Government of Nepal Ministry of Water Supply Water Sector Governance and Infrastructure Project (WaSGISP) Draft Stakeholder Engagement Plan January 2022 Abbreviations and Acronyms CBOs Community-based organizations DWSSM Department of Water Supply and Sewerage Management E&S Environmental and Social ESF Environmental and Social Framework ESMF Environmental and Social Management Framework ESMP Environmental and Social Management Plan GBV Gender Based Violence GRM Grievance Redress Mechanism IDA International Development Association IPs Indigenous Peoples LLG Local Level Government M&E Monitoring and Evaluation MoU Memorandum of Understanding MoWS Ministry of Water Supply NEFIN National Federation of Indigenous Nationalities WaSGISP Water Sector Governance and Infrastructure Project OHS Occupational health and safety PLCU Province Level Monitoring Unit PMU Project Management Unit SEA/SH Sexual Exploitation and Abuse, Sexual Harassment SEP Stakeholder Engagement Plan WASH Water, sanitation, and hygiene WB World Bank 2 Contents Abbreviations and Acronyms ................................................................................................. 2 List of figures ............................................................................................................................ 4 EXECUTIVE SUMMARY ..................................................................................................... 5 1. Introduction .......................................................................................................................... 8 1.1 Project Description ........................................................................................................... 8 1.2 Stakeholder Consultation and Information Disclosure .................................................. 10 1.3 Objectives of the SEP..................................................................................................... 11 2. Summary of previous Stakeholder Engagement Activities ............................................ 12 3. Stakeholder identification and analysis ........................................................................... 15 2.1 Project-affected parties ................................................................................................... 15 2.2 Interested parties ............................................................................................................ 16 2.3 Disadvantaged/vulnerable individuals or groups ........................................................... 19 4. Stakeholder Engagement Program .................................................................................. 22 4.1 Purpose of stakeholder engagement program ................................................................ 22 4.2 Principles of meaningful consultation ............................................................................ 23 4.3 Proposed strategy for information disclosure................................................................. 28 4.4 Reporting Back ............................................................................................................... 30 5. Implementation arrangements ......................................................................................... 32 5.1 Organizational structure to implement the SEP ............................................................. 32 5.2 The roles and responsibilities of units/agencies and individuals ................................... 33 5.3 Estimated Budget ........................................................................................................... 34 6. Grievance Redressal mechanism (GRM)......................................................................... 39 6.1 Objectives of the GRM .................................................................................................. 39 6.2 Grievance implementation procedure ............................................................................ 39 6.3 Grievance Redressal Mechanism (GRM) System .......................................................... 39 6.4 Key steps and procedures of the GRM System .............................................................. 41 6.5 GRM in COVID-19 Crisis ............................................................................................. 43 6.6 Use of the Existing Dispute Resolution Systems ........................................................... 44 6.7 Grievances About GBV ................................................................................................. 44 7. Monitoring and Reporting ................................................................................................ 45 3 7.1 Monitoring of Stakeholder Engagement Activities ........................................................ 45 7.2 Alternative means of monitoring and reporting in COVID-19 crisis............................. 45 7.3 Reporting of Stakeholder Engagement Activities .......................................................... 46 Annex 1 - Sample Grievance Form ...................................................................................... 49 Annex 2 - Sample Grievance Registration Template.......................................................... 50 Annex 3 - Sample Grievance Closure Form ........................................................................ 51 Annex 4 - Grievance Redressal Online Form issued by the municipality ........................ 52 List of Tables Table 2.1: Previous stakeholder engagement activities ........................................................... 12 Table 3.1: Other interested parties and their interests in the project ....................................... 17 Table 3.2: Dalit population in the proposed project districts ................................................... 19 Table 4.1: Plan for Stakeholder Engagement .......................................................................... 24 Table 4.2: Proposed strategy for information disclosure ......................................................... 28 Table 5.1: Roles and Responsibility of Related Units/Agencies ............................................. 33 Table 5.2: Roles and Responsibilities of Individual/expert ..................................................... 34 Table 5.3: SEP Implementation Budget................................................................................... 36 Table 7.1: Performance Indicators ........................................................................................... 47 List of figures Figure 1.1: GIS Map of Karnali and Sudurpachim provinces ................................................... 8 Figure 1.2: GIS Maa of Birendranagar Municipality, Surkhet .................................................. 9 Figure 6.1: GRM system .......................................................................................................... 40 Figure 5.2: Key steps and procedures ...................................................................................... 43 4 EXECUTIVE SUMMARY The Water Governance and Infrastructure Project (WaSGISP) aims to promote and improve water supply service and sanitation in selected municipalities under the Karnali and Sudurpachim provinces. The project will be implemented by the Ministry of Water Supply (MoWS) through the Department of Water Supply and Sewerage Management (DWSSM). A Project Management Unit (PMU), led by a project manager, will be formed to carry out this task. At the provincial level, municipal authorities will be responsible for the construction of improved drinking water and sanitation project. Municipal authorities will play a leadership role and provide day-to-day support to the project implementation. This Stakeholder Engagement Plan (SEP) is prepared in line with the World Bank’s Environmental and Social Standard 10 (ESS10) to promote timely disclosure of relevant project information to project stakeholders, guide consultation with local communities and enable constructive dialogue between the Ministry of Water Supply (MoWS), DWSSM, beneficiary municipalities, water consumers and relevant stakeholders. The SEP consolidates ongoing consultation activities and establishes a systematic approach to identify and engage project stakeholders and ensure meaningful consultation with the stakeholders in the design and implementation of the project. For this purpose, the DWSSM first identified the project stakeholders and categorized them into various groups (i.e., government agencies, municipalities, water supply user groups, targeted beneficiary communities, and the people who might be adversely impacted by the project activities) based on their interests and influence on the project. The SEP includes an analysis of these various stakeholders and proposes strategies for engaging them throughout the project life. The SEP also makes provision for engaging indigenous people (IPs) and vulnerable groups such as Dalits present in the project area and to inform them about the risks and impacts of the project along with the mitigation measures that the project aims to adapt and project-related opportunities. The institutional arrangements for implementing stakeholder engagement activities have been incorporated in the SEP. At the national level, the MoWS and DWSSM will lead the implementation of most information disclosure and consultation activities. At the municipal levels, municipal authorities (especially the Social Development Section) will lead the implementation of SEP activities and help to uptake and address project-related grievances. Based on a preliminary assessment, it is recognized that capacity (including staffing and training) at the municipal level is particularly weak. As such, the World Bank will provide technical support (including training on ESF) to the staff that will be directly responsible for environmental and social risks and impacts of the project. In addition, the SEP also proposes a two-tiered grievance redress mechanism (GRM) for the project with clear provisions for receiving grievances, processing, and finding resolution, and reporting back to complainants in a timely and culturally appropriate manner. The GRM has also incorporated a sequential escalation procedure of a grievance if the complainant remains unsatisfied with the resolution and seeks to appeal. The SEP includes an 5 estimated budget to support the implementation of the consultation and information disclosure activities throughout the project lifecycle and lays out a monitoring and reporting mechanism. Being a living document, the SEP can be updated and revised whenever necessary, thus enabling the project to take corrective measures, if required. Further, this SEP has also envisaged the threat posed by the continued threat posed by COVID-19 and seeks to adopt safety protocols prescribed by the government and the World Bank. सारसंक्षेप ु ासन तथा पर् नेपाल खानेपानी सश ुर ू ााधार आयोजना (WaSGISP) ले कर्ााली र सद ू पश्चिम प्रदेश अन्तर्ातका छनोट ु ार र्ने लक्ष्य श्चलएको छ । यो र्ररएका नर्रपाश्चलकाहरूमा खानेपानी र सरसफाई सश्चु र्धाहरूको प्रर्र्द्ान र सध आयोजना नेपाल सरकार, खानेपानी मन्रालयले खानेपानी तथा ढल व्यर्स्थापन श्चर्भार् (DWSSM) माफा त ृ र्मा आयोजना व्यर्स्थापन इकाई कायाान्र्यन र्नेछ । यो काया सम्पादनका लाश्चर् आयोजना प्रबन्धकको नेतत् (PMU) र्ठन र्ररनेछ । सध ु ाररएको खानेपानी तथा सरसफाई आयोजना श्चनमाार्को श्चजम्मा प्रदेश स्तरमा ृ र्दायी भश्चू मका श्चनर्ााह र्नेछन् र नर्रपाश्चलकाले श्चलनेछ । नर्रपाश्चलकाका सम्बश्चन्धत पदाश्चधकारीहरूले यसमा नेतत् ं ग्नता योजना (SEP) श्चर्श्व