RP1163

Social Impact Management Framework

Rani Jamara Kulariya Irrigation Project

Department Irrigation

February 23, 2011

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Table of Contents

LIST OF ACRONYMS & TRANSLATIONS..........................................................................iii

EXECUTIVE SUMMARY.......................................................................................................4

1. Policy Framework for Land Acquisition and Resettlement...............................................7

1.1 Resettlement and Rehabilitation (R&R) Policy Framework....................................................7

1.2 Objectives and principles of the framework..........................................................................7

1.3 Applicable Legal and Policy Framework.................................................................................8

1.4 Identification of Gaps in National Policies and Recommendations to Bridge Gaps............9

1.5. Social Impacts: Planning Steps and Methods.......................................................................10

1.7. Information Dissemination, Consultation, Participation and Disclosure...............................16

1.8. Grievance Redress Mechanism............................................................................................16

1.9. Implementation Agencies....................................................................................................17

2. Vulnerable Community Development Framework..........................................................19

2.1. Introduction........................................................................................................................19

2.2. Relevant National & World Bank Policies on Vulnerable Peoples.........................................19

2.3 Vulnerable People in Nepal.................................................................................................21

2.4 Vulnerable Groups in the Project Areas...............................................................................23

2.5 Concerns Relating to Vulnerable Communities in the Project Area......................................24

3. Gender and Social Inclusion Framework.......................................................................28

3.1. Definitions of Gender and Social Inclusion...........................................................................28

3.2. Existing Policies on Gender equality and Social Inclusion.....................................................30

3.3. Gender-specific constraints to women’s participation in the project area:...........................31

3.4. Gender and Social Inclusion Strategies................................................................................32

4. Information & communication strategy.........................................................................36

4.1. Findings & Lessons from Past Information and Communication Efforts................................36

4.2 Barriers to Information and Communication.......................................................................37

4.3 Issues to consider in implementing Information & Communication Strategies.....................37

4.4 Tools and Mediums for Information and Communication....................................................39

4.5 Selective & Tailored Mechanism..........................................................................................40

4.6 Information, communication & consultation contents and messages..................................40

4.7 Community Consultation and Participation Plan during the Project Cycle............................41

4.8 Specific Information and Community Activities during the Project Cycle..............................43

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4.9 Information, Dissemination, Community Consultation & Participation Plan.........................44

4.10 Political and Conflict Sensitive Participation Approach........................................................46

LIST OF ACRONYMS & TRANSLATIONS

Badghar The person in charge of managing village-wide affairs including those related to irrigation at the village/sub-branch level.

CBOs Community Based OrganizationsDDC District Development CommitteeDOA Department of AgricultureDOI Department of IrrigationDOWD Department of Women’s DevelopmentFGD Focus Group DiscussionsGESI Gender, Equality and Social InclusionGRC Grievance Redress CommitteeICCCP Information, Communication, Community Consultation &

ParticipationIP Indigenous PeoplesIPM Integrated Pest ManagementIPNM Integrated Pest and Nutrient ManagementISEA Integrated Social and Environmental AssessmentIUA Irrigation Users’ Association for Rani, Jamara and KulariyaIUC Irrigation User CommitteeIUG Irrigation User GroupM&E Monitoring and EvaluationKII Key Informant InterviewsKulo Canal (Nepali word)MOWR Ministry of Water ResourcesNDC National Dalit CommissionNEFIWUAN Nepal Federation of Irrigation Users Association of NepalO&M Operation and MaintenancePAP Project Affected PersonsPRA Participatory Rural AppraisalRJK Rani, Jamara and KulariyaRAP Resettlement PlanRJKIS Rani Jamara Kulariya Irrigation SystemSahek Chaudhary The person in charge of managing irrigation-related issues at the

village/sub-branch. VCD Vulnerable Community Development VDC Village Development Committee WB World Bank

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EXECUTIVE SUMMARY

Rani, Jamara and Kulariya Kulos (or canals) were constructed by farmers more than a hundred years go. These Kulos off-take from Jarahi Naala,western sub-course of the Karnali River. Each Kulo has many branches and sub-branches to irrigate at present approximately 24,000 ha of farmland. Since construction, the Kulo system has been traditionally operated, maintained and managed by traditional irrigation user committees and headed by Kulo Chaudhary of each Kulo1.

Nepal Government, as per the request of the irrigation users of the Rani, Jamara and Kulariya system, has planned to upgrade the system through proper intakes. The Nepal Government is also requesting the World Bank to assist in financing the project.

As part of the project preparation, the Department of Irrigation has engaged a group of social scientists to carry out a social assessment in the project areas, and based on the social assessment, develop instruments to mitigate possible adverse social impacts and maximize project benefits. The social assessment developed a socioeconomic profile of the project; mapped out stakeholders in the project area; assessed various social, economic and political factors that play in the design and implementation of the project; and assess likelihood of the social impacts of the project. On the basis of the social assessment findings, the consultant team developed this Social Impact Management Framework (SIMP) for the Department of Irrigation in compliance with relevant domestic and World Bank safeguard policies.

The SIMP is developed in view of the approach and progress for the engineering design. The engineering design will be developed later for different schemes within the command area. The design progress will vary across the project area, and therefore it is not possible to determine the extent of impacts upfront. This SIMP is prepared to guide the detailed social planning process during implementation when the engineering designs are completed. It proposes policy guidelines, planning approaches and requirements, mitigation strategies and interventions under the project. This SIMF covers involuntary resettlement in compliance with World Bank OP 4.12 on Involuntary Resettlement, indigenous people issue in compliance with OP 4.10 on Indigenous Peoples, gender and social inclusion, as well as information, communication, consultation and participation. It provides the guideline to address the social aspects of the program design and implementation.

Policy framework for land acquisition and resettlement: The proposed Rani Jamara and Kulariya irrigation project involves upgrading of an existing system, it is unlikely that the major issues of land acquisition will come up in the course of project implementation and the project is not expecting to have impacts on structures that may require relocation. Nevertheless, the upgrading works may require small portions of lands. These will be determined only after engineering design is completed. This framework is developed to guide planning to address such possible impacts of land acquisition. It outlines measures to be adopted in instances where the following

1 The project team was comprised of Dr Bimbika Sijapati Basnett, Team Leader; Dr Chudamani Basnet, Sociologist; and Sanjay Mahato, Research Associate. The research team has profited tremendously from the direction of Deepak Thapa, Director of the Social Science Baha as well as field-work support from and consultations with Suresh Dhakal and Roshan Pokharel of the Social Science Baha.

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types of losses are inevitable: acquisition of private; tenancy and Guthi land; temporary loss of land/crop; loss of residential, commercial and other structures; loss of community structures/resources; loss of tree and crops; and loss of time and travel expenses. The framework, in turn, recommends strategies for the design of: resettlement plans; information, consultation, participation and disclosure; and grievance redress mechanisms.

Vulnerable Community Development Framework: The major objective of the Vulnerable Community Development Framework (VCDF) is to ensure that the RJKIS modernization and rehabilitation project not only causes no negative impacts on vulnerable peoples, including Janjati communities, who are mainly the socially disadvantaged communities (such as Tharus, Dalits, Hill-Janajatis, women-headed households, Mukta Kamaiyas and Sukumbasis) but that it provides the necessary institutional and budgetary mechanisms to ensure that they get equal access to program benefits. The VCDF has been designed in line with relevant government policies as well as the World Bank’s OP 4.10 on Indigenous Peoples, a key component of the Bank’s Operational Policies relating to Social and Environmental Safeguards. The framework identifies the following social issues and potential impacts, and proposes corresponding mitigation strategies and specific activities for each: demise of the Tharu-led irrigation governance systems; social inequity within and between Tharus and non-Tharus; lack of inclusion and equitable participation of non-Tharu vulnerable communities; and lack of access to complementary services. The major agencies recommended for implementing the mitigation strategies and specific activities include: RJK project officials, Department of Agriculture, local NGOs, Irrigation User Groups and Committees, Irrigation User Association, and training/research agencies.

Gender Equality and Social Inclusion (GESI) Strategy: The GESI strategy has the following objecives: guide the development of measures to create a favorable environment for integrating GESI in the RJIK modernization and rehabilitation project; enhance the capacity of service providers and ensure equitable access and use of irrigation and project related benefits by the poor, vulnerable and marginalized castes and ethnic groups; and improve demands for inclusive decision-making and benefit sharing processes by the poor, vulnerable and marginalized castes and ethnic groups. Because the VCDF has already focused on the vulnerable communities, this framework is on gender-specific mainstreaming issues and strategies. Based on a stock-take of the level of women’s participation in the irrigation governance systems, the framework identifies the following social issues and proposes corresponding strategies and specific activities for addressing each: lack of participation in irrigation governance systems; women landholders and women-headed households’ membership in irrigation user groups; dearth in women’s leadership qualities; low-level of involvement and knowledge of RJK project and socio-economic benefits; gender discriminatory rules and practices in irrigation governance; and low-level of agricultural development know-how. The major agencies recommended for implementing the mitigation strategies and specific activities include: RJK project officials, local NGOs, local women’s CBOs, Department of Women’s Development, Department of Agriculture, Irrigation User Groups and Committees, Irrigation User Association, and training/research agencies.

Information, Communication & Community Consultation and Participation (ICCCP) Strategy: The major objectives of the (ICCCP) Strategy are to: (i) keep all stakeholders informed of the project activities as well as its potential beneficial and adverse impacts; and (ii) ensure

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stakeholders actively participate in all levels of the project cycles, come up with mitigation plans of the potential negative impacts of the project, and are well trained and equipped to take over the responsibilities of operation and management once the project phases out. Based on an assessment of the ICCCP strategies adopted by the RJK project office thus far, the framework proposes employing face-to-face communication as well as mass media to disseminate information about the project to all stakeholders (primary, secondary and tertiary levels); and using selective and tailored mechanisms for informing and consulting women and vulnerable beneficiaries as well as project affected persons in particular. Information dissemination, consultation and participation strategies should be adopted at different project cycles – pre-construction, construction, operation and maintenance and monitoring and evaluation. Given the political climate of the country, a political and conflict sensitive approach should be adopted which embraces the concept of ‘social, inclusion, equity and equitable distribution of benefits’ as guiding principles. The framework recommends the institutional re-arrangements and budgetary commitments necessary within the DOI to oversee the implementation of the ICCCP.

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1. Policy Framework for Land Acquisition and Resettlement1.1 Resettlement and Rehabilitation (R&R) Policy Framework

Rani, Jamara and Kulariya Irrigation Scheme (RJKIS) is one of the largest farmer-based irrigation systems in the Tarai. Located in the Kailali District in the Far West, it has a net cultivable area of approximately 14,300 ha of which about 11,000 ha is currently irrigated. The system is a cluster of three independent ‘kulos’ or branch canal systems, each with its separate water intake from a bi-channel of the main Karnali river2. According to the sources, Rani Kulo was built by farmers in 1896, Jamara in 1960 and Kulariya in 1972 and each canal system has several branches and sub-branches to irrigate the command area.

Since the proposed Rani Jamara and Kulariya irrigation project involves upgrading of an existing project, it is unlikely, that the issue of land acquisition will come up in the course of project implementation. As the project works will largely remain limited to the lands traditionally used by the RJKIS canal systems, no significant social impacts on land acquisition and resettlement is expected. Use of private lands, wherever needed, will occur along minor strips of existing canal facilities and the associated impacts are unlikely to be severe because of the linear nature of the irrigation systems.

The rationale of this framework is originated from the fact that there has not been final technical design of the project for different components to understand the nature and scale of social impacts. As the detailed design would take place later and very little is known at present about the interventions and project activities, this framework is developed to guide detailed resettlement planning to address land acquisition and resettlement impacts. This framework, therefore, covers a range of possible land, structure, and livelihood related impacts that could occur during later stage of project planning and implementation. In RJKIP, no physical displacement is envisioned, but the framework provides guidance for all possible events in line with the Safeguards Policy of the World Bank and Government of Nepal's Land Acquisition Act, 2034 (1977) and other relevant Acts and policies

1.2 Objectives and principles of the frameworkThe objective of this framework is to ensure that adequate measures are designed and implemented to make sure that people affected through loss of assets could improve or at least restore their living standard. Possible impacts could include loss of land (homestead; agriculture; community land), loss of structure (residential; commercial; community), loss of livelihood, loss of standing crops/ trees, loss of access to common property resources (CPR) and facilities. The following principles will be followed,

a) avoid and minimize land acquisition and resettlement impacts and identify the non-displacing or least-displacing alternatives;

2 Source: World bank (2010) Technical Report: Modernization of Rani-Jamara-Kulariya Irrigation Scheme Technical Report, Project Preparation Mission, June 14-23, 2010, Kathmandu.

