 0.6% grassland: grassland: grassland: grassland: grassland: 2.3% grassland: 2.3% grassland: 1.2% grassland:
4.33% 1.35% 1.32% 0.52% 0.27%
Key Road Road Upgradation of Urban Roads; Urban Roads Upgradation of Urban Roads Urban Roads; Drinking Water
municipality upgradation; upgradation; urban roads Demand of solid and drainage Urban Roads; and drainage Water supply; Supply;
services demand Drainage; Drainage with drainage; waste system; Solid Waste especially from Public Drainage; solid
Solid waste Solid waste management Solid waste management wards 1 and 9- transportation; waste
segregation and management; facility; management and Water 16; River protection management
disposal facility; Landfill site; Water supply; system; supply pipelines Solid Waste works and disposal
Increased access Water supply Drainage along Water Supply in rural wards; Management
to Water supply (currently water the roads pipeline; Waste Water facility for
(presently 57% supply network Treatment and treatment; urban area;
of the covers 40% area proper Parking space; Water Supply
population has of management of Public
access to water municipality); sewage; Transport;

142
Particulars Birtamod Damak Urlabari Sundar Mechinagar Itahari Rajbiraj Triyuga Dhankuta
Haraicha
supply Cold storage for Parking areas; River
network); agriculture Better Traffic embankment
Lack of products management
treatment and
proper
management of
sanitation;
Parking facility;
traffic
management

Key High iron Threat to Sal Solid Waste River bank Flooding in Lack of Disposal of • Pollution due Threat to water
Environmental content in trees; Dhanesh disposal on river erosion Mechi, Ninda, drainage system solid waste on to sewerage body due to
issues ground water Bird banks Timai, Hadiya & the bank of disposal siltation
Jaljale wetlands Flooding in High iron contamination rivers or open Flooding Depletion of
need protection Mawa, Bakraha, content in of water through field Deforestation in water sources
blockage of Sunpakuwa ground water effluent High iron southern part
drainage system Khola- and land discharge from content in Landslide prone
(particularly in cutting at places industries ground water area in ward no
ward no High iron Depletion of existing water 4,5,6,14,15,16
1,5,8,13) content in water resources supply system
High iron ground water unable to cater
content in the demand of
ground water water to
growing
population
Flooding in
Khado River
Depletion of
ground water
Social Baseline Immigration Very High Poverty 20% Very High Poverty about Very High Very High Very High Very High
Condition rate 8-10% Immigration (5- Child marriage Immigration 10% Immigration (7- Immigration 1:5 Immigration Immigration
Poverty 7-10% 7%) in Indigenous Poverty 10-12 9%) in rural areas Limited illegal Aathpariya is
Child marriage Child marriage group and Terai % Child Marrige Poverty 30-40% mining issue one of the
in Tarai caste, in poor caste group Child marriage in Backward Caste Some extent to deprived
Muslim and communities in poor in caste like Tarai discrimination ethnic community
Adibasi group Limited threat Chaudahry, dalits, Muslim About 10% communities concentrated in
to Dhimal Dum, Jhangar, and Adibasi woman has land dependent on Ward no. 8
community Bantar and group owner
143
Particulars Birtamod Damak Urlabari Sundar Mechinagar Itahari Rajbiraj Triyuga Dhankuta
Haraicha
Ward 3,4, 9 has Musar Khanar, certificate due fishing and
Dhimal communities Budhikhola, to government forest resources
community Limited threat Sunsari-Morang tax incentive Presence of
dependent on to Dhimal Irrigation Canal. policy. marginalized
forest community There is Child marriage vulnerable
Ward 3,4, 9 has proposal to is also among group Musar
Dhimal construct 6 lane backward and dalits in
community road. Therefore, communities; ward number
dependent on there will be 1,2,3,4,5,6,7,8,9
forest requirement of ,10,11,12,13
diverting canal
land at the
Tyandra Khola