बैंकको आयोजना कायाान्र्यनमा आर्श्यक सहयोर् र्नेछन् । यो सरोकारर्ाला सल र्ातार्रर्ीय र सामाश्चजक मापदण्ड १० (ESS10) लाई आयोजनाका सरोकारर्ालाहरूलाई आयोजना सम्बन्धी ा जानकारीहरू समयमै सार्ाजश्चनकीकरर् र्ना, स्थानीय समद सान्दश्चभक ु ायहरूसँर् परामशा र्ना र खानेपानी मन्रालय, खानेपानी तथा ढल व्यर्स्थापन श्चर्भार्, आयोजना सञ्चालन हुने नर्रपाश्चलकाहरू, खानेपानी उपभोक्ताहरू र सम्बश्चन्धत सरोकारर्ालाहरू बीचको रचनात्मक सर् ं ादलाई अश्चि बढाउनका लाश्चर् तयार र्ररएको हो । सरोकारर्ाला सलं ग्नता योजनाले भइरहेका परामशाहरूलाई अझ सारर्श्चभात बनाउँछ र आयोजनाका ं ग्न र्राउन एक व्यर्श्चस्थत दृश्चिकोर् स्थापना सरोकारर्ालाहरूको पश्चहचान र्ना र उनीहरूलाई आयोजनामा सल ु ा साथै आयोजनाको श्चडजाइन र कायाान्र्यनमा सरोकारर्ालाहरूसँर् अथापर् र्नाक ू ा परामशा सश्चु नश्चित र्दाछ । यस उद्देश्यका लाश्चर्, खानेपानी तथा ढल व्यर्स्थापन श्चर्भार्ले सर्ाप्रथम आयोजना सरोकारर्ालाहरूको पश्चहचान र्रे र उनीहरूलाई रुश्चच र प्रभार्का आधारमा श्चर्श्चभन्न समूहहरूमा र्र्ीकृ त र्र्यो (जस्तै - सरकारी श्चनकायहरू, ू हरू, लाभाश्चन्र्त समद नर्रपाश्चलकाहरू, खानेपानी उपभोक्ता समह ु ायहरू, र आयोजना र्श्चतश्चर्श्चधहरूबाट प्रश्चतकूल असर पना सक्ने माश्चनसहरू आश्चद ) । सरोकारर्ाला संलग्नता योजना (SEP) ले यी श्चर्श्चभन्न सरोकारर्ालाहरूको ं ग्न र्दाछ र उनीहरूलाई आयोजना अर्श्चधभर सल श्चर्श्ले षर् सल ं ग्न र्राउनका लाश्चर् रर्नीश्चतहरू प्रस्तार् र्दाछ । SEP ले आश्चदर्ासी जनजाश्चत (IPs) र आयोजना क्षेरमा बसोबास र्ने दश्चलतहरू जस्ता जोश्चखममा परे का ू हरूलाई आयोजनामा समार्ेश र्ना र उनीहरूलाई आयोजनाको जोश्चखम र प्रभार्हरूको बारे मा जानकारी समह 6 ु ू लन र्ने प्रार्धानहरूको व्याख्या र्दाछ । यसले र्राउनका साथै आयोजनासँर् सम्बश्चन्धत अर्सरहरूहरूलाई अनक ू ीकरर्का उपायहरूको बारे मा पश्चन बताउँछ । न्यन SEP मा सरोकारर्ाला सल ं थार्त व्यर्स्थाहरू समार्ेश र्ररएको छ । राश्चरिय ं ग्न र्श्चतश्चर्श्चधहरू कायाान्र्यन र्ने सस् स्तरमा, खानेपानी मन्रालय र खानेपानी तथा ढल व्यर्स्थापन श्चर्भार्ले अश्चधकांश सच ू ना सार्ाजश्चनकीकरर् र ृ र् र्नेछ । पाश्चलका स्तरहरूमा, पाश्चलकाका अश्चधकारीहरू परामशा सम्बन्धी र्श्चतश्चर्श्चधहरूको कायाान्र्यनको नेतत् ृ र् र्नेछन् र आयोजनासँर् (श्चर्शेष र्री सामाश्चजक श्चर्कास शाखा) ले SEP र्श्चतश्चर्श्चधहरूको कायाान्र्यनको नेतत् ु ासोहरू व्यक्त र्ना र श्चतनको सम्बोधन र्ना मद्दत र्नेछन् । प्रारश्चम्भक मल् सम्बश्चन्धत र्न ू याङ्कनका आधारमा पाश्चलका स्तरमा क्षमता (कमाचारी र ताश्चलम सश्चहत) श्चर्शेष र्री कमजोर रहेको देश्चखएको छ । यसरी, श्चर्श्व बैंकले आयोजनाको र्ातार्रर्ीय र सामाश्चजक जोश्चखम र प्रभार्हरूको लाश्चर् प्रत्यक्ष रूपमा श्चजम्मेर्ार हुने कमाचारीहरूलाई प्राश्चर्श्चधक सहयोर् (ESF मा ताश्चलम सश्चहत) उपलब्ध र्राउनेछ । ु तहको र्न यसबाहेक, SEP ले आयोजनाका लाश्चर् दई ं न्र (GRM) पश्चन प्रस्तार् र्रे को छ जसमा ु ासो श्चनर्ारर् सय ु ासोहरू प्राप्त र्ने, प्रशोधन र्ने र समाधानका उपायहरू खोज्ने र उजर र्न ं कृ श्चतक रूपमा ु ीकतााहरूलाई समयमै र सास् ु रूपमा ररपोटा र्ने स्पि प्रार्धानहरू छन् । यश्चद र्न उपयक्त ु हुन सके न र त्यस ु ासोकताा समाधानका उपायबाट सन्ति उपर अपील र्ना चाहन्छ भने र्न ु ासो श्चनदान सयं न्रको तहर्त प्रश्चियालाई पश्चन समार्ेश र्ररन्छ । SEP ले आयोजनाको पर ू ै जीर्नचिमा परामशा र सच ूा ू ना सार्ाजश्चनकीकरर् सम्बन्धी र्श्चतश्चर्श्चधहरूको कायाान्र्यनलाई मत ु ाश्चनत बजेट समार्ेश र्नाक रुप श्चदन ६ अनम ु ा साथै एक अनर् ं न्र तयार र्दाछ । SEP एक र्श्चतशील ु मन र ररपोश्चटाङ सय ु ार अद्यार्श्चधक र पररमाजान र्ना सश्चकन्छ, यसरी आर्श्यक भएमा दस्तार्ेज भएकोले यसलाई आर्श्यकता अनस ु ारात्मक उपायहरू अर्लम्बन र्नाका लाश्चर् आयोजनालाई सक्षम बनाउँछ । यसबाहेक, यस दस्तार्जेले कोश्चभड- सध ु ा साथै नेपाल सरकार र श्चर्श्व बैंकले १९ ले श्चनम्त्याएको श्चनरन्तर खतराबाट उत्पन्न खतराको पश्चन पररकल्पना र्नाक ु क्षा सम्बन्धी प्रार्धानहरू/प्रोटोकलहरू अपनाउने प्रयास र्रे को छ । तोके का सर 7 1. Introduction 1.1 Project Description The Nepal Water Governance and Infrastructure Project (WaSGISP) is a five-year IDA-funded project designed to transform water governance in Nepal and improve water supply service and sanitation in five selected municipalities under the Karnali and Sudurpachim provinces of the country. The selected municipalities include Birendranagar in the Karnali province as well as Dipayal Silgadhi, Sharada, Joshipur and Janaki municipalities – in the Sudurpashcim province. Approximately 40 percent of project funds will be invested in Birendranagar municipality (see figure 1: project location map below). The project comprises three components: • Component 1: Improving Water Sector Governance and Institutional Capacity for Water Supply Service • Component 2: Access to Improved and Safe Water Supply and Sanitation • Component 3: Building Resilience through Integrated Watershed Management • Component 4: Contingency Emergency Response (US$0 million) Figure 1.1: GIS Map of Karnali and Sudurpachim provinces 8 Figure 1.2: GIS Maa of Birendranagar Municipality, Surkhet Overall, the project aims to strengthen sector institutional capacity for water supply service delivery by establishing functional Water, Sanitation, and Hygiene (WASH) units; and to increase access to improved and climate-resilient water supply and sanitation in participating municipalities. Specific activities to be supported by the project include establishment and training of municipal WASH units (M-WASH); building technical and institutional capacity of water supply and sanitation agencies across federal(i.e. MoWS, DWSSM), provincial (i.e. Provincial Ministry of Physical Infrastructure Development), and local levels; constructing and rehabilitating water supply schemes and wastewater treatment facilities; constructing fecal sludge and wastewater treatment facilities; monitoring water quality; and implementing integrated watershed management and nature-based solutions. The organizational arrangement for implementing the project is two-tiered. At the national level, the Ministry of Water Supply (MoWS) through the Department of Water Supply and Sewerage Management (DWSSM) is the lead implementing agency and is responsible for improving sector governance and institutional capacity of the concerned municipalities and project management under component 1, building resilience through integrated watershed management under component 3, and contingency emergency response under component 4. 9 At the local level, municipal authorities will be responsible for access to improved and safe water supply and sanitation under component 2 and provide day-to-day support to the project implementation. Whilst the project will extend overall positive benefits, the implementation of some project activities is expected to induce notable environmental and social impacts. Based on preliminary environmental and social risks review, the World Bank determined the environmental and social risks of the project as “Substantial”. Key environmental impacts which may emerge from the construction of infrastructure (especially during the construction phase) include removal of trees/natural vegetation to make way for project infrastructure, solid waste management, building an access road along the proposed pipeline, building retaining and breast walls to protect the slope against landslides. Similarly, main social risks and impacts which may result from the project include the potential for land acquisition and displacement of local people, temporary restriction and/or disruption of access to homes, businesses and common property resources, occupational and community health and safety (during construction) and impacts on cultural heritage. In addition, there is the potential for exacerbating marginalization of the poor and vulnerable groups, particularly people with disabilities, indigenous and lower-caste groups such as Dalits in terms of access to project information and benefits. Illiteracy, poverty and predetermined low social status among these groups can limit their participation in project activities, constrain their access to project benefits, and undermine the objectives of the project.1 The World Bank’s Environmental and Social Standards and relevant national laws and regulations of Nepal will provide the legal and operational framework for assessing and managing the risks and impacts highlighted above.2 1.2 Stakeholder Consultation and Information Disclosure In line with the World Bank’s ESS 10, this Stakeholder Engagement Plan (SEP) is prepared to promote timely disclosure of relevant project information to project stakeholders, guide meaningful consultation with local communities and enable constructive dialogue between the Ministry of Water Supply (MoWS), the Department of Water Supply and Sewerage Management (DWSSM), beneficiary municipalities, water consumers and relevant stakeholders. Ultimately, using this SEP, the MoWS/DWSSM intends to disclose relevant information (including its environmental and social risks and impacts) about the project to relevant stakeholders and to solicit their perspectives, views and concerns that can be integrated 1 The detailed environmental and social risks and impacts of the project are noted in the World Bank’s Environmental and Social Risks Review Summary of the project. 2 Based on the ESRS (see footnote 1), the World Bank Standards that are relevant for managing environmental and social risks under the project include ESS1: Assessment and management of environmental and social risks and impacts; ESS2: Labor and working conditions; ESS3: Resource Efficiency and Pollution Prevention and Management; ESS4: Community health and safety; ESS5: Land acquisition, restriction of land use and involuntary resettlement; ESS6: Biodiversity conservation and sustainable management of living natural resources; ESS7: Indigenous People/Sub-Saharan African Historically Underserved Traditional Local Communities; ESS8: Cultural heritage; and ESS10: Stakeholder engagement and information disclosure. 10 in project design, planning, and implementation. The SEP consolidates previous engagement activities which have been carried out by the implementing agencies and outlines a series of strategies for further consultation and engagement of relevant stakeholders throughout the project lifecycle, making sure that such consultations are transparent, meaningful, and effective enough to inform project design, generate community support for the project, and inform inclusive and responsive design and implementation. For the purposes of this SEP, stakeholders, as defined in the World Bank ESF, refers to individuals or groups who: (i) are impacted or likely to be impacted directly or indirectly, positively or adversely, by the project (also known as ‘affected parties’); and (ii)may have an interest in the project (‘interested parties’) and include individuals or groups whose interests may be affected by the project and who have the potential to influence the project outcomes in any way. The SEP is a “living document” and will be updated and refined as the project progresses. 1.3 Objectives of the SEP The objectives of this SEP are: • To identify relevant stakeholders of this project and assess their interest and potential influence on the project • To ensure that all relevant project stakeholders receive relevant information in an inclusive and culturally appropriate manner, thereby enabling their support and/or participation in the project implementation process • To outline a responsive and functioning Grievance Redress Mechanism (GRM) that is readily available to project-affected parties to lodge project-related complaints and concerns and to allow the project to respond to and manage such grievances • To provide means for effective and constructive and inclusive engagement with project-affected parties and other interested parties throughout the project lifecycle on issues that could potentially affect them and, • To ensure that appropriate project information on environmental and social risks and impacts are disclosed to stakeholders in a timely, accessible, and appropriate manner and format. As a part of project preparation, the DWSSM has identified key stakeholders that will be directly or indirectly affected by the project; carried out preliminary engagement with some of these stakeholders and outlined ways by which they can share information with stakeholders, consult them in a meaningful way, and enable stakeholder participation and feedback to project implementation process. This SEP summarizes the findings of the analysis and describes the timing and methods of engagement with stakeholders throughout the life cycle of the project. 