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b) where avoidance is not possible, plan the Resettlement and Rehabilitation of Project Affected Families (PAFs), including special needs of vulnerable sections through proper assessment and consultations;

c) provide full compensation of acquired assets at replacement value and assist affected persons in maintaining/restoring their former living standards, income earning capacity, and production levels;

d) facilitate harmonious relationship between the Implementing Authority ( Acquiring Body) and PAFs through mutual cooperation and regular interaction; and

e) ensure that the affected persons are meaningfully consulted and provided opportunities to participate in the planning and implementation stages of the resettlement program in order to suitably accommodate their inputs and make this framework more participatory in nature and broad based in its scope

1.3 Applicable Legal and Policy Framework

a. GON Legal and Policy Framework

The Government of Nepal (GoN) has issued, formulated and reformed several national policies, Acts, regulations and guidelines that are adapted and used while developing and implementing the projects. The following national policy, legal and regulatory framework provides basis to address the social issues at all stages of project cycle beginning from planning to implementation and post implementation under proposed RJKIP.

The Interim Constitution (2007): Clause 2 of article 19 of the Interim Constitution refers about Rights of Property specifying that except for public benefits the State cannot seize property of individuals and cannot create any type of rights under such property. The State may acquire the property from its owner by providing due compensation to owner for land or other properties acquired, as prescribed by law.

Land Acquisition Act 1977: The Land Acquisition Act 1977 clearly outlines the procedures of land acquisition and compensation for public purposes. The Act states that, GON can acquire land at any place in any quantity by providing compensation pursuant to the Act (sections 3 and 4) for any development project. Once the decision is made to acquire land for the project, the Project Manager initiates preliminary actions to assess the location and extent of land to be acquired. The Act provides for cash compensation decided by the Compensation Fixation Committee (CFC) constituted under the chairmanship of Chief District Officer (CDO). Under section 15 of the act, the compensation for the Guthi Land (Religious Trust) is to be paid as per the provision made under the Guthi Corporation Act, 1976. The section 42 of Guthi Corporation Act authorizes GON to acquire Guthi land and reimburse it by providing land instead of paying compensation if it wishes to do so.

Land Reform Act, 1964: The Land Reform Act, 1964 is considered as a revolutionary step towards changing the existing system of land tenure by establishing rights of tenants and providing ownership rights to actual tiller. To date it has been amended five times. Article sets ceiling on land ownership according to geographical zones. Article 25 (1) of this act deals with tenancy rights to the tenants.

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Local Self Governance Regulation, 2000: Local Self-Governance Regulation empowers the local bodies to coordinate and implement development programs and for rationale utilization of local natural resources. Article -7 (69) empowers the VDCs for monitoring and supervision of development work implemented in the VDC. The Article - 4 of DDC has provision of three members (Agriculture, Forest, and Environment) committee to look after the concerned issues.

b. World Bank Social Safeguard Policies

Involuntary Resettlement Policy (OP 4.12) states that involuntary resettlement should be avoided as far as possible. If involuntary settlement is unavoidable, they should be minimized by exploring all viable options. People affected should be fully informed, and be compensated and assisted to improve or at least restore their livelihoods. The WB policy further states that the absence of a formal legal title to land on the part of affected groups should not be a bar to compensation and that special attention will be paid to households headed by women and other vulnerable groups. This provision, in particular, is likely to be an object of contention in the RJK Irrigation Project. According to WB policy, the date of the census will be the “cut-off-date” for the entitlement, and titled as well as non-titled owners of affected assets will be eligible for compensation. Finally, WB policy states that the planning and implementation of any compensatory and resettlement measures should be appropriately monitored and evaluated.

1.4 Identification of Gaps in National Policies and Recommendations to Bridge Gaps

a. Identification of Gaps and Limitations in the National Policies

The main gaps and limitations of the national legal and policy framework are:

I. National law makes provision for compensation to the titled landholder only and, by default, omits all other PAP, including non-registered tenant farmers, landless farmers, squatters, agricultural labourers, shopkeepers, artisan groups and Dalits.

II. National law does not make any provision for landless, encroachers or squatters regarding to the entitlement for compensation. There is no provision for rehabilitation assistance for such vulnerable groups.

III. When GoN requires assets, national law does not specify about the provision of mandatory replacement cost.

IV. The Land Acquisition Act, 1977 does not emphasize transparency and stakeholder participation for various decisions that directly affect the long-term wellbeing of PAPs.

V. Lack of consideration of the apparent time gap between notification of acquisition and the payment of compensation is another limitation of the existing legal framework.

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b. Recommendations to Bridge the Gaps

Followings are the policy recommendations to close the identified gaps and limitations are:

I. A project affected person needs to be defined as a person or household whose livelihood or living standard is adversely affected through loss of land, housing and other assets, income, or access to services as a consequence of the implementation of the project, causing a change in land use.

II. Entitlements should be established for each category of loss covering both physical loss and economic loss.

III. Special attention should be given to protect the interest of vulnerable groups. With a census date as cut-off date, no fraudulent encroachments after this date should be considered eligible for entitlements of compensation. However, landless farmers/ squatters who have been occupying public land for at least 3 years before the cut-off date, but without legal title, which has not been claimed by others, should be entitled to compensation for the lost land and entitled to be legalized on the remaining unaffected portion, if they do not have title to any other agricultural land. Non-land assets should be compensated at replacement value and their relocation and transportation must be assisted. Support for vulnerable groups should be provided to improve their livelihood.

IV. Practical provisions must be made for the compensation for all lost assets to be made at replacement cost without depreciation or reductions for salvage materials. Efforts must be made to assess the real replacement costs of land to the extent possible.

There must be legal provision of PAPs and local representatives of VDC/Municipalities participation in settling the resettlement issues related to compensation, relocation and rehabilitation.

1.5. Social Impacts: Planning Steps and Methods

The Resettlement Policy Framework is a guiding document to address the potential resettlement and land acquisition issues in the subprojects under RJKISP. As the project is likely to involve mostly improvement and upgrading of the existing irrigation canal facilities, the expected adverse impacts are generally considered to be minimal. As far as the social impacts are concerned, the core project area (footprint) and its influenced zone including surrounding areas likely to be impacted adversely, will be considered and delineated for identifying the impacts, especially considering the likely losses and damages caused by construction related activities.

a. Social Impact Assessment

Once the possibility of land acquisition has been confirmed, a fresh SIA incorporating socio-economic surveys of Affected People (AP) should be undertaken and integrated into the detailed design of project components. The SIA combined with Socio-economic survey based on 15-20%

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sample households of project area, will gather relevant information about PAPs (Project Affected Persons), including: (i) demographic characteristics (ii) an inventory affected assets, facilities and resources, (iii) landownership, usage and productivity (iv) socio-economic status of PAPs and assessment of their risks including income (v) social and gender issues including prevalence of indigenous people (vi) stakeholders and their activities (vii) people’s interest and expectations including their attitude towards the project, and (viii) impact minimization/ mitigation measures based on community consultations. The SIA will help in determining the magnitude of displacement, prospective losses, better targeting of vulnerable groups, ascertaining resettlement magnitude and costs, and preparing and implementing resettlement and other plans as required

The SIA will identify measures to avoid/minimize/mitigate involuntary resettlement risks. Vulnerability assessment of PAPs will be part of SIA and a list of vulnerable PAPs prepared and finalized in consultation with local community.

The SIA will also assess options for any relocation, opportunities for income restoration/economic rehabilitation, and any need of special assistance for vulnerable groups. It will also solicit PAPs willingness to donate their land. Based on this information, the eligibility criteria and entitlement for compensation/assistance will be established and appropriate resettlement plans (RAP) will be prepared.

b. Census Survey

Once a broader picture of the project affected area and peoples emerges from social impact assessment, the proponent will need to undertake census survey of the affected people. . At this stage, final designs of the project physical components and interventions are expected to be ready to provide project impacts more precisely. The census will enumerate of all PAPs based on site investigation sufficient to identify titled, legalizable and non-titled PAPs. The census will also serve as a cut-off date for the entitlement purpose. The information will be gathered in participation of community, local NGOs/CBOs, and PAPs.

c. Resettlement Action Plan (RAP)

The Resettlement Action Plan (RAP), RAP, is a major planning document which is based on the information gathered from census survey of affected people and inventory of lost assets. The content of full RAP should include a statement of involuntary resettlement objective and strategy, with (i) organization responsibilities, (ii) community participation and disclosure arrangements; (iii) finding of the socio-economic survey ; (iv) legal framework, including eligibility criteria and entitlement matrix; (v) mechanisms for resolution of conflicts and appeals procedures; (vi) compensation and resettlement measures; (vii) inventory, valuation of, and compensation for, lost assets; (vii) land ownership, tenure, acquisition, and transfer; (viii) access to training, employment, and credit; (x) shelter, infrastructure and social services; (xi) environmental protection and management; (xii) monitoring and evaluation; (xiii) a detailed cost estimate with budget provisions; and (xiv) an implementation schedule, showing how activities will be scheduled with time-bound actions in coordination with the civil works. The RAP should establish an eligibility cut-off date.

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1.6. Eligibility and Entitlement

The eligibility criteria defining different types of Project Affected Persons (PAPs) are as follows:

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

Severely Project Affected Families (SPAFs) : Families who lose 10% or more of their land and/ or a residential house because of project activities;

Project Affected Families: All members of a project affected households residing under one roof and operating as a single economic unit, who are adversely affected by the project or any of its components;

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

Encroachers: People who have trespassed into public/private/community land to which they are not authorized.

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

In consistent with GON legal framework and World Bank Policy guidelines, different categories of affected people will be entitled to different types of resettlement and rehabilitation packages. These will include mainly the compensation at replacement value, displacement allowance, transportation allowance and additional assistances to vulnerable households. The actual amount of such compensation and allowances including other assistances will be provided in subproject specific RAP. Table 9.2 provides major policy entitlements to the affected people / families based on loss categories.

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Table 1: Entitlement Policy MatrixType of Loss Entitled Persons Policy/Entitlement RJKIP Status/Remarks

1. Acquisition of private, tenancy, or Guthi land

LandownersTenants

Provide land of area and productivity acceptable to owners in the same area or cash compensation at replacement value including transfer costs and registration fees, if land is not available. If remaining land becomes unviable as a result of land acquisition, Project Affected Persons (PAPs) will have option to relinquish unviable portion of land and receive the same benefits as the relinquished land Tenant will receive the 50% value of the land Non-registered tenants will receive compensation for crops and subsistence allowance for one-year crop. Any up-front costs for the tenancy agreement will be reimbursed

Since the Kulos (canals) are wide enough, it is unlikely that the land acquisition issue will come up in the majority of the existing branches and sub-branches. Some even suggested that the project could free land. But once again, it was difficult to determine the precise nature of the impacts without having a finalized project design.

2. Temporary loss of land/crop

LandownersTenantsNon-titled (encroachers/ squatters)

Advance notice for crop harvesting Compensation at market price for the loss of income, damaged crops, trees etc.

This is a possibility in the RJK project.

3. Loss of residential, commercial, and other structure

LandownersTenantsNon-titled (encroachers/ squatters)

Compensation for full/partial loss at replacement cost of affected structure without depreciation Displacement and transportation allowance for residential and commercial structures as per subproject specific RAP. Rental stipend for tenants who have to relocate from tented building as per

There was no evidence of impact on commercial and other structures, but the issue of non-titled owners might come up when the project is implemented. Allowances and rates to be specified on subproject specific RAPs.

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Type of Loss Entitled Persons Policy/Entitlement RJKIP Status/Remarkssubproject specific RAPs.