Local Tole committee Effective Tole meetings Effective As per the need. Effective As per the need, Effective Effective Tole
Governance meetings governance happen once a governance In the governance generally once a governance system
happen as per system. month. On the system. municipality 40- system in older month there is system. Discussion as
the need, Municipality local issues; Municipality 80 households municipal areas tole committee Municipality per program and
generally once a has 420 tole especially Discussion as have one tole whereas newly meetings. Discussion on other services
month. On the committees. infrastructure per program and development added Discuss on the project demands such as road
local issues; Discussion as development other services committee. municipalities local issues; and progress of development
especially per program and and upgrade; such as road Generally once do not have tole especially ongoing Meeting records
sanitation, other services livelihood development, a month. On the committees infrastructure projects are recorded in
awareness and such as road upliftment, Meeting records local issues; Project development Meeting records a written minute
so on. In development, saving and are recorded in especially identification as like drainage are recorded in format
Municipality, 50 women right, credit and so on a written minute saniation, a process. and widening of a written minute There are 7
households have child right, drug Project format awareness and Sometime, the existing road format steps in
1 tole issues identification as so on. municipality There are 113 No major planning
development Meeting records a process. Project informed the tole committee dispute has process where
committee are recorded in Sometime, the identification as villagers about in the come up, If any, public
They demand a written minute municipality a process. the project. municipality but it will be participation is
development format informed the Sometime, the Then they only few are resolved ensured
plan and budget villagers about municipality discuss in tole active and the through Small disputes
to tole the project. informed the and then to large numbers negotiation; and get resolved at
development Then they villagers about ward, and are inactive provision of tole committee
committee discuss in tole the project. municipality Project Justice level,
Project and then to Then they and finally the identification as committee in municipality
identification as ward, and discuss in tole municipality a process. Municipality also has Justice
a process. municipality and then to assembly Sometime, the Committee
144
Particulars Birtamod Damak Urlabari Sundar Mechinagar Itahari Rajbiraj Triyuga Dhankuta
Haraicha
Sometime, the and finally the ward, and approve the municipality
municipality municipality municipality project. Without informed the
informed the assembly and finally the women and villagers about
villagers about approve the municipality dalits the project
the project. project. Without assembly participation through FM.
Then they women and approve the project will not Then they
discuss in tole dalits project. Without be approved. discuss in tole
and then to participation women and We follow the and then to
ward, and project will not dalits government ward, and
municipality be approved. participation policy regarding municipality
and finally the We follow the project will not the participation and finally the
municipality government be approved. of women and municipality
assembly policy regarding We follow the dalits. assembly
approve the the participation government rule approve the
project. Without of women and regarding the project. Without
women and dalits. participation of women and
dalits women and dalits
participation dalits. participation
project will not project will not
be approved. 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 Updation of Cadastral maps Cadastral Maps Cadastral Maps Survey is under Cadastral Maps Cadastral Maps Updation of Cadastral Maps
updated cadastral map is updated almost are not updated. are updated. process towards are updated. are not updated. cadastral map is are not updated.
cadastral maps under process entire updating There is some under process
municipality (2 cadastral maps confusion about
wards the extent of
remaining) jurisdiction. GIS
Map shows the
145
 Particulars Birtamod Damak Urlabari Sundar Mechinagar Itahari Rajbiraj Triyuga Dhankuta
Haraicha
land belongs to
Dharan
Municipality,
however the
land has been
traditionally
used by Itahari
Sub-
metropolitan
city
Forest Areas One Community 300-400 ha 17 % areas in 13 Community Three - Community Community
Community Forest and Forest Land in municipality is Forests Community Forest and Forest and
Forest namely National Forest municipality. forest. managed by Forests in the National Forest National Forest
sundarnicha present in the Presence of 8 7 Community user groups municipality in the in the
Jhoda managed municipality community Forest and 2 namely municipality municipality
by user group forest and 1 collaborative Saraswati,
collaborative forest Hanspokhari
forest and Santinagar
managed by
User groups
Protected No No No No Chure - No No Chure - No
Area/Ramsar Environmental Environmental
Site Protected Area Protected Area
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