11 2. Summary of previous Stakeholder Engagement Activities Preliminary consultations have carried out engagements with various key institutional and community stakeholders including federal government ministries, authorities of provincial and municipal authorities, Water Supply Users Committees, Divisional Forest Authorities, and Forest User Groups. Through these engagements, the government disclose early project concepts and objectives, noted their ideas, suggestions and concerns which are being used to inform the project design. Table 1.1 below summarizes key engagements and issues discussed. Table 0.1: Previous stakeholder engagement activities Stakeholder/date Issues Discussed Key points raised of engagement DWSSM • Project concept, • Expressed government support for the 12/11/2021 components, and project objectives • Stressed on the need to for strong support • Project implementation from the Bank to enable the Dept. to arrangements implement the project (including managing • Key environmental and E&S risks and impacts) social issues related to the • Underlined the need to onboard required project manpower to undertake the assessment and • Tariffs, access, and cost prepare the instruments. recovery Ministry Physical • Project concept, • Emphasised the need to explore new Infrastructure and components, and resources to meet the current demand Urban objectives through improving the Surkhet Valley Development • Project implementation Drinking Water Project. 28/11/2021 arrangements • Highlighted the need to work effectively for • Tariffs, access, and cost wastewater management recovery • Discussed the need to give priority for the improvement of water quality. • Discussions were held on to empower the local government for good water governance • Emphasized on working in partnership with the provincial government • Exploring the possibilities of public-private partnership. Birendranagar • Project concept, • Support for the project Municipality, components, and • Leverage project to equip and support Surkhet, Karnali objectives municipality to discharge its mandate Province (training and resourcing) 12 28/11/ 2021 • Environmental and social • Strengthen the Social Development unit of concerns of the project the municipality to support project (esp. land to support implementation (especially on E&S issues) project investments) • Need of the better coordination with the • Organogram and staffing ward offices of the municipality to of the municipality (need implement E&S risk and impact assessment for staffing to support • Need of better collaboration with the key project implementation) stakeholder such as water Users’ groups • Tariffs, access, and cost • Need to allocate required resources and recovery human resources to complete the ongoing information collection related to WASH Sukhet Water • Project concept, • Need to consider local representation in the Supply Users components, and proposed WASH units (component 1 of the Organizations objectives project) • Environmental and social • Build on and strengthen existing structure of 28/11/ 2021 risks and impacts of the the organization project • Insufficient water and water rationing in the • Organogram and staffing valley of the organization • Water loss (leakage up to 35%) due to aging • Existing Grievance infrastructure Redress mechanisms of the • Lack of cooperation and the coordination at organization the local level in the issues related to • Tariffs and cost recovery drinking water • Limited experience in conducting E&S risk assessment and implementing mitigation measures • Need of supports to strengthen the implementation of E&S related measures, including the management of grievances from users Karnali Chief • Project concept, • Expressed support for the project concept Minister and his components, and and components officials objectives • Need for subnational governments to be • Environmental and social resourced and supported risks and impacts of the • Need for attention to client-resilient project infrastructure • Need for Chief Minister’s • Explore private participation in the water support to the project sector • Balancing tariffs, access, and cost recovery 13 Sharada • Project concept and • Need for dedicated staffing and resources to Municipality, objectives manage the E&S issues related to the project Salyan district, • Environmental and social • Leveraging the project to provide capacity Karnali Province risks and impacts of the and technical support for Municipality to project carry its mandate 29/11/ 2021 • Staffing and resources at • Need for basic socio-economic data to municipality to help support project planning in the municipality implement the project • Cost recovery, tariffs, and access to water in the municipality Surkhet • Project concept and • Support for the project as it will improve Community objectives access to water Forest User • Proposed location of water • Prioritize the group for construction-related Group (Dalits) reservoir in the community jobs forest • Support to rehabilitate degraded portions of • Environmental and social the forest risks and impacts of the • Need for other income generation and project livelihood activities • Project-community • Access to information about the project relations and collaboration Given the prolonging COVID19 situation and the restrictions on travel and gathering, the PMU was unable to share the draft of the SEP with wider stakeholders and get their feedback. However, the PMU is committed to sharing the draft SEP with the identified stakeholders of the sub-projects and making appropriate revisions based on feedback and concerns before the implementation of the project. In addition, the PMU also consult with the vulnerable groups, such as Dalit and IP communities to apprise them about the SEP, incorporate their appropriate concerns and feedback and engage them in the process of implementing the SEP. 14 3. Stakeholder identification and analysis This section provides information about key stakeholders – both affected and interested parties - that have been identified, and will be informed and consulted about the project, including individuals, institutions, interest groups, and local communities. Indigenous people as well as vulnerable and disadvantaged groups in the project locations have also been identified, recognizing existing limitations on the ability of such groups to access relevant project information and the opportunities that may come through the project. These stakeholders were identified using the following criteria: • Dependency: individuals or groups significantly dependent on the project or ongoing operations, and who stands a chance of being further affected by the proposed project in economic, financial, or utility terms. • Representation: Individuals or groups with the right to be represented in the project or ongoing operations, and this right is legitimated through legislation, custom and/or cultural specifics. • Influence: Individuals or groups who may be able to substantially influence the project planning, implementation, or ongoing operations. • Liability: Project implementation or ongoing operations may result in legal, financial, or other liabilities of the project to a social group. • Partnership: There are opportunities for building partnerships between the project and a given social group in the framework of the project implementation or ongoing operations. • Expressed interest: A social group and/or individual may express interest in a project or ongoing operations, and this group is not necessarily directly affected by the planned or current activities The limitations of Covid 19 and the need to operate safely imposed constraints on the ability of the project team to travel, identify and engage stakeholders. Nonetheless, the team conducted a few field visits and drew on secondary data and previous experience to map out and analyze the interest of various stakeholders in the project across federal, provincial, and local government levels. 2.1 Project-affected parties They include individuals, groups, and entities within the project’s Area of Influence that may be directly impacted by the project activities and/or have been identified as most susceptible to the change associated with the project, and who need to be closely engaged in identifying impacts, as well as in decision-making on mitigation and management measures. They include: • Local populations living in the vicinity of the planned project infrastructure and activities that may be adversely affected mainly by noise, dust, vibration, vehicular movements, 15 • Persons or households who may lose access to land and/or will be restricted from accessing natural resources because of the project, e.g., farmers, landowners, squatters, forest user groups, etc. • Indigenous and vulnerable groups such as Dalits, elderly, physically and mentally disabled persons, landless people, single mothers, adolescent girls, minority communities, and the children, • Local health centers would have to provide basic health supports to the project staff and migrant workers. • NGOs working in the area on environmental and social issues and the media 2.2 Interested parties The interested parties in this project, other than those directly affected, include: • Government officials (elected and non-elected), regulatory, and permit awarding agencies at the federal, provincial, and local levels, including environmental, technical, and labor authorities. • Government officials at District level offices of key ministries, including Divisional Forest Offices, Irrigation Offices, Road Offices, Survey Office, Land Revenue Offices, and Electricity Authority, etc. • Non-elected officials with wide recognition within the community, such as headteachers of local schools, religious leaders, or leaders of local cooperatives • Leaders of informal or traditional community institutions such as women groups, Dalits Samaj, water consumer groups, village councils, etc. • NGOs and CBOs at national, provincial, and local levels on the welfare and rights of indigenous people and vulnerable groups such as Dalits and other minorities, gender/GBV issues, etc. • Business owners, traders, suppliers of goods and services to the construction and operation of the project • Residents and communities within the project area that can benefit from increased economic opportunities, employment, and training opportunities stemming from the project; and, • Media including district and local press clubs. 