4. Loss of community structures / resources

The users of the facility or community or group

Reconstruction by the project leaving such facilities in a better condition than they were before; or Cash compensation at full replacement cost.

No evidence of impact on community structures or resources. Community forests located adjacent to the canals might be affected but according to forest users, compensatory measures would be adopted as per legal provisions of GON Forest rules

5. Loss of trees, fruits and crops

Owner of affected fruit/nut trees

Advance notice for harvesting Cash compensation based on the Department of Agriculture norms.3

This is a possibility.

Owner of timber and fodder trees

Cash compensation based on the Department of Forestry norms.

This is a possibility.

Owner of affected crops

Advance notice for crop harvesting Cash compensation based on the market prices for the produce of one year as per the norms of District Agriculture Development Office. If crop under share-cropping arrangement, cash compensation of the lost crop will be divided between the sharecropper and the owner as per their sharecropping agreement/arrangement.

This is a possibility.

6. Loss of time and travel expenses

The entire project affected persons eligible for compensation.

Cash compensation equivalent to cost of transport plus daily agricultural wage equivalent for the number of days spent on project related administration

The study team did not find evidence for such an impact.

7. Land donations

Voluntary donation is accepted only if

No compensation for the donated land, but entitled for compensation of

Respondents generally felt that landowners who face the

3 DOA norms will depend to the particular district and year in concerned, so such norms will be reviewed during preparation of Resettlement Plan in order to make sure that such rates are acceptable.

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Type of Loss Entitled Persons Policy/Entitlement RJKIP Status/RemarksAP is: Above poverty line; All adult family members have agreed to donation4. Unforced or freely willing to donate (with an agreement, including a "no coercion" verified by VDC officials;

other assets such as house, structures, trees, crops, allowances, etc. Transfer of land ownership by negotiation. Free/escape of any transfer costs, registration fees or charges. Preferential employment in the project construction

possibility of losing a part or entire land would and should be entitled to compensation. Voluntary donation would be rare.

8. Additional Assistance8.1Employment opportunities

All PAPs Allocation of employment to PAPs. PAPs shall be given priority after construction for work as maintenance worker.

Kamaiyas, landless people, marginal farmers and the Dalits should be included in the program.

8.2 Income restoration of vulnerable group

One member of each vulnerable group below poverty line

One time financial assistance; or Skill training and income generation support with equivalent amount.

Kamaiyas, landless people, marginal farmers and the Dalits should be included in the program.

4 All adult members of the affected family should be consulted as far as possible so as to avoid litigations and claims by family members who were absent during the process.

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1.7. Information Dissemination, Consultation, Participation and Disclosure

The RAPs should identify primary and secondary stakeholders and include specific measures for consultation, participation and information disclosure in full compliance with the WB’s Policies on Involuntary Resettlement and Public Communication. The primary stakeholders include PAPs, beneficiaries and stakeholders directly involved in the subproject. The secondary stakeholders include other individuals or groups with interest in the project, such as local NGOs and VDCs and municipalities.

Local users highly value face-to-face interaction and FM radio programs. In addition, the following documents should be provided and communicated to PAPs: (i) A draft RAP, before sub-project appraisal; (ii) A final RAP, after completion of such RAP; and (iii) The revised RAP, in case so prepared, following the detailed technical design or change in scope in the sub-project. As part of disclosure, summary copies of the translated Nepali versions of RAPs should be placed at publicly accessible places. At the centre, the RAP should be posted in the website of the Project and DoI whereas in district and subproject level, hard copies of these documents should be placed in different offices viz DDC, concerned Irrigation Division Office, Subproject offices, VDCs etc.

1.8. Grievance Redress Mechanism

Complaints and grievance procedures should be outlined and PAPs be duly informed. A Grievance Redress Committee should be established which will comprise of different officials: (i) Project Manager (Chaiperson), (ii) Representative of the local bodies (VDCs or municipalities); (iii) Representatives of the PAPs; and (iv) Representatives of civil society organizations.

The key functions of the GRCs are to: (a) provide support for PAPs to lodge any complains; (b) record the complains, categories and prioritize them; (c) settle the grievances in consultation with PAPs and the Program staff; (d) report to the aggrieved parties about the decision/solution; and (e) forward the unresolved cases to higher authorities.

Other than disputes relating to legal rights, the Committee will review all grievances relating to land acquisition. Grievances should be redressed within a reasonable time period—not more than two to four weeks from the date of lodging of the complaints—to avoid public protests that have become a commonplace in recent years.

The APs will have access to both locally constructed GRC as mentioned above and the formal courts of appeal system. Under the later system, AP can appeal to the court if they feel that they are not satisfied with the compensation provided by the project. Such appeal can be filed within 35 days of the public notice given to them by the local level GRC.

The verification of satisfactory implementation of RAP including completion of land compensation should be a condition for contract award and commencement of civil works. A verification report in this regard should be prepared and submitted to the WB before award of the contract(s). The verification report has to be investigated the extent to which any land donations

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were freely made and with adequate safeguard, and whether assessed compensation/assistance has been paid to the PAPs.

The implementation activities should be monitored and evaluated externally once in a year through an independently appointed agency, consultant, or NGO not involved with any aspects of the project, which will provide report to both DOI and the WB. The DOI will hire such external monitoring agency with WB concurrence within six months after the project is approved.

1.9. Implementation Agencies

The key agencies involved in implementation of this framework are the Ministry of Irrigation and Water Resources, Department of Irrigation, the RJK Project Office.

The MOIWR will be responsible for the overall coordination of RAP-related activities. The Project Office will have the planning and implementation responsibilities. The DOI and the Project Office will make sure that the contractors in civil works abide by the RAP (e.g. hiring PAPs in project-related jobs). The DOI has already recruited an experienced social development specialist to oversee the implementation of the SIMF. This specialist will work together with the engineers in the Project Office on-site to make sure that the SIMF will be followed. They will coordinate with local administrations over further RAP planning activities and implementation.

The local administrations at DDC and VDC level will also join the resettlement planning and implementation process. They will participate particularly in impact inventory survey, evaluation of the compensation rates, payment of compensation funds etc. Local competent NGOs may also be hired and engaged to expedite the RAP implementation, especially for activities related with training, skill transfer, input supply and distribution, income generation, awareness raising on health, sanitation and HIV/AIDS.

1.10. Monitoring and Evaluation (M&E)

The planning and implementation of social safeguards compliance will be monitored both internally and externally. The purposes of both monitoring are to provide feedback to the management to take timely corrections in the implementation procedure and improve the performance both at outcome and impact levels. Major objectives of monitoring are to ensure the followings: (i) the standard of living of APs as well as income sources are restored (ii) the time lines for resettlement and compensation are met for land acquisition and transfer procedures (iii) assess the adequacy of mitigation measures such as compensation, rehabilitation, livelihood restorations and other supports provided to APs including construction of new houses for relocation (iv) identify problems related to social, ethnic and other conflict, and (v) suggest practical measures to address the outstanding issues.

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Two monitoring systems will be applied as follows.

I. Internal Monitoring: The internal monitoring is undertaken on a regular basis to track the problems and performance against the planned activities and schedules. The project will be responsible to undertake internal monitoring which will include mainly the key indicators of RAP implementation. The indicators to be captured are normally the progress on resettlement and compensation payment, payment of displacement and other allowances as per RAP, progress on providing other assistances and activities targeted to the vulnerable people, supports to severely affected people, restoration of income and livelihood of APs. The project will produce quarterly monitoring report and submit to World Bank.

II. External Monitoring: An external Social Development Expert or Independent Agency will be hired to undertake external monitoring of Social Safeguard actions. Overall objective of external monitoring is to provide unbiased and updated status on the implementation of social safeguard measures including compensation, resettlement, rehabilitation, training, income generation and livelihood improvement. Besides, this will also capture other parameters such as employment of locals, use of outside labor force, conflict between outsiders and locals, health and sanitation including potential spread of contagious diseases, awareness raising and precautions taken on HIV/ AIDS, employment including use of child labor etc. External monitoring should normally take place every half yearly until the second year of the project as the early stage of project implementation involves relatively crucial actions of RAP implementation such as land acquisition, compensation and relocation. From second year onward, the frequency could be reduced to yearly basis. The last monitoring report will be produced at the end of the project completion.

Planning steps and responsibility

When detailed designs are completed for different components of the project, resettlement planning will be conducted as part of that process. DOI will engage specialists to guide and assist the Project Office on-site to carry out the planning process. DOI will review the RAPs prepared before submitting them to the World Bank for review and clearance. Civil works cannot start before the RAP activities are completed.

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2. Vulnerable Community Development Framework

2.1. IntroductionSince the RJKI project will be implemented in an area where different indigenous groups, mainly the Tharus are in a majority, the Bank’s Indigenous People Policy (OP/BP 4.10) will be triggered to ensure that i) indigenous peoples have a voice in project design and implementation; ii) ensure that adverse impacts on indigenous peoples are avoided, minimized or mitigated; and iii) that benefits intended for indigenous peoples are culturally appropriate.For this purpose, aVulnerable Community Development Framework (VCDP) is developed in line with relevant domestic and World Bank policies to guide the preparation of Vulnerable Community Development Action Plans when the project designs are completed.

The major objective of the Vulnerable Community Development Framework (VDCF) is to ensure that the RJKIS modernization and rehabilitation project avoids or minimizes adverse impacts on vulnerable peoples, mainly the socially disadvantaged communities such as Dalits and Janajatis, but that it also provides the necessary institutional and budgetary mechanisms to ensure that they get equal access to program benefits.

This policy framework has been designed in line with relevant government policies as well as the World Bank’s OP 4.10 on Indigenous Peoples, a key component of the Bank’s Operational Policies relating to Social and Environmental Safeguards. This framework presents a summary of the principles and approaches regarding indigenous people, with supplementary analysis of priority areas5.

2.2. Relevant National & World Bank Policies on Vulnerable Peoples

In order to support vulnerable policies, GON has adopted several instruments and passed various laws. The main ones that would be especially relevant to EVENT including the following:

The Interim Constitution recognizes that marginalized groups should be provided with positive discrimination and has specifically mentioned such groups: Dalit, Janajatis and Madhesis as well as peasants, laborers and women.6 It has also introduced measures to improve social justice; institutionalized proportional inclusion of Madhesis, Dalits, Janajatis, and women, in all organs of the State; and provided for setting up necessary commissions to safeguard the rights of the disadvantaged groups and communities.

In terms of Adivasi/Janajati, the Interim Constitution commits the government for the protection and development of indigenous people. For the welfare of IPs (Adivasi/Janajatis), the government set up a national committee for development of nationalities in 1997. The parliament passed a bill in 2002 for the formation of National Foundation for the Development of Indigenous Nationalities (NFDIN).

5 This framework builds on the DOI’s (2010) Integrated Social and Environment Assessment, Kathmandu; and also draws from the Ministry of Health and World Bank (2010) Nepal Health Sector Programme: Indigenous People’s Development Framework, Kathmandu. 6 Article 11 (3) of 1990 Constitution and 13 (3) of Interim Constitution

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Three-Year Interim Plan (TYIP) Paper, 2007 – 2010: In the TYIP, inclusion goals are defined as the need to, “fulfill the physical, emotional and basic needs of all the people, groups or castes. It has to be achieved by respecting their dignity and their own culture and also reducing the disparities between excluded and advantaged groups and by reducing the gap in the existing opportunities and access. In addition to this, it is to help to build a just society by ensuring rightful sharing of power and resources for their active participation as a citizen.”7

The TYIP includes the following provisions for IPs and other disadvantaged groups: (i) creating an environment for social inclusion; (ii) participation of disadvantaged groups in policy and decision making; (iii) developing special programs for disadvantaged groups; (iv) positive discrimination or reservation in education, employment, etc.; (iv) protection of their culture, language and knowledge; (vi) proportional representation in development; and (vii) making the country’s entire economic framework socially inclusive.

In this regards, the TYIP adopted the Gender Equality and Social Inclusion (GESI) framework in planning, programming and monitoring and evaluation. In particular, the GESI approach begins by systematically identifying barriers that women and different excluded groups may face in taking advantage of a given policy or program and incoRAPorates mechanisms to help them overcome the barriers – including a monitoring and evaluation system that provides disaggregated data for tracking inclusion outcomes.