146
Particulars Pokhara Leknath Vyas Putalibazar Baglung Tansen Ramgram Tilottama Shuklagandaki

Municipal area 46423 ha 24733 ha 14721 ha 9890 ha 10980 ha 9386 ha 12619 ha

Physiography Hill Hill Hill Hill Hill Terai Terai Hill

Climatic Zone Predominantly Tropical Tropical and Sub- Tropical Predominantly Tropical Tropical Tropical
subtropical and tropical subtropical
tropical
Land Use Agriculture land: Agriculture Agriculture land: 48% Agriculture Agriculture land: Agriculture Agriculture land:
40.29% land: 36.4% Barren: 0.02% land: 45.4% 58.4% land: 90.5% 69.48%
Barren: 0.63% Barren: 0.11% Forest: 50% Barren: 0.2% Barren: 0.7% Barren: 0.72% Barren: 0.4%
Forest: 46% Forest: 57.5% Residential: 1.4% Forest: 50% Forest: 36% Forest: 0.1% Forest: 10%
Residential: 8% Residential: Sand/ Residential: Residential: 2.8% Residential: Residential: 15%
Sand/ 0.32% gravel/Boulders: 1.8% 1.4% Sand/ 3.4% Sand/
gravel/Boulders: Sand/ Shrubland/ grassland: Sand/ gravel/Boulders: Sand/ gravel/Boulders:
4.5% gravel/Boulders: 1.32% gravel/Boulders: 1.8% gravel/Boulders: 2.1%
Shrubland/ 3% 1.7 Shrubland/ 2.71% Shrubland/
grassland: 0.5% Shrubland/ Shrubland/ grassland: 0.4% Shrubland/ grassland: 3.5%
grassland: 2.8% grassland: grassland:
1.32% 2.45%
Key municipality • Road • Solid waste Road upgradation; • Urban roads • Urban roads • Road • Road upgrade; • Road
services demanded Upgradation management Drainage and drainage and drainage upgrade; • Drainage upgradation
• Solid waste facility ( Management; • Safe and pure • Solid waste • Drainage Management • Drainage
management in especially for Safe and pure drinking collection. Management • solid waste Management,
rural wards 6 to 14 drinking water water, Segregation • Solid waste management, • safe drinking
• Water supply in wards) • Sewage and disposal management • water supply water,
rural wards • Solid waste management • Sewage • Water supply • solid waste
• Drainage along management management • Transportatio management
the roads • Water supply • Drinking water n in rural
• Public (lacking in suuply wards
Transportation wards 1,4,5) • Bus Terminal
• Road
upgradation
and drainage
Key Flooding in Seti • Flooding in • Flooding in During rainy During rainy • Flooding in • Flooding in • Flooding in the
Environmental and Mardi River Madi & Seti Aandhi khola, season there is season there is Tinahu river Tinahu river rivers and
issues River sumrekhola, problem of problem of • Water • Water pollution siltation in
• Water bodikhola, ringi flooding, water flooding, water pollution in in dug wells rainy season
pollution in khola pollution, pollution, dug wells
147
Particulars Pokhara Leknath Vyas Putalibazar Baglung Tansen Ramgram Tilottama Shuklagandaki