16 Table 3.1: Other interested parties and their interests in the project Interested parties Interest in the project International Level Environmental I/NGOs and Activists, • Understanding the range of impacts of the project NGOs working on IPs and Human rights, activities and effectiveness and implementation of Gender Activists the prescribed mitigation measures along with the opportunities associated with the project(s). Private Corporations • Explore business opportunities in PPPs on water and sanitation Development partners and Agencies (DPs) • Explore opportunities for scaling the project investments, e.g., ADB, USAID, JICA, • Due diligence and compliance on environmental and social impacts • Project management and scalable lessons. Academics and researchers • Possible research work at the project site to provide scientific knowledge of the risks, impacts and opportunities of the project. Federal Level Ministry of Finance, • Ensuring that project funds will be used for project National Planning Commission, purpose. Water and Energy Commission • ensuring that project investments align with national and local level development priorities (15th Periodic Plan). • Project impacts on watersheds and mitigation measures Federal Ministry of Forest and • Trees clearance for project site development and Environment management for compensatory tree plantation Department of Urban Development and • Preparation a provincial Master Plan for the Building Construction project area and thus needs project-related information. The Federation of Drinking Water and • Facilitation of the provision of drinking water, Sanitation Users Nepal sanitation, and hygiene (WASH) services and advocating for water and sanitation rights and promoting good government on water use. National NGOs with focus on E&S Gender • Represents the interests of different interested issues, IPs and Dalits right issues parties and vulnerable groups • Workers’ organizations • Interest in potential E&S risks as well as community health and safety, including occupational health and safety of the project workers 17 Contractors, subcontractors, and service • Procurement and contracting opportunities providers associated with the project • Providing services for and on behalf of the project e.g., skills development training for workers, pump operators, labor supply contractors, etc. Media • To provide information and news about the project to their listeners, • Accountability for project/public funds • represents public interest Academic institutions such as universities • Research/study opportunities for the students on and think tanks various issues such as WASH, E&S risks and impacts, health outcomes of potable water, labor influx. etc Provincial and Local Levels (Karnali and Suderpachim provinces) Provincial Social Development Ministry • Social impacts (positive and negative) of the project activities and contribution to the social development by the project • Community representation in water facility management Provincial Economic Affairs and Planning • Contribution to the economic development by the Ministry project Provincial Planning Commission • Economic development and development planning processes of drinking water supply Provincial Ministry of Industry, Tourism, • Possible impact to the forest, tree clearance and Forest and Environment and District Forest management of compensatory tree plantation Office Political leaders (i.e., Chief Ministers, • Taking credits of economic and social Political Party Heads, Mayors development in the region Provincial and local level NGOs, Right • Represents the interests of different interested Groups, Activists, parties and vulnerable groups • Facilitation of WASH services and advocating for water and sanitation rights and promoting good government on water use at the regional level. Provincial Ministry of Physical • Construction of access road to proposed project Infrastructure Development and District site Road Office Chambers of commerce and business • Business opportunities unveiled by the project associations activities Mass Media (FM/community radios, • To provide information and news about the project newspapers, TV channels, social media, to their listeners, • Accountability for project/public funds 18 including the Facebook and twitter, among • represents public interest others) • local correspondence for national and international networks 2.3 Disadvantaged/vulnerable individuals or groups The DWSSM recognizes that it is important to understand whether project impacts may disproportionately fall on disadvantaged or vulnerable individuals or groups that are often unable to express their concerns or may not even understand the impacts of a project. The vulnerability may stem from an individual’s gender, race, age, health condition, ethnicity or caste, income levels and other elements of marginalization. The stakeholder engagement activities in this project will consider these elements of vulnerability and adapt information disclosure and consultation strategies to the concerns and cultural sensitivities of disadvantaged and vulnerable groups to ensure a full understanding of project activities and benefits. The project will also take special measures to ensure that disadvantaged and vulnerable groups have opportunity to participate in accessing project benefits, provide feedback, and submit grievances. These groups may include and are not limited to the following: • The elderly, especially those living alone • Individuals with chronic diseases and pre-existing medical conditions • Minority groups including Dalits and Muslims (see table 3.2 below) • Indigenous peoples and groups • Female-headed households • Disaster-affected populations • Poor households including homeless and landless families • Survivors of gender-based violence (GBV), sexual exploitation and abuse, sexual harassment (SEA/SH) • People/children with disabilities; and, • Sexual minorities including LGBTI groups. Table 3.2: Dalit population in the proposed project districts Proposed site % of Dalits papulation as the total population Birendranagar Municipality 18.9 Sharada Municipality 13.2 Dipayal Silgadi Municipality 22.9 Joshipur Rural Municipality 4.8 Janaki Rural Municipality 11.4 Source: Population Census 2011, Central Bureau of Statistics 19 As the project progress, vulnerable groups within the affected community will be further confirmed, included, and consulted with, as necessary. Where the SEP is used to address IPs, it will be prepared in a manner consistent with ESS7 to enable targeted meaningful consultation, culturally appropriate engagement processes; providing sufficient time for IPs decision making processes; and allowing their effective participation in the design of project activities or mitigation measures. Against these, the project will: • give priority to vulnerable family members to provide skills development training and on successful completion would provide jobs on a priority basis, • create and ensure jobs for women-headed households as well as low-income families and persons with disabilities. Table 3.3. Analysis of issues related to Disadvantaged/Vulnerable Groups Project component Vulnerable Key Preferred means Additional Resources groups and Characteristics of Required individual /Needs Consultation/Infor mation disclosure Component 1. Improving Sector Governance and Institutional Capacity, Project Management • To provide support Physically • Remote • community level • Provision of supporting to improve sector challenged Distance, Poor meetings/fora, the IPs, Dalits and other governance and persons with Communicatio • Community vulnerable groups to attain build institutional difficulties in n network notices stakeholder consultations capacity of WASH movements, • Lack of access • Local radio and information disclosure agencies of all tiers persons with to meeting • Local/community activities. of the government visual and places, radio, the media • Provision of information • To establish hearing distance to on noticeboards, use of dedicated impairment communal water scheme members to municipality WASH and persons water points, disseminate information to units and municipal living in language remote areas utilities. extreme barrier, visual • Information translated to • To provide support poverty impairment indigenous languages, to build the sign language/ braille capacities of private operators responsible for front- end delivery of water and sanitation services 20 Project component Vulnerable Key Preferred means Additional Resources groups and Characteristics of Required individual /Needs Consultation/Infor mation disclosure Component 2. Access to Improved and Safe Water Supply and Sanitation • To construct and • People with • Accessibility, • Consider income • Engagement of local rehabilitate water physical lack of levels in tariff NGOs and CBOs who supply schemes to disabilities information, review, locate work with vulnerable improve water and and visual limited voice water points people at the community sanitation service impairment • Cultural and closer to level to help disseminate delivery levels. • Forest User traditional households, information and organize • To construct faecal Groups barriers • More information consultation sludge and (usually poverty dissemination • Engagement of local wastewater Dalits and stigma through the local NGOs and CBOs who treatment facilities other radio, Group work with vulnerable including both sewer minorities) discussions, people at the community systems, Faecal • Female- pictorial posters, level to help disseminate Sludge Treatment headed local language information and organize Plants (FSTPs) and households, skits and consultation on-site sanitation. Women, discussions. • To construct water girls, poor • Focus group quality testing and meeting, use of infrastructure, disadvantage gender notably functioning d children champions, laboratories to pregnant support water school age quality monitoring girls • To operationalize national water quality surveillance and governance system and integrated MIS 21 Project component Vulnerable Key Preferred means Additional Resources groups and Characteristics of Required individual /Needs Consultation/Infor mation disclosure Component 3. Building Resilience through Integrated Watershed Management • To support Stakeholders Limited voice, Focus group More information urban/rural in remote areas Low meetings, dissemination through local watershed Forest User representation, engagement at the radio, pictorial posters, local management and Groups Lack of access local level language skits and provide nature-based (usually Dalits to information, including the use of discussions. Community solutions to improve and other radio and town hall level upstream/downstrea minorities) meetings engagement/consultations m water quality and environmental flows. • To provide adaption and mitigation measures against climate related hazards including droughts, floods, and landslides • To support a feasibility study on water source augmentation 4. Stakeholder Engagement Program 4.1 Purpose of stakeholder engagement program The stakeholder engagement program is designed to establish an effective platform for productive interaction with potentially affected parties and others with interest in the preparation and implementation of the project. Meaningful stakeholder engagement throughout the project cycle is an essential aspect of good project management and provides opportunities for the project to: • Inform the stakeholders of the project related information especially issues that could potentially affect them in a timely, understandable, accessible, and appropriate manner and format, • Assess the level of stakeholder interest and support for the project and to enable stakeholders’ views to be considered in project design and environmental and social performance, • Building and maintaining a constructive relationship with various stakeholders that have been identified, • Provide project-affected persons with accessible and inclusive means to raise issues and grievances and allow the project to respond to and manage such grievances. 