Rural Access Improvement Project Environment and Social Management Framework
HIS MAJESTY’S GOVERNMENT OF NEPAL
MINISTRY OF LOCAL DEVELOPMENT
DEPARTMENT OF LOCAL INFRASTRUCTURE DEVELOPMENT AND AGRICULTURE ROADS
ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK
RURAL ACCESS IMPROVEMENT PROJECT
FINAL DRAFT
NOVEMBER 29, 2004
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Rural Access Improvement Project Environment and Social Management Framework
Abbreviations Acronyms
APP / Agricultural Perspective PlanB.S. / Bikram Sambat
CAS / Country Assistance Strategy
CBO / Community Based Organization
CDC / Compensation Determination Committee
CDO / Chief District Officer
CFUG / Community Forestry User Groups
COI / Corridor of Impact
DDC / District Development Committee
DOLIDAR / Department of Local Infrastructure Development and Agricultural Roads
DTMP / District Transportation Master Plan
EA / Environmental Assessment
EIA / Environmental Impact Assessment
EMG / Environmental Management Group
EMP / Environmental Management Action Plan
EMP / Environmental Management Plan
EPA / Environmental Protection Act
EPA 97 / Environmental Protection Act 1997
EPR 97 / Environmental Protection Regulation 1997 (amendment 1999)
ESA / Environmental and Social Assessment
ESAF / Environmental and Social Assessment Framework
ESIA / Environmental and Social Impact Assessment
HMG / His Majesty's Government
HMG/N / His Majesty’s Government of Nepal
IBRD / International Bank for Rural Development
IDA / International Development Association
IEE / Initial Environmental Examination
IP / Indigenous People
IUCN / International Conservation Union
LCF / Land Compensation Framework
LEF / Land Entitlement Framework
LIL / Learning and Innovation Loan
MoH / Ministry of Home
MoLD / Ministry of Local Development
MoLRM / Ministry of Land Reform and Management
MoPE / Ministry of Population and Environment
MoWT / Ministry of Works and Transport
NGO / Non-Governmental Organization
NPC / National Planning Commission
NRATSP / Nepal Rural Accessibility and Transport Service Project
PAF / Project Affected Families
PWD / Public Works Directives
RAP / Resettlement Action Plan
RIP / Rural Infrastructure Project
ROW / Right of Way
SA / Social Assessment
SAP / Social Action Plan
SPAF / Seriously Project Affected Families
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Rural Access Improvement Project Environment and Social Management Framework
TABLE OF CONTENTS
EXECUTIVE SUMMARY i
1. INTRODUCTION 1
Project Description 2
Project Components 2
Project Districts 4
2. APPROACH AND METHODOLOGY 7
Objectives And Scope Of The Environmental And Social Management Framework 7
Environment Aspects 7
Social Aspects 9
3. POLICES, REGULATIONS AND GUIDELINES 12
Relevant HMGN Policies 12
HMGN’s Legislative Framework and Guidelines 13
HMGN Policies Supporting Vulnerable Communities 15
World Bank Environment and Social Safeguard Policies 17
Comparison of HMGN and World Bank Policies on involuntary resettlement and land acquistion 20
Recommendations 23
4. IDENTIFICATION OF ENVIRONMENTAL AND SOCIAL IMPACTS 24
General 24
Environmental Review 24
Environmental impacts on sample raip sub-projects 30
Social Review 30
Conclusions 35
5. ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK 36
General 36
Environment Assessment And Management 37
Environmental Screening Process 37
Environmental Screening Criteria 37
Environmental Assessment Process for RAIP 38
Initial Environmental Examination 38
Environmental Impact Assessment 41
Environmental Impact Prediction 42
Environmental and Social Mitigation Measures in RAIP 45
Approach to Mitigation Measure 45
Implementation Mitigation Measures for RAIP 46
Implementation of Mitigation Measures 47
Environmental Management Plan 50
Capacity building 52
6. RESETTLEMENT POLICY FRAMEWORK 53
Description and Objectives 53
Social Screening 53
Voluntary Land Donation 54
Involuntary Resettlement and Land Acquisition 54
Eligibility Criteria 55
Subproject Resettlement Action Plans 59
Implementation Process 59
Grievance Redress Mechanisms 59
Funding Arrangements 60
Consultation /Participation 60
Monitoring and Evaluation 60
Capacity Building 61
7. VULNERABLE COMMUNITY DEVELOPMENT FRAMEWORK 62
Description And Objectives 62
Policies Strategies And Actions 62
Subproject Vulnerable Communities Development Plans 62
Social Uplift Activities 63
Strategy for Vulnerable Communities Development 63
8. Consultation/Information Dissemination/Documentation Activity Supporting Monitoring and Evaluation of RAIP Implementation 66
9. IMPLEMENTATION ARRANGEMENTS 69
Institutional Arrangements 69
General 69
Institutional Arrangement for ESMF Implementation 69
Monitoring And Evaulation 73
Pre-Construction Monitoring 74
Construction Phase Monitoring 74
Operation Phase Monitoring 75
Central And District Level Monitoring 75
Community Based Performance Monitoring System (Cbpm). 75
Auditing 76
Environmental and Social Monitoring Framework 77
Monitoring and Evaluation Indicators 80
ANNEX 1 83
Physical Environment of RAIP Districts 83
Land Use Pattern 84
Project District Development Spending 84
Road Length 85
ANNEX 2: STUDY OBJECTIVES, CONSULTANT TERMS OF REFERENCE AND EXPECTED OUTCOMES 86
Study Objectives 86
Scope of Work 86
Approaches and Methodologies 87
ANNEX 3: LIST OF PEOPLE PARTICIPATING IN CONSULTATIONS 89
ANNEX 4: SURVEY QUESTIONNAIRE FOR SOCIAL SCREENING AND SOCIO-ECONOMIC PROFILE 93
ANNEX 5: FORMAT TO DOCUMENT VOLUNTARY LAND DONATIONS UNDER THE RURAL ACCESS IMPROVEMENT PROJECT (RAIP) 97
ANNEX 6: EXAMPLES OF SIMPLE ENVIRONMENTAL CLAUSES IN CONTRACT SPECIFICATIONS 98
Installation of Work Site 98
ANNEX 7: LOCAL LEVEL GUIDELINES FOR IMPLEMENTING ESMF 99
ANNEX 8: ENVIRONMENTAL ASPECTS OF SAMPLE RAIP SUB-PROJECTS 100
ANNEX 9 ENVIRONMENTAL SCREENING CHECKLIST 105
ANNEX 10 Field verification of environmental screening checklist 109
ANNEX 11 TERMS OF REFERENCE FOR INITIAL ENVIRONMENTAL EXAMINATION (IEE) 120
REFERENCES 128
TABLES
Table 1.1: District Participation Framework 5
Table 1.2: First Year Program Districts and Beneficiary Population 6
Table 3.1: Principal Steps in the Land Acquisition Process 13
Table 3.2: Identified Program Areas for Dalits by the Tenth Plan 16
Table 3.3: Population of Dalits in Sample RAIP Districts 17
Table 3.4: Applicable World Bank Environment and Social Guidelines 20
Table 4.1: Social Impacts in Sample RAIP Projects 31
Table 4.2: Percentage of Indigenous and Dalit Population in 13 Sample RAIP Districts 33
Table 4.3: Vulnerable Groups Consulted during Field Visit 34
Table 5.1: Environmental and Social Assessment within the Project Cycle 36
Table 5.2: Screening Criteria for Selecting IEE or EIA 37
Table 5.3: Work Schedule of IEE requiring approval 39
Table 5.4: Table of Content of IEE 41
Table 5.5: Checklist for Environmental Impact Prediction 43
Table 5.6: Approach to Mitigation Measure 46
Table 5.7: Environmental Mitigation Measures Appropriate To RAIP 46
Table 5.8: Mitigation Implementation 49
Table 5.9: Environmental Code of Conduct for Rural Access Infrastructure Development 51
Table 6.1: Entitlement Policy Matrix 57
Table 7.1: Vulnerable Communities Development Strategy 64
Table 8.1: Information Dissemination and Community Mobilization in RAIP implementation 67
Table 9.1: ESMF Implementation Mechanism for RAIP 69
Table 9.2 Institutional Arrangements for EMF Management 71
Table 9.3 Framework For Monitoring Environmental Issues 77
Table 9.4: Framework For Monitoring Social Issues 79
Table 9.5: Monitoring and Evaluation Indicators for RAIP Process 80
Table 9.6 Potential Monitoring and Evaluation Indicators for RAIP Impacts 82
FIGURES
Figure 7.1: Institutional Framework for Implementing VCDP 65
Figure 9.1: Flow Chart for Environmental Assessment 70
Figure 9.2: ESMP Implementation 70
Figure 9.3: ESMF Implementation 73
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Rural Access Improvement Project Environment and Social Management Framework
EXECUTIVE SUMMARY
1. Nepal’s economic and social development is inextricably linked to its geography and accessibility. An estimated 50 percent of Nepal’s population lives at least four hours walk from the nearest dry-season road where a bus or jeep may transit[1]; and only about 30 percent have access to all-season transport services[2]. Many in these isolated communities rely on foot trails and mule tracks and some in the mountain districts walk days to reach the nearest dry-season road. Inadequate and inefficient rural transport service therefore is a major factor constraining the use of social services and markets by communities, including education, medical facilities and agriculture markets. Economic and social surveys show that children in remote districts are more likely to be malnourished, die before they reach five years of age, and less likely to attend school than children living in more accessible districts[3]. Similarly, per capita incomes are 50 to 65 percent lower in the more remote Far West Hill and Mountain Districts than they are in the more accessible Terai and Central Hill Districts.