some • Water Pollution siltation, siltation, • River pollution

stretches and siltation landslide landslide in from crusher
especially during nearby areas of plants located
rainy season Aandhi khola, near the river
sumrekhola,
bodikhola, ringi
khola
Key social issues - Poverty rate Poverty rate 25% Poverty rate Poverty rate 15% Immigration Poverty rate of Poverty rate 20%
20% 35% from hilly 15%
region and rural
wards
Poverty rate
30%
Local Governance • As per law, • Tole • 120 Tole • 80 Tole • 100 Tole • Tole As per law, project As per law, project
Level project meetings are committee are committee are committee are meetings identification starts identification starts
identification conducted there in the there in the there in the once in a from tole from tole
starts from tole once in a municipality municipality municipality month committee and the committee and the
committee and month • Issues like need for • Issues like • Issues like road • 235 Tole demand is demand is
the demand is • there are 235 road development, road development, committee forwarded to forwarded to
forwarded to tole women right, child development, women right, are there in wards and wards and
wards and committee in right etc. are women right, child right, the Municipality. Municipality.
Municipality the discussed child right, sanitation etc. municipality Municipality Municipality
Council municipality • Tole committees sanitation etc. are discussed • Issues like Council approves Council approves
approves the • Tole are the lowest are discussed • Tole road the program the program
program committees level unit for • Tole committees are development,
• One Judicial are the project committees the lowest level women right,
Committee is lowest level identification and are the lowest unit for project child right,
at municipality unit =for also works for level unit for identification sanitation etc.
to take action project implementation project and also works are discussed
on public identificatio • Municipality plays identification for
complaints. and also roles to address and also works implementation
• A Cell is there works for these issues for • One Judicial
to register implementati implementatio Committee is
gender based on n there at
grievances and • One Judicial • municipality to
take necessary Committee take action on
action on that is there at public
municipality complaints

148
 Particulars Pokhara Leknath Vyas Putalibazar Baglung Tansen Ramgram Tilottama Shuklagandaki

to take
action on
public
complaints
Forest Areas • Community • Community • Community Forest • Community • Community • Community • Community
Forest and Forest and and National Forest and Forest and Forest and Forest and
National National Forest present in National National National Forest National Forest
Forest present Forest the municipality Forest Forest present present in the present in the
in the present in the present in the in the municipality municipality
municipality municipality municipality municipality

Protected • Ramsar Site- No No No No No No No

Area/Ramsar Site Lake Cluster
of Pokhara
Valley
• Municipality
boundary
overlaps with
southern part’s
Annapurna
Conservation
Area
Source: Stakeholder consultation at Municipalities, Municipality Profiles, This data is based on the available data.

149
Appendix I: Summary Information on the Type of Baseline Indicators

Description of Environmental Baseline Information Required for Road Project

Environmental
Baseline Information Source (Primary / Secondary)
Components/Concerns
Physical Environment
Geography Geographical information of Project Area Secondary
Location, physiography, geology, slope and elevation, drainage pattern, seismology, topography, landslide prone zones, flood
plain and contour map.

Weather and Long term climatological profile of the project area Secondary
Climatology Temperature (max/min), precipitation
Land Use Land Use pattern of immediate zone of Impact and Project Influence Area (PIA) Secondary
Cadastral map/land ownership document/record [only for new road] for immediate Zone of Impact and topographic and GIS
map for of PIA
Ambient Air Ambient Air Quality (at highest traffic volume area and closest recipient at the interval of 10km) Primary in case of site specific
• Level of PM10, PM2.5, CO, SO2, NOx secondary data of present time is
• Inventory of sensitive receptors like school, college, and hospital in the vicinity of the project area not available
•
Ambient Noise Ambient Noise Level (at highest traffic volume area and closest recipient at the interval of 10km), if primary data to Primary in case of site specific
be generated. secondary data of present time is
• Day and night time Noise Levels not available
• 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
Water Information on ground and surface water resources (only in new road construction) Secondary-Hydrogeology and
• Information of surface water resources in the PIA including tentative quantity, use and its distance from project site ground water availability
• Information on hydrogeology and availability of groundwater table(upto 10 m. below the road surface) Primary- quality monitoring and
inventory of surface water
resources
Soil Nature of soil in the RoW Nature of soil and fertility in the
• Soil profile RoW Secondary
Soil Quality- Secondary (DPR)
Natural Hazard Natural Hazard Threat Secondary
• Records on natural calamity like earthquake, flood, , drought, famine, etc. in the project area supported with local
consultation
Debris Disposal Site Identification of Debris Disposal Site, mainly for new alignment. Secondary
Tentative site for disposal of dismantled/construction debris may be identified, if scarifying is expected.
Quarry Sites and Identification of Licensed Quarry Sites and Borrow Areas Secondary
Borrow Areas
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 Probable Borrow Areas and Quarry sites to be used in the sub project should be listed out with lead distance and mode of
transportation
Biological Environment
Felling of Trees and Trees falling within direct impact zone Primary
Clearance of • Listing with coordinate of species, girth size of trees and poles within RoW
Vegetation Cover • 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
Forest Area Forest within the proposed RoW Primary and Secondary
• 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)
Protected Protected Area/Ecologically Sensitive Areas/ Ramsar Sites/Important Bird Areas in PIA Primary and Secondary
Area/Ecologically • Information on presence of Protected Area (National Parks, Wildlife Reserve, Hunting Reserve, Conservation
Sensitive Areas/ Areas, Buffer Zones) / site of ecological importance like nesting, breeding ground, important bird areas, Ramsar
Ramsar sites, wildlife corridor/migration route, forest areas, any site of national/international importance etc. within PIA.
Sites/Important Bird Information should include GIS map showing distance of protected area site from the road alignment, its ecological
Areas condition and biodiversity
Biodiversity Floral and faunal community of PIA Secondary information through
• Floral and faunal community of PIA stakeholder consultation, literature
• Biodiversity of aquatic system study followed by primary survey
• 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

