final report ministry of works & human settlement ...documents.worldbank.org/curated/en/... ·...
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1PP1 88VOL. 1
Final ReportMINISTRY OF WORKS & HUMAN SETTLEMENT
DEPARTMENT OF ROADS
Rural Access Project 11
SOCIAL ASSESSMENT FRAMEWORK5~~~ ~ ~ *--\|i r sw - 4 9
p iI 3--
Focus group discussion, Dagana
Kyingkhor Consultancy ServicesMay 2006
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Acronyms & AbbreviationsBDFC Bhutan Development Finance CorporationBHU Basic Health UnitCBO Community Based OrganizationsDE District EngineerDoR Department of RoadsDSLR Department of Survey & Land RecordsDYT Dzongkhag Yargye TshogchungEA Extension AgentEIA Environmental Impact AssessmentEFRC Environment Friendly Road ConstructionFYP Five-Year PlanGYT Gewog Yargye TshogchungHA Health AssistantHH HouseholdIDA International Development Assistancemasl Meters above sea levelMoA Ministry of AgricultureMoW&HS Ministry of Works & Human SettlementNEC National Environmental CommissionNu. Local Currency (1 US $ = Nu 45)ORC Out-reach ClinicPAP Project Affected PeopleRAP Resettlement Action PlanRGoB Royal Govemment of BhutanRNR Renewable Natural ResourcesRPF Resettlement Policy FrameworkSA Social AssessmentSAF Social Assessment FrameworkSNV Netherlands Development OrganizationToR Terms of Reference
Glossary of Bhutanese wordsChatrim Legislation/RulesChuzhing WetlandChupen Gup's assistant, village messengerDzongdag District AdministratorDzongkhag DistrictGewog It is the equivalent of a block: administrative unitGenja AgreementGung HouseholdGup Elected Administrative head of GewogKamzhing DrylandLag thram A document with details of land ownershipMaang aap Village elder - Gup's OfficiateRimdo RitualsShapto-lemi Labour contribution for developmental worksSatshab Substitute landThram Land recordTsamdo Grazing area in forest registered in individual/community land - only the right to useTseri Slash and burn system of land useTshogpa Committee (people's representative at village level)Woola System of labour contribution to works of communal interestZomdue Gathering
TABLE OF CONTENTS
EXECUTIVE SUMMARY ............................................................. IV
1 INTRODUCTION ........................ .................................................. 1
1.1 COUNTRY BACKGROUND .............................................................. 11.2 THE RuRAL ACCESS PROJECT .................................................................. 1
2 PURPOSE AND OBJECTIVES ........ ...................................................... 2
3 APROACH AND METHODOLOGY .................................................... 2
3.1 SCOPE OF THE SOCIAL ASSESSMENT FRAMEWORK .................................................... 23.2 APPROACH AND METHODOLOGY ................................................................. 3
3.2.1 Socio-economic Profile and Baseline ......................................... 33.2.2 Stakeholder Consultations...............................................33.2.3 Assessment of Social Impacts and Risks ....................................... 33.2.4 Review of Land Acquisition and Social Assessment Policies and Practices .................... 4
3.3 VOLUNTARY LAND DONATION ................................................................... 53.4 IMPACTS ON VULNERABLE SOCIAL GROUPS ......................................................... 53.5 DATA COLLECTION NEEDS AND SOURCES ........................................................... 6
4 SOCIO-ECONOMIC PROFILE ....................................................... 6
4.1 COUNTRY OVERVIEW ........................................................................ 64.2 OVERVIEW OF THE PROJECT AREA...............................................................8
4.2.1 Dzongkhag Profiles...................................................84.2.2 Gewog Profiles..................................................... 114.2.3 Household socio-economic profile .......................................... 14
5 STAKEHOLDER CONSULTATIONS AND ANALYSIS ........................................ 16
5.1 METHODOLOGY AND CONSULTATION PROCESS .......................................................... 175.2 FINDINGS OF THE STAKEHOLDER CONSULTATIONS ................................................... 185.3 PARTICIPATION ............................................................................ 20
6 POLICIES, PROCEDURES, AND GUIDELINES ON LAND ACQUISITION ....................................................... 21
6.1 RGoB LAND ACQUISITION REGULATORY REGIME .......................................................... 216.2 WORLD BANK SOCIAL SAFEGUARD POLICIES ON INVOLUNTARY RESETTLEMENT .............................. 246.3 HARMONIZATION OF WORLD BANK AND RGoB POLICIES ............................................... 26
7 EXPERIENCES AND LESSONS LEARNT FROM RAP PHASE I IMPLEMENTATION ................................................... 29
7.1 STAKEHOLDER ASSESSMENT .................................................................. 297.2 LESSONS LEARNT DURING IMPLEMENTATION ............................................................................... 317.3 KEY SUGGESTIONS FOR THE FOLLOW ON PROJECT .......................................................... 33
8 SOCIAL IMPACT MANAGEMENT ................................................................................... 34
8.1 DESCRIPTION AND OBJECTIVES ................................................................ 348.2 SOCIAL SCREENING ........................................................................ 348.3 RESETTLEMENT POLIcy FRAMEWORK ............................................................ 358.4 PRINCIPLES AND OBJECTIVES ................................................................. 368.5 ELIGIBILITY CRITERIA ....................................................................... 378.6 ENTITLEMENT POLICY ....................................................................... 378.7 VOLUNTARY LAND DONATION .................................................................. 388.8 IMPLEMENTATION PROCESS ................................................................... 398.9 GRIEVANCE REDRESS MECHANISMS ............................................................. 398.10 FUNDING ARRANGEMENTS .................................................................... 408.11 CONSULTATIONPARTICIPATION ................................................................ 408.12 MONITORING AND E V A L U A T IO N ................................................................. 40
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9 INSTITUTIONAL ARRANGEMENTS FOR ENVIRONMENTAL AND SOCIAL ISSUES .................... 40
9.1 THE REGULATORY STRUCTURE ......................................................... 409.2 EVALUATION OF REGULATORY STRUCTURE ......................................................... 42
9.2.1 Institutional Arrangements for Social Issues Management ....................................................... 439.2.2 Evaluation of Institutional Arrangements for Social Issues Management ..................................................... 43
1 0 IMPLEMENTATION ARRANGEMENTS ............................................................................................................. 44
10.1 INSTITUTIONALARRANGEMENTS.............................................................................................. 4410.2 MONITORING & EVALUATION ........................................................... 45
10.2.1 Indicators for monitoring ............................................. 46
Annexures
Annexure 1 List of participants to focus group discussions & list of affected households ........ 51
Annexure 2 Socio-economic Survey Report for Drujeygang-Balung Road ................. 60
Annexure 2.1 Socio-economic Survey Report for Jangchucholing-Tashidingkha Road .......... 68
Annexure 3 Social Screening Report for Drujeygang-Balung Road ....................... 73
Annexure 3.1 Social Screening Report for Jangchucholing-Tashidingkha Road ............... 77
Annexure 4 Format for voluntary land donation ................................... 80
Annexure 5 Guidelines and Checklist for stakeholder consultations (focus group discussions) ........ 81
Annexure 6 Work Plan .................................................... 85
Annexure 7 Terms of Reference ............................................ 86
List of tables
Table 1 Project villages covered by the assessment .................................. 17
Table 2 Date of consultation, venue and the villages covered ............................ 17
Table 3 No of participants in consultations in selected villages of the RAP 11 ................... 18
Table 4 Cash Compensation Rates for Land Acquisition ................................ 24
Table 5 Compensation rates (in Nu.) for fruit by type and age in number of years ...............24
Table 6 Comparisons between World Bank Safeguard Policies and RGoB Regulatory Regime ...... 27
Table 7 Entitlement Policy Matrixes .............................................. 38
Table 8 Comparisons of Options for Strengthening Social Issues Management Capacity ..........44
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EXECUTIVE SUMMARY
Majority of Bhutan's population lives in remote villages, often several days walk from the nearestroad. The rural communities face enormous challenges in accessing public services and marketopportunities for their farm products. Poverty in Bhutan is primarily a rural phenomenon with38.3 percent of the rural population and 4.2 percent of the urban population living below thenational poverty line of Nu 740.36 per capita per month. The absence of roads is a majorcontributing factor to poverty. Less than half of Bhutan's population lives within a half-day's walkfrom a road. Agricultural land covers 7.8 percent of the total area with several pockets of fertilesoil. Land holdings are fragmented and small (two-thirds of farmers have holdings under twohectares), and farm mechanization is very limited. Almost two-thirds of women are employed inagriculture and 70 percent of them own land, making them the primary producers in the sector.Road construction and maintenance in Bhutan's mountainous terrain is a particularlychallenging endeavor, and complicated by monsoon floods, landslides, and icy conditions.
Improving rural access is an important objective of the Royal Government of Bhutan (RGoB).The RGoB is implementing Rural Access Project in selected Dzongkhags with credit from theInternational Development Agency (IDA). Rural road infrastructure is critical not only foreconomic development of the area and its population, but also contributes significantly to overallsocial development. Besides providing improved transport services, it would reduce travel timeand transport costs. Very remote areas of the country are expected to benefit through the RuralAccess Project. In addition to IDA, the implementing agency, the Department of Roads (DoR) isalso being supported with Technical Assistance from SNV, the Netherlands DevelopmentOrganization. In the second phase of RAP, DoR under the Ministry of Works & HumanSettlement (MoWHS) is seeking IDA support for financing construction of about 65-75 kms offeeder roads in Wangduephodrang and Dagana dzongkhags which cover an area of 5,427 km2
including most of the west central part of the country. The RAP Phase II will comprise of twomain components: a physical component and a capacity building and advisory servicescomponent, which will be combined with institutional strengthening to ensure efficient financialprocesses and fund flow, reporting, and environmental and social impact management.
Wangduephodrang is the second largest dzongkhag in the country with a total area of about4,038 km2 and elevation ranging from 800 to 5800 meters above sea level. The Dzongkhagconsists of fifteen gewogs. There are 3,067 rural households, making up an estimated totalpopulation of 22,800. The higher altitude gewogs of Phobjikha, Gangtey, Sephu and Dangchumainly depend on livestock rearing. The Phobjikha Gewog is known for winter nesting place ofthe black-necked cranes and potato cultivation. The Jigme Dorji National Park extends into thenorthem part while a major portion of the dzongkhag falls under Jigmi Singye National Park.
Dagana Dzongkhag lies in the west central region with a total area of approximately 1389 km2
and the elevation ranging from 600m to over 3800m above sea level. The Dzongkhag consistsof 11 gewogs with 2575 households and a population of 21,363. People are comprised ofNgalong, Sharchokpa, Khengpa and Lhotsapmpa. Settlements are fairly dispersed and remote.
In the four gewogs of Dagana and Wangdue dzongkhag, a socio economic survey was carriedout that covered some 241 households with a total population of 1,822. Survey findings indicatethat fifty two percent of the populations are women and on average there are 8.5 members perhousehold. Forty seven percent of the sample population consisted of farmers, while 24% werestudents. According to survey results sixty-nine percent of the population is illiterate.
The land use type is predominantly dry land followed by wetland and tseri. The average landholding is 5.18 acres in Dagana, while in Dangchu the size of land holding is 2.91 acres.
In Dagana, there is a Renewable Natural Resources (RNR) Centre at Drujeygang which takesabout 1-2 hrs to reach the centre from the surrounding villages. Tshangkha has an RNR Centre,
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and there is Agriculture and Livestock centre at Lajab. Average walking distance to thesecentres is about 2- 3 hours walk. The nearest schools for the sample households are located atDrujeygang, Tshangkhatar, Phuensumgang under the Drujeygang, Tshangkha, and Lajabgewogs respectively. It takes about 1-3 hrs from different villages to reach the schools. There isa Basic Health Unit (BHU) in gewogs of Dagana located at Drujeygang, Tshangkhatar, andPhuensumgang. It takes about 2-3 hours walk from the villages. The nearest hospital is atDamphu in Tsirang dzongkhag, which is one-day walk from the gewog. Majority of thehouseholds reported access to emergency services as "poor". The health status of the womenand children was reported to be poor.
In Dangchu, Wangdue there is an RNR Centre at Tangrey. From the surrounding villages ittakes about 3 to 3.5 hrs to reach he centre on foot. It takes about 3 hrs from Tashidingkha, toreach the nearest primary school at Tangrey, and about 1.5 hrs from Rida goenpa to reach thelower secondary school located at Nobding. There is a BHU at Tangrey which is 1.5 hrs far fromTashidingkha, and also at Bajo which is about 3.5 hours walk from Rida Goenpa. The nearesthospital is at Wangdue which is 3.5 hrs far from Rida Goenpa, and 5.2 hrs walk fromTashidingkha. Sixty percent of the sample households reported access to emergency servicesas "poor". Health status of women and children was also reported as "poor".
Major sources of income for the sample households include: sale of agriculture and livestockproducts, sale of animals, working as casual labour and hiring out of horses/mules. The annualaverage income of sample households was Nu 27,000 in Drujeygang, Nu 51,000 in Lajab, Nu45,551 in Tshangkha, and Nu 38,194 in Dangchu, Wangduephodrang.
The households mainly incurred expenditures on purchase of essential food items, education ofchildren, purchase of farm inputs, purchase of clothes, and contribution for village rituals(Rimdo). The average annual household expenditure in the three gewogs of Dagana rangedfrom Nu 14,669 to Nu 22,188. In Dangchu gewog of Wangdue, the average annual householdexpenditure was Nu. 15,616.