22 4.2 Principles of meaningful consultation To meet the overall objectives of the SEP, the DWSSM and participating municipalities aim to apply the following principles to ensure meaningful engagement with stakeholders: • Openness and life-cycle approach: Activities related to stakeholder engagement, public consultations, and disclosure of project-related information will be conducted throughout the project lifecycle in a transparent manner, free of external manipulation, interference, coercion, or intimidation • Informed participation and feedback: Information will be provided to and widely disseminated among all stakeholders through appropriate means and format to ensure maximum assessment of the stakeholders to the project-related information. Opportunities will be provided to stakeholders for their feedback and comments on information related to the project, and appropriate mechanisms will be put in place to address appropriate comments and concerns • Inclusiveness and sensitivity: Stakeholder identification is undertaken to support better communications and build effective relationships. The project will ensure that the participation process would be inclusive, and all the stakeholders are encouraged to be involved in the consultation process. Equal access to information is provided to all stakeholders. Special attention is given to indigenous people, vulnerable groups especially children/students of both gender, women, Dalits, and the elderly, and to the cultural sensitivities of diverse ethnic and caste groups. Table 4.1 presents an outline of key stakeholder engagement activities to be implemented throughout the project life: preparation to implementation and closure. 23 Table 4.1: Plan for Stakeholder Engagement Topic of consultation / message Target Stakeholders Method(s) of Engagement Frequency/time frame Responsibilities Project Phase: Planning and preparation At the Federal Level • Federal government line • Phone, call centers, email, official Throughout the project MoWS and • Objectives and the planned agencies/officials letters preparation DWSSM at the activities of the project • Provincial government line • Orientation/Training workshops federal level • E&S principles policies and agencies/officials • Virtual meetings (One-on- scopes • Rural Municipalities and one/Group discussions) • The ESMF and potential E&S concerned officials • Other outreach activities risk and impacts • National level NGOs with (All face-to-face meetings and small • The ESMP /updated ESMF a focus on WASH gatherings will be conducted by • Stakeholder consultations and • Federation of Drinking adopting COVID-19 related information disclosure Water and Sanitation protocols) • Grievance Redress mechanisms Users' Nepal (GRM) • Media • Citizen Engagement Activities • GBV and SHE/SH risks and impacts, including the SEA/SH Action Plan At the provincial and local • Affected individuals • Virtual one-on-one or group MoPID at levels (project beneficiaries) meeting provinces and • Objectives and the planned • District Coordination • Periodic stakeholder engagement project activities of the project Committees (DCCs) activities implementing • E&S principles policies and • The Surkhet • Periodic project-related municipalities at scopes Valley Drinking Water information disclosure the LLs • Engagement and consultation Consumers' Committee • meetings with local municipalities program with project stakeholder • Local communities • FGDs with stakeholders • The ESMF and potential E&S • Vulnerable groups • Targeted outreach activities and risks and impacts including women’s groups FGDs with women, IP • Information about the mitigation and Dalits organizations and other vulnerable measures and implementation • Indigenous peoples groups, such as Dalits modality, • Local NGOs • Regular contacts through phone • Stakeholder consultations and • Local press and media and text messages with information disclosure • Community leaders representatives of project • Establishment and functioning • Community radio, social media and procedures of GRM local media • Citizen Engagement Activities (All face-to-face meetings will be • GBV and SEA/SH risks and conducted in a small group by impact, including the SEA/SH adopting COVID-19 related Action Plan and management protocols) procedures • All activities to ensure access of all the beneficiaries, including the IP and vulnerable groups 25 Topic of consultation / message Target Stakeholders Method(s) of Engagement Frequency/time frame Responsibilities • Program to ensure equity and quality of services and Project Phase: Implementation • Project scope and ongoing • Federal government line • Phone, call centers, email, letters Throughout the project MoWS and activities, and project status agencies/officials • Face-to-face/virtual meetings with implementation DWSSM at the • Revision/updates of ESMF and • Provincial government line federal, provincial and local federal level other E&S instruments agencies/officials agencies and officials • Implementation of mitigation • Municipalities and Rural • Orientation Program/ measures Municipalities and Training/workshop • SEP related activities concerned officials • Regular information updates in the • Functioning of the GRM • The Surkhet MoWS and DWSSM websites • Periodic stakeholder Valley Drinking Water consultations Consumers' Committee • Project-related information • WASH experts disclosure • Other potential E&S concerns • Project scope and ongoing • Affected individuals • Periodic consultation with project Throughout the project MoPID at activities, (project beneficiaries) stakeholders implementation provinces and • Status ESMF and related • Local communities • Information disclosure through project instruments • Vulnerable groups mass meetings, brochures, flyers, implementing • Progress in the implementation of • Indigenous peoples project website and local media, municipalities at mitigation measures • Local NGOs among other the LLs • Updated SEP and related • Local community leaders • Accessible and functioning GRM activities • Local press and media 26 Topic of consultation / message Target Stakeholders Method(s) of Engagement Frequency/time frame Responsibilities • GRM implementation • Periodic small groups meetings • Implementation of SEA/SH with vulnerable and IP groups Action Plan • Application of audio/visual • Periodic stakeholder communication techniques, and consultations other accessible formats to engage • Project-related information with vulnerable groups, including disclosure people with disabilities • Other potential E&S concerns (All face-to-face meetings will be conducted in a small group by adopting COVID-19 related protocols) • Understanding perception of • All targeted beneficiaries • Beneficiary Satisfaction Survey First survey after two DoWSSW beneficiaries about the activities of subprojects years of project and services extended under the implementation and the project second during the final year of operation 27 4.3 Proposed strategy for information disclosure All relevant documents of the project, including the ESMF, SEP, ESCP, and ESRS, among others, will be disclosed and made accessible to all stakeholders. The information will be disclosed through all possible means, ranging from face-to-face and virtual consultations with the project stakeholders, distribution of hard copies, posters, leaflets, and brochures, through social media, DWSSM and project website and local media so that the documents are accessible to all project beneficiaries of the project, including those in residing in the remote areas. Table 4.2: Proposed strategy for information disclosure Target stakeholders List of information to be Methods and timing disclosed proposed activities Project preparation phase Government officials (Federal, • Project concept and planned • Group consultation provincial, District activities • Training, seminar, and Coordination Committees • Environmental and Social workshop (DCCs) and other district-level Commitment Plan (ESCP) • Electronic publications government agencies and • The ESMF and the SEP • Information leaflets and project hosting municipalities • GRM process brochures and rural municipalities, • SEA/SH management • Cluster meetings with including ward offices) procedures provincial authorities • Revised and updated project • MoWs website information (All face-to-face meeting will be conducted by adopting COVID-19 related protocols) • Private and public WASH • Project concept and planned • Face-to-face or virtual and health institutions activities meetings, webinars workers • E&S management plans (i.e., • Telephone calls, emails, and • Local NGOs and CBOs highlights of ESMF, SEP, SMS • Community leaders ESIAs, etc) • Seminar and workshops • National & local Media • GRM procedure, • Information boards, leaflets, • SEA/SH management and brochures procedures, and • Regularly updated project • Revised project information. information on the MoWs/ DWSSM website • Individuals and communities • Project concept and activities • Regular release of public with a focus on vulnerable • E&S procedures and notices though mass media, groups, including, IPs, management plans community radio, women, and Dalits • Updated SEP, GRM television, and social media • Forest User Groups procedures, ESMF and in Nepali as well as local ESCP, and language • Water Supply and • Revised project information • Regular updates of management Schemes information on the MoWs • Local NGOs and CSOs /DWSSM website • Distribute information leaflets and brochures to public • Air project information/ messages through community radio in Nepali and other local languages • Periodic small group meetings with vulnerable and IP groups • Regular contacts with the representatives of IP and vulnerable groups through phone calls, emails, text messages (All face-to-face meeting will be conducted in a small group by adopting COVID-19 related protocols) Project implementation phase Government representatives • Scope of project and status of • Sharing project update and (Federal, provincial, District planned and ongoing reports through emails and Coordination Committees activities meetings (DCCs) and other district-level • Regular updates on project • Electronic publications as government agencies and status including the well as dissemination of project hosting municipalities implementation of ESMF, hard copies and rural municipalities, SEP and GRM • Virtual consultations with including ward offices) provincial authorities • Virtual/face-to-face consultations with local municipalities and ward offices • Private and public WASH • Scope of project and related • Information boards, and health institutions activities • Project websites workers • Periodic updates on project • Project leaflets and brochures • Local NGOs and CBOs status, including the • National & local Media 29 implementation of ESMF, • Periodic face-to-face/virtual SEP and mitigation measures meeting with project • GRM procedures stakeholders • Distribution of electronic publications, and • Dissemination of hard copies (Information will be provided in Nepali and local languages) • Individuals and communities • Scope of project and related • Public notices with a focus on vulnerable activities • Press releases in the local groups, including poor and • Periodic updates on project media and on the project ethnic minorities, IPs, status, including the website women implementation of ESMF, • Information leaflets and • Local NGOs and CSOs SEP and mitigation measures brochures • GRM procedures • Airing messages through community radio, • Exchange of information through emails, text messages, use of audio- visual materials • Periodic small group meetings with vulnerable and IP groups by adopting COVID protocols • Regular contacts through electronic means, such as phone calls, and emails, text messages • Information sharing from local level offices (Information will be provided in Nepali as well as local languages as needed) 4.4 Reporting Back The project recognizes that enabling stakeholders to understand whether the feedback they provided during consultations has been received considered during project design and implementation are important factors to build trust with the community. Reporting back to stakeholders helps demonstrate that the project seriously takes suggestions, comments and complaints raised by the local community and if/how these have been incorporated and 30 addressed into the project. Understanding stakeholder concerns and addressing these early in the project design and before implementation can help to avoid any project issues during implementation and can help to secure consensus for the project from key stakeholders. The project will adopt the following mechanisms to manage stakeholder feedback and comments, and to report back to the stakeholders: • The project will ensure that feedback and comments received through comments boxes, online platforms in the social media, project email, and dedicated telephone numbers are acknowledged by registering them in a logbook and will be addressed in an appropriate and timely manner. • A periodic review of the implementation of the SEP will continue to incorporate new issues that have come to light, and concerns and queries raised by the stakeholders during the project implementation. It will also provide information on how the feedback has been considered and addressed by the project. 31 5. Implementation arrangements This section explains the institutional arrangement that the project aims to adopt for the effective implementation of the SEP. 5.1 Organizational structure to implement the SEP Federal level: The project will have an Intergovernmental Project Steering Committee (PSC) led by the secretary of the Ministry of Water Supplies (MoWS) at the Federal level and one of the major tasks of the committee will be to ensure collaboration and coordination between the three tiers of government and other key stakeholders. Similarly, there will be a Project Management Unit (PMU) at the DWSSM and the PMU will be tasked with overall financial management and reporting along with channeling the resources to the implementing agencies at the local levels and will also be responsible for the implementation of Component 1. The PMU has recruited a Social Development Specialist who assumes overall responsibility for effective implementation of the SEP, monitoring consultation activities, and reporting quarterly on the implementation of the SEP and other social management plans. The Social Development Specialist will be assisted by an Environment Safeguard Specialist who leads the implementation of the environmental impact assessment and management of environmental issues. Provincial Level: There will be an Intergovernmental Project Steering Committees (PSCs) at the provincial level with representation from federal, provincial and all participating local levels. Provincial Ministries of Physical Infrastructure and Urban Development will be responsible for providing technical supports to municipalities for the implementation of Components 2 and 3. The Soil Conservation and Watershed Management Office of the Karnali province will provide technical support on watershed management and conservation activities under Component 3. Local Level (participating municipalities): The Municipal Social Development unit (and later the WASH units yet to be established) will be responsible for the implementation of consultation activities, managing project-related complaints and grievances, and supporting community mobilization efforts of the project. Existing staff at the social development units will be trained by the World Bank, and units without staff will be supported by the project to recruit dedicated E&S staff to be responsible for the implementation of the planned activities in this SEP. In addition, the staff will also serve as the focal persons for the GRM Level 1 at the local level. In effect, the E&S staff at the participating municipality will be responsible for managing E&S issues of the project at the local level, with technical support and guidance from the E&S specialists at the PMU. In addition to providing monthly SEP implementation and status reports to the E&S safeguard specialist at the DoWSSW, the E&S staff together with current heads of the various Water Supply Users Committees (and later WASH units when established) chief will be responsible for reporting and helping to manage sensitive incidents, such as grievances related to SEA/SH to the E&S safeguard specialist at the DoWSSW. The 32 organizational structure will be reviewed periodically to ensure the effectiveness of SEP implementation. 5.2 The roles and responsibilities of units/agencies and individuals The roles and responsibilities of key agencies/units envisaged for the implementation and operation of the project (especially as they related to stakeholder consultation and engagement) are shown in the table below. Table 5.1: Roles and Responsibility of Related Units/Agencies Key units/agencies Roles and responsibilities Project Steering • Ensuring collaboration and coordination between the three tiers of Committee (PSC) government and other key stakeholders. PMU • Planning, budgeting, and ensuring the implementation of the SEP throughout (DWSSM-based) the project lifecycle. o Coordinate and monitor SEP activities with the partnering municipalities. o Collating SEP-related activities from the partnering municipalities along with their performances and outcomes. o Undertaking periodic monitoring of SEP, and preparation and dissemination of quarterly SEP implementation report. • Ensuring necessary financial and human resources at all three levels for effective implementation of the SEP and other E&S management plans. • Ensuring the project activities as per the various guidelines and directives issued by the government and other related organizations, including Covid 19 management protocols. • Ensuring effective management and reporting of project-related complaints and grievances as per the project GRM. Province level • Liaising with PMU staff to support and monitor Local Level activities. Intergovernmental • Monitor progress of project activities in the field. Project Steering Committees (PSCs) Provincial Ministries • Providing technical backstopping and support to municipalities for the of Physical implementation of Components 2 and 3, taking into consideration community Infrastructure concerns Development Social Development • Lead the implementation of stakeholder consultation activities at the Units at Municipal community level Assemblies (and • Supporting the PMU in identifying stakeholders of the project at the local level later WASH units and updating the list of stakeholders. when constituted) • Mobilizing and organizing local stakeholders for consultation and project engagement activities. • Disseminating project-related information in a timely manner. • Managing and ensuring the smooth functioning of the Level-1 GRM. 33 • Reporting (monthly) on SEP and GRM to PMU Host/Local • Participate in consultations and information disclosure programs community • Provide feedback on project related documents disclosed for public scrutiny • Use GRM to report any grievances and complaints Table 5.2: Roles and Responsibilities of Individual/expert Key staff/expert Responsibilities Project manager • Responsible for monitoring and supervising the overall (PMU- DWSSM) implementation of the SEP, including managing financial resources and supporting logistics, and preparing and disseminating quarterly SEP implementation reports. E&S Safeguards specialist • Responsible for the overall implementation of the SEP, including (PMU- DWSSM) periodic consultations, information disclosure, and effective functioning of the GRM. • Coordinate the SEP activities among the provincial agencies and Local Levels. • Updating the SEP to accommodate any changes and take corrective actions immediately as and when required. • Preparing quarterly SEP implementation report and submit to the Word Bank office through the PMU E&S Staff • Support the PMU in the implementation of the SEP (Participating Municipalities) • Hold periodic consultations with stakeholders, including IP communities and vulnerable groups and prepare meeting minutes. • Disseminate project-related information to the local-level stakeholders through available means • Receive and acknowledge grievances and maintain a logbook/electronic database of grievances and status. • Support the local municipalities to ensure smooth functioning of Level- 1 grievances. • Report on the status of grievances to the E&S Safeguard Specialists at the PMU at DWSSM and forward unsolved grievances to Level 2. • Provide data and field-level information related to SEP implementation activities to the Social Safeguard Specialist of the PMU at the DWSSM. • Support E&S Safeguard Specialists to prepare quarterly SEP implementation reports as required. 5.3 Estimated Budget A tentative budget for implementing activities related to Stakeholder Engagement Plan (SEP) over the period of five years that covers the planning and preparation, and project implementation phases is provided in the table given below. The PMU- DWSSM will review 34 this plan half-yearly to determine if any changes to stakeholder classification or engagement are required. If required, the plan will be updated, and the budget items and budget will also be revised accordingly. 