Description of Environmental Baseline Information Required for the Water Supply Project
Environmental Baseline Information Source (Primary / Secondary)
Components/Concerns
Physical Environment
Geography Geographical information of project area Secondary
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

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Weather and Long term climatological profileof the project area Secondary
Climatology Temperature (max/min), precipitation, , record of natural calamity
Land Use Land Use pattern of Impact area including service areas and Project Influence Area (PIA) Secondary
Cadastral map/land ownership document/record of RoW and topographic and GIS maps of PIA
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 Primary in case of site specific
• Day and night time noise level secondary data of present time is not
• Inventory of sensitive receptors like school, college, hospital etc. in the immediate impact area available
Water Information on ground water and surface water resources Secondary-Hydrogeology and ground
• Surface water resources in the PIA including tentative capacity, use and its distance from project site water availability
• Information on Ground water table Primary- Quality monitoring and
• Ground and surface water quality of the PIA, ( if t is to be used as source) inventory of Surface water resources

Soil Nature of soil Nature of soil and fertility in the PIA-

• Nature and type of soil Secondary
Soil Quality-Secondary
Natural Hazard Threat from Natural Hazard Secondary
• 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
Debris Disposal Site Identification of debris disposal site, if the pipe to be laid is more than 500 mm diameter Secondary
Tentative site for disposal of dismantled/construction debris may be identified
Biological Environment
Felling of Trees and Trees falling within Raw of road Primary
clearance of Vegetation • Listing of species, girth size of affected trees and poles with location
Cover • Information of endemic, endangered, medicinal, protected species
• List of affected protected tree species
Forest Area Acquisition of forest land for the project Primary and Secondary
• 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)

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Protected Ecological condition of PIA Secondary
Area/Ecologically • Information on presence of Protected Area (National Parks, Wildlife Reserve, Hunting Reserve, Conservation Areas,
Sensitive Areas/ Buffer Zones) / site of ecological importance like nesting, breeding ground, Important Bird Areas, Ramsar Sites,
Ramsar Wildlife Corridor/Migration Route, Forest Areas, any site of national/international importance etc. within PIA.
Sites/Important Bird Information should include GIS Map showing distance of Protected Area site from project site, its ecological
Areas condition and biodiversity
• Record of local extinction of any species or declining species (population decreasing day by day)
Biodiversity Floral & Faunal Community of PIA Secondary information through
• Floral and faunal community of PIA stakeholder consultation, literature
• Biodiversity of aquatic system in case its within PIA study followed by primary survey
• Endangered/vulnerable/rare/critically endangered species as per IUCN red list