To facilitate the assessment and management of potential adverse social impacts arising fromthe project, the Department of Roads, MoW&HS has prepared a Social Assessment Framework(SAF) based on RGoB's relevant legislation and guidelines including the Land Act (1979) andassociated Land Compensation Rates (1996) as well as the World Bank's Operational Policy(OP) 4.12 on Involuntary Resettlement and Operational Directive (OD) 4.20 on IndigenousPeoples.
The SAF details the guiding principles, policies and processes for assessing the project'spotential social impacts and defining opportunities to enhance benefits and mitigate adversesocial impacts. It contains modalities for profiling socio-economic conditions, identifyingstakeholder groups and analyzing their interests and concerns, conducting social screening toassess potential impacts and linking these findings to project design. The institutional structureto support social impact management, including capacity building requirements and monitoringand evaluation mechanisms are also detailed in the SAF. In accordance with relevant RGoBpolicies and procedures and World Bank's OP 4.12, the SAF also includes a ResettlementPolicy Framework (RPF) to address any potential impacts from loss of land, structures andassets, livelihoods and community resources.
This framework has been prepared on the basis of consultations with key stakeholders andproject affected people, and the proposed project design of the project. Although developed onan analysis of impacts of the two proposed roads, it is a "project" framework applicable to otherproject roads to be constructed during the entire project period.
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Key objectives of the SAF are to:
- Develop guidelines for identifying and assessing the nature and magnitude of socialimpacts and options for managing these impacts.
- Review RGoB's existing policies, operational procedures and practices, and institutionalarrangements at the national, dzongkhag and gewog levels to address and mitigatesocial impacts.
- Assess the compatibility of the core principles of RGoB's policies and World Bankpolicies; identify any gaps, and present recommendations for addressing these gaps.
Consultations with primary stakeholders (beneficiaries, poor and vulnerable groups, people whomay potentially be impacted adversely by the project) were carried out in selected gewogs andvillages of the two project districts for identification and assessment of social impacts. Theobjective of these focus group discussions was to disseminate information about the project,seek the perceptions and concerns of community members about the positive and negativesocial impacts of the project, and their experience with voluntary land donation. Consultationswere also carried out with secondary stakeholders, community representatives as well asgewog and dzongkhag administrations and the National Environment Commission (NEC).
The main stakeholders of the project include: the beneficiary community, including the rich,poor, and vulnerable groups. The Gewog level stakeholders comprised the Gewogadministration, rural and social sectors and the GYT. At the Dzongkhag level the stakeholderscomprised the district administration consisting of the rural and social development sectors(Health, Education, RNR, and Engineering) and the DYT.
Key findings from these consultations indicate that road has always, been the top priority ofpeople in Drujeyang, Tshangkha, Lajab and Dangchu gewogs. The proposal for a road inDangchu was initiated by the people during the 8th Five Year Plan but was not constructed dueto lack of funding. The people of Tshangkha and Lajab gewogs submitted a petition for road toHer Royal Highness Ashi Dorji Wangmo Wangchuk, the queen during her visit to these gewogsin 2002. The proposal for this road was reflected in the Road Master Plan 2002. All householdsin these communities had participated in the planning process and expect to be involved in theimplementation of these plans.
The community members expect enhanced livelihoods through production and sale of farmproduce, increase in crop yields and easier access to new farming technology as positive socialimpacts of the project. They also expect better access to health and education services. Themost negative social impact identified by community members was the potential for loss of smallparcels of land. However, according to a majority of stakeholders consulted, the benefits of theproject out weigh impacts from minor losses of land. There was broad consensus in all thesecommunities that land acquired by the project would be voluntarily donated. The informal andformal procedures for voluntary land donation were viewed by these community members assatisfactory and working well. No major negative impacts were anticipated through loss of largeparcels of land, assets, livelihoods and relocation during project implementation.
Separate consultations were carried out in these communities with vulnerable people, includingwomen and women headed households, the most poor, farmers with small land holdings andthe landless to ascertain their views and perceptions about the project. Out of a total of 141vulnerable people consulted, 71% of them were women. Many of them were divorcees havingmany children. Generally, they own less than half an acre of land or are landless with limitedsources of income. They do not expect the road to benefit them directly, but they hope that theopportunities for employment may increase with the increased economic activities after theroad. The poor and single divorcee women expect to get better access to health services afterthe road. The poor households expressed that they will leave compensation assistance to thegovernment if they are faced with any adverse impacts.
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From these consultations it appears that all households irrespective of their social and economicstatus were represented during the planning process. Site visits also concluded that there wereno social groups present in these communities with a social and cultural identity distinct from thedominant society that makes them vulnerable to being disadvantaged in the developmentprocess. The policy requirements of the World Bank's Operational Directive 4.20 on IndigenousPeoples to ensure the participation of indigenous and vulnerable groups in decision makingthroughout the planning and implementation phases of the subprojects, and that these groupsare provided assistance in accordance to their priorities are addressed by the design of theproject.
A stock taking of experiences and lessons learned from the implementation of the First RuralAccess Project (RAP I) was carried mainly through review of Annual Impact Monitoring Reports,project documents, and consultation with executing agency (DoR) and the Dzongkhags. This isexpected to guide implementation of the future projects on rural access. Key findings andsuggestions are summarized below.
The RAP Phase I roads have started to contribute positively on the improvement of livelihood ofthe communities. The roads have provided easy access to communication, health, education,and agricultural services to the rural communities. With the introduction of transport services,the travel time has been significantly reduced. Transportation of marketable surpluses andhousehold consumables is easier and cheaper after the road. The communities are nowrelieved from contributing free labour for transportation of construction materials for schools,BHUs, and other infrastructure. The road has brought great relief to women from carrying loadsfor developmental works. New shops have come up and the trade and business has picked up.New developmental activities are planned after the road. It is expected that there will be moreemployment opportunities for the youth in the rural areas. No negative impact to thecommunities or to the environment has been observed. The beneficiary communities haveexpressed their willingness to participate in the maintenance of the roads
For planning and selection of new roads there is a need for greater involvement of thebeneficiary communities and the Dzongkhags especially during the feasibility studies. Thevulnerable, poor and the affected households should be enabled to express their views onproblems, needs and aspirations. A better coordination is required at the planning stageinvolving all stakeholders. A dzongkhag level rural access master plan is required for selectionof new roads. Guidelines and selection criteria needs to be developed.
The rural access development through roads needs to be linked with other developmentprogrammes to bring in the desired impact of the roads. The alignment of road should ensureconnection to as many settlements as possible. The project support for EFRC should continueto build the required capacity. The monitoring on compliance of specifications for the EFRCshould receive more attention. As a part of the award of contract, it is recommended that amandatory provision of a clause is required for repairs in case of damages of community assetslike irrigation water supply etc.
More awareness needs to be created among contractors on the obligation and liabilities. Thereis a need to improve the capacity of the contractors in preparing and submitting bids. For thesupervision of project site activities, a systematic supervisory mechanism needs to be put inplace. There is a need to improve DoR capacity for supervision of work and the contractorsshould be involved in monitoring of the works.
For land acquisition and resettlement planning, the RGoB should consider revising the landcompensation rate due to increasing cost of land even in rural areas. The land acquisitionprocess should include surveyors for proper assessment of the affected areas. There is a need
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to build capacity within the DoR or MoW&HS to address social issues. A full time socialdevelopment officer is required to coordinate and lead the social impact management
To assess the precise nature and magnitude of social impacts, social screening will be carriedout as part of the feasibility studies for each road. A standard social screening format has beenprepared which builds upon the current environmental screening guidelines. To the extentpossible, social and environment screening should be carried out together with technical andeconomic screening. Social screening will identify the potential for loss of land,assets/structures, livelihoods, willingness of the community to donate land to the project, andother significant social impacts.
The results of this review will provide recommendations for the exclusion of the project ifinvoluntary land acquisition or serious social impacts are anticipated. The social screeningcriteria agreed with the World Bank is expected to eliminate all project sites that may require theacquisition of privately owned land for first year subprojects. Social screening will also enablethe categorization of projects based on their level of social impacts. Where the extent of adversesocial impacts is minor and no displacement or loss of assets or livelihoods is expected, furthersocial assessment will not be necessary. However, for those projects where there is a potentialfor land acquisition and/or significant social impacts, detailed social assessments/studies will becarried out and if required appropriate social safeguard instruments (i.e. Project ResettlementAction Plans) developed.
Social screening has been carried out for the two project roads as part of the social impactassessment. In both project roads these were no adverse social impacts observed. Initialscreening findings indicate that any extra land for the proposed project roads will only bevoluntary through voluntary land donations. No relocation of people is anticipated. No lands,houses or other private properties of the people were affected. Land acquisition for projectroads is to be acquired on a voluntary donation basis. Also, none of the potential beneficiarieswould lose 25% of more of their land as any land acquisition is expected to be very small. Theacquisition of privately owned land and relocation of people affected by project activitiesappears unlikely. The project is also not expected to impact people's income and livelihoods.Vulnerable groups in the communities project works to be implemented likewise would not beadversely impacted. Further, the project is also not expected to impact adversely on commonproperty resources namely religious and cultural sites and structures. The result of thescreening confirms the nature of social impacts identified through stakeholder consultations andsite visits to gewogs where similar works have already been implemented. No relocation ofpeople is anticipated. The screening findings will be discussed with design engineers and to theextent possible incorporated into project design to avoid or minimize impacts.
Both the roads under the projects are expected to cause minimal negative social impacts.Therefore, resettlement is unlikely in these two road sections. However, as a precautionarymeasure, a Resettlement Policy Framework (RPF) has been prepared to address any impactsarising from the construction of these two proposed feeder roads involving: (i) loss of land; (ii)loss of homes/structures; (iii) loss of livelihood systems/income opportunity (due to the lost ofproductive land or impact to a structure where a livelihood activity is being carried out); and (iv)loss of community property resources (religious structures, grazing land).
The RPF defines the legal, institutional and implementation framework to guide thecompensation for lost assets, livelihoods, community property, and resettlement andrehabilitation of project affected people in accordance with the World Bank's Operational Policy4.12 on Involuntary Resettlement and RGoB guidelines and legislation. Key provisions ofRGoB's Land Act (1979) and the World Bank's policy were compared, policy gaps identified andrecommendations made to address these gaps. This review formed the underlying basis of
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developing the RPF, especially the policy matrix for entitlements for losses suffered under theproject. The RPF will be applicable to all road projects funded under RAP Phase 11.
To the extent possible, the project will consider alternative engineering designs to minimizeadverse social impacts and land acquisition. Where the social screening indicates that landacquisition and/or loss of assets is unavoidable, a project Resettlement Action Plan (RAP) willbe prepared for which the RPF provides guiding principles and procedures. The RAPs will bebased on more detailed social assessment and include the following:
- Project and subproject description.- Description of subproject losses and impacts.- Baseline survey and census data.- Policy entitlements related to additional impacts identified through the survey or census.- Time-bound implementation plan.- Costs and budgets.
Implementation arrangements to support social impact management will basically follow normalpractices, policies, and procedures. There will be a Project Management Unit in the DoR whichwill be responsible for overseeing the implementation of SAF activities. Oversight of the socialaspects of the project will be done in close collaboration with geog and dzongkhagadministrations. Implementing agencies will be decentralized and essentially comprise the 4gewogs and 2 dzonkhags in the project area.
The data collection and reporting procedures will follow the existing guidelines on Monitoringand Evaluation. At the gewog level M&E activities will be the responsibility of the GYT. At thedzongkhag level, the District Planning Officer will be the key individual for collection M & E data,including data relevant for monitoring social impacts. Tracking overall progress of the programwill be the responsibility of the DoR and the MoW&HS. Project implementation will requirecoordination between different agencies and departments. In line with the Environment Act andfollowing the practice of other ministries, MoW&HS will appoint internal suitably qualified staff toprovide coordination and oversight on the social aspects of the project. Many of thedecentralized implementation arrangements are new and capacity-building is needed at gewog,dzongkhag and MoW&HS levels to effectively implement social impact management activitiesand if necessary resettlement action plans. The institutional strengthening component of theproject will include training to build capacity on social screening, assessment and mitigation.
In line with the Environment Act, there is a need to strengthen the capacity on socialmanagement through additional training to existing (and proposed) environmental officers androad engineers, so that they have the technical ability to manage the identification, mitigation,and monitoring of the social impacts of new developments.
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I INTRODUCTION
1.1 Country Background
Majority of Bhutan's population lives in remote villages, often several days walk from the nearestroad. The rural communities face enormous challenges in accessing public services and marketopportunities for their farm products. Poverty in Bhutan is primarily a rural phenomenon', with 38.3percent of the rural population and 4.2 percent of the urban population living below the nationalpoverty line of Nu 740.36 per capita per month. The absence of roads is a major contributing factorto poverty. Less than half of Bhutan's population lives within a half-day's walk from a road. In ruralareas, access to education and health services is limited. Efforts to diversification into cash cropscannot hope to reduce poverty if markets are beyond reach. Indeed, demand for rural roadsfeatures as a high priority for most gewogs in their local development plans. Road construction andmaintenance in Bhutan's mountainous terrain is a particularly challenging endeavor, andcomplicated by monsoon floods, landslides, and icy conditions.
Bhutan is not overpopulated. It has many scattered areas of fertile soil (agricultural land covers 7.8percent of the country) and generally with good water supply. Land holdings are fragmented andsmall (two-thirds of farmers have holdings under two hectares), and farm mechanization is verylimited. Almost two-thirds of women are employed in agriculture and 70 percent of them own land,making them the primary producers in the sector.