Water Related Policies. The Water Resources Strategy, 2002 emphasizes fulfillment of basic needs, capacity building of stakeholders and sustainable water use. The National Water Resource Development Policy of 2003 highlights equitable distribution and appropriate management of water resources for irrigation, and defines service charge. The National Water Plan 2004 stipulates that the irrigation sector must collaborate with other line agencies to improve livelihood strategies, and guides the privatization of irrigation systems that could not be managed by users. Collection of water fees from the users of large systems is emphasised, to be used for the upliftment of non‐beneficiaries.

Irrigation Policies: Irrigation Policy 2003 (Amended) provides guidelines to consider 33 percent women’s participation with equal representation of backward caste groups and minorities. It ensures financial concessions and technical support to women and backward caste and ethnic for irrigation facilities. Further, the new amendment to Irrigation Policy and Regulation 2003 also requires that user contribution for rehabilitation or construction of a new irrigation system with government support be proportionate to landholding size.

Irrigation Regulation 2003 (Amended) stipulates that Water Users Associations shall be composed of at least 33 percent women, and that there shall be representation of Dalit, the downtrodden and backward ethnic communities.

Other Related GON Laws and Policies: NFDIN Act 2002, National Human Rights Action Plan 2005, Environmental Act 1997 and Forest Act 1993 have emphasized protection and promotion of indigenous people's knowledge and cultural heritage. In 1999, Local Self-

7 Three Years Interim Plan, www.npc.gov.np/en/plans-programs/detail.php?titleid=19

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Governance Act was enacted to give more power to the local political bodies, including authority to promote, preserve and protect the IP's language, religion, culture and their welfare.

International Instruments: In addition, through various international instruments, the Government of Nepal is also committed to supporting vulnerable communities especially through inclusive development and participation. Additionally, other international conventions to which Nepal as a member state has committed to are: i) the 1990 Jomtien World Conference on Education for All (EFA); ii) the Dakar framework for Action; iii) the Millennium Development Goals, 2000; iv) the UN Declaration for the Rights of Indigenous Peoples, 2007; v) ILO Convention 169 on Indigenous and Tribal Peoples. The latter, ILO Convention 169, is a legally binding international instrument and the government is currently in the process of formulating a National Action Plan for the implementation of the convention. Further, the substantive themes covered by Convention 169 and UNDRIP include among others, indigenous peoples’ right to self-determination, self-governance, autonomy, free, prior and informed consent and the right to land and natural resources, etc.

World Bank’s Indigenous Peoples Development Policy (OP 4.10): Key objectives of the Indigenous Peoples policy are to: (i) ensure that indigenous people affected by World Bank funded projects have a voice in project design and implementation; (ii) ensure that adverse impacts on indigenous peoples are avoided, minimized or mitigated; and (iii) ensure that benefits intended for indigenous peoples are culturally appropriate. The policy is triggered when there are indigenous peoples in the project area and there are likely potential adverse impacts on the intended beneficiaries of these groups. When this policy is triggered an Indigenous Peoples Development Plan is to be prepared to mitigate the potential adverse impacts or maximize the positive benefits of the project interventions.

2.3 Vulnerable People in Nepal

Nepal’s complex social structure makes it challenging to define IPs in Nepal. The 2001 census has identified 103 different social groups in the country with over 92 languages and a mix of Hindu, Buddhist, Kirat, Animism and Muslim religions. The Government of Nepal (NFDIN Act) has recognized 59 different indigenous nationalities, also known as Janajatis of Nepal who comprises about 37.2% of the country's population. Hence, the term ‘vulnerable people’ have been used instead of ‘indigenous people’. Vulnerable refer to both the low caste and ethnic minority communities residing in the project areas.

Structural and systematic discrimination based on their ethnicity, language or religions has barred the indigenous people from exercising their individual and collective rights and defend their cultural identity. Language is considered as one of the most severe barriers experienced by indigenous people in accessing basic health care services in Nepal. Language, combined with geographical distance and economical disadvantage create greater risks for janajatis in receiving proper health care and public services.

The Table below presents the 59 officially recognized Janajatis or indigenous ethnic groups. Further, the Nepal Federation of Indigenous Nationalities (NEFIN) has classified

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Adivasi/Janajati groups into five different categories in terms of their demographic, economic and social characteristics: (i) endangered, (ii) highly marginalized, (iii) marginalized, (iv) disadvantaged, and (v) advantaged. The ISEA report mentions that such a list will help irrigation officials, irrigation project officials, and consultants to identify the indigenous groups during project preparation/planning stage, and prepare the strategy for their development.

Table 2: Indigenous Groups of Nepal according to NEFIN Categorization

Category Groups

Endangered (10 groups)

Kusunda (H), Bankariya (IT), Raute (IT), Surel (H), Hayu (H), Raji (IT), Kisan (T), Lepcha (H), Meche (T), Kuswadiya (T)

Highly Marginalized Groups (12 groups)

Majhi (IT), Siyar (M), Lhomi/Shinsaba (M), Thudam (M), Dhanuk (T), Chepang (H), Santhal (T), Jhagad (T), Thami (H), Bote (IT), Danuwar (IT), Baramu (H)

Marginalized Groups (20 groups)

Sunuwar (H), Tharu (T), Tamang (H), Bhujel (H), Kumal (H), Rajbanshi (T), Gangaai (T), Dhimal (T), Bhote (M), Darai (IT), Tajpuriya (T), Pahari (H), Topkegola (M), Dolpo (M), Fri (H), Mugal (M), Larke (M), Lohpa (M), Dura (H), Walung (M)

Disadvantaged Groups (15 groups)

Chairotan (M), Tanbe (M), Tingaule Thakali (H), Baragaunle Thakali (M), MaRAPhali Thakali (M), Gurung (H), Magar (H), Rai (H), Limbu (H), SheRAPa (M), Yakkha (H), Chhantyal (H), Jirel (H), Byansi (M), Yolmo (H)

Advanced Groups (2 groups)

Newar (H), Thakali (M)

M: Mountain (17 groups); H: Hills (24 groups), IT: Inner Tarai (7 groups), T: Tarai (11 groups)

Furthermore, the Hindu caste system has historically placed Dalits at the lowest rung of the caste hierarchy. There have been efforts in the recent days to identify the number of Dalits sub-castes. The Ignored, Oppressed and Dalit Group’s Upliftment committee formed in 1996 under the Ministry of Local Development identified 23 Dalit communities. But this list was revised later during the formation of the National Dalit Commission (March 2002) which prepared a schedule of 28 social groups as presented in the table below.

Table 3: Dalit Communities in Nepal

Hill Groups Tarai GroupBadi BantarChunar Chamar

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Daai ChidimarGaine DhainrKadara DomKamai Dusadh/PaswanParki GotheSarki HalkharSunar JhangadNewar Group KhataweChyme LoharKasai MusharKunche PaswanKusule TatmePode

In the irrigation sector, traditional practices of not eating food or drinking water touched by Dalits have prevented them from accessing irrigation facilities. Additionally, high poverty rates, landlessness, economic and social discrimination, along with very low levels of access to decision-making at all levels, are the main barriers behind the continued exclusion and deprivation of Dalit communities in the irrigation sector.

2.4 Vulnerable Groups in the Project Areas

Based on the nationally identified categories presented above, the major vulnerable populations in the project area are Tharu, Dalits and Magars.

The Socio Economic Environmental and Institutional Survey of Rani Jamara Kulariya Irrigation Systems (RJIKIS) carried out by the Department of Irrigation (DOI) in 2010 found that the Tharus constitute the majority of the population (48%) followed closely by Chhetri (17%), Brahmin (10%), Dalit (15%) and others (7%). Others include Magar population who migrated from the neighboring hill districts of Kailali (Refer to Box 1: History of Tikapur & the Migration of Hill Communities in the Command Area). The updated VDC profiles collected from the VDCs falling within the command area as well as the household survey carried out as a part of this research project also suggest that ‘Tharus’ constitute the majority of the population (Refer to Table 1 and 2 in Section I of this report). According to NEFIN’s categorization of the relative positions of the Tharus and Magars, the former fall under “marginalized” category while the latter is categorized as a “disadvantaged group.” According to informants, there are two main types of ‘Tharus’ living in the command areas: ‘Purvariya-Kathariya’ and ‘Dangoria’. The former categories of Tharus are indigenous to the Kailali belt, constitute the majority of the Tharu population in the area, and can trace their history to more than 300 years. The latter, in comparison, came as daily labourers and Kamaiyas to work in the construction and development of Tikapur town. They were later allocated land by the Tikapur Development Committee and are concentrated mostly in the Ban Gaon village of Tikapur Municipality. There are differences in language, customs, and historical roots between the two types of Tharus. In spite of such differences, there is an increasing sense of solidarity and common identity amongst them.

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Furthermore, Mukta Kamaiyas [i.e., freed bonded laborers, also known as ex-Kamaiyas] are also found in the project command area. While the majority of the ex-Kamaiyas have been allocated between 1 and 5 katha of land by the government, 1,836 households are still awaiting rehabilitation packages. Many have encroached in government land and are demanding their rights be addressed.

2.5 Concerns Relating to Vulnerable Communities in the Project Area

Based on an assessment of the field situations and consultations with different stakeholders, the major vulnerable community identified above – the Tharus – are not being disadvantaged by the current governance structure of the irrigation systems in terms of limited benefits from agriculture, lack of participation/representation in decision-making of irrigation organizations, and lack of consultation in water management systems.

The majority of those governing the irrigation systems remain Tharus, although other ethnic groups are also represented. As the Social Assessment (Refer to Section I of this report) points out, 32 out of a total of 59 (54%) irrigation committee members in Rani, Jamara and Kulariya are of ‘Tharu’ origin. Although there is a high presence of Tharus in all three IUCs, there is almost double the member of Tharus than non-Tharus in Jamara. The ratio of Tharus to Non-Tharus is the following: 9 to 8 in Rani, 10 to 12 in Kulariya, and 13 to 7 in Jamara. The Tharu-led traditional governance system has been integrated into the modern one. Many of the Badghars from the Tharu community are a part of and are occupying influential positions in the committee. Furthermore, Badghars and Chiragis have considerable voice over rules of water allocation, labour mobilization, and imposition of fines and penalties at the village and sub-branch levels.

The issue, therefore, is not the marginalization of Tharus from the management and decision-making structure of the irrigation user groups. Rather, it is the increasing tendencies and dangers of non-Tharus to free ride on Tharu efforts. Many FGD participants and KII pointed out that it is increasingly difficult to get Non-Tharus to participate in source maintenance, pay ‘pankar’ (or water tax) when kulo water is scarce, and enforce levies for rule transgressions. This is because many are migrant communities from different parts of the neighboring districts, have little pre-existing social capital, which makes it difficult to draw on broader social relations to secure cooperation. It is increasingly difficult to deny access to water to those who have contributed little to kulo maintenance.

At the intra-Tharu level, disparities exist between the big and small landowners, tenants and landowners, and male and female-headed households. Rani IUC and Badghars alike make all the users contribute equally to source maintenance irrespective of how much land they own. Labour contribution to source maintenance is a component of the tenancy contracts between landowners and tenant, thereby extending the historical devaluation of labour vis-à-vis land. Female-headed households, on the rise due to the growing seasonal migration of labour, are made to contribute cash and labour for source maintenance.

Dalit and Magar communities have also been integrated into the existing irrigation governance systems in varying capacities. Nevertheless, this does suggest that the system is decentralized,

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and that ethnic majorities do not dictate how the irrigation system will be managed to minorities and low-castes. The representation of Dalits in the committee is higher than that of Janajatis. There are four Dalits in total, one each in Rani and Kulariya and two in Jamara. There are only two Janajatis (including one Magar) and both are in Jamara IUC. In comparison, the representation of the Mukta Kamaiyas is non-existent in the IUCs. This could be because majority of the ex-Kamaiyas either been allocated very little land, if any, and are hence abandoning the agricultural sector for non-farm sources of income. Since they do not own land in the irrigated command area, they are never direct beneficiaries of the irrigation sector. Nevertheless, the Mukta Kamaiya community is expecting to benefit in numerous ways from the project – i.e. in terms of construction related employment opportunities, daily wage agricultural work, greater production of crops and vegetables from land owned etc. Although it is difficult to pre-determine the impacts without detailed project design, small-land holders, Dalits and Mukta Kamaiyas are likely to be particularly vulnerable to and their livelihoods at greater risk from the potential widening and realigning of the canal systems.