35 Table 5.3: SEP Implementation Budget Item Quantit Unit Cost Total Cost Remarks y (US$) US$ NRs (@ 120 per US$) Stakeholder engagement activities Periodic stakeholder consultations - 60 150 9,000 1,080,000 2 consultation meetings in a year in each 6 Meetings/workshops/FGDs ((hiring of subprojects for 5 years venues, refreshments etc.) Individual and group consultations - Lump sum 2,000 240,000 As and when demanded/required for five years Logistical support for IP, Dalits, and other - Lump sum 2,500 300,000 As and when demanded/required for five years vulnerable groups for attending consultations Communication and coordination/facilitation - Lump sum 3,600 432,000 US$ 10 for each month and each subproject for 5 (mobile, telephone, email) years Documentation of stakeholder activities and 120 30 3,600 432,000 Four documentations and reporting in each year in quarterly reporting each subproject for 5 years Sub-total 20,700 2,484,000 Information disclosure Project Information Centers 6 500 3,000 360,000 Six centers in each six subprojects for five years (Basic logistics and operations) Development of communication tools, - Lump Sum 12,000 1,440,000 On average US$ 2,000 for each six sub-projects methods, and materials (Newspaper for 5 years advertisements, brochures, leaflets, information booklets, posters, display boards, websites etc.) Development of community radio and TV - Lump 12,000 1,440,000 On average US$ 2,000 for each six sub-projects programs sum for 5 years Awareness raising programs, resources & 6 500 3,000 360,000 On average US$ 500 per year for each six sub- resource persons projects for 5 years Communication and coordination/facilitation - Lump 3,600 432,000 US$ 10 for each month and each six subproject (telephone, email) sum for 5 years Sub-total 33,600 4,032,000 Grievance redress system Meetings, documentation, and record 120 30 3,600 432,000 Four documentations and reporting in each year in keeping/databases and reporting each subproject for 5 years Logistics for meetings - Lump 3,000 360,000 As and when demanded/required for five years Communications with complainants and sum other stakeholders GRM implementation monitoring - Lump 3,000 360,000 As required for five years sum Training and orientations for staff on GRM 6 2,000 12,000 1,440,000 One in a year for each subproject for five years management Sub-total 21,600 2,592,000 SEP Monitoring, evaluation, documentation, and reporting Internal monitoring 30 500 15,000 1,800,000 One in a year for each subproject for five years Data storage and analysis Lump 3,000 360,000 Onetime purchase sum Report preparation 120 30 3,600 432,000 Four reporting in each year in each subproject for 5 years 37 Two beneficiary satisfaction surveys 2 10,000 20,000 The first one to be conducted after two years of implementation and second one in the last year of implementation. Sub-project 41,600 2,592,000 Administrative costs Transport 36 200 7,200 864,000 Two travels per year to each of the six projects for 5 years Communications 360 10 3,600 432,000 US$ 10 per month for each six projects for the period of 5 years Utilities 360 10 3,600 432,000 US$ 10 per month for each six projects for the period of 5 years Other Lump 3,000 360,000 Estimated for five years sum Sub-total 17,400 2,088,000 Grand total 134,900 13,788,000 38 6. Grievance Redressal mechanism (GRM) The project will put in place a responsive and functioning Grievance Redressal Mechanism (GRM) to address concerns and complaints of beneficiaries and project stakeholders by adopting an understandable and transparent process that is culturally appropriate and readily accessible to all the segments of affected communities. The project’s GRM is at no cost to complainants and guarantees that there will no retribution for people who lodge complaints on project activities. Furthermore, the grievance mechanism will not impede access to judicial and administrative remedies. 6.1 Objectives of the GRM The objectives of the GRM are • Provide affected people with avenues for lodging complaints or resolving any dispute that may arise during the project lifecycle. • Ensure that appropriate and mutually acceptable redress actions are identified and implemented to the satisfaction of complainants. • Avoid the need to resort to judicial proceedings as far as possible. • In the case of indigenous people and vulnerable people, adopt culturally appropriate and accessible means by which they can lodge complaints about redress through their customary dispute settlement mechanisms. 6.2 Grievance implementation procedure The project will develop a written grievance procedure/manual in consultation with project impacted parties and stakeholders. It will incorporate the following steps. • Means and ways to inform and educate stakeholders about GRM procedures • Receive, register, and acknowledge the grievance. • Review and investigate the grievance • Develop resolution or escalate the grievance • Report back on the grievance, and • Implement, monitor, and evaluate the functioning of the GRM. 6.3 Grievance Redressal Mechanism (GRM) System The main purpose of this system is to ensure there is a robust and transparent process, consisting of a sequential process of resolution available to swiftly address the complaints. A subsequent level of resolution is triggered if the complainant remains unsatisfied with the resolution made by the lower level or if it remains unable to provide a resolution within a given time. The SEP proposes the following two-tier GRM systems. Level 1: This is based at the project locations in the participating municipalities and will serve as entry points for all complaints related to the project. Once the grievance is registered, it would come into the Level 1 of the GRM system. The Level 1 GRM committee will be led by the Chief of the existing Water Supply Users Committees (and later WASH Units when constituted) at the partnering municipalities and supported by the E&S staff and a technical engineer at the municipalities. Together, these officials constitute the members of the four- member local level GRM committee. If required, the Level 1 GRM committee may seek support from the Judicial Committee (section 5.6 provides more information about the committee) at the local level. Level 2: If the complainant rejects the resolution of Level 1 or the GRM Committee remains unable to make any resolution within the stipulated time, the grievance will be scaled up to level 2 of the GRM system. The Level 2 GRM committee, which will be based in the PMU of the DWSSM, will be headed by the chief of the PMU, and supported by the Social Development Specialist at the PMU and another person assigned by the PUM head. The three- member committee can seek supports from other experts or institutions in course of investigating and resolving complaints. If complainants remain unsatisfied or reject the resolution provided by the Level 3 GRM, they will be advised to seek recourse through the courts or any formal system available. Figure 6.1: GRM system Grievance Procedure Receive, register, acknowledge the grievance & provide unique number Screen, assess & examine the complaint Act to solve the complaint locally No Yes Complainant Find resolution to the rejects resoluton Reject complaint or refer to Appeal (level 2) complaint & find new resolution appropriate channel Complainant accepts resoluton Keep official record Implement the of the decision resolution Communicate to complainant Monitor implementation about the decision of resolution Once implemented, Keep record of close the case feedback and learnings 40 6.4 Key steps and procedures of the GRM System Step 1: Receive, register, and acknowledge the grievance The project will ensure the availability of a variety of methods for stakeholders to lodge grievances. Affected people and other stakeholders can lodge a grievance at Level 1 through: • Fill out and submit online complaint forms (See Annex 4) at the Municipal Assembly. The E&S staff at the local level will assist in filling out the complaint form for complainants who are unable to read or write and/or are unfamiliar with the grievance process. In such case, the designated E&S staff will formally register the grievance by filling out the complaint form made available for the project • Through emails and phone numbers of Municipalities (e.g., Birendranagar Right to Information Telephone number), • Through project social media handles (i.e., Facebook) • postal service to project offices at Federal and local levels. Upon receipt of complaints, the E&S staff or any other person assigned for the task will provide a unique grievance number to each grievance for easy tracking. The staff will then acknowledge the receipt of the complaint within 5 working days through a phone call, text message, or a meeting with the complainant. The acknowledgment will include the grievance registration number so the complainant can use this as a reference to track the status of the complaint either by visiting the Social Development Unit at the Municipality or calling the assigned staff. If the grievance is not well understood or if additional information is required, the assigned staff will contact the complainant during this step for further clarification. Step 2: Review and investigate the grievance The grievance is screened, and the significance of the grievance will be assessed within 10 days of receipt. If the grievance is admissible and related to the project or triggered by the project activities, the Level 1 GRM committee will start processing the complaint. If not related to the project or not triggered by the project, the grievance will be rejected, and reasons will be properly communicated to the complainant about the decision along with an explanation. Step 3: Develop resolution and respond to the complainant Upon investigation, the committee will propose a resolution as soon as possible, and in consultation with the complainant and other concerned, not later than 15 days after screening and assessing the grievance at Level 1. The resolution is communicated to the complainant through the proper channel. The Level 1 GRM committee will ask the complainant for a 41 written acceptance of the resolution if he/she is satisfied with the resolution. In that case, the agreed set of actions will be implemented and once the set of actions are completed, the grievance will be formally closed by using a Grievance Closure Form provided in Annex 3. Step 4: Scale-up the grievance if the complainant remains dissatisfied If the complainant rejects the proposed resolution or the Level 1 GRM system fails to provide a resolution within the stipulated time, the Level 1 GRM system will refer the case to the grievance to the Level 2 GRM system led by the Chief of the PMU at the DWSSM. The three-member Level 2 GRM committee, which also includes the Social Development Specialist of the DWSSM will facilitate to reach an agreeable resolution and the committee will produce a resolution within 20 working days. If the resolution is accepted by the complainant, it will be implemented, and the grievance will be closed once the implementation is completed. Step 5: Recourse to legal and other formal recourse If the complainant rejects the proposed resolution, the complainant is free to utilize legal and other formal mechanisms in place at the local or national level. 42 Figure 5.2: Key steps and procedures Grievance formally registered Level 1 GRM (at Local Level WASH Unit) Examination Resolution Respond to Complainant Complainant satisfied Complainant not satisfied with the resolution Implement resolution, close the case Level 2 GRM Appeal to Level 2 GRM (At DoWSSM - PMU ) Examination Resolution Respond to Complainant Complainant satisfied Complainant not satisfied with the resolution Implement resolution, close the case Complainant is free take other legal recourse 6.5 GRM in COVID-19 Crisis In addition to the standard approach of handling and processing the grievances and complaints, due to the continued threat of COVID-19, the project will deploy modern means and tools to allow stakeholders to officially file complaints and grievances against the project activities. In addition to the project website and social media platforms that will enable the complainants to directly upload their complaints and grievances, the project will deploy a system that will allow the complainant to register grievances by directly making a call to social Safeguard specialists at the PMU. Moreover, the project will explore an option to introduce a digital grievance filing system through which complaints can be filed through the internet into a designated webpage of the project. Once the complaint or grievance is received through the website, social media, or direct calls, the E&S Safeguard specialists at the PMU will forward them to the concerned E&S staff at the participating municipalities and the staff will ensure the registration of such 43 complaints or grievances into the GRM system as explained Section 5.3. In addition to the registration, the E&S staff at the LL will also maintain a grievance registry and will officially close the grievance once it is solved by using the forms given in Appendix 3. 