1.2 The Rural Access Project
Improving rural access is an important objective of the Royal Government of Bhutan (RGoB). TheRGoB is implementing Rural Access Project in selected Dzongkhags with credit from the WorldBank. Rural road infrastructure is critical not only for economic development of the area and itspopulation, but also contributes significantly to overall social development of the area and betteraccess to social services such as better access to health, education. Besides providing improvedtransport services, it would reduce travel time and transport costs and it opens new economic andemployment opportunities through linkages to new markets, production centers and other areas ofeconomic opportunities. Thus, there is a strong link between transport and poverty reduction andoverall social development in the area. This becomes even more evident in the Bhutan RuralAccess Project (BRAP), where very remote areas would benefit through the Rural Access ProjectsPhase I and Phase II.
The Department of Roads (DoR) under the Ministry of Works and Human Settlement is entrustedwith the responsibility of roads construction and maintenance in Bhutan. The Department of Roadsis implementing the Rural Access Project (RAP) with credit from the World Bank (WB) andTechnical Assistance from the SNV, the Netherlands Development Organisation. The BRAP iscarrying out environment friendly road construction in the five Dzongkhags of Zhemgang,Trashigang, Trashi-Yangtse, Lhuentse, and Mongar.
The department of roads under the Ministry of Works and Human Settlement (MoWHS) is seekingIDA support for financing construction of about 65-75 kilometer of feeder roads. The main objectiveof the project is to improve the access of rural communities to markets, schools, health centers andother economic and social infrastructure, in order to improve the quality of life and productivity ofproject beneficiaries,. The project will have a similar focus and implementation arrangements asthe initial Road Access Project (RAP I), currently under implementation. Specifically it will compriseof two components: a physical component and a capacity building and advisory servicescomponent.
' Poverty Analysis Report 2004
The DoR plans to take up construction of about 65 to 75 Kms feeder roads mentioned below undera follow up/next credit of the World Bank.
1) Jangchucholing - Tashidingkha Road (Wangduephodrang) :14.30 kms
2) Drujeygang-Balung Road (Dagana). : 42.50 kms
The proposed roads will improve the socioeconomic status of the rural population of those villagesby providing market access to the rural community.
This SAF has been based on the assessment of the two roads mentioned above out of the 3proposed RAP II roads. This SAF will also apply to the third road and other roads in the RAPPhase II.
2 PURPOSE AND OBJECTIVES
The purpose and overall objectives of the Social Assessment Framework are to:
1) Review RGoB's current policies, operational procedures and practices to address and mitigatesocial issues including those related to gender;
2) Review the World Bank's social safeguard policies and guidelines and access the compatibilityof the core principles of the Royal Government of Bhutan's (RGoB) policies with World Bankpolicies and identify any gaps;
3) Suggest measures for policy enhancements at the gewog, dzongkhag and national levelswhere necessary;
4) Prepare a Social Assessment Framework (SAF) that details the guiding principles andmethodology for screening all project interventions for social impacts, identifies appropriatemeasures to manage and mitigate adverse social impacts and outlines social documentationpreparation requirements (e.g. Resettlement Action Plans).
3 APROACH AND METHODOLOGY
3.1 Scope of the Social Assessment Framework
The SAF provides the guiding principles, policies and processes for assessing the project'spotential social impacts and defining opportunities to enhance benefits and mitigate adverse socialimpacts. It includes the modalities for profiling socio-economic conditions, identifying stakeholdergroups and analyzing their interests and concerns, conducting social screening to assess potentialimpacts and linking these findings to project design. The institutional structure to support socialimpact management, including capacity building requirements and monitoring and evaluationmechanism are also detailed in the SAF. In accordance with relevant RGoB policies andprocedures and World Bank's OP 4.12, the SAF proposes a Resettlement Policy Framework (RPF)to address impacts from loss of land, assets and livelihoods.
The objective of adopting a framework approach is that the detail design of all proposed projectinterventions spread over three years, may not be known or finalized at project appraisal.Therefore, a socio-economic assessment of a sample of planned first year project works on roadsections in Wangduephodrang and Dagana have been carried out and used as a basis forpreparing this framework.
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The framework has been developed on the basis of consultations with key stakeholders andproject affected people, and the project design.
3.2 Approach and Methodology
The approach underlying the assessment of social impacts and developing appropriate mitigationstrategies is based on the principles of local participation and consultations with stakeholders,including vulnerable groups, during all stages of the project from initial design to implementation.The broad methodology and methodological tools used for the preparation of the SAF are detailedbelow.
3.2.1 Socio-economic Profile and Baseline
A socio-economic baseline has been prepared based on socio-economic survey of a sample of thepopulation affected by proposed first year project interventions, as well as on secondary sources.Also presented is a broad overview of the dzongkhags where the projects will be implemented andtheir levels of socio-economic development. This baseline information is used to evaluate thesocio-economic status of project affected people prior to the commencement of any projectactivities and will be used to measure the project's impact on this population at project completion.
3.2.2 Stakeholder Consultations
The identification of stakeholders and social impacts involves systematic consultation with projectbeneficiaries, project affected people, women, vulnerable and poor members of the community,and other stakeholders who may have an influence over the project. To identify social impacts andconcerns, consultations were undertaken with primarv stakeholders: beneficianes, poor andvulnerable groups, people who may potentially be impacted adversely by the project, and theimplementing agency (DoR). Consultations were also carried out with secondary stakeholders:local community based organizations (CBOs), community representatives, other agencies includingPlanning Commission, Department of Survey & Land Records, Department of Agriculture and theNational Environment Commission.
Consultations with beneficiaries of the project were held in selected gewogs and villages in the twodistricts were the project is to be implemented. Focus group discussions were conducted with across-section of men and women in the community. The objective of these discussions is to gainand in-depth understanding of project issues and concerns from a broad group of discussants,including people who may be affected from loss of land. The consultations focused on:inclusiveness in participation of community members in planning, perceptions and concerns aboutthe positive and negative social impacts of the project, and experience of community members involuntarily donating land. Separate individual interviews were held with vulnerable members of thecommunity to disseminate information about the project and to understand their views about theproject. A checklist of questions and guide used is presented in Annexure 5.
3.2.3 Assessment of Social Impacts and Risks
The specific objectives of the Social Assessment Framework (SAF) are twofold. First, it will buildupon the lessons learned from the initial Rural Access Project (RAP I) and define the overarchingprinciples and processes for screening and assessing potential social impacts, including impactson, benefits to, and the participation of local beneficiary communities in project preparation andimplementation. It defines implementation, institutional, participatory monitoring and evaluationmodalities, as well as special measures to protect and ensure the inclusion of socially andeconomically vulnerable groups such as female headed households, ethnic groups, and peopleliving in extreme poverty.
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Secondly, the SAF defines appropriate mitigation measures, and when social safeguard studiesbased on the guiding principles of RGoB's and the World Bank's social safeguard policies will needto be prepared (i.e. Resettlement Action Plans or Vulnerable Communities Development Plans).
3.2.3.1 Social Screening and Identification of Social Impacts
Social screening will be carried out as part of the feasibility studies for each project road and socialscreening criteria will be developed and fully integrated into RGoB guidelines. The screening willidentify the potential for loss of land, assets/structures, livelihoods, willingness of the community todonate land to the project, and other significant adverse social impacts. The results of this reviewwill include recommendations for the exclusion of the subproject if involuntary land acquisition orserious social impacts are anticipated. The social screening criteria agreed with the World Bank isexpected to eliminate all project sites that may require the acquisition of privately owned land.Where the extent of social impacts is minor and not displacement or loss of assets or livelihoods isexpected, further social assessment will not be required. However, where there is potential for landacquisition and/or significant adverse social impacts a further detailed social assessment/studiesbe carried, and if required appropriate social safeguard instruments developed (ResettlementAction Plans). The social screening criteria agreed with the World Bank is expected to eliminate allproject sites that may require the acquisition of privately owned land, for planned first year projectworks.
To assess the precise nature and magnitude of social impacts, social screening will be carried outas part of the feasibility studies for each road. A standard social screening format, presented inAnnexure 2 has been prepared which builds upon the current NEC environmental screeningguidelines and includes:
- Loss of land.- Loss of structures- Loss of livelihoods- Impacts on vulnerable groups- Impacts on common community resources- Willingness of communities to volunteer land
3.2.4 Review of Land Acquisition and Social Assessment Policies and PracticesA review of current RGoB policies, procedures and practices relating to land acquisition and socialissues and the World Bank's social safeguard policies OP 4.12 on Involuntary Resettlement andOD 4.20 on Indigenous Peoples was carried out to assess the compatibility of the core principles ofboth set of policies and identify how to harmonize and address any gaps.
The review identifies areas that need modification and strengthening and recommend measuresfor policy enhancements. Recommendations for policy enhancements where possible are madewithin the context of the current legal framework and existing procedures and processes.
3.2.4.1 Resettlement Policy Framework
The proposed project interventions are expected cause minimal negative social impacts. Howeveras a precautionary measure, a RPF has been prepared to address impacts arising from theconstruction of the proposed feeder roads: (i) loss of land; (ii) loss of homes/structures; (iii) loss oflivelihood systems/income opportunity (due to the loss of productive land or impact to a structurewhere a livelihood activity is being carried out); and (iv) loss of community property resources suchas religious and cultural structures.
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The RPF defines the legal, institutional and implementation framework to guide the compensationfor lost assets, livelihoods, community property, and resettlement and rehabilitation of projectaffected people in accordance with the World Bank's Operational Policy 4.12 on InvoluntaryResettlement and RGOB guidelines and legislation. Key provisions of RGoB's Land Act (1979)and associated Land Compensation Rates (1996) and the World Bank's policy are compared,policy gaps identified and recommendations made to address these gaps. This review forms theunderlying basis of developing the RPF, especially the policy matrix for entitlements for lossessuffered under the project. An Entitlement Matrix has been prepared which accommodates theprovisions of RPF and the rules and regulations of RGoB.
To the extent possible, the project will consider alternative engineering designs to minimizeadverse social impacts and land acquisition. Where social screening indicates that land acquisitionand/or loss of assets is unavoidable, a Resettlement Action Plan (RAP) needs to be prepared forwhich the RPF provides overarching guidance on principles and procedures. Resettlement ActionPlans need to be based on more detailed social studies/assessment and include the following:
- Project description.- Description of losses and impacts.- Baseline survey and census data.- Policy entitlements related to additional impacts identified through the survey or census.- Time-bound implementation plan.- Costs and budgets.
3.3 Voluntary Land Donation
Although no acquisition of privately owned land is expected under the proposed project, the SAFwill provide specific criteria for the acquisition of land donated voluntarily by project beneficiaries.This will include provisions that any impacts from voluntary land donation do not result in thedisplacement of people, any loss of incomes or livelihoods, and that people making the voluntarydonations are beneficiaries of the project.
The proposed project should also ensure that the process of voluntary land donation is transparentand appropriately documented. Where displacement or negative social/environmental impacts ofan involuntary nature are unavoidable, the social assessment process will provide the basis for therequired compensation and rehabilitation of the affected people.
3.4 Impacts on Vulnerable Social Groups
Separate stakeholder consultations were carried out in selected project gewogs and villages withvulnerable community members to identify their participation in the planning process, and ascertaintheir views and perceptions about the project. The field visits and consultations looked into socialgroups present in the communities with a social and cultural identity distinct from the dominantsociety that makes them vulnerable to being disadvantaged in the development process. Thepolicy requirements of the World Bank's Operational Directive 4.20 on Indigenous Peoples toensure the participation of indigenous and vulnerable groups in decision making throughout theplanning and implementation phases of the projects, and that these groups are providedassistance in accordance to their priorities are addressed by the design of the project.
To effectively monitor project impacts on the vulnerable, the socio-economic baselines establishedfor the project include data on representative vulnerable households. Monitoring indicators includegender and vulnerability specific indicators, and monitoring reports present data disaggregated bygender and vulnerability (i.e. women headed households). Indicators that can be monitored for thispurpose include how many women/vulnerable people attended gewog meetings, how many
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participated actively in these meetings, documentation of their opinions on project impacts and ifany of their specific concerns were addressed during implementation.
3.5 Data collection needs and sources
This study made use of both secondary information and primary data collected throughconsultations with various stakeholders. Secondary data sources include the Bhutan Land Act1979, current RGoB policies, procedures and practices relating to land acquisition and socialissues; the World Bank's social safeguard policies OP 4.12 on Involuntary Resettlement and OD4.20 on Indigenous Peoples; other relevant documents providing dzongkhag profiles, RGoBreports etc.
A desk review was carried out on relevant RGoB and World Bank Policies and guidelines toaddress social issues, procedures and processes as well as to harmonize these set of policies asdiscussed above. The desk review was supplemented by stakeholder consultations to:
- Develop a consultation framework for participatory implementation;- Identify all other relevant issues including those described above in the scope of work.
Stakeholders include various interest groups who have an interest or stake in the project. Theyinclude those who are likely to be affected by the project, as well as those who may have influenceover the project. Stakeholders were identified through answering the following questions:
- Who are the potential beneficiaries?- Who may be adversely affected?- Have vulnerable groups been identified?- Have supporters and opponents to the project been identified?
To answer these questions, key stakeholders were categorized as primary and secondary for theconsultations. Information was collected using the survey questionnaire given in Annexure 2. Adetailed work plan for this task is given on Annexure 6.
Two teams of social development professionals carried out these consultations. Prior to thecommencement of consultations, extensive training of the field teams by a social scientist on theapproach, methodology and tools was done. Focus group discussions was conducted with a crosssection of men and women in the community, including people who may be affected by loss ofland, and those who had previous experience with voluntarily donating land. Separateconsultations were carried out with vulnerable community members including women headinghouseholds, the most poor, farmers with marginal land and the landless. The main aim of theseconsultations was to specifically understand the views and the concerns of vulnerable communitymembers and be involved in the implementation.