Finally, the majority of the respondents in FGD and KII suggested that the biggest benefit of the upcoming irrigation project would be in terms of increases in the production of staple crops and vegetables for household consumption and sale. However, many said they lacked access to seeds, fertilizers, linkages with agricultural market, and institutional credit to initiate income-generating activities. The Department of Agriculture provided very little extension service and support in the command areas.

Therefore, the major concerns from the perspectives of vulnerable communities within and between Tharus and non-Tharus are as follows:

Ensuring vulnerable communities – Tharus, Dalits, Janajatis, Women-headed households and – are actively involved in all phases of the project cycle, from planning to implementation;

Ensuring the current Tharu-led governance structure is not disrupted by the upcoming modernization and rehabilitation project;

Securing the inclusion and participation of Dalits, Janajatis, and Mukta-Kamaiyas in the governance systems, e.g., IUC;

Providing incentives to and ensuring all users are contributing equally to the operation and maintenance of the modernized and rehabilitated irrigation systems;

Addressing the implications of intra-Tharu inequalities based on disparities in gender, land-ownership, and land tenure arrangements on the irrigation systems;

Enable vulnerable communities such as Dalits, Mukta-Kamaiyas and small Tharu landholders access to employment opportunities during the project construction activities on preferential basis; and

Address potential gaps in access to complementary infrastructure.

2.6 Vulnerable Community Development Strategies

In order to address the concerns of vulnerable groups in the project catchment area of RJKIS, enhance project benefits to these communities, and mitigate the adverse impacts, Table 14 lists some of the strategies that could be adopted during the project design and implementation.

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Table 4: Possible Strategies, Activities and Responsibilities for the Development of Vulnerable Communities

Social Issue & Potential Impacts

Strategies to address issues & impacts

Proposed Activities Responsibilities

Demise of the Tharu-led governance system

Educate the WUA, IUG, IUC and the project staff on the historical and contemporary involvement of Tharus on irrigation governance. Training of Tharu IUC committee members, position holders within the committee, and badghars on leadership and organizational development.

Frequent meetings, periodical review and interactions with Tharu committee members and Badghars. Work with Tharu committee members and Badghars to communicate the goals, strategies and plans of the project. Design and organize specific capacity building programs to strengthen their leadership, management and organizational skills.Capacity building programs could include: training on group dynamics, organization, gender and social issues, participatory planning, monitoring, accounts and record keeping, relationship with line agencies and local bodies, and skill enhancing training, processing and marketing

Project officials, IUG and training/research organization

Social inequity within and between Tharus and non-Tharus

Facilitate intra-social group interaction to lessen the effect of rigid class, gender and caste hierarchies

Initiate special effort to reach the poor including men and women from disadvantaged ethnic groups and castes through a social mobilization processOrganize awareness raising campaigns by involving all types of indigenous and Dalit people for public awareness to share irrigation development benefits equitably. Create social space for all to have their say in the decision making process, and in benefit sharing.

Project officials, IUG, local NGO facilitators

Lack of inclusion and equitable participation of Dalits, Janajatis, women-headed households, ex-Kamaiyas and Tharu small landholders in irrigation governance

Encourage the participation of these groups in IUG and traditional decision-making structures. IncoRAProate a mechanism for regular consultation with vulnerable groupsIncrease awareness regarding the negative consequences of discriminatory rules. Ensure that Dalits, Tharu small landholders and ex-Kamaiyas are granted employment opportunities on a preferential basis when construction work for the project begins. Ensure there is no discrimination on employment opportunities and wages on the basis of gender.

Include a social mobilization component in the project design to ensure the inclusion and participation of the poor, women, Dalits, Tharu, small landholders, ex-Kamaiyas Engage the vulnerable groups in a process of free, prior, and informed consultation throughout the project cycleWork with the IUG to adopt a quota system and ensure adequate representation of these groups in the IUC. Provide leadership trainings to members of the IUC. Work with IUGs and these groups to change discriminatory rules.Reserve certain number or percentage of employment opportunities for these groups during the construction period. Offer relevant trainings for semi-skilled jobs. Work with the contractors to ensure wages are equivalent to the amount of work conducted and not pre-determined by gender, caste or ethnicity When project requires contribution in kind from members, those from the vulnerable communities should be provided a certain percentage of their daily wage, based on participatory well-being ranking to identify the poor households in the catchment area so that they too can contribute their labor in the modernization and rehabilitation

DOI project officials, IUCs, NGO facilitator(s), external or internal contractors, leadership and capacity training institute

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of the irrigation facility. Include provisions for micro-irrigation facilities that uses low-cost, appropriate and reliable technology so that those that are unable to directly access the larger irrigation scheme can nevertheless benefit from the project

Exclusion of landless or marginal landholders from accessing irrigations services since they do not have access to land in the irrigated command area

Ensure free, prior and informed consultations and consent of the ex-Kamaiyas and marginal landholders throughout the project cycleDesign strategies to address barriers faced by those who are functionally landless

Organize regular consultations with ex-Kamaiyas, marginal landholders, landless and the poor households in the catchment area during the planning process so that their needs and proiorities are adequately taken into consideration in the project design and implementation strategiesInformation sharing about project interventions/ participation of vulnerable communities through awareness raising campaigns, public meetings in the catchment areas, focus group discussions, development of a grievance redress mechanism in the project area. Introduce systems of leasehold farming or leasing common water catchments for fish farming to the landlessProvide more shares per unit of land for marginal landowners

Project officials, IUCs, NGO facilitator(s)

Lack of access to complementary services (agriculture and credit)

Ensure need based agriculture extension and trainings. Extend support to access institutional credit.

Facilitate exposure to improved agriculture with support from line departments and research institutes.Ensure supply of seeds, fertilizers and pesticides and technical knowhow in coordination with line ministries/departments. Support in periodic soil testing and demonstration of techniques to make the best use of soil conditions. Organize special training programs and demonstration plots with help of line departments. Organize exposure trips to agricultural farms, research stations and progressive farmers under the project. Provide information on various formal credit lending institutions in the area. Help eligible farmers to complete formalities. Ensure credits received are productively used for the various income-generating activities.

DOI, NGO, IUG in partnership with training/research organization, local marketing organization, and local financial organization

Absence of markets or market-linkages

Provide trainings on marketing Establish linkages with markets

Provide training on packing harvested products, especially vegetablesProvide trainings on marketing agricultural produceEnhance group strengthening skills such that members can collect the produce, negotiate collectively the price with the middleman instead of visiting distant markets or retail the produce individuallyEstablish linkages with the agriculture-marketing network, provide logistical support.

DOI, NGO, IUG in partnership with training/research organization, local marketing organization, and local financial organization

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3. Gender and Social Inclusion Framework

Gender is considered as one of the central determinants of differential access to, use of and control over economically productive resources (land, labour and capital) and opportunities. Due to the patriarchal structures of caste, class and ethnicity in Nepal, women often lack access to and control over these resources. Women’s marginalization within and outside the household is often mirrored in the irrigation sector. Furthermore, because very few women hold titles to land in the country, their representation in irrigation management and agriculture related activities are limited.

In general, existing research on gender and irrigation reveals multiple systematic differences between men and women in the irrigation system, including differences in field-irrigation strategies, attendance at water-user meetings, conflicts faced in accessing water, night irrigation, ethnicity based social restrictions in carrying out maintenance of work, and application of the new share system and payment of irrigation fees.8 When these types of gender concerns are not mainstreamed in projects such as in the proposed modernization and rehabilitation of the Rani, Jamara and Kulariya Systems, women are at risk of benefitting in limited way and are quite often marginalized by these projects. The Social Assessment has taken stock of the state of women’s participation in the irrigation systems of Rani, Jamara Kulariya and identified the barriers that prevent women from actively participating in it.

In lieu of these findings, this framework outlines specific activities to alleviate gendered differential access to project benefits and to ensure that women become real partners of the proposed irrigation development project9.

3.1. Definitions of Gender and Social Inclusion

Gender Equality: Gender equality is concerned with the socially constructed differences between women and men (usually inequitable), and believes that in order to gain equitable outcomes, different methods and approaches have to be adopted.

Social Inclusion: Social inclusion is defined as the removal of institutional barriers and the enhancement of incentives to increase access of diverse individuals and groups to development opportunities (World Bank Sectoral Analysis Sourcebook).

Social inclusion, in the context of the irrigation sector, means equal and equitable access to irrigation and agricultural services. To achieve this fully and permanently, there needs to be a combination of social inclusion and empowerment.

Empowerment: Empowerment means building the excluded groups’ economic, social and emotional strength. This requires: 8 World Bank/DFID/ADB. “Irrigation: Sectoral Perspectives on Gender Equality and Social Inclusion.” Gender and Social Exclusion Assessment, Volume II, (Draft).9 The design of this framework builds on and draws from the following: DOI’s (2010) Integrated Social and Environment Assessment, Kathmandu; and Ministry of Health & Population and RTI International (2009) Health Sector Gender Equality and Social Inclusion Strategy, Kathmandu, Nepal.

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Increasing their access to services, resources and materials; Providing them with information on service delivery organization's objectives, Working sectors and services, via the most appropriate medium; Improving their abilities to present their issues to service delivery organizations; Stimulating their self-confidence and self-respect; Organizing them for group work.

Social Exclusion: Social exclusion comes from the existing social practices, beliefs, values and norms which puts the marginalized groups outside of mainstream development and are excluded from its gains.

Equality: Equality means having no differences in facility, respect and rights. Gender and social (caste/ethnicity) equality is to recognize biological and societal differences and bring changes to the social values, norms, perspectives, thinking and beliefs such that women and men, and higher and lower castes maintain equal status.

Equity: Equity is the state or quality of neutral, fair and just behavior. It is helpful to consider inequity: differences which are unnecessary and avoidable; and considered to be unfair and unjust. Equality cannot be gained through merely providing equal opportunities, as not everyone is able to access the opportunity equally. In order to address the differences and exclusion of the marginalized groups and communities, there is a need for more targeted resources and support to bring about a change in equity.

Gender discrimination or social gender discrimination: Gender discrimination is the relationship between women and men and the culturally and socially established difference in the roles that they play and the subsequent inequality. The difference between men and women is constructed by the society and changes with time; it differs according to place, context, cultures of castes and ethnic groups. In many societies women are treated as subordinates (second class citizens). This has affected women's ability to exercise their rights to services; there is even a situational denial of their right to access information, adequate nutrition, health services, education, access and control over finances and property, their reproductive rights, family planning, etc.

Target group(s): The Interim Constitution 2006 (BS 2063) has defined the target group as the ultra poor, vulnerable, poor, senior citizen, disabled, and FCHVs. The GESI strategy has defined the target group as the following:

Poor: economically, geographically and from empowerment's perspective, marginalized and disadvantaged groups, including women and children.

Vulnerable: helpless (destitute), disabled, senior citizens over sixty years, displaced, conflict-affected, slum and trafficking-affected, including women and children.

Marginalized castes and ethnic groups: Dalits (hill and Tarai), backwards ethnic and indigenous groups, religious minorities (Muslims), including women and children and third gender.

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Targeted Interventions: directed activities with the goal of ending gender discrimination and social exclusion by removal of barriers and increasing the access and use of health services by the target groups.

3.2. Existing Policies on Gender equality and Social Inclusion

Nepal's Interim Constitution 2006 (BS 2063): Nepal's interim constitution has defined that “every citizen will have the right to have free basic health care service as provisioned by the State” and thus has established health as a fundamental right of every citizen.

Local Self-Governance Act 1999 (BS 2055): The Local Self Governance Act has provisioned for women, economically and socially backward ethnic groups, communities and Adibasi (indigenous) to be represented in the VDC and ward level development committees, and the handover of the operation and management responsibility of health services to village level committees. But this act does not clearly specify social inclusion and does not consider the very real barriers that largely prevent the target/vulnerable groups from participating. The act does mention women and child welfare, and has programmes for women empowerment.