Description of Environmental Baseline Information required for Wastewater ManegementProject

Environmental Baseline Information Source (Primary / Secondary)
Components/Concerns
Physical Environment
Geography Geographical information of Project Area Secondary
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
Weather and Long term climatological profile of the project area Secondary
Climatology Temperature (max/min), precipitation, wind direction at the treatment site, wind speed, cloud cover, humidity, record of
natural calamity
Land Use Land Use pattern of immediate zone of Impact and Project Influence Area (PIA) around the treatment site. Secondary
Cadastral Map/Land Ownership document/Record for immediate Zone of Impact by treatment site&Topographic and
GIS maps for Project Influence Area (PIA)
Ambient Air Baseline condition of Ambient Air Quality at treatment site Primary in case of site specific
• Level of CO2, SO2, NOxInventory of sensitive receptors like school, college, hospital etc. in the vicinity of the secondary data of present time is not
treatment site available
Ambient Noise Baseline condition of Ambient Noise Level in receipants close to project foot prints through primary Primary in case of site specific
Monitoring Day and night time noise level secondary data of present time is not
• Inventory of sensitive receptors like school, college, and hospital in the vicinity of the project area available

153
Water Information on ground water and surface water resources Secondary-Hydrogeology
• Inventory surface water resources in the PIA including tentative capacity, use and its distance from project site Primary- Quality monitoring and
• Information on hydrogeology at the treatment site inventory of Surface water resources
•

Soil Nature of soil Nature and type of soil Nature of soil and fertility in the PIA-
• Soil profile Secondary
Soil Quality- Secondary (DPR)
Natural Hazard Threat from Natural Hazard Secondary
• 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
Debris Disposal Site Identification of Debris Disposal Site, if the conveyance size is more than 0.25 sq.m. Secondary (to be validated through
Tentative site for disposal of dismantled/construction debris may be identified stakeholder consultation)

Biological Environment
Felling of Trees and Trees falling within direct impact zone [construction site] Primary
clearance of Vegetation • Listing of Species, Girth size of affected Trees & Poles with respect to GPS Coordinates
Cover • Information of Endemic, Endangered, Medicinal, Protected species
• Details of affected protected tree species
Forest Area Acquisition of forest land for the project Primary and Secondary
• 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)
Protected Ecological condition of treatment site Secondary
Area/Ecologically • Information on presence of Protected Area (National Parks, Wildlife Reserve, Hunting Reserve, Conservation
Sensitive Areas/ Areas, Buffer Zones) / site of ecological importance like nesting, breeding ground, Important Bird Areas, Ramsar
Ramsar Sites, Forest Areas, any site of national/international importance etc. within PIA. Information should include GIS
Sites/Important Bird Map showing distance of Protected area site from project site, its ecological condition and biodiversity
Areas
Biodiversity Floral and faunal community of PIA Secondary information through
• Floral and faunal (community of PIA stakeholder consultation, literature
• Biodiversity of aquatic system in case its within PIA study followed by primary survey
• Endangered/vulnerable/rare/critically endangered species as per IUCN red list
154
 Record of communicable Collect data on communicable diseases in an around proposed treatment plant Secondary information
diseases

Description of Environmental Baseline Information required for Solid Waste Management Project
Environmental Baseline Information Source (Primary / Secondary)
Components/Concerns
Physical Environment
Geography Geographical information of Project Area Secondary
Location, physiography, geology, slope and elevation, drainage pattern, seismology, topography, landslide prone
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 Secondary
Temperature (max/min), precipitation, wind direction, wind speed, cloud cover, humidity, record of natural calamity
Land Use Land Use pattern of immediate zone of Impact and Project Influence Area (PIA) around the Sanitary Secondary
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)
Ambient Air Baseline condition of Ambient Air Qualityat proposed Sanitary management site Primary in case of site specific
• Level of PM10, PM2.5, CO2, SOx, NOx, HC secondary data of present time is
• Indicators for odour, communicable dieses and vectors like moscutoes and fliees be added not available
• Inventory of sensitive receptors like school, college, hospital etc. in the vicinity of the project area
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. Secondary-Hydrogeology
• Inventory Surface Water resources including tentative quantity, use and its distance from project site Primary- Quality monitoring and
inventorization of Surface water
Quality of Ground and Surface Water at the sanitary management site through primary monitoring resources
Soil • Nature and type of soil Nature of soil and fertility in the
• Soil profile PIA- Secondary
Soil Quality-Primary