4 SOCIO-ECONOMIC PROFILE
4.1 Country Overview
The Kingdom of Bhutan is a small, landlocked, mountainous country in the Eastern Himalayanregion. It is bordered by India to its east, west and south and by the Tibetan Autonomous Region ofChina to its north. The country has an area of 38,394 km2 with a population of 734,340. Almost allof the country is mountainous with altitudes ranging from about 200 metres above sea level (masl)in the south to over 7,500 masl in the north. It can be divided into three distinct physiographiczones: (1) the southern foothills along the Indian border with altitudes ranging from about 200 to1500 masl; (2) the inner Himalayas made up of the main river valleys and steep mountains with
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altitudes ranging from 2,000 masl to 4,000 masl; and, (3) the great Himalayas in the north alongthe Tibetan border consisting of snow-capped peaks and alpine meadows above 4,000 masl.
Administratively, the country is divided into 20 dzongkhags (districts). The dzongkhags are furtherdivided into several gewogs (blocks). At present, there are altogether 201 gewogs in the country.Some of the dzongkhags such as Chhukha, Samdrup Jongkhar, Samtse, Sarpang, Trashigang,and Zhemgang, have sub-districts, known as dungkhags. A dzongkhag is headed by a dzongdag,a dungkhag by a dungpa, and a gewog by a gup (administrative head of a Gewog). Dzongdagsand dungpas are civil service officials whereas a gup is a locally elected community leader of ageog. At the central level, there are ten ministries and a number of non-ministerial bodies such asthe National Commission for Cultural Affairs, National Environment Commission, and Royal CivilService Commission. The ministries are the Ministry of Agriculture, Ministry of Education, Ministryof Finance, Ministry of Foreign Affairs, Ministry of Health, Ministry of Home and Cultural Affairs,Ministry of Information and Communications, Ministry of Labour and Human Resources, Ministry ofTrade and Industry, and Ministry of Works and Human Settlement.
Bhutan has attained impressive achievements in its macro economy since the country opened upto the rest of the world in 1961 from its self imposed isolation. Since then the country embarkedupon a far reaching development strategy that has been articulated in successive five year plans,the latest being the 9th FYP Plan (2002-2007). On the basis of the development strategypresented in these five-year plans, Bhutan has developed a physical infrastructure of roads, powersupply, telecommunications, and water supply that now serves a growing share of the population.At the same time the Government has developed social infrastructure of education and healthservices, which have, despite the difficult terrain and scattered population, greatly improved accessto education and health services. The Government's strategy in every sector is guided by its VisionStatement "Bhutan 2020: A Vision for Peace, Prosperity and Happiness" which seeks a "cautiousinterpretation of modernization". The Vision Statement puts human happiness, not economicgrowth, at the center of the nation's vision and values, and calibrates the ambitions of developmentpolicy to Bhutan's ability to absorb change without creating alienation and excessive inequality:
The distinctively Bhutanese concept of Gross National Happiness... places the individual at thecenter of all development efforts and it recognizes that the individual has material, spiritual andemotional needs. It asserts that development cannot and should not be defined exclusively inmaterial terms. The concept of Gross National Happiness must be translated into objectives thatare able to give direction to the Kingdom's long-term development.. .These objectives are: humandevelopment; culture and heritage; balance and equitable development; governance andenvironmental conservation."
Bhutan is predominately an agrarian country with majority of the population living in rural areasdepending on integrated livelihood system based on crop agriculture, livestock and use of forestproducts. Agriculture is still the dominant sector with 25% share of the GDP during 2004. Thearable agriculture land covers 7.8 percent of the total area with many scattered and fertile pockets.Land holdings are fragmented and small (two-thirds of farmers have land holdings under twohectares), and farm mechanizations is very limited. RGoB pursues a policy of food self-reliance,whereby export earning generated from sale of cash crops pay for whatever imports (typically rice)are required. The role of the MoA is to support farmers to make optimal use of their availableresources by promoting new technologies through research and extension, organization of inputs,creating access to markets, and development of support infrastructure.
About 29 percent of the rural population and 2.4 percent of the urban population live below theabsolute poverty line. In this mountainous and landlocked country, the majority of Bhutan'spopulation lives in remote villages; often several days walk from the nearest road. In this context,rural communities face enormous challenges in accessing public services and market opportunitiesfor their farm products. Agriculture contributes one third of GDP, but the sector constitutes themajority of income, employment, and food security to most Bhutanese, particularly the poorest.
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Despite impressive economic growth and achievements in human development at the nationallevel, Bhutan still faces challenges on several issues: the RGoB's commitment on halving povertyby 2015 as part of the MDG effort, growing inequality of income and wealth concentration, regionaldisparities at the household level food insecurity and seasonal food shortages.
Less than half of Bhutan's population lives within a half-day walk from the nearest road and roadsare widely viewed as a catalyst for development in rural areas. The Poverty Assessment found thatthe absence of roads was a major contributing factor to poverty. In rural areas, diversification intocash crops cannot reduce poverty if markets are beyond reach. Demand for rural roads was one ofthe highest priorities identified in geog plans.
Two gewogs of Wangdue (Athang and Daga) are classified as vulnerable gewogs (PovertyAssessment Report 20002). Vulnerability Analysis and Mapping (MoA & WFP 20053) identifies 6gewogs (Dorona, Lajab, Gaserling, Khipisa, Tshangkha, and Drujeygang) under Daganadzongkhag as most food insecure gewogs. The food insecure in Wangduephodrang include:Athang, Daga, Dangchu, Nyisho, Sephu, Nahi, Ruepisa, and Phobjikha.
4.2 Overview of the Project Area
The project areas under this study, where first year works are planned, include theWangduephodrang and Dagana dzongkhags in the west central region. These two dzongkhagshave a total area of approximately 5,427 kM2, covering most of the west central part of the country.There are a total of altogether 26 gewogs in these dzongkhags, with a total population of 5,642rural households.
The 14.3 kms Jangchucholing - Tashidingkha Road is expected to benefit 178 households of 12villages under Dangchu gewog of Wangduephodrang dzongkhag. The road alignment taking off atJangchucholing (Thimphu-Trashigang highway) passes through the main villages of Ridang,Yusagang, and terminates at Tashidingkha.
The 42.50 kms Drujeygang - Balung road under Dagana Dzongkhag starts from Drujeyganggewog and passes through the main villages of Thangna, Budeychu, Baibithang, Petakha,Zinchilla, Tshangkha, Compa, Manidangra, Bana and ends in Pheunsumgang at an altitude of1360 m under Lajab gewog. This road will benefit 100 households of Drujeygang gewog, 278households of Tsangkha gewog, and 124 households of Lajab gewog.
4.2.1 Dzongkhag Profiles
a) Wangduephodrang Dzongkhag
The second largest dzongkhag in the country in terms of area, Wangduephodrang lies in the westcentral region and has a total area of approximately 4,038 km2 with elevation ranging from 800 to5800 meters above sea level. The summers are moderately hot with cool winters. The dzongkhaghas a forest cover of about 65 percent consisting of both broadleaf and conifer tree species.
The Dzongkhag consists of the following fifteen gewogs. There are 3,060 rural households, makingup an estimated total population of 22,800. The higher altitude gewogs of Phobjikha, Gangtey,Sephu and Dangchu mainly depend on livestock rearing. The Phobjikha Gewog is known for winternesting place of the black-necked cranes and potato cultivation. The Jigme Dorji National Parkextends into the northern part while a major portion of the dzongkhag falls under Jigmi SingyeNational Park.
2 Poverty Assessment Report 2000 - Planning Commission, RGoB3 Vulnerability Analysis and Mapping 2005 - Ministry of Agriculture and World Food Programme
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Gewogs Ws of hhs1 IAh rg 142
2. Bjena 277
3. Daga 1524. Dangchu 1785. Gangte 2586. Gasetsho-gom 1707. Gasetsho-om 1038. Kazhi 2109. Nahi 13410. Nyisho 25611. Phangyuel 17612. Phobjikha 28213. Ruepisa 30914. Sephu 27615. Thedtsho 137
Total 3 060L . t,, -:300-.Source: Dzongkhag Administration, Wangduephodrang
Wetland dominates agricultural land use in the dzongkhag followed by dryland, mixed farming andlimited areas on tseri. Rice is grown extensively, mostly along the Dang Chhu and Tsang Chhu, inNahi, Nyisho, Phangyuel, Ruepisa and Thedtsho Gewogs. Potato is an important cash cropespecially for the Phobjikha, Gangtey and Sephu Gewogs. Farmers in most the gewogs, faceproblems related to wildlife depredation of crops. Generally, a dominant gentle to moderate terrainalso increases the possibility of farm mechanization.
Land use type Area in acWet land 6,792Dry land 3,518Fallow 1,167Tseri 393Orchard 51Kitchen garden 465
Source: Agriculture Statistics 2004, DoA
Area and production of major crops
Crops Harvested Production (MT) Yield (kgtacre)____ ____ ____ ___ Area (acres)
Rice 3,129 4,883 1,560Maize 111 214 1,927Wheat 1,513 736 486Barley 366 152 415Buck wheat 340 265 779Millet 56 25 446Oats 12 6 500Potato 985 8,692 8,827Chilli 201 402 2,004Mandarin orange 7,790 (trees) 265 34 kgs (per tree)
Source: Agriculture Statistics 2004, DoA
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All gewogs have incomes near the national average except for Athang, Daga and Sephu, whichhave incomes below the national average. Primary school enrolment rates are near the nationalaverage in all gewogs except for Athang, Bjena and Kazhi gewogs where the primary schoolenrolment rates are below the national average. Adult literacy rates are below the national averagein all gewogs except for Dangchu gewog where they are near the national average. All gewogs inthis dzongkhag have health facilities. Dangchu, Sephu and Gangtey are located between 3 to 8hours walk from the nearest hospital. The other gewogs are located up to 3 hours walk from thenearest hospital.
The dzongkhag has a total of 24 schools ranging from community to Middle & Higher Secondaryschools providing education to about 6994 students. Health services are provided by an ArmyHospital located at Wangdue and 10 Basic Health units (BHUs) and 24 Out Reach Clinics (ORCs).1490 households in the dzongkhag have electricity supply while the 175 rural water schemesprovides safe drinking water to 83 percent of the households. The dzongkhag has good RNRservice coverage provided by the 32 Renewable Natural Resources (RNR) facilities which includeRNR Extension Centres, Agriculture Extension Centres, Seed Production Farms, AgricultureMachinery Centre, Livestock Extension Centres, Veterinary Hospitals and Forestry Offices. TheBajothang Research Centre for the West-Central region in the dzongkhag is also the National FieldCrops Research Co-ordination Centre.
b) Dagana Dzongkhag
Dagana Dzongkhag lies in the west central region. It shares its borders with Thimphu and ChukhaDzongkhag to the west, Wangduephodrang Dzongkhag to the north, Tsirang to the east andSarpang to the south. Daga Lungsum (name of Dagana) refers to Tasha Sili (Lajab Gewog),Dagana, and Getana (Chukha Dzongkhag). Daga Lingsum refers to Peling (Tseza Gewog),Lhaling (Kana Gewog), and Dhaling (Kana Gewog). Daga Trashi Yangtse Dzong situated innorthern part of Dagana was built in 1655 by Donyer Drunk Namgye.
The total area of the Dzongkhag is approximately 1389 km2. The elevation ranges from 600m toover 3800 m above sea level. The summers are hot while the winters are cool and dry. It fallswithin the Temperate Zone in the north while the lower and more southerly located parts of theDzongkhag are sub-tropical. The annual rainfall ranges from 750mm to 2000mm.
Dagana has about 79% of its total area under forest cover consisting mainly of broadleaf species.The agricultural land use is predominantly dry land although Chuzhing (wetland) and tseri practicesare also found. According to the area, the most important annual crops are maize, rice and millet.Mandarin orange and cardamom are important cash crops. About 1.2% of the Dzongkhag's totalarea is tshamdro (pasture) which supports nearly 27000 heads of livestock. Livestock rearing isanother important part of the farming system.
Land use type - -Area in acresDry land 13,248Wet land 3,190Fallow 31Tseri 3,196Orchard 1165Kitchen garden 84Forest 312,163
Source: Agriculture statistics 2004, DoA
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Crops Harvested Production (MT) Yield (kg/acre)____ ____ ____ ___ Area (acres)
Rice 3,406 2,967 871Maize 6,286 10,771 1713Wheat 207 118 570Barley 102 35 343Buck wheat 845 235 278Millet 1,003 398 397
Chilli 172 64 372
Potato 171 614 3,598
Mandarin orange 93,518 (trees) 3,532 38 kgs/tree
Source: Agriculture statistics 2004, DoA
The Dzongkhag consists of 1 1 gewogs with 2575 households and a population of 21,363. Peopleare comprised of Ngalong, Sharchokpa, Khengpa and Lhotsapmpa. Settlements are fairlydispersed and remote.
<Gewogs N6osof htfst--:-- Population --
Drujeygang 139 1310Dorona 360 2754Goshi 169 1477Kana 282 2624Khebisa 393 2332Lajab 213 1737Gesarling (Emerey) 135 984Tsendagang (Suntoley) 310 2711Tseza 240 2489Trashiding 217 1633Tsangkha 117 1312
Source: Dzongkhag Administration, Dagana
The Dzongkhag has good potential for cash crop and livestock development. However, theDzongkhag is one of the least developed in the country as a result of rugged terrain and pooraccess conditions. High price for consumer commodities and exorbitant transportation charges toand from the Dzongkhag are some of the present problems.