Right to Information Act 2008 (BS 2065): The Constitution of the Kingdom of Nepal 1990 (2047 BS) was the first constitution to recognize right to information as a basic fundamental right. Although the constitution speaks clearly on this right, the state never took initiative to enact legal instruments necessary to exercising that right.

The Interim Constitution 2006 (BS 2063) has also established rights to information as a fundamental right according to the sentiments of the Jana Andolan (“People's Movement”). As per Article 27, every citizen has the right to ask for information that is of individual and common interest. It also states that citizens will have the right to access information on public institutions/agencies.

Water Related Policies. The Water Resources Strategy, 2002 emphasizes fulfillment of basic needs, capacity building of stakeholders and sustainable water use. The National Water Resource Development Policy of 2003 highlights equitable distribution and appropriate management of water resources for irrigation, and defines service charge. The National Water Plan 2004 stipulates that the irrigation sector must collaborate with other line agencies to improve livelihood strategies, and guides the privatization of irrigation systems that could not be managed by users. Collection of water fees from the users of large systems is emphasised, to be used for the upliftment of non‐beneficiaries.

Irrigation Policies. Irrigation Policy 2003 (Amended) provides guidelines to consider 33 percent women’s participation with equal representation of backward caste groups and minorities. It ensures financial concessions and technical support to women and backward caste and ethnic for irrigation facilities. Further, the new amendment to Irrigation Policy and Regulation 2003 also requires that user contribution for rehabilitation or construction of a new irrigation system with government support be proportionate to landholding size.

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Irrigation Regulation 2003 (Amended) stipulates that Water Users Associations shall be composed of at least 33 percent women, and that there shall be representation of Dalit, the downtrodden and backward ethnic communities.

International Instruments: To fulfill commitments made under gender-related international agreements such as CEDAW, BPFA, MDGs and United Nations Security Council Resolution 1325, the government of Nepal has launched a number of programmes in the economic and social sectors including: provisions for a 25% rebate in registration fee on land transfer to woman, 10% rebate on income tax to the women professionals, expansion of micro-credit programs for poverty alleviation programmes primarily targeted to women. 

3.3. Gender-specific constraints to women’s participation in the project area:

The Social Assessment has found that women’s participation in the irrigation governance systems have been historically low. But the government’s policy of 33% reservation for women in the irrigation governance system has served to increase women’s representation. Nevertheless, only 19% of members in the Irrigation User’s Committee are women.

The major hindrances to women’s participation in irrigation governance system are as follows:

Lack of access to land and land titles as a result, women are not considered direct beneficiaries of irrigation facilities

IUG membership is under the name of the male head of the head. Lack of awareness about and willingness to participate in irrigation governance. Difficulties in juggling and negotiating the ‘triple burden’ that many married

women face – as mothers/wives, daily wage or agricultural labourers, and community development workers.

Prevalent view of irrigation decision-making arena as a male domain. Lack of gender sensitivity in the rules for committee meetings, time and venue. The emergence of male-dominated communication channels (such as rampant

uses of mobile telephony) that are replacing traditional village canvassing by Chiragis, and excluding women from irrigation related information and communication channels.

Linking of source maintenance with access to irrigation water as well as voice in the decision-making arena. But, view of source maintenance as beyond women’s physical capacity. IUC’s complacency to gendered verbal abuses that take place during source maintenance.

Low levels of investment on small-scale schemes (drip or groundwater irrigation) at the levels of farmers or small groups, that have been found to be positive for women

Even when women were participating in the system, gendered discriminatory practices continued:

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Major committee positions, such as that of Chairperson, Vice Chairperson, Secretary and Treasurer, reserved for men.

Too few women to be able to have a “critical mass” and push for gendered sensitive changes.

Too many expectations from the few women committee members. They are meant to represent not only their constituencies but also other women too.

Gendered and ethnic disparities in Tharu women-headed households’ disproportionate contributions to source maintenance.

Furthermore, it was found that women and female-headed households were the least aware of the upcoming RJIK modernization and rehabilitation project. This is because women did not think that the project was a matter of concern to them. Individuals invited to participate in workshops and orientation sessions were primarily male. In spite of the disparities in what they were able to gain from these orientation sessions, the information has not trickled down to ordinary women in the project areas. The information and communication channels used by the project office to communicate with the IUC relied on mobile telephony, which women rarely have access to.

3.4. Gender and Social Inclusion Strategies

While promoting a technology, in this case, modernization and rehabilitation of a farmer-managed irrigation scheme, delineating women as a target group is very important so as to help their empowerment, which is associated with stronger bargaining position in household and community decision-making. In this regard, the major objectives of the GESI strategies for the RJK modernization and rehabilitation are as follows:

Objective 1: Develop policies, strategies, plans and programmes that create a favorable environment for integrating (mainstreaming) GESI in the RJIK modernization and rehabilitation project.

Objective 2: Enhance the capacity of service providers and ensure equitable access and use of irrigation and project related benefits by the poor, vulnerable and marginalized castes and ethnic groups using a rights-based approach.

Objective 3: Improve demands for inclusive decision-making and benefit sharing processes by the poor, vulnerable and marginalized castes and ethnic groups using a rights-based approach.

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Table 5: GESI Issues, Strategies, Activities & ResponsibilitiesSocial Issues Strategies Proposed Activities ResponsibilitiesLack or low level of participation in irrigation management

Sensitize local men and women farmers, IUG and project functionaries on the involvement of women in the institutional decision-making process.

Mandate at least 33 percent women’s participation in all project activities in order to secure more equitable decision-making roles and responsibilities as well as distribution of benefits between the gendersOrganize frequent meetings, periodical review and interaction with women groups and users. Organize training and leadership among women IUC members.Organize exposure visits of the women leaders/members of the IUG to other better performing Farmer Managed Irrigation Systems.Trainings for women committee members as well as well as women users to learn the functions of the IUG such as resource mobilization, water distribution, system maintenance, conflict management etc.Provide technical training to select groups of women for women on irrigation management

Project officials, IUC members, NGO facilitator, women’s CBOs, Department of Women’s Development

Enable women landholders and women-headed household members (latter where men are migrating for employment puRAPoses) to join the IUG

Provide IUG membership to landholder women including from vulnerable groups. Provide co-membership to women and men the in household, especially where men migrate abroad for employment puRAPose.

Identify the women-headed households and other households where women have held titles and update the IUG membership record by entering them as IUG members. Identify women-headed households where men periodically travel abroad for employment puRAPoses and grant them co-membership.Consider extending the rule of co-membership to all households, irrespective of male out-migration.

Project office, IUC, NGO facilitator, Women’s CBOs.

Poor/no leadership qualities amongst women

Training in leadership

Work with women groups to communicate the goals, strategies and plans of the IUG.Increase representation of women in the IUCs.Provide leadership training to women members of the IUG and to group leadersDesign and organize specific capacity building programs for women groups with focus on skill management, communication skills, book-keeping, decision-making processes, governance, accountability and transparency, in order to enhance their involvement.

Project officials, NGO facilitator, WUA, Department of Women, Women’s CBOs.

Low level of involvement and knowledge of the RJIK modernization and rehabilitation project and its socio-economic impacts as well as benefits

Women-only and women and men orientation sessions.

Involve women and interested users throughout the project cycle – design to implementation.

Organize frequent meetings, periodical review and interaction with women groups and women users.Encourage them to voice their interests and concerns about the project design, and implementation. IncoRAPorate these as far as possible. Ensure both women and men know about and are encouraged to attend as well as voice their concerns in future orientation sessions organized by the RJK Project Office, and the World Bank.Work with women’s groups, women committee members and supportive male committee members to communicate project design, goals, potential impacts and benefits to both women users.

Project office, IUC, NGO facilitator, Women’s CBOs.

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Social Issues Strategies Proposed Activities ResponsibilitiesEncourage women’s organizations and IUCs to work more closely with each other – i.e. attend irrigation related meetings, voice concerns etc.

Gender discriminatory rules and practices

Awareness, collective bargaining by women committee and users

Encourage IUCs to identify and change gender discriminatory rules, such as Tharu women-headed households’ disproportionate contribution to source maintenance; organize meetings at a time and venue also suitable for women users and committee members; open important positions within committee for women candidates too etc. Involve women leaders, committee members and women members to raise these issues in the committee.Enhance capacity building activities focused on building strategic alliances between men and women through training on gender awareness while emphasizing group cohesion.

Project office, IUC, NGO facilitator, Women’s Organizations.

Low level of agricultural development know-how

Ensure need based agricultural extension and support services to women users as well as women-headed householdsProvide pre- and post-production support to women, particularly those who are landless, poor

Facilitate exposure to improved agriculture practices with support from line Departments and research institutes.Ensure supply of seeds, fertilizers, pesticides and technical know how to make their correct use with line departments such as Department of Agriculture and research institutesOrganize special training and demonstration plots for women landholders with help of line departments such as Department of AgriculturePromote the farming of high-value crops such as vegetables, herbs, fruits, etc. Provide access to small rural infrastructure and provide trainings in cooperative processing, strengthening of supply chains, improved storage structures/handling practicesTune agricultural extension programs to the needs of the illiterate womenInvolve women in disseminating information on the above as well as demanding them

RJK project officials, Department of Agriculture, NGO facilitator, research/training organization, and IUCs, women’s CBOs, and Department of Women’s Development.

Lack of access to credit

Enhance women’s access to credit

Provide financial assistance, particularly to dalits and the ultra-poor women, in terms of collateral free low interest loan or subsidy. Provide subsidies to women and other vulnerable groups for agricultural implements, micro-irrigation technologies, improved seed variety etc. Flexibility in upfront contribution may be needed to reach a larger number of cash poor women and those from disadvantaged ethnic groups and castes.Extend support to women’s access to institutional credit by initiating or linking with existing savings and credit groups

Unemployment and wage disparity

Ensure employment to women in project construction activities Ensure equal wages for equal work

Ensure at least 33 percent representation of women in construction committee (same as the user’s committee) so that women can also have a voice in decision-making related to construction work/employment opportunitiesIdentify women interested in construction activities and provide employment opportunities on preferential basis.Monitor that women get same wages as their male

RJK project officials in partnership with NGO facilitator

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Social Issues Strategies Proposed Activities ResponsibilitiescounteRAParts for the same type of involvement in construction activities. Sensitize IUCs and users on the need to pay equal wages to women workers.

Insufficient access to markets

Ensure a mechanism so that women get a fair price for their agricultural produce

Establish linkages with cooperative processing, agriculture marketing network and provide logistic supportProvide market informationStrengthen and encourage women’s group to take up marketing of farm produceProvide trainings on usage of improvedmethods of packaging since it could potentially lead to better market price and reduced wastage. Trainings on group strengthening skills for women so that members can collect produce and negotiate collectively the price with the middleman. Encourage women groups to take up marketing Identify and select educated young women who after undergoing training on marketing aspects will help local women in marketing

NGO facilitator, IUG in partnership with local marketing organization

Inability to access large-scale irrigation scheme, especially by women from poor, marginalized groups

Ensure women’s access to project benefits by incoRAPorating program activities that are sensitive to gender concerns and needs

Encourage gender sensitive technologies and program activities in the project designPromote micro-irrigation technologies including household based kits and equipments (e.g., drip irrigation, treadle pumps, sprinkler system) that are affordable, manageable and save time, especially for women and others who do not have direct access to the RJK irrigation schemeProvide economic services to women by linking them to organizations that provide subsidies, trainings, and extension services

RJK project officials, NGO, DADO, WDO, women’s groups

Issues and strategies relating to the inclusion of vulnerable communities such as Tharus, Dalits and Kamaiyas have been discussed in the Vulnerable Community Development Framework.