2. The Local Infrastructure Development Policy (August 2004) and National Strategy for Rural Infrastructure Development aims to reduce rural poverty through improvements in rural infrastructure services to rural enhance the accessibility of rural communities to social services and accelerate agricultural productivity. The Local Infrastructure Sector Development policy will be implemented within the context of, and in support of decentralization and empowerment of local bodies. Although decentralization has been pursued in Nepal for quite some time, its form and modality have varied depending on the legal provisions made. The policy of devolving development authority and service delivery responsibility to local bodies has been institutionalized through the Local Self-Governance Act (LSGA) 1999. Under the Act, Village Development Committees (VDCs), municipalities and District Development Committees (DDCs) are responsible for development programs and service delivery in their respective localities. The Act provides local bodies to follow planned development programs and prioritize programs that can increase productivity, contribute to upgrading living standards and generate income and employment opportunities. The Act also requires that local programs provide direct benefits to women and disadvantaged groups, and use community groups (such as Road User Committees) in the planning and execution of development programs.
3. The recently approved sector policy for the local infrastructure is also is designed to make local infrastructure policy and strategy consistent with the LSGA, harmonize donor and government practices in the sector and support the goals of HMGN’s Poverty Reduction Strategy/Tenth Plan (2002-2007) to achieve: (i) broad-based economic growth (especially of agriculture and the rural economy); (ii) accelerate human development through better delivery of social services; (iv) ensure social and economic inclusion of the poor; and (iv) pursue good governance. To support these objectives, the proposed Rural Access Improvement Project (RAIP) will adopt the following approaches:
(a) Candidate districts and specific subprojects will be selected on the basis of poverty level, accessibility and potential for agriculture development, thereby supporting both the agriculture productivity and poverty reduction objectives;
(b) Improvements in rural transport services will enhance the ability of the rural poor to access quality health care and education services;
(c) The project will emphasize and mainstream the use of labor-based methods for civil works and subsequent maintenance and operation of roads, and consistent with HMGN policy, it will give priority for hiring laborers from the disadvantaged communities, and thereby extending project benefits to the most vulnerable; and
(d) The project will be implemented by DDCs, with participation from community groups in the planning, implementation and monitoring of the project; thereby deepening HMGN’s objective for decentralization and improving governance structure and accountability in the rural road sector.
4. The Rural Access Improvement Project (RAIP) will finance rural transport infrastructure improvements to: (i) support candidate districts to rehabilitate and upgrade about 1200 km of existing roads to all-weather standard; (ii) upgrade about 600 km of existing tracks to dry-season standard in remote hill districts; (iii) carry out road maintenance of about 1600 of km of rural roads; (iv) support the construction of 313 short span trail bridges in 13 district; and, (v) funding for qualified communities for the development of rural infrastructure in their communities. An institutional and policy development component will also be supported by the project.
5. Participating districts will be selected based on a District Participation Framework (DPF), which has been prepared by the implementing agency, the Department of Local Infrastructure and Agricultural Roads (DOLIDAR), and endorsed by the Ministry of Local Development (MOLD) and the National Planning Commission (NPC). The first year program of consists of road works on 24 roads in 13 districts.
6. To facilitate the assessment and management of the potential environment and social impacts likely to arise from the project, DOLIDAR has prepared an Environmental and Social Management Framework (ESMF). Based on HMGN’s relevant legislation and guidelines, including the Environmental Protection Act and Environmental Rules (1977) and the Land Acquisition Act (1977), as well as relevant World Bank safeguard policies regarding Environmental Assessment, Natural Habitats, Forests, Physical and Cultural Resources, Disclosure, Involuntary resettlement and Indigenous Peoples.
7. The ESMF aims to provide inputs into the design of RAIP, through identification of key environmental and social issues related to the project, mitigate potential impacts and concerns and, devise opportunities to enhance the benefits. The framework integrates environmental and social considerations into all stages of project preparation, implementation, monitoring and operation and is applicable to all subprojects funded under RAIP. Key objectives of the ESMF are:
(a) Review HMGN’s existing policies, regulations, operational guidelines and institutional arrangements to address and mitigate environmental and social impacts of rural roads.
(b) Assess the compatibility of core principles of HMGN policies and World Bank policies; identify any gaps, and present recommendations for addressing these gaps;
(c) Identify potential adverse impacts due to rural access infrastructure and prepare draft environmental codes of practice.
(d) Develop guidelines for identifying and assessing the nature and magnitude of environment and social impacts, including preparation of environmental and social screening criteria to select projects for implementation under RAIP and determine the level of social and environmental assessment/studies required.
(e) Prepare guidelines for impact prediction and assessment.
(f) Suggest modalities for the preparation of site-specific subproject mitigation measures.
(g) Recommend measures to strengthen project implementation mechanisms and institutional arrangements.
8. The methodology adopted for preparation of the ESMF included: (i) review of relevant HMGN environmental and land acquisition legislation and operational guidelines; (ii) identification of stakeholders and environmental and social issues; (iii) identification of adverse environment and social impacts and strategies of how they could be minimized or mitigated; (iv) identification of positive impacts and how they could be enhanced; (v) incorporation of these findings into project design; (vi) establishment of indicators and mechanisms for monitoring and evaluation; and, (viii) examination of institutional arrangements.
9. The study commenced with the collection and analysis of existing data on environmental and social issues associated with rural roads, and an extensive review of HMGN’s relevant policies, regulations, and legal framework with the World Bank’s to identify policy gaps and develop recommendations to address these gaps. The data required for the study was collected through primary (field based investigations) and a desk review of secondary sources of information.