There are 16 schools in the Dzongkhag including 12 Community Primary Schools, 2 Primaryschools and 2 Middle Secondary School. There are 3,853 students with 96 teachers.
There are 7 BHUs and 17 ORCs under Dagana district. The district does not have a hospital. Thenearest hospital is at Damphu, Tsirang.
4.2.2 Gewog Profiles
a) Dangchu Gewog, Wangduephodrang
Dangchu gewog is one of the remote gewogs of Wangdue Phodrang Dzongkhag. The gewog hasan area of approximately 171.1 sq. Km. with abundant forest resources. The topography of thegewog is predominantly rugged in nature but has gentle sloping land that are under agricultural
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cultivation or have potential for agriculture. The settlements are widely scattered making delivery ofservices difficult.
The Gewog consist of 12 Villages with a total of 178 households. The gewog has one basic healthunit, one junior high school, one community school, one agriculture extension centre, one livestockextension centre, and one forest beat office. The community also own religious centres likeShabjey Lhakhang, Tashi Dingkha Lhakhang.
Villages Nos of hhs Distance from the highway (km) Walking distance (hrs)Goda 12 20 5Tongmey 11 16 4Lungza 9 20 5Tasa 19 28 7Tomla 15 16 4Tokaling 20 13 3.15Chuba 16 12 3Dencholing 16 12 3Tashidingkha 11 14 3.30Yusagang 20 8 2Ridang Geonpa 11 4 1Ridang 18 6 1.30
,.Total 178 - .k ---Dzongkhag Administration, Wangduephodrang
Livestock rearing is the main occupation due to its large area under tsamdrog. Agriculture activitiesare mostly concentrated on the beds of lower Dangchu in small scale. Although the terrain ismostly rugged, there is potential for livestock development and expansion of area under cultivationat the lower altitudes. Dangchu has a good potential for expansion of chilli cultivation.
The gewog has one BHU-11 located at Tangrathang, eight RWSS schemes and six spring sourceprotection. Construction of one ORC at Taksar village is proposed. Two schools, the DangchuCommunity Primary School and Nobding Lower Secondary School serve 178 households in thegewog.
Dangchu has no road access. The mobility of the people solely depends on mule tracks andsuspension bridge. There are three suspension bridges connecting one village to another.
b) Drujeygang Gewog, Dagana
Drujeygang Gewog is located in the southeast part of Dagana Dzongkhag with altitude rangingfrom 400m to 2800 meters above sea level. The gewog has sub-tropical type of climate with hotand humid summer and cool and dry winter. The topography of the gewog ranges from gentlysloping agriculture land stretching from rugged mountains down to the river Sunkosh to relativelyfew flat areas scattered in the gewog. The land use pattern of the Gewog is dominated bybroadleaf forest. Important crops are rice, maize, mustard, buckwheat, and millet. Cardamom andorange are the main source of income for farmers. Cultivating mushroom, raising private fruit cropnursery, apiculture and fishery can also become good sources of income. There are 10 householdswith less than 0.5 acres land holding.
Drujeygang gewog is the second biggest gewog in terms of total number of households. TheGewog consist of three main villages: Pangserpo, Pangna and Thangna. The gewog has a total of375 households. The commercial centre of the gewog is situated in Pangna village. Other
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institutions in the gewog include one Drubdra, 1 Middle Secondary School, 1 Community PrimarySchool, Grade II BHU, RNR Centre, Wireless Office, and Forest Beat office. The gewog has 3Lakhangs catering to the religious needs of the people. Nine-kilometer feeder road connects theDrujegang town and Junior High School to the main highway.
c) Tsangkha Gewog, Dagana
Tshangkha gewog is located in the eastern part of Dagana Dzongkhag with a total area ofapproximately 37 sq km. The geog has Tsirang dzongkhag to the east, Lajab gewog to the northand Drujeygang to the southwest. The topography of the Gewog ranges from high mountainsbisected by deep gorges to relatively wide and U-shaped valleys. The gewog has a hot and humidsummer and cool and dry winter. The highest altitude is 1800 meters above sea level and thelowest is 400 meters above sea level. The main Tshangkha valley is broad and runs from north tosouth. The land use pattern of the Gewog is dominated dry land cultivation. The important cropsgrown are maize followed by rice and millet. Cardamom and orange are the main cash crops.
The Gewog comprises of 12 main villages with 278 households.
Villages Nos of hhs Distance-from the highway (km) -. Walking distance (hrs)Babaythang 16 15 3.45Banderchu 15 17 4.15Budeychu 22 13 3.15Galeychu 16 14 3.30Namlathang/Zinchulla 35 18 4.30Petakha 62 19 4.45Salamjee 18 20 5Tajey 3 24 6Tisgarey 42 19 4.45Tshangkhatar 40 21 5.15Nobding 9 22 5.30Total - 278 -
Source: Dzongkhag Administration, Dagana
Sunkosh-Dagana road touches the southern part of the gewog. The gth Plan includes constructionof a steel truss bridge at Budeychhu, which will benefit the communities of Tshangkha, Lajab, andDrujeygang gewogs. The geog has a BHU, RNR-Centre, and a Lhakhang. Acute Respiratoryinfection (ARI) constitutes 21% of all morbidities as reported from all the BHU in under-5 years ofage. There is a community primary school at Tshangkhatar, which also serves as Non-FormalEducation (NFE) Centre. The construction of community school at Zinchulla villages has beenrecently completed with financial support from Save the Children, USA with labour contribution bythe communities. The gewog has two old drinking water schemes and 5 new schemes are plannedduring the gth FYP. The gewog gth Plan includes construction of a Gup's office.
A farm road of 10.20 kms with takeoff point above Sunkosh bazaar on the Sunkosh-Daganahighway has been constructed by the Ministry of Agriculture. This farm road ends at Petakhavillage under Tshangkha gewog. The proposed Dujeygang-Lajab feeder road alignment runs justabove 300 meters from the end of the Tshangkha farm road.
The public and the GYT of Tshangkha gewog are now requesting for connecting Dujeygang-Lajabroad with the already constructed feeder road at the last zig at Petakha village. By connectingthese two roads, the affect on land belonging to 6 families will be avoided. Also there will be asaving on the construction of about 2 kms.
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d) Lhajab gewog, Dagana
Lajab Gewog is located in the southeast part of Dagana Dzongkhag with a total area of 649.49hectares. Lajab Gewog borders Tshangkha and Drujeygang Gewog to the south, Khebesa Geogto the west, and Wangduephodrang Dzongkhag to the northeast.
The Geog has subtropical climate with hot and humid summer and cool and dry winter. Thealtitude ranges from 400m to over 2700 meters above sea level. The annual rainfall ranges from750mm to 2000mm. The topography of the Gewog ranges from high Himalayan Mountainsbisected by deep gorges to relatively wide and V-shaped valleys.
The land use pattern of the Gewog is dominated by dry land cultivation. Maize is the mostimportant crop grown in the gewog besides other cereals like millet, barley, and rice. Cardamomand orange are the main source of cash income. Livestock rearing is an important part of thefarming system. The gewog is rich in forests and forest products.
The Gewog has nine villages with 124 households.VillagesP4A t'N*, Nos ofh lDtfroaWthbWghwhs(k -WalkIrg distance (hrsyBalung 21 54 13.30Bana 18 38 9.30Thasa 12 36 9Tachey 6 62 15.30Seepa 19 34 8.30Manedara 3 32 8Compgoan 22 28 7Galeychu 6 26 6.30Yechephu 17 44 11Tota 4w.^ ' <i-. B l2;j>>¢};-- ,-: .X
Source: Dzongkhag Administration, Dagana
The gewog is the second most remote in the Dzongkhag. It has no road network. A suspensionbridge connects the major villages with each other. The 9th Plan includes construction of threesteel truss bridges over Cherichhu, Linglichhu and Sangtachhu. The construction of Gup's office atPhuensumgang is nearing completion.
The gewog has neither telecommunication facilities nor electricity. The gewog has a BHU and twoORCs. There are four water supply schemes covering four major villages, and five spring sourceprotections. The Phuensumgang Community Primary School is the only school in the gewog and islocated almost in the centre of the gewog. The gewog has a community hall built by Agriculture. Anew community school is proposed in the 9th Plan at Balung.
4.2.3 Household socio-economic profile
The household level socio-economic profile presented below has been compiled from the findingsof a household survey of a sample of the affected population in the two dzongkhags.
The results of the survey indicate that forty seven percent of the sample population consists offarmers, while 24% are students. Seventy six percent of the population resides in villages. Thesurvey indicates illiteracy rates of sixty-nine percent in the sample population.
The land use type is predominantly dry land followed by wetland and tseri. The average landholding is 5.18 acres in Dagana, while in Dangchu the size of land holding is 2.91 acres. InDagana, the main cereals grown include maize, rice, millet, wheat and buckwheat. Maize is themain crop grown in terms of acreage and production in all the three gewogs followed by rice and
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minor cereals. Potato and vegetables like beans, peas, and greens are grown in small scale forhome consumption. Mandarin orange is the main cash crop with an area of about 82 acres. Thereis a notable potential for cash crops like vegetables, mushroom, mandarin orange. Main constraintreported is access to market. In Dangchu gewog, Wangdue, the main cereals grown includewheat, buckwheat, barley, rice, and maize. The area under rice and maize is low as compared tominor cereals. Potato and vegetables like beans, peas, and greens are grown in small scale forhome consumption. None of the sample households own orchard land in Dangchu. The mainlivestock owned by the sample households include cattle 1818, horses and mules 212, followed bypoultry and pigs. Cattle form important component of the farming providing milk and milk products,FYM, and drought. Horses and mules are mainly used for transporting goods. Some improvedbreeds on cattle, pigs and poultry have been introduced. In Dagana, the farmers used 330 kgs offertilizers, 205 kgs of improved seeds, and 35 kgs of pesticides annually, while none of the samplehouseholds used fertilizers and pesticides in Dangchu gewog of Wangduephodrang.
In Dagana, there is an RNR Centre at Drujeygang and it takes about 1-2 hrs to reach the centrefrom the surrounding villages. Tshangkha has an RNR Centre, while there is Agriculture andLivestock centre at Lajab. Average walking distance to these centres is about 2- 3 hours walk. Thenearest schools for the sample households are located at Drujeygang, Tshangkhatar,Phuensumgang under the Drujeygang, Tshangkha, and Lajab gewogs respectively. It takes about1-3 hrs from different villages to reach the schools. There is a BHU in each geogs of Daganalocated at Drujeygang, Tshangkhatar, and Phuensumgang. It takes about 2-3 hours walk from thevillages. The nearest hospital is at Damphu under Tsirang district, which is one-day walk from thegeog. Majority of the households reported access to emergency services as "poor". The healthstatus of the women and children was reported to be poor.
In Dangchu, Wangdue there is an RNR Centre at Tangrey. From the surrounding villages it takesabout 3 to 3.5 hrs to reach he centre on foot. It takes about 3 hrs from Tashidingkha, to reach thenearest primary school at Tangrey, and about 1.5 hrs from Rida goenpa to reach the lowersecondary school located at Nobding. There is a BHU at Tangrey which is 1.5 hrs far fromTashidingkha, and also at Bajo which is about 3.5 hours walk from Rida Goenpa. The nearesthospital is at Wangdue which is 3.5 hrs far from Rida Goenpa, and 5.2 hrs walk from Tashidingkha.Sixty percent of the sample households reported access to emergency services as "poor". Healthstatus of women and children was also reported as "poor".
In Dagana 32% of the households had availed loan from Bhutan Development FinanceCorporation (BDFC), while in Dangchu, Wangdue only 4% of the households' availed loan fromBDFC. Most households report livelihood from of off farm work opportunities like weaving,carpentry, house construction etc. The existing wage rates range from Nu 100 to Nu.150 per day.
Major sources of income for the sample households include: sale of agriculture and livestockproducts, sale of animals, working as casual labour and hiring out of horses/mules. The annualaverage income of sample households was Nu 27,000 in Drujeygang, Nu 51,000 in Lajab, Nu45,551 in Tshangkha, and Nu 38,194 in Dangchu, Wangduephodrang.
The households mainly incurred expenditures on purchase of essential food items, education ofchildren, purchase of farm inputs, purchase of clothes, and contribution for Rimdo. The averageannual household expenditure in the three gewogs of Dagana ranged from Nu 14,669 to Nu22,188. In Dangchu gewog of Wangdue, the average annual household expenditure was Nu.15,616.
In Dagana, mandarin orange, vegetables, and livestock products are the main commodities sold bythe households for cash income. Small quantities of other commodities sold include maize, rice,mustard, potato, and vegetables. In Dangchu gewog, Wangdue, farmers sell vegetables, potato,chili seedlings, and livestock products including cheese and butter. Some farmers also collect
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Cordeyceps from the high altitude areas for sale. In all the four gewogs of Dagana and Wangdue,the main items purchased by farmers are rice, cooking oil, sugar, salt and other basic necessities.
In Dagana, mandarin orange and vegetables are the main commodities transported, while inDangchu, Wangdue the main commodities transported are potato and vegetables. Manualtransport is the most common means of transport. For larger quantities and heavier loads,generally horses and mules are used. Transportation of bulky commodities like oranges, potato,and vegetables is the main problem faced by the households. Transportation costs are high and ittakes long time.