Natural Hazard Threat from Natural Hazard Secondary

• 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
Biological Environment

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 Felling of Trees and clearance
of Vegetation Cover
Forest Area
Protected Area/Ecologically
Sensitive Areas/ Ramsar
Sites/Important Bird Areas
Biodiversity
Description of Environmental Baseline Information required for Stormwater Drainage Project
Environmental
Components/Concerns
Physical Environment
Geography
Weather and Climatology
Trees falling within direct impact zone Sanitary management site and transshipment route Primary
• 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
Acquisition of forest land for the project Primary and Secondary
• 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)
Ecological condition of PIA Primary and Secondary
• 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
Floral & Faunal community of PIA Secondary information through
• Floral and faunal community of PIA stakeholder consultation, literature
• Biodiversity of aquatic system in case its within PIA and 200 m downstream where treated latchet and accidental study followed by primary survey
seepage will merge.
• Endangered/Vulnerable/rare/critically endangered species as per IUCN red list
• occurrence of Protected Species in PIA
Baseline Information Source (Primary / Secondary)
Geographical information of Project Area Secondary
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
Long term climatological profileof the project area Secondary
156
 Temperature (Max/Min), Precipitation, record of natural calamity
Land Use Land Use pattern of Project Influence Area (PIA) [Cadastral Map/Land Ownership document/Record for Secondary
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.
Ambient Air Baseline condition of Ambient Air Quality [Level of PM10, PM2.5 Primary in case of site specific
• Inventory of sensitive receptors like school, college, hospital etc. in the vicinity of the project area 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
• Inventory Surface Water resources in the PIA including tentative capacity, use and its distance from project site Primary- Quality monitoring and
Quality of Ground and Surface Water of the PIA through primary monitoring inventorization of Surface water
resources
Soil Nature of soil and fertility in the PIA Nature of soil and fertility in the
Nature and type of soil PIA- Secondary
• Soil profile Soil Quality-Primary

Natural Hazard Threat from Natural Hazard Secondary

• Records on natural calamity like flood, drought, famine, epidemic, etc. in the project area supported with local
Debris Disposal Site
Felling of Trees and clearance Trees falling within construction area.
of Vegetation Cover
Forest Area
Protected Area/Ecologically
Sensitive Areas/ Ramsar
Sites/Important Bird Areas
consultation
• Land slide prone /geologically unstable slope areas with respect to GPS Coordinate
• Prevalence of water born dieses especially mosquito vectored.
Identification of Debris Disposal Site Secondary (to be validated through
Tentative site for disposal of dismantled/construction debris may be identified stakeholder consultation)
Biological Environment
Primary and secondary
• 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
Acquisition of forest land for the project Primary and Secondary
• 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)
Ecological condition along the drain site Secondary
• Information on presence of Protected Area (National Parks, Wildlife Reserve, Hunting Reserve, Conservation information through stakeholder
Areas, Buffer Zones) / site of ecological importance like nesting, breeding ground, Ramsar Sites and other wetland consultation,
and seasonal water logged area, Wildlife Corridor/Migration Route, Forest Areas, any site of national/international
157
 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
Biodiversity Floral & Faunal Secondary information through
stakeholder consultation,

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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

160
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.
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
0
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 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.
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• 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:
• 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.
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• 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 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.

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(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 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).
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• 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.

(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.
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• 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
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