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4. Information & communication strategy

The major objectives of Information, Communication, Community Consultation and Participation (ICCCP) Strategy are two-fold10. First, it is to keep all stakeholders informed of the project activities, the potential beneficial and adverse impacts. Second, it is to ensure that stakeholders actively participate in all levels of the project cycles, come up with mitigation plans of the potential negative impacts of the project, and are well trained and equipped to take over the responsibilities of operation and management once the project phases out. These will ultimately contribute towards narrowing down the gaps between the project officials and beneficiaries, and help create a conducive-environment to mitigate the adverse social and environmental issues through optimal cooperation from the project beneficiaries themselves.

4.1. Findings & Lessons from Past Information and Communication Efforts

The Social Assessment included a review of the communication strategies adopted by the Rani Jamara Kuliar Project Officials, Department of Irrigation (DOI) so far to disseminate information about the project. Based on the review, the assessment team has come up with the following findings and lessons learned:

The DOI has only held two orientation workshops/trainings on the project design, components and activities. These have been primarily targeted at committee members and Badghars.

The illiterate, women, landless and marginal farmers have not received adequate information about the project.

Apart from the major committee position holders who could provide detailed description of the project design, many of the participants in the workshops/trainings were unable to grasp what was being discussed at the workshops/trainings.

The DOI intends to carry out future orientation workshop/trainings through the Apex committee (association of the three Irrigation User Committees in Rani, Jamara and Kulariya). But there are significant disputes over the composition of the apex committee within and between the irrigation users groups.

Beneficiaries want the project officials to disseminate information directly to them, and combine mixed orientation workshops with tole-level ones.

Partisan political interference on decision-making (composition of the apex committee) and benefit-sharing (employment opportunities) mechanisms could hamper the transparency and integrity of the project.

Many women wanted a special platform for them to be better informed about the planning and implementation of project, the potentiality of irrigated agriculture and improved farming opportunities.

Secondary and tertiary stakeholders such as political parties, VDC secretaries, CBOs and NGOs had not been formally informed of and consulted about the project. This was despite the fact that each were directly or indirectly working on irrigation related issues,

10 The design of this framework builds on and draws from the following: DOI’s (2010) Integrated Social and Environment Assessment, Kathmandu

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had overlapping memberships, and could play a role in determining the success of the project.

Based on the lessons learned, gaps in the information dissemination has been identified and these have been carefully addressed in the information and communication as well as community consultation and participation strategy outlined in the subsequent tables.

4.2 Barriers to Information and Communication

Some of the major social and economic barriers to information and communication included the following:

Low literacy and wide differences in educational level between males and females. Lack of good governance and transparency in sharing complete information among all

stakeholders. Availability of very limited information and communication services Language barrier for Tharu women in particular who had little experience

comprehending Nepali spoken by government officials in general and habituated to working in Kathmandu in particular.

Use of modern technologies such as mobile telephony that are not accessible to women and the poor.

Limited human, technical and financial resources available at the disposal of agency responsible for information and communication activities.

4.3 Issues to consider in implementing Information & Communication Strategies

Political Conflict

Given the highly fractious, competitive, and populist political climate in the country, information and communication strategies have to be political and conflict sensitive. This is more so as it is conducted in a multiple-stakeholders’ consultation and participation mode, giving priority to the voices and interests of the primary and co-primary stakeholders, who contribute to and are responsible for the sustainable development and management of the irrigation infrastructure.

To tackle the issue of political conflict-sensitive participation, the concept of “social inclusion, equity and equitable benefit distribution” needs to be the guiding strategic principle. This means the rise in the level of political conflict essentially asks for more social inclusiveness, and equitable benefit distribution in a society that is very much politically fragmented as a consequence of serious social gaps. Such an information and communication strategy will not only enhance the acceptance of the investment, but also contribute to the quality of representation and level of transparency in the project.

Political and conflict sensitive strategy has been outlined in the Table xxx below.

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Community Consensus

Public consultation and information dissemination are important parts of information and communication strategy as these ensure greater public understanding of the project and allow the affected population to express their voices. The dissemination of adequate information creates a conducive-environment and builds mutual consensus between the project officials and beneficiaries. Hence, it is essential that information dissemination and communication flow network follows a two way track which needs to be monitored to see whether the information intended for specific purpose and groups has reached the target groups or not. At the same time any feedback or complains from the recipients should be listened, discussed and resolved. This way, there is consensus between two parties’ i.e., the project officials and project beneficiaries which facilitate the information flow transparently and with much needed clarity.

Gender Issues

The Social Assessment revealed that information dissemination practices were gender inequitable. Women had literally no or very poor access to most of the information. This was because despite major role played by women in agriculture and their potentiality to work under irrigated agriculture, women’s role in participation in irrigation systems and their management was minimal.

Gender sensitive communications strategy has been outlined in the Gender and Social Inclusion Strategy as well as the ICCCP below.

Adequacy of Information and Dissemination Strategies

Field consultation and survey informed that the information given to the stakeholders was inadequate and in many cases, the information was understood only partially. The reasons identified included low literacy rates, inappropriate information and communication mediums, language barrier, incomplete information and/or inappropriately designed message.

Capacity Building of DOI

Effective implementation of information and communication strategy would substantially add new responsibilities to the program-implementing agency. Depending on the personnel, budgetary allocations and other resource requirements, this could require either the creation of new positions or the capacity building of existing personnel who would be able to devote more time on information and communication components and activities.

The barriers as issues outlined above have been carefully analyzed and possible solutions have been suggested in the information and communication as well as community consultation and participation plan below.

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4.4 Tools and Mediums for Information and Communication

Different tools of communication can be used to disseminate information effectively. The media selection must be guided by several factors such as: accessibility of the area, availability of infrastructure and technology, literacy level of the people, gender outreach, mobility and interaction of people, neighbourhood relationship, population of disadvantaged/ vulnerable groups, etc.

The tools that can be effectively used for the puRAPose of circulating the information and for communication are listed below:

FM/AM Radio Television Telephone Posters/pamphlets Newspapers Mobile mikes or loud speakers

One or a combination of these tools could be effectively used through following methods.

Group/mass meetings Person to person contact/Workshops Haat Bazar Local community messenger (Chowkidar or village Katuwal) Local/ regional concerned offices People’s representatives/ social leader/women leader/opinion leaders Leaders of users groups Neighbours/ relatives Mobile vans, etc. Community organizations and groups such as Clubs and Guthis

The Social Assessment found that despite a wide variety of communication tools and methods available, the current mechanism widely preferred by local people/potential beneficiaries of the project was community/ mass meeting or person to person information flow. Local social leaders, women leaders, local leaders of users group, VDC secretary and irrigation office were also identified as potential information disseminating sources. The Haat Bazaar in Tikapur, for instance, was a common venue for mass meeting and therefore an ideal place for more effective dissemination of information.

Focus group participants and key informants generally agreed that advanced communication tools like posters, newspapers, radio, telephones and televisions were less effective for information dissemination. Local FM radio stations were listened to by many of the beneficiaries. But along with proven mediums for information dissemination, it is recommended that efforts be made to identify other possible means and ways that are underutilized so far. For instance, graphic portrayals or posters of the project design could help people who are not very literate and/or exposed to understanding outsider explanations visualize the project design.

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4.5 Selective & Tailored Mechanism

One major finding from the Social Assessment was that a common set of tool and mechanism was adopted to disseminate information. There was no practice of using selective tool for different target groups with different socio economic and cultural backgrounds. There was no special effort put on addressing and reaching out to the audiences on the basis of literacy status, gender, language, identity (such as Indigenous People) and disadvantaged/vulnerable groups (such as Dalits, and landless depending more on the local common property resources). This non-selective approach was bound to create a disparity of information level among the members of the same community or the group, which was prominently noticed by the study team during the fieldwork.

At the same time, as participants in focus group discussions with women committee members and users pointed out, having separate meetings for different groups will make it difficult to discuss the information provided, voice differing concerns and build consensus around conflicting ones. However, these joint approaches must be inclusive and address differing constraints faced by participants and of disadvantaged members in particular. Furthermore, joint sessions could be complemented with segregated ones.

Hence, to make information dissemination more inclusive following approach is suggested:

i) Segregating the target groups according to their socio-economic and literary status,ii) Developing the contents and messages separately to different groups based on their

level and needs,iii) Disseminating the message to different categories of target groups at different times

and venue using appropriate tools and mechanism,iv) Complementing the above with joint information dissemination workshops/trainings

where differential concerns and needs of disadvantaged population are also considered in organizing the meetings, in designing the contents and facilitating discussions.

4.6 Information, communication & consultation contents and messages

In order to have intended results from information dissemination it is pertinent to give correct, complete and timely information to the target groups. The contents of the message to be delivered are to be designed in such a way that the specific information requirements of each target groups are appropriately prepared and disseminated through right media / channels.

In general, the project affected people and beneficiaries should be provided wide range of information about the project implementation; the implementing authorities and modalities; the budget and its allocation; information regarding land acquisition and compensation packages during pre-construction phase; canal operation, water distribution and sharing, rotation methods, canal repair and maintenance during operation and maintenance phase.

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Equally important information to be disseminated include improved agricultural practices, use of new varieties of seeds and inputs and their availability, the prices and markets for inputs and outputs, social and environmental impacts and mitigation/ enhancement measures, etc.

4.7 Community Consultation and Participation Plan during the Project Cycle

Communication and information sharing is not a onetime activity; rather it is a reiterative process which needs to be carried out throughout the project cycle.

Pre-construction Phase

During this phase, identification, screening, planning, design and prioritization of the project activities are worked out in details. It is the most appropriate phase to disclose information regarding project intervention, probable issues and mitigation measures to all the concerned stakeholders in the sub-project area. The informal communication channels developed earlier by the DOI now need to be formalized and an effective modality for communication between the DOI and the stakeholders needs to be standardized. At this phase, extensive formal and informal consultations and meetings with stakeholders are recommended.

Although the information, dissemination and consultation strategies need to be focused on project beneficiaries in particular, a wider range of stakeholders needs to be informed and consulted from the very outset of the project and during each project cycle. Some have parallel memberships (i.e. project beneficiaries are also a part of CBOs and political parties, for instance), others have invested in the irrigation systems in differing ways (such as VDC and DDC), and still others can play effective roles in mediating disputes and conflicts as they arise. One of the major findings of the social assessment was that the information and dissemination strategies adopted thus far assume that irrigation management systems operate in isolation and are not a part of and linked with wider social and political relations and systems. There are a number of ways in which these stakeholders can either jeopardize the project and/or the social assessment has identified three layers of stakeholders:

Primary stakeholders are the direct beneficiaries of the project and those who will be responsible for the management of the modernized and rehabilitated irrigation system once the project phases out. They include user groups, committee members, Badghars, Chiragis and others with roles in the traditional irrigation management system.

Secondary stakeholders are local-level actors who have a stake in and/or cab influence the success of the project. These include CBOs, NGOs, VDC, line agencies such as Agriculture, and political parties.

Tertiary stakeholders are non-local actors who also have a stake in and/or can influence the success of the project. These include DDC, DOA etc.

Reconstruction phase consultations are imperative to enhance participation of the community people and Irrigation Committees and User Groups in subproject design and planning which also establishes a platform for the stakeholders to express their views about the project and provide feedbacks. These consultations provide opportunities in identifying closely the social and

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environmental issues, probable mitigation measures, needs and priorities of the local people and ensure greater participation right from the beginning, which in turn creates sense of ownership among local people.

Timely communication with the stakeholders can be beneficial during the pre-construction phase because landless, vulnerable groups living within the target command areas can benefit from wage employment during construction. Those losing private lands, structures and other properties will also come forward with genuine claims for necessary compensation and assistances from the project.

Table below shows the dissemination of information among different stakeholders during planning/pre-construction phase.

Table 6: Information Dissemination during Planning/ Pre-Construction PhaseS. No. Means of Communication Generic Information/ Messages Responsibility

1 Media campaign (FM Radio, TV, CDs and cassettes, Newspapers & other print materials)

Subproject features, implementation schedule, affected people and beneficiaries

IDD/IDSD in partnership with NFWUAN District unit and mass media

2 Workshop, use of public gatherings and official letters & meetings, print materials, key informants and socio-political and economic leaders, committees, water user committees/apex committee.

Overall project impacts including environmental and social impacts (land acquisition, resettlement, compensation, resettlement and rehabilitation assistances), schedule of compensation payment, legal requirements for claims, grievances hearing and management.