In the three gewogs of Dagana 45% of the sample households own simple huts with poorcondition. Fifty five percent of the houses have access to potable drinking water supply. Most ofthe farmers reported that their priority need is housing. Only 6 households in Dangchu own doublestoried houses with CGI roofing. Nine households own single storied mud houses. Poorhouseholds own smaller huts constructed from stone and mud. Nine of the houses have electricity.Thirty three percent of the households reported having access to potable drinking water.
The Government rate for wet land is Nu 35000 per acre and for dry land is Nu 20000 per acre,while the existing market rate for wetland ranges from 75000 to 150,000 per acre.
In Dagana dzongkhag, majority of the sample households reported lack of proper housing, lack offood, and lack of cash income, and lack of access as major constraints. In Dangchu, Wangdue, thethree main problems reported were: lack of road access, lack of electricity, damage to crops bywild animals.
5 STAKEHOLDER CONSULTATIONS AND ANALYSIS
The stakeholders include the various groups who have an interest or stake in the project. Theyinclude those who are likely to be affected by the project, as well as those who may have influenceover the project. Stakeholders have been identified through answering the following questions:
Who are the potential beneficiaries?Who may be adversely impacted?Who are the vulnerable groups?Who are the supporters and opponents to the project?
Key stakeholders are categorized as follows:
Primary Beneficiaries, poor and vulnerable groups, adversely impacted people (peopleStakeholders losing land, homes, assets or livelihoods), and the DoR
Secondary Community representatives, the GYT, interest groups such as local NGOs,Stakeholders CBOs, gewog social service sector (health, education, RNR)
Dzongkhag Administration, the DYT, social service sectors o the DzongkhagAdministration (health, education, RNR), DSLR, DoR, NEC
To identify social impacts and any issues arising out of the proposed road project planning andimplementation, detailed consultations were carried out in the two dzongkhags where first yearproject interventions are planned with both primary and secondary stakeholders.
The main objectives of these consultations were to:(i) discuss the project with beneficiary communities and seek their views and perceptions;(ii) identify social impacts and issues;
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(iii) review the extent to which gewog members participated in planning continue to beinvolved in their implementation;
(iv) review the extent of which vulnerable groups in these communities participated in thepreparation of project plans and will be involved in their implementation; and
(v) review current procedures and mechanisms for voluntary land donations.
Table 1 identifies the districts, geogs and villages where stakeholder consultations were carriedout.
Table 1 :Project villages covered by the assessmentName of the Road Dzongkhag Gewogs Villages covered1. Jangchu Goda, Tongmey, Lungza, Tasa, Tomla, Tokaling, Chuba,
Choling - Wangdue Dangchu Dencholing, Tashidingkha, Yusagang, Ridang Geonpa,Tashidingkha P Ridang
Drujeygang Pangsepo, Thangna and PangnaBudeychu, Babaythang, Petakha, Tisgarey Zinchulla,
2. Drujeygang- Dagana Tshangkha Nobding, Banderchu, Tshangkhatar, Tajey, Galeychu,Balung Namlathang, Salamjee
Galeychu, Campgoan/Kompa, Manidara, Seepa, Bana,Laja Yechephu, Phuensumgang, Balung
5.1 Methodology and Consultation Process
Two teams visited the two project areas. One team visited Tshangkha and Lajab gewogs inDagana and the other team visited Drujeygang in Dagana and Dangchu gewog in Wangdue. Thecommunities were pre-informed of these consultations with notice delivered through theDzongkhag Administration and the Gups.
Consultations with beneficiaries of the project roads were held in the gewogs and villages as perthe schedule given in Table 2.
Table 2. Date of consultation, venue and the villages coveredDzongkhag >Gewog :-Village : -- , DateNenueofnsuHaton'-.K=Dagana Drujeygang Thangna, Pangna, Patala, Pangserpo, 10 January at Drujeygang
MinchunangTshangkha Budeychu, Petakha, Zinchulla, Nobding, 6-7 January 2006 at Zinchulla
Banderchu, Tshangkhatar, Tajey Community SchoolLajab Galeychu, Campgoan/Kompa, Manidara, 8 January 2006 at Compa village.
Seepa, Bana, Yechephu, Phuensumgang, 9-10 January at PhuensumgangBalung (Gups office)
Wangdue Dangchu Tashidingkha, Ridha, Yusagang, Chuba, 17th January 2006 at Nobding geogTomla, Tokaling, Lumchu, Goda, Taksha center
The discussions/interviews for Tshangkha gewog was held at the centrally located ZinchulaCommunity School on 6th and 7th January 2006 while the interviews for Lajab gewog was held atCompa village on 8th January and at Gup's office at Phuensumgang on 9th and 10th January2006.
The discussions/interviews in Drujeygang by the second team was held on 10th and 1 th January2006 at RNR Center, while the consultation meetings for Dangchu gewog underWangduephodrang was held at Nobding on 17th and 18th January 2006.
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In both these project areas the teams visited the take off as well as the main points of the proposedroad to get an understanding of the alignment and to find out whether the beneficiaries haveparticipated in the feasibility study on alignment of the road.
The teams conducted focus group discussions with a cross-section of men and women in thecommunity, including people who may be affected by loss of land. Separate consultations werecarried out with vulnerable community members including, women heading households, the mostpoor, farmers with marginal land and the landless. The key aim of these interviews was tospecifically understand the views and concerns of vulnerable community members regarding theproposed road project. For individual interviews the respondents were identified in consultationwith the tshogpa (community representative). Vulnerable community members were chosenbased on the size of their landholding, food security, livelihoods and women whose husbands hadexpired or who had been divorced and were responsible for the management of the household.
Table 3 lists the types of people who participated in the focus group discussions. A more detailedlist of the participants is presented in Annex 1. Out of the total participants in the focus groupdiscussions, 41% were women.
Table 3: No of participants in consultations in selected villages of the RAP II,I; ,v t icipan r). A + -Reso
Gewog,Cs a d9S ) W T*- Individual irit f ,
o m mn a&fce~ -Wfomen!'!:L-__ e-Xaded Men, Wie M-n Women'
Tshangkha Patekha 7 4 3 3 3 3 2Budechu 4 1 1 4 1 1 1Zinchulla 6 3 3 2 1 2 2Tisgarey 0 4 4 0 0 0 4Tshangkhatar 2 3 3 2 3 0 2Banderchu 2 2 2 2 2 0 2
Lajab Campgoan 6 1 2 3 1 1 1Bana 3 3 3 3 1 1 0Yechephu 5 0 0 2 1 0 0
Drujeygang Thangna 9 23 5 3 5 2 2Pangna 1 5 4 1 1 0 1Pangserpo 0 1 1 0 1 0 1Menchunang 1 4 3 0 0 0 3Patala 0 3 2 0 0 0 2
Dangchu, Godang 8 2 3 - - 1 0Wangdue Tokaling 1 10 3 - - 02
Tashidingkha 2 1 1 - - 0 1Yelbagang 3 7 2 - - 0 1Ridha 3 4 2 - - 2 1Ridha goenpa 0 4 2 - - 0 1Tasha 1 5 1 - 3 1. otar^X 3+ . 5+_ = 35 30 25-- 2O S ^3. 1
5.2 Findings of the stakeholder consultations
Collectively the primary stakeholders comprised of the farming community including orchardowners, businessmen, retailers, students, caretakers of religious institutions, porters, women and
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men. The findings from these consultations indicate that all households in these communities werefully aware of the project. They expect to be involved in implementation of the road project.
Road has always been the top priority of people in Drujeyang, Tshangkha, Lajab and Dangchugewogs. The people of Tshangkha and Lajab had submitted a petition to HRH Ashi Dorji WangmoWangchuk during her visit in 2002. The proposal was then reflected in the Road Master Plan of2002. The proposal for a road in Dangchu was initiated during the 8th FYP. Though it was a part ofthe 8th FYP, it could not be implemented due to lack of budget.
Community members expect enhanced livelihoods through sale of farm produce, increase in cropyields and easier access to agriculture technology as positive social impacts of the project. Theyalso expect that the road will improve the access to health and education services. Thecommunities have shown interest to work in the road construction for earning cash income. Theyare also willing to provide support for the maintenance work once the road is completed.
The potential loss of small parcels of land to the project road was the most negative social impactidentified by community members. However, the community members expressed that the benefitreceived from the road far outweighs the loss of land or other property due to road construction.The community reported that "the positive impact of the road is so high that we can forgo someportion of the land without any problem". They are willing to sacrifice small portion of their land forthe sake of road. The project roads in both the district does not affect more than 25% of the landholding of any individual.
All households (rich and poor) are willing to sacrifice some portion of their land for the roadconstruction. In fact, most households would like the road to pass through their land. If the roadalignment affects major portion of the land or property, they would request the government forcompensation by providing substitute land within the geog. The alignment does not affect any typeof structure in both the project road areas.
If very poor people are affected, the community would like to leave it to the government tocompensate vulnerable groups in whatever way that is possible as per the government rules andprocedures. The poor households feel that they need support for altemative income generatingopportunities to improve their livelihood.
There was broad consensus in all these communities that land acquired by the project would bevoluntarily donated. The procedure for voluntary land donations involves signing a genja(agreement) with the Gups in presence of the Tshopas. Such donations are discussed in publicmeetings several times. After such discussions, public agreement is obtained from the communityduly signed by all the individual households. Separate agreement is also obtained from the gup toensure the genuineness of such donations. The informal and formal procedures for voluntary landdonation were viewed by these community members as satisfactory and working well.
No major negative impacts were anticipated through loss of large parcels of land, assets,livelihoods and relocation during project implementation. However, concerns were expressedabout the possible damage on the environment by cutting down of trees due to easy accessthrough the road.
Separate consultations were carried out in these communities with vulnerable people, includingwomen and women headed households, the most poor, farmers with marginal land holdings andthe landless to determine the extent of their participation in the planning process and to ascertaintheir views and perceptions about the project.A total of 141 vulnerable people were consulted (Table 3). Out of these, 100 (71%) were women.Many of them were divorcees having many children or those who were abandoned by husbands.Generally, they own less than half an acre of land or are landless with limited sources of income.They do not expect the road to benefit them directly, but they hope that the opportunities foremployment may increase with the increased economic activities after the road. The employment
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opportunity for the poor is expected to improve. The poor and single divorcee women expect to getbetter access to health services after the road.
The practice to have one adult representative from each household participate in determiningdevelopment activities for the next five years was generally confirmed. From these consultations itappears that all households irrespective of their social and economic status were represented inthe planning process. Field visits also concluded that there were no social groups present in thesecommunities with a social and cultural identity distinct from the dominant society that makes themvulnerable to being disadvantaged in the development process.
The policy requirements of the World Bank's Operational Directive 4.20 on Indigenous Peoples toensure the participation of indigenous and vulnerable groups in decision making throughout theplanning and implementation phases of the project interventions, and that these groups areprovided assistance in accordance to their priorities are addressed by the design of the project.
The Gewog level stakeholders comprised the Gewog administration, rural and social sectors(agriculture, health and education) and the GYT. An elected Gup heads the local governmentsupported by village representatives and development sectors. The GYT is the only formal bodywith the role of community mobilisation, planning, identification, prioritization, and implementationof developmental activities for the gewog. Other government bodies that facilitate the developmentprocess are the Health Services (BHUs), Community and Primary Schools, and Renewable NaturalResources Extension Services.
At the Dzongkhag level the stakeholders comprised of the district administration consisting of therural and social development sectors (Health, Education, RNR, and Engineering) and the DYT.The Dzongdag or the District Administrator headed the District administration besides ruraldevelopment and social services. A Dzongrab and Sector Head for each sector support theDzongdag.
At the regional level the Field Division, DoR, Lobeysa, Field Sub-division at Dagapela, theRenewable Natural Resources Research centre at Bajothang, Wangduephodrang, are the otherinstitutions that directly or indirectly influenced the project.
5.3 Participation
The approach underlying the assessment of social impacts and developing appropriate socialimpact management strategies is based on the principles of local participation and consultationwith stakeholders during all stages of the project from initial design to implementation. Toencourage participation during each phase of the project, regular consultations are planned withbeneficiary communities to share project related information and provide a feedback mechanismfor these communities to voice their concerns and issues and address these concerns duringproject implementation. Key objectives of stakeholder consultation and participation during theproject cycle are:
' Pre-Planning - disseminate information about the proposed and consultations to identifyimpacts and issues.
0 Planning and Design - consultations and site visits (as is the current practice) for mitigationand design enhancement measures.
0 Implementation - regular monitoring for impacts.' Post Implementation - monitoring of post implementation benefits and lessons.
Project affected people/communities will be made fully aware of the principles and guidelines usedfor project impact mitigation. Involvement of affected communities is crucial in planning andimplementing RAPs, when these are required. Preparation of first year project intervention RAPswill be based on detailed consultations with affected people and other stakeholders. Details ofthese consultations including dates, names of participants, issues raised and how these have been
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addressed will need to be documented in the RAPs. Grievance redress and community monitoringwill also enhance stakeholder participation.
6 POLICIES, PROCEDURES, AND GUIDELINES ON LAND ACQUISITION
The section reviews the current RGoB policies and procedures on land acquisition in relation to theWorld Bank's safeguard policies OP 4.01 (Environmental Assessment), OP 4.10 (IndigenousPeoples), OP 4.12 (Involuntary Resettlement). This will allow the core principles of RGoB andWorld Bank approaches to be compared, and suggestions to be made as to how they might beharmonized, and how gaps might be addressed.
6.1 RGoB Land Acquisition Regulatory Regime
Social screening will be carried out as part of the feasibility studies for each sub-project. This willidentify the potential loss of land, assets/structures, livelihoods, willingness of the community todonate land to the project, and other significant adverse social impacts. One of the outcomes ofthis screening approach will be recommendations for the exclusion of the sub-project if involuntaryland acquisition or serious social impacts are anticipated. However, given that specific roadalignments are yet to be finalized, and land acquisition cannot therefore be entirely discounted, thisreport outlines the existing RGoB land acquisition regulatory regime, and compares it againstWorld Bank safeguard policies.