6.6 Use of the Existing Dispute Resolution Systems In addition to the GRM system explained above, the project will also explore the possibilities of seeking support from the existing system at the local levels in course of resolving the project- related grievances. Article 117 of the Constitution of Nepal, promulgated in 2015, prescribed a three-member Judicial Committee at the local level coordinated by its Vice-Chairperson in the case of a Rural Municipality and by its Deputy Mayor in the case of a Municipality, to settle disputes under their respective jurisdictions in accordance with the law. The Local Government Operation Act, 2017 provides the operational guidance and scope of work of the Judicial Committee. 6.7 Grievances About GBV The existing GRM put in place for the project will also be used for addressing GBV and SEA/SH-related issues and the PMU at the DWSSM will oversee GBV related complaints. The project will place its uppermost priority on handling and managing the GBV related grievance by maintaining full confidentiality of the survivor. The PMU will put in place necessary mechanisms for confidential reporting with safe and ethical documentation of GBV issues at the canter and local level. The first responders of the grievances in relation to GBV will be the E&S staff of the participating municipalities and the staff will be trained on managing and handling such grievances. GBV referral pathway will be established and communicated to both PMU at the DWSSM and local level. Further, the GRM will also put in place a systematic to immediately notify both the PMU and the World Bank of any GBV complaints, with the consent of the survivor. As per the requirement of the World Bank, the PMU, in support of the World Bank, will prepare and implement the SEA/SH Action Plan before the implementation of the project. 44 7. Monitoring and Reporting 7.1 Monitoring of Stakeholder Engagement Activities Being a living document, the SEP will be periodically revised and updated as required during project construction and operation to ensure that the information incorporated, and the situation analyzed in the SEP is up to date consistent and with the changing ground scenario. Moreover, the periodic revision will ensure that the engagement strategies of the SEP are revised and readjusted as the project stakeholders identified and considered in the SEP change over a period. Broadly, the monitoring and tracking of the implementation of the SEP are important to: • Ensures effective and continuous engagement with the identified stakeholders and follow-up • Ensures a responsive and functioning GRM, and • Minimizes slippages and oversight of important engagements aspects. The project aims to apply two methods to monitor the overall outcomes of stakeholder engagement. These are: 1. Review of engagement activities in the field: The E&S staff of the participating municipalities will assess the usefulness and effectiveness of the stakeholder consultations that will be organized quarterly by using a feedback form and interviewing the participants after the activity. The feedback and comments made by the participants will be carefully examined and appropriate changes/reforms will be made in future engagement activities to enhance their effectiveness. Such changes will be communicated to the stakeholders in the next consultation. 2. Periodic reporting: The E&S staff present at the local level will prepare a quarterly SEP Implementation Report and submit it to the E&S officer of the PMU at DWSSM. Once approved by the E&S officer and the chief of the PMU, the report will be disseminated to the stakeholders through periodic consultations and the project and DWSSM websites. 7.2 Alternative means of monitoring and reporting in COVID-19 crisis The COVID-19 crisis has limited the prospects of face-to-face public gatherings and group discussions. As such the project will also use alternative options to gauge the effectiveness of stakeholder engagement activities and to understand the required corrective actions to ensure that the activities ultimately achieve their goals. In addition to the traditional means of public gathering as mentioned above, E&S staff present at the local level will use the following alternatives means to achieve the goals of effective stakeholder engagement. These include: 45 • Establishing direct contacts with some of the stakeholders chosen randomly to understand their perception and effectiveness of the stakeholder engagement activities. • Talking with representatives of IP communities, vulnerable groups including Dalits, and other marginalized communities to know their perceptions and impressions of engagement activities. • Talking directly with the Ward Chairperson and other officials of local governments and get their thoughts about the engagement activities. • Analyze comments and feedback posted on the Facebook and other social media accounts of the project. • Analyze the news coverage of the project activities in the national and local media and other mass communication means. 7.3 Reporting of Stakeholder Engagement Activities The PMU at the DWSSM will be responsible for the effective implementing of the SEP and its periodic reporting. The designated E&S officer at the PMU will be responsible for collating the summaries and internal reports of the stakeholder engagement activities, management of GRM, inquiries, and related incidents together with the status of implementation of associated corrective/preventative actions from all the participating municipalities on the monthly basis. Based on the information, The E&S officer of the DWSSM will lead the preparation of a quarterly monitoring report of the SEP implementation and submit it to the chief of the PMU. Once cleared by the chief of the PMU, the report will be disseminated through the project and DWSSM websites and will also be shared with the World Bank E&S team. The quarterly report will use the following performance indicators as the template to officially inform the periodic review of the implementation of the SEP. 46 Table 7.1: Performance Indicators Objectives SEP Performance Indicators Stakeholders are provided • Means used to inform stakeholders about the stakeholder consultations information about the o Were the participants given advance notice about the meeting, project in a timely and including the time and venue of the meeting? culturally appropriate o Were the time and the venue appropriate to the stakeholders given manner the local context and settings? o Were the participants communicated in advance about the meeting agenda? • Means used to organize consultations, such as small group meeting, video/audio conference, group chat meeting on one of the social media platforms and their usage and effectiveness. o Were the COVID-19 protocols considered for the group meeting? • Number of consultation meetings, both face-to-face and virtual, within a specific period, particularly with the focus on women, IPs, and vulnerable people, including Dalits and religious minorities. • Means of dissemination and number of materials disseminated o How effective were the materials used for dissemination? o Comments received on disclosure materials, positive or negative. Stakeholders have an • Type of engagement opportunities given to participants in the meeting opportunity to share their in terms of raised and comments made. views and concerns about o How many participants shared their views and concerns? the Project’s development o How many of them were women, IPs, or Dalits? o Did all those who wanted to share their views and concerns get a chance to speak? • Attendance rates and nature of participation in terms of gender and indigenous people, Dalits, and vulnerable people. o How many were the women of the total participants? o How many were the IPs, Dalits, and other vulnerable people of the total participants? o How many were the differently able people of the total participants? • Quality of recording of comments made by the participants maintained by the project. • Numbers of grievances related to the project activities and means used by the complaints to lodge their grievance. 47 Objectives SEP Performance Indicators Informed participation of • Number and type of engagement opportunities provided to IPs, Dalits the IPs and vulnerable and other Vulnerable Groups and means and medium of engagement. groups o How were the IPs, Dalits, and other vulnerable informed about such consultations? o How many IPs, Dalits, and other vulnerable people shared their views and concerns in the consultations? o Number of FGDs means and the medium used for engagement. o Types of feedback/comments received from the IPs, Dalits, and vulnerable groups. o Representation of all sub-groups. o Number and types of grievances received from the IPs, Dalits, and vulnerable groups. Positive working • Total number and type of grievances lodged by stakeholders in a relationships are built and reporting period (each quarter) maintained over time • Methods used in lodging the grievances (in person, through forms, phone, email, and other means). • Number of satisfactorily closed out grievances. • Current status of unresolved grievance and major reasons for being unresolved. • Community attitudes and perceptions towards the GRM. Engagement continues to be • Adherence to the schedule of stakeholder engagement activities. transparent, inclusive, and • Representation of IPs, Dalits, and other Vulnerable Groups in appropriate throughout the engagement activities. Project lifecycle • Number and type of grievances lodged by community members. • Reasons for non or low participation of the specific group, the community of specific location, women, IPs, and Vulnerable Groups, including the Dalits, in any. 48 Annex 1 - Sample Grievance Form Grievance Form Grievance registration no. Date of registration Details of complainant: (Tick the box for anonymity) Name: First Name Middle name Last name Gender: Male Female Others Address: Province District Municipality Ward No. Name of place Contact details: Primary mobile no. Email Secondary mobile no. Facebook Preferred mode of contact: _____________________ Brief description of grievance Mode of submission of grievance: Verbal Written Complaint Box Phone Email Others -------------------------------- ------------------------------ Signature of Complainant Signature of Grievance Officer 49 Annex 2 - Sample Grievance Registration Template N Date of receiving Grievance Name / Surname Gender Type of Details of Medium Name of staff Date of Date of feedback Present Remarks o incoming letter / Reference of grievance grievance grievance of responsible grievance provision/referen status form Number originator (if not comm. for managing acknowledgem ce number anonymous) the grievance ent 1 2 3 4 5 6 7 8 9 Annex 3 - Sample Grievance Closure Form Grievance Closure Form Resolution Grievance Number Grievance registered date Describe the steps taken to resolve the grievance Describe the resolution Department: Mode of communication for reply (meeting/ written/ verbal/ display): Date closed: Signatures Complainant: Project representative: Date: Annex 4 - Grievance Redressal Online Form issued by the municipality 52