IDD/IDSD in partnership with NFWUAN District unit and CBO/NGOWorking in education and environmental fields

3 Open meeting, stall at haat bazar, leaflet, audio-visual aids, meetings by AOs, official letters, use of social and community leaders, mobile miking system

Project status/ progress in terms of design, contract awarding, employment opportunities for local people (skilled/ unskilled), gender equal opportunity for works, wage rates, subproject budget for different components.

IDD/IDSD in partnership with locally-based NGOs/CBOs, Farmer Trainers (FTs) or SOs

Construction Phase

At this stage, the stakeholders should be informed of the final plan of the project interventions, process and sequence of implementation activities. Project beneficiaries should also be informed of their role in the project implementation activities and how they could share the anticipated benefits including employment, running tea shops, petty business, and undertaking micro enteRAPrises. Consensus building through intensive consultations and social gathering during this stage can avert the possibilities of conflicts in the future. Different ways in which secondary stakeholders can avert potential disputes and conflicts over the distribution of benefits should be considered through consultations with them.

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Operation and Maintenance Phase with Monitoring and Evaluation

Adequate communication and participation is particularly critical at this stage because users will be responsible for the operation and maintenance (O&M) of the system. Users, committee members and potential candidates responsible for overseeing operation and maintenance could be taken to exposure trips / visits to best management practices in other irrigation user groups. Further, transparency in the IUG functioning can be made effective by establishing a community monitoring system. Education on alternative techniques like IPM and IPNM should also be given through trainings.

4.8 Specific Information and Community Activities during the Project Cycle

The specific ICCCP activities to be carried during all three stages of the project cycle and the agencies responsible for implementing the information and dissemination strategies include:

1. The RJK Project Officials/DOI is responsible for the mobilization of the irrigation user groups during pre-construction phase. The DOI should also work in more close coordination and cooperation with other I/NGOs and government agencies engaged in rural development programs, and focussed on specific community or groups in the project area such as women, Dalits, and other socio-economic groups.

2. The RJK project officials should facilitate the establishment and development of an Apex committee (or a Irrigation Users Association of all the users in RJK) as the focal point capable of assuming full responsibility for O&M of the irrigation system along with collecting and generating data/information concerning social and environmental screening criteria and guidelines for ensuring sustainable development. However, the project officials should be cognizant of the ongoing disputes about the composition of the apex committee. It should consider involving secondary stakeholders such as political parties and respected/neutral leaders in mediating and deliberating the process.

3. The RJK Project Office should discuss with the Apex Committee and the affected people, the compensation package to be paid to the Project Affected Persons. This kind of consultation and information forms the basis for formulating the compensation, rehabilitation and resettlement policy.

4. The Contractor needs to communicate to the labourers and the Apex Committee the Occupational Health and Safety measures to be adopted by the labourers during construction phase.

5. The RJK project office needs to work in partnership with CBOs and NGOs in order to offer skill development trainings throughout the project cycles. Examples of such trainings include electrical/ mechanical works, steel works, concrete works, knitting and sewing, dry food making, modern farming methods, integrated pest management, integrated pest and nutrient management, operation and maintenance of the system. Women, indigenous and disadvantaged groups’ should be given preferential consideration for such trainings so as to ensure that the project contributes to their human resource development and livelihood improvement.

6. Any infrastructure, cultural resources or property which may be disrupted needs to be assessed in consultation with the VDC, Apex Committee, IUCs and local communities before and during construction phase. The contractors should be informed about the guidelines for physical management of socio-cultural resources.

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4.9 Information, Dissemination, Community Consultation & Participation Plan

To address the issues and gaps in information dissemination and communication as well as in community communication and participation plan as identified above, a comprehensive strategy has been prepared (Table 4-2) to be implemented at all stages of the project cycle. The personnel responsible for information and communication should be overseeing the implementation of the strategy and assist the relevant agencies implement the activities outlined below. This strategy shall be implemented with an action approach and adapted according to the specific needs of disadvantaged communicates such as illiterates, women, Indigenous groups, Dalits, Janajatis, landless and marginal farmers etc.

Table 7: Information, Education and Communication Strategy for Sub-projectsInformation & Communication Issues

Suggested Dissemination & Consultation strategies

Activities proposed under the project Responsibilities

- Low level of awareness about the project

- Insufficient information and knowledge about project’s beneficial and adverse impacts including land acquisition, displacement, mitigation measures.

- Conduct awareness campaigns

- Increase access to mass media to generate awareness.

- Train and mobilize representatives from the Dalit, women or indigenous community also for disseminating information

- Formation/ strengthening of IUGs/ IUAs with clear roles and responsibilities in subproject activities including ICCCP

- Organize campaigns with focus on the diverse socio-economic characteristics of target groups in association with line agencies and local institutions.

- Use posters, newspapers, letters, pamphlets, television, telephone, and group meetings for literates and socio-economically well off; use audio-visual aids, miking in haat bazaars, radio broadcasting for illiterates.

- Use audio-visual aids, group meetings, and individual messengers of who are willing and able to interact with disadvantaged groups such as Dalit, bonded labourers, women groups and landless tenant cultivators.

- Use local leaders, group meetings of indigenous groups.

- Organize frequent formal and informal meetings and workshops in the area and fully inform the participants about project impacts, environmental and social management plans.

- Use other sources of information like newspaper, television, radio, etc.

DOI/ NGO/ WUA/WUG/Irrigation Management Division (IMD)

CBOs/ Local clubs/ schools, other local institutions

Unclear information/ messages

- Ensure efficient transparent/ flexible system to respond to the queries/ concerns of people

- Ensure all information and communication materials are simple to understand.

- Create transparent communication environment and sharing of information

- Create an environment for interactive discussion on the information given, address the feedbacks and complains from the audiences.

DOI/NGO/ Committee/Irrigation user groups/IMD/CBO

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Information & Communication Issues

Suggested Dissemination & Consultation strategies

Activities proposed under the project Responsibilities

Coping with different interest groups

- Educate stakeholders on various aspects of the project i.e. potential issues, magnitude of problems, mitigation measures etc.

- Develop consensus and cooperation

- Hold frequent meetings, periodical review and interactions amongst various stakeholders.

- Invite socio-political leaders & officials operating at the district or higher-level offices for site visits and group meetings.

- Prepare information and communication materials focusing on issues/ rights and the opportunities for the disadvantaged and poor people

- Employ mass media and local cultural forums and means of information dissemination.

DOI/ Irrigation User Groups/Committees/IMD/ NGO/ CBO

Addressing needs / issues of vulnerable communities

- Ensure need- based project interventions (including agricultural extension and support services); - Ensure mandatory membership in Irrigation User Groups and Committees and fair representation of all caste/ ethnic groups

- Design and promote programs that are interesting and easily understood by the illiterates, women, Dalits, indigenous groups and other vulnerable groups.

- Prepare information & communication materials to address the issues/ rights considering cultural differences among the communities and groups.

- Develop the competency of the irrigation user groups and committees to oversee project-related activities

- Involve NGOs/CBOs to ensure attendance and active participation of different Irrigation user group and committee members.

- Develop information and education materials to address the issues/ rights of different target communities and groups.

-

DOI/ NGO/IMD/CBO

Low level of literacy amongst beneficiaries, particularly women, indigenous groups, landless and Dalits.

- Promote functional literacy; coordinate with other I/NGOs &GO working in specific areas such as literacy IGAs, skill training etc. .

- Integrate skill development trainings with literacy classes for women.

- Customize training programs to meet the needs of communities and groups with varied socio-economic characteristics.

DOI/ NGO/CBO/IMD

Vulnerable and disadvantaged groups have limited access to information

- Ensure both men and women have equal access to information;- Ensure an equal number of women are members of

- Design gender sensitive information campaign.

- Mobilize women members of the apex and branch committees in information dissemination activities.

Irrigation User Groups/Committees/ NGO/CBO/IMD

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Information & Communication Issues

Suggested Dissemination & Consultation strategies

Activities proposed under the project Responsibilities

irrigation user groups and committees;- Encourage women’s active participation in group meetings and in decision-making processes.

- Organize meetings such that women of all caste/ ethnic groups are able to participate.

4.10 Political and Conflict Sensitive Participation Approach

Table 8: Political Conflict-Sensitive Participation ApproachIdentified Issue Strategy Indicators Steps Responsibility Proposed ReformSocial inclusion, equity and equitable benefit distribution

Local acceptance of project

No public grievances against the project in the given period

Information about the project Information about the benefits of the project and also the adverse social impacts. Formulation of rules on benefit sharing

Project officials in partnership with political parties, in partnershipwith local community/IUA

Sub-project-in-Charge is authorized to make adjustment in the sub-project implementation procedures if community unanimously request for such adjustment

Representativeness of WUG/WUA

Inclusion of the deprived/Dalit and disadvantaged group members in key decision making positions Gender equality Representation from head, middle and tail of the irrigation canal

Local community discusses and agrees on principle and process of representation in IUA The agreed principle and process of representation is reflected in IUA constitution and rules

Sub-project-in-Charge in partnership with NGO- IUA facilitator and local community

Transparency of financial transactions (accounts)

Public hearing/general assembly Public review Public audit

Local community discusses and agree on principle, process and means of maintaining transparency in IUA rules and operation

Local Community in partnership with NGO and IUA facilitator and project officials.

5. Institutional Arrangements

Taking into account the weak institutional system within DOI set up regarding ICCCP implementation it seems all the more important to give added emphasis for developing a precise

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and effective system that handles the ICCCP activities from within the DOI and Project management. A brief account of this is made hereunder.

4.10.1 The project officials should consider recruiting a separate Information & Communication Expert (Senior Communication Specialist) to be stationed at the DOI project office in Kathmandu and responsible for the designing, planning, coordination and implementation of all the information, communication, community consultation and participation related activities.

Other assistants with experience in mass media, communication and community facilitation could also be recruited to assist the IC Expert and be involved in implementing information, communication, community consultation and participation (ICCCP) activities at the project level.

The key responsibilities of this ICCCP Team should be comprised of but not limited to the following:

Preparing plan of action for implementing information and communication as well as community consultation and participation component and activities

Design, test, modify and finalize all IC materials pamphlets, brochures, posters and reproduce them in required numbers

Identify and contract communication media for information dissemination through Radio Nepal/ FM/ TV/ local and national newspaper etc.

Hold consultations, meetings, seminars, and workshops with various stakeholders (primary, secondary and tertiary) and at different levels (district, project, tole-levels).

Monitor closely the ICCCP activities taking place at regional, division, district and project level.

Seek and receive regular feedback and take timely corrective measures to improve IC performance and impacts.

Prepare quarterly, half yearly and yearly progress report.

At the central level of DOI, the ICCCP Team should carry out all the ICCCP-related activities in close guidance, supervision and consultation with the lead Sociologist as well as Project Director. The central together with the project office should work closely to prepare action plans as well as ICCCP materials and messages, and disseminate them through differing and relevant mediums.

In particular, the ICCCP team will take the lead role in preparing detailed action plans and implementing a wide range of activities. Such activities should include distributing ICCCP materials to appropriate locations at project sites; holding consultations, seminars, workshops, meetings at project, district and national levels; liaisoning with the local governments such as DDCs, VDCs, Wards, WUA, other related district level line agencies and NGOs/ CBOs as necessary. In addition, the ICCCP team will be responsible for contacting and contracting different local media (local FM, TV, newspaper), conduct mobile campaigns, and other appropriate mediums for disseminating project specific information to target groups, and especially those not reached by conventional communication channels.

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6. Budget

The budget for ICCCP component will be apportioned from total project cost of Rani, Jamara and Kulariya Modernization and Rehabilitation Project.

The major budget overhead would include the following:

Salary and allowances of professionals and field staff; cost of ICCCP materials (posters, pamphlets, brochures etc);

Cost of contracting communication media (radio, TV, newspaper etc), Organizing and holding workshops, meetings, consultations, campaigns, training and

exposure visit to the project beneficiaries.

The tentative budget for ICCCP component is estimated to be in the range of 0.25 percent of the total funding but the actual budget will be prepared and approved by the Department once the designed plans are approved and a separate ICCCP Unit is created.

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