The regulatory regime applicable to land acquisition in Bhutan is outlined in the Land Act (1979)and accompanying Land Compensation Rates (1996).
Amongst other things, the Land Act stipulates procedures and requirements for: entitlement toland; right of possession of land; land transactions; allotment of government land; construction orrenovation of social infrastructure such as irrigation channels and roads on landed property;sharing of benefits from such infrastructure; and, land conversion and encroachment. At the timeof writing, a national Task Force is reviewing and revising the Land Act, to make it more suitable forevolving development needs.
In villages farmers can own various types of land. These include chhuszing (wet land), kamszhing(dry land), tseri (shifting cultivation), orchards and plantations, sokshing (woodlot), and tsamdrog(pasture). Any transaction involving land is processed through a court of law. The maximumlandholding an individual can own is 25 acres. An individual owning less than 5 acres of land is notallowed to sell land.
The Act stipulates that land must be registered in the Thram (land record), and that any changes inthe Thram must be carried out in accordance with the Act4. The Government can requisition anyland if it is deemed to be in the national interest5. Clause 6.9 outlines other important rulesrelating to land acquisition, including:* as far as possible the Government shall give substitute land instead of cash compensation. (KA
6.9B);* in the event of acquisition of land in rural areas, if developed land is acquired by the government
and is substituted by undeveloped land, in addition to substitute land, the owner concerned shallbe compensated with half the cost of developed land acquired. (KA 6.9C);
* allotment of substitute land shall be from the same Dzongkhag (KA 6.9E);* if a person becomes landless due to the acquisition of land, the govemment may allot substitute
land, free of cost (KA 6.9A);
4 Land Act Volume KA, Chapter 1.5 Land Act Volume KA, clause 6.9B
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* people whose land is acquired and choose replacement land as compensation are allowed toidentify replacement government owned land of equal size and value in the dzongkhag.However the government is not bound to provide replacement land chosen by affectedlandowners, and can recommend alternate locations.
RGoB Land Acquisition Administrative Process
Clause KA 6.16 of the land Act provides the legal backing for the land acquisition process. Theland acquisition is based on the "Guidelines for Land acquisition and Satshab allotment 2005"acquisition is based on these guidelines6". In practice, a Dzongkhag Land Acquisition Committeeis established to review the land acquisition application. The Committee consists of the followingmembers:
1 ) Ministry of Home Affairs represented by the Dzongdag who is also the Chairman of the LandAcquisition Committee Meeting;
2) Ministry of Finance represented by the Dzongkhag Finance Officer;
3) Ministry of Agriculture represented by the Dzongkhag Agriculture Officer, Divisional ForestOfficer, Dzongkhag Land Record Officer
4) Ministry of Works and Human Settlement, Department of Urban Development and EngineeringServices represented by Dzongkhag Engineer;
5) The concerned Municipality (a representative is required only in the event of acquisitions withinMunicipalities); and
6) Gup (chief geog administrator).
The guideline spells out the roles and responsibilities of the land acquisition committee. Thecommittee processes land acquisition and allotment of satshab (substitute land) in accordance withthe land Act and the land Compensation Rate 1996
In considering the application the Dzongkhag Land Acquisition Committee examines the following:* identification of substitute land;* clearance from the Department of Forests if the land is Government Reserved Forest;* consultations with people in the area where the land is to be acquired;* cash compensation amount proposed in accordance with prescribed compensation rates;* exploration of alternative agriculture land if it is to be acquired;* consultation with the individual owner on the size of his land holding and land to be acquired
and how such a proposal would affect him in terms of his livelihood;* efforts to conserve arable land in line with the government's policy of food self-sufficiency.
Land acquisition procedures
The requisition of land for development purposes shall be made by the concerned agenciesthrough Dzongkhag to:
1) The Council of Ministers if the requisition is from the vacant government land. The DzongkhagAdministration shall obtain local community clearance and forward it to the Department ofForestry Services. The Department of Forestry Services after verifying the land in coordinationwith National Environment Commission shall issue a Forest Clearance where permissible and
6 RGoB, Guidelines for Land Acquisition and Satshab Allotment
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then forward it to the Council of Ministers for Government approval. The Department ofForestry Services upon approval shall convey it to the concerned Dzongkhag Administration.
2) Department of Agriculture if the private person owns the requisitioned land. The Department ofAgriculture shall issue the acquisition clearance after through verification of the AcquisitionCommittee. The Department shall frame a set of procedures for the verification.
3) The concerned Dzongkhag shall forward such request to the Departments for Departmentalclearances. The clearance shall be issued on the basis of the feasibility study.
4) The processing of clearances shall be completed within a maximum period of one month.
The Acquisition Committee shall forward their findings and recommendations to the Department ofSurvey & Land Records only with necessary clearances from the Department of Agriculture andForestry Services.
The Acquisition Committee shall serve notice of requisition to the concemed landowner.
Substitute land (Satshab) allotment procedures
1) The Dzongkhag Administration shall request the Department of Agriculture and Departmentof Forestry Services to identify the satshab and issue clearances. The Department ofAgriculture and Department of Forestry Services shall jointly identify the satshab and issuenecessary clearances.
2) The Dzongkhag Administration shall then obtain clearance for the identified satshab from theconcerned public.
3) The Dzongkhag administration shall then convene the Acquisition Committee meeting inkeeping with the Land Acquisition Rules & Regulations.
4) The recommendations of the Acquisition Committee along with the complete documents shallbe forwarded to the Department of Survey and Land Records.
5) The Department of Survey and Land Records shall verify the cases, compile the documentsand submit to the Satshab Allotment Committee.
6) The Satshab Allotment Committee shall convene its meeting to either approve or disapprovethe case.
7) The Department of Survey and Land Records shall convey the decision of the SatshabAllotment Committee to the Dzongkhag and also inform the concerned agencies.
8) The acquisition shall be final upon completion of the above formalities and it shall be completedwithin a maximum period of 4 months.
The Satshab Allotment Committee - consisting of the following members - approves or rejects theland acquisition application.* The Hon'ble Minister, Ministry of Agriculture (Chairperson).
* The Secretary, Ministry of Home and Cultural Affairs (member)
* The Secretary, Ministry of Works and Human Settlement (member)
* The Director, Department of Legal Affairs (member)* The Surveyor General, Department of Survey and Land Records (member)
The Satshab Allotment Committee's approval or rejection of the land acquisition is based on thefollowing:* acquisition is for proper development purposes;* acquisition of private registered lands is approved only under unavoidable circumstances;
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* acquisition raising any doubt or suspicion of conflict of interest either by an individual or groupshall not be approved;
* acquisition of large areas beyond the actual requirement (except for expansion of schools) orwithout proper justification shall not be approved.
The DSLR conveys the decision of the Satshab Allotment Committee to the Dzongkhags.
Compensation Rates
Where cash compensation is required to be paid, rates are determined by the Land CompensationRates (1996) regulation (Table 4).
Table 4: Cash Compensation Rates for Land AcquisitionType of Land -- -- . -. . -.V.. , Compensation Rate perAcre (Ngultrum)Chhuzing (wet land) 35,000Kamzhang (dry land) 20,000Tseri/Pangzhing (shifting cultivation plots) 5,000Tsamdo (pasture land) 200
Fruit trees growing on acquired land are compensated at rates calculated by including the cost ofland preparation, pit digging, seedling, fertilizer, planting and weeding. Compensation rates for fruittrees if damaged are listed in Table 5.
Table 5: Compensation rates (in Nu.) for fruit by type and age in number of yearsAge of trees (in number of years)
Years 1 2 3 4 5 6 7 8 9Apple 121 196 346 421 496 821 1021 1221 1221Orange 130 233 336 439 542 589 639 739 839Walnut 177 278 379 480 581 682 781 881 981Arecanut 43 81 109 161 241 281 321 321 321Peach 124 217 310 373 416 423 523 623 623Pear 98 178 258 338 418 498 578 618 718Plum 105 194 283 372 461 550 611 711 761Apricot 124 213 302 391 480 569 630 780 780Cardamom 7.40 8.40 9.40 10.40 11.40 15.40 16.40 17.40 18.40Lemon 89 189 289 339 364 364 414 464 464Jackfruit 162 274 386 498 610 722 834 896 934Avocado 106 186 266 336 426 456 476 476 526Lime 73 113 153 193 203 213 233 253 303Litchi 155 267 379 491 603 665 677 715 765Guava 93 144 195 246 297 298 321 396 396Mango 121 256 391 526 661 796 931 946 1596Banana 57 87 117 187 187 187 187 187 187Papaya 60 75 90 95 95 95 105 105 115P/granate 72 134 196 258 290 312 328 352 352Olive 114 234 354 474 594 714 834 914 1114
6.2 World Bank Social Safeguard Policies on Involuntary Resettlement
The Bank's safeguard policies require that potentially adverse environmental impacts and selectedsocial impacts of Bank Group investment projects are identified, avoided or minimized wherefeasible, and mitigated or monitored.
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This report analyses the nexus between World Bank social and environmental safeguard policies,and Royal Government of Bhutan regulations. This is because the Environmental AssessmentSafeguard Policy (OP 4.01) provides a mechanism for integrating environmental and socialconcerns into development decision making.
Most safeguard policies provide that: (a) potentially adverse environmental impacts as well asspecific social impacts should be identified and assessed early in the project cycle; (b) unavoidableadverse impacts should be minimized or mitigated to the extent feasible; and (c) timely informationshould be provided to the stakeholders, who should have the opportunity to comment on both thenature and significance of impacts and the proposed mitigation measures.
The safeguard policies that are potentially relevant to this project are Environmental Assessment(OP 4.01), OP 4.12 (Involuntary Resettlement), and OP 4.10 (Indigenous Peoples).
The Environmental Assessment Policy (OP 4.01) requires environmental assessment of allprojects/ activities that are proposed for World Bank financing and are likely to have potentialenvironmental risks and adverse impacts in their area of influence. The sub-projects would appearto trigger the EA Safeguard Policy as they will involve development of rural infrastructure that islikely to have impacts on land, water, air, vegetation, and cultural property.
Key objectives of the World Bank's policy on Involuntary Resettlement (OP 4.12) are:
* avoid or minimize involuntary resettlement where feasible, exploring all viable alternative projectdesigns;
* assist displaced persons in improving their former living standards, income earning capacity,and production level, or at least in restoring them;
* encourage community participation in planning and implementing resettlement; and
* provide assistance to affected people regardless of the legality of land tenure.
The policy covers not only physical relocation, but also any loss of land or other assets resulting in:
* relocation or loss of shelter;* loss of assets or access to assets; and
* loss of income sources or means of livelihood whether or not the affected people must move toanother location.
The purpose of the World Bank's OP 4.10 (Indigenous Peoples) policy is to ensure that thedevelopment process fully respects the dignity, human rights, economies, and cultures ofIndigenous Peoples. For all projects that are proposed for Bank financing and affect IndigenousPeoples, the Bank requires the borrower to engage in a process of free, prior, and informedconsultation. The Bank provides project financing only where free, prior and informed consultationresults in broad community support to the project by the affected Indigenous Peoples. Such Bank-financed projects include measures to:
a) avoid potentially adverse effects on the Indigenous Peoples' communities; or
b) when avoidance is not feasible, minimize, mitigate, or compensate for such effects.
Bank-financed projects also need to be designed to ensure that the Indigenous Peoples receivesocial and economic benefits that are culturally appropriate and gender and intergenerationallyinclusive. As has already been stated, it is unlikely that the sub-projects will trigger OP 4.10.
A comparison between the World Bank Safeguard Policy OP 4.12 on Involuntary Resettlement andexisting national legislation in Bhutan is contained in Table 3. This follows the format forEquivalence Assessment, as outlined in the World Bank's OP 4.00 (Piloting the Use of BorrowerSystems to Address Environmental and Social Safeguard Issues in Bank-Supported Projects7),
7 Dated March 2005
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and the Interim Guidance Note (Piloting the Use of Borrower Systems to Address Environmentaland Social Safeguard Issues in Bank-Supported Projects8).
While the World Bank will be responsible to carry out an equivalence assessment of these twopolicies, Table 3 aims to facilitate this process by identifying gaps in the policies and developingrecommendations to bridge these gaps.
6.3 Harmonization of World Bank and RGoB Policies
Table 6 presents a comparison of the core principles of RGoB and World Bank policies andprovides recommendations to bridge identified policy gaps. The comparisons based on the types ofimpact like loss of private land, loss of homes/structures, loss of economic assets, loss of income,and loss of community resources shows that there are a number of areas where RGoB policiesand procedures do not meet the requirements of the World Bank. Most of these gaps relate tocompensation. The main difference is the compensation for land at current market rates. Thecompensation rates specified in the land compensation rate 1996 are much lower than the currentrates. The regulatory processes to deal with customary rights to land are also not clear. Table 6presents recommendations for how these concerns might be dealt with in relation to loss of privateland, homes/structures, economic assets, income, and community resources.
8 Dated June 21, 2005
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Table 6: Types of Impacts and comparison of RGOB and World Bank Policies with Gaps and Recommendations
Entitlement Unit RGOB Policy World Bank Policy Recommendations to Bridge Gaps
A. LOSS OF LANDFamilies, - If land owner has other land holdings in - Compensation at full replacement cost. - Cash compensation equivalent to the amounthouseholds Bhutan cash compensation at govemment - For agriculture land pre-project or pre- as per Land Compensation rates (1996 RGoB);
established Land Compensation Rates displacement, which ever is higher, and(1996); or replacement land within the same market value of land of equal productive - Resettlement allowance in cash equivalent toDzongkhag identified by the affected potential within the same vicinity. the difference between compensation as perlandholder. - For urban land, pre-displacement market the Land Act and full replacement value as per
- If land acquired by government is substituted value of land of equal size and use, with current values in the same vicinity, plus value ofwith undeveloped land, landowner similar facilities and sources within the all land transaction fees and charges.compensated with half the cost of land. same vicinity. - Families who become landless allotted land as
- Families who become landless as a result of - Replacement land of equivalent per provisions of the Land Act.land acquisition allotted land as per productive potential.provisions of the Land Act of 1979, KA-6(9A).
Non-title holder - No compensation or assistance. - Resettlement assistance in lieu of - Resettlement assistance to those most(squatters and compensation for land occupied (land, vulnerable to restore pre-displacement levelencroachers) cash, other assets, employment) to at livelihoods. Vulnerable groups may include but
least restore their livelihoods and not be limited to: poor or landless, womenstandards of living to pre-displacement headed households, disabled and elderly.levels. - Encroachers will not be entitled to any
compensation for their affectedunauthorized/illegal extensions over public land.Vulnerable encroachers with economic lossesmay be entitled to assistance as a vulnerablegroup.
B. LOSS OF HOMES/STRUCTURESFamilies, - Compensation in accordance with BSR - Compensation at full replacement cost. - Cash compensation equivalent to the amounthouseholds, (Bhutan Schedule of Rates), including For houses and structures the market as per BSR rates. To ensure compensation is atstructure owners depreciation. BSR rates are usually updated cost of the materials and labour to build a replacement cost, additional resettlement
every 3 years by Department of Roads. The replacement structure of a similar quality assistance in cash equivalent to coverlast update was in 2001. BSR rates are or better than the affected structure. depreciation over and above compensationslightly higher (by approximately 5%) than amounts determined based on the BSR.market rates because they include cost ofmaterial, labor.
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Entitlement Unit RGOB Policy World Bank Policy Recommendations to Bridge Gaps
C. LOSS OF ECONOMIC ASSETSFamilies, households - Compensation at full replacement cost. - Compensate and replace lost assets at their
replacement cost.- Compensation for perennial crops and trees
calculated as annual net product valuemultiplied by number of years for new crop tostart producing.
- Compensation in cash for lost standing crop.
D. LOSS OF INCOMEAffected person, - Allot landless families who suffer partial or - Measure to assist affected people in - Rehabilitation assistance for lost or diminishedfamilies, households total loss of livelihood land free of cost. improving their former living standards, livelihoods.
income earning capacity, and production - In the case of landless families who sufferlevels, or at least restoring them. partial or total loss of livelihood, allotment of
land free of cost.- Pay special attention to partially affected
vulnerable groups through targeted support.Provide more income generating options andsupport mechanisms.
- Assist the affected vulnerable groups
E. LOSS OF COMMUNITY RESOURCESAffected - No provisions - Measures to assist impacted - Compensation for re-establishing or re-communities/families communities to re-establish or re-develop constructing lost community resources such as
lost community resources. religious and cultural structures, irrigationstructures.
- Restore partially affected structures
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7 EXPERIENCES AND LESSONS LEARNT FROM RAP PHASE 1 IMPLEMENTATION
A stock taking of experiences and lessons learned from the implementation of the First RuralAccess Project was carried out. The objective of this review was to use the experiences andlessons learned from the implementation of this project to strengthen the design and preparation ofthe Second Rural Access project. This task was done mainly through review of Annual ImpactMonitoring Reports, project documents, and consultation with executing agency (DoR) and theDzongkhags. Some of the main points considered were:
1) Impact on poor, vulnerable groups, gender and ethnic groups
2) Stakeholder Assessment of "What difference has the project made to the people"
3) Implementation arrangements - lessons learnt* Institutional aspects : what are the lessons learnt for e.g. absence of a focal person in
DoR* Lack of understanding of social issues* Issues overlooked - land acquisition, resettlement planning* Social screening process - mapping of road alignment - to show how many households
would benefit from the road alignment* Instead of Bartsam-Bidung road, Rangjung - Bidung would have benefited more people.* Compliance with World Bank safe guard policies
4) Implementation arrangements - What can be done to address the concerns in the RAP PhaseII.
7.1 Stakeholder Assessment
An assessment through the main stakeholders was done with a key question - "What differencehas the project made to the people?" The following sections present the views and perceptions.
Perceptions and feed back from the beneficiary community1. The communities expressed that the road has provided easy access to communication,
health, and education. People especially women were relieved from carrying goods for theschools and BHU and they will have more time for farming and household activities.
2. With availability of transport services the travel time has been saved. Transportation ofhousehold and consumables items is easier and cheaper now. Framers expressed thatthey do not have to carry loads manually any more. Access to market has improved.Farmers' report that now it is possible to sell vegetables and livestock products. Farmershave started planting more fruit crops like oranges and walnut after the road. People arenow relieved from contributing free labour for any new construction and from carrying goodsfor schools and BHU all the way from Duksum. The Shopkeepers of Lingabi and Zamlingreport that the expenditure on the cost of transportation has decreased significantly afterthe road.
3. With the road, the telecommunication facilities have reached Kikhar and Buli. This hashelped farmers to make calls outside especially to their relatives and family membersstaying in other districts. Patient referral to the hospital has become easier with road facilityand telephone services.
4. The community is willing to take up any maintenance works of the road.
5. People don't foresee any negative impact to the communities as well as to the environment.
6. The Dzondag of Lhuentse summarised the benefit of road as follows:
* Benefit of the road is huge. Immediate impact may not be visible but in the long term theroad would definitely bring changes to the lives of the rural population.
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* Since the road reduces the transportation cost, important developmental activities willimmediately follow once the road is completed.
* There will be more employment opportunities for the youth in the rural areas, which wouldreduce rural urban migration.
* Farmers can earn cash income through wage labour and from sale of crops and livestockproducts.
* Road has helped in timely delivery of inputs and services to reach the farmers.
Effect on delivery of services* Reduction in cost of transportation of school stationeries & furniture* Parents relieved from contributing free labour for transportation.
Education * Possible up gradation of schools* School dropouts will be reduced* In the past lady teachers were reluctant to join school due to long
walking distance from the road head. Ramjar School now has twofemale teachers.
* The delivery of health services has improved with the road andespecially the evacuation of referral patients to Districts Hospitals.
Health * The existing BHUs are planned to be upgraded* The road has further boosted production of vegetables, potato, fruit
RNR crops. Farmers plan to increase production of potato, maize andoranges after the road.
* Businessmen from district come to buy farm produce in the villages -improved access to market
* Delivery of extension service has improved
Impact of Road on vulnerable groups* Relieved from carrying loads for development works - schools, BHUs
Women etc. Have more time to concentrate on household works, child care,and farming.
* Better access to support services* Improved health care* Better access to health and education.
Children
Small * Improved services from agriculture for enhanced production.
marginalFarmers
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7.2 Lessons learnt during Implementation
Some of the experiences and lessons learned during implementation of the project along withsuggestions for improvement is given below:
EXPERIENCES AND LESSONS LEARNT SUGGESTIONS FOR IMPROVEMENT
1. Planning and selection of New Roads* It was probably the first time that rural * Continuity of beneficiaries' participation in
beneficiaries were consulted thoroughly as a the planning of rural roads.part of planning of the road in 1999 prior to * Is essential to bring in sense of ownership tothe start of Rural Access Project Roads. the beneficiary.Such a planning process brought a lot of * The vulnerable, poor and the affected shouldawareness to the beneficiaries. It also helped be enabled to express their problems, needsenhance people's participation. and perceptions.
* All project roads connect remote areas and * Ensure continuity to reach the remotehave benefited poor villages (e.g. the road to gewogs and villagesGomphu village) contributing to poverty * Link the access to other developmentreduction. programmes
* Overall coordination at the planning stage * Need for better coordination at the planningwas weak. stage with all the stakeholders including
beneficiaries. Linkages with farm road, muletrack and power tiller track construction is.
* Lack of master plans at the dzongkhag level * Dzongkhag level rural access Planningmakes new selection process difficult. (master plan) needed for selection of newSometimes individual interests and political roads.influence the selection and alignment. * Guidelines and selection criteria need to be
* The EIRR introduced by the World Bank was developed.a good example for other projects. * Involve beneficiaries during planning and
implementation.
* Better coordination needed for farm road, * It is important to see other activities aroundmule track and power tiller track the road before planning the new one.construction.
* Road selected under RAP were all important * Important to have good cooperation withand good which benefited the people. other departments (network planning)
* Time reduction in the construction ofGomkora-Tomijangsa road.
* Lack of appropriate tools such as * Need to strengthen the capacity and accessaerial/satellite imageries, maps, and geotech to appropriate tools.tools
2. Alignment of roads* Have to do better geo-technical/physical * More detail geo-technical/physical
assessment. assessment required.* Ned to involve expertise like geo-tech, socio-
economist, environmentalist)* Need to train surveyors for quality survey -
survey and design including software andequipment.
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* Planning in road alignment improved as * Beneficiaries and Dzongkhags should becompared to the past but a lot needs to be strongly involved as a part of initial planningdone and the feasibility study.
* The road should connect as manysettlements as possible.
* There is no flexibility for the field staff for * Built in at least some flexibility for field staffchange of alignment in changing the alignment based on site
conditions. Need to provide training to fieldstaff.
* Alignment encompasses several factors and * Need to address this issuestabilities are often overlooked.
3. Environment Friendly Road Construction (EFRC) Concept* The concept is new and takes time for the * EFRC standards are mandatory for power
clients. tiller tracks and farm roads* Project support on EFRC support should
continue* Implementation of EFRC should be given
more emphasis for compliance ofspecifications
* The contractors should use most appropriateequipment.
* Technical specifications incorporated in the * BSR rates for some items needs to beEFRC standards worked out
* Not all alignment sections can have EFRC * If cost permits EFRC is possible.applications for reasons of space, terrainconditions, and the cost
4. Award of contract/Tendering Procedures* Good standard bidding document is in place * There is a need to improve the capacity of
and most competitive bidders are given the the contractors in preparing and submittingcontract. However, there are several bids.problems like: * Contractors need education and awareness
* Contractors do not follow bid procedures of the obligation and liabilities.* Bidders do not fulfil most of the qualification * Contract management for both client and the
criteria set by the WB private sector need to be enhanced* Collusion of activities * Mandatory field visits are important before
submitting the bid* In Kikhar, Zhemgang, the irrigation channel * Mandatory provision of a clause for repair in
was badly damaged and the farmers could case of damages of community assets likenot cultivate their fields for one season. irrigation, water supply etc. during road
construction.* Contractors should be more careful and
avoid such damages* 5. Supervision of the work* Made big step in quality assurance - * A systematic supervisory mechanism need
improved. However, Quality enforcement to be put in place. Supervisors to haveneeds improvement check list sheets.
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* Supervision capacity limited * Need to develop mechanisms to enforce
* There is a shortage of qualified staff for quality standards. There is a need to buildsupervision the required capacity of DoR.
* Contractors should be involved in monitoringof the works.
* Improve staff strength for supervision
* Need to improve DoR capacity forsupervision of work (training etc.)
* Work planning not up to the standard * Contractors need training in work planning
* 6. Land Acquisition, Resettlement Planning and implementation
* No major problems encountered. People * Acquisition process should continue toare more satisfied with cadastral surveys to involve all stakeholders including cadastralmeasure the affected land since it gives surveyors.better accuracy on the area acquired by * Need to revise the compensation rate withroad. the increasing cost of land even in rural
* Government compensation rate on land is areas.low.
* 8. Project management and Coordination* Overall it was satisfactory but can be * Capacity building to address social issues.
improved. * Need to place some one full time at the DoR
* Social impact management capacity is project office.weak. * HRD needs to be considered on a priority
basis.
The RAP Phase I roads have started to contribute positively on the improvement of livelihood ofthe communities. The roads have provided easy access to communication, health, education, andagricultural services to the rural communities. With the introduction of transport services, the traveltime has been significantly reduced. Transportation of marketable surpluses and householdconsumables is easier and cheaper after the road. The communities are now relieved fromcontributing free labour for transportation of construction materials for schools, BHUs, and otherinfrastructure. The road has brought great relief to women from carrying loads for developmentalworks. New shops have come up and the trade and business has picked up. With the road newdevelopmental activities are planned. It is expected that there will be more employmentopportunities for the youth in the rural areas. Farmers expect to expand cash crop cultivation. Sofar, no negative impact to the communities or to the environment has been observed. Thebeneficiary communities have expressed their willingness to participate in the maintenance of theroads.
7.3 Key suggestions for the follow on project
* For the planning and selection of new roads there is a need for greater involvement of thebeneficiary communities and the Dzongkhags especially during the feasibility studies. Thevulnerable, poor and the affected households should be enabled to express their views onproblems, needs and aspirations.
* There is a need for better coordination at the planning stage with all the stakeholders includingbeneficiaries. It is important to properly coordinate planning of farm road, mule tracks and powertiller tracks. A dzongkhag level rural access master plan is required for selection of new roads.Guidelines and selection criteria needs to be developed. The in rural access development
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through roads needs to be linked with other development programmes to bring in the desiredimpact of the roads.
* The alignment of road should ensure connection to as many settlements as possible. Someflexibility for minor changes on alignment should be considered based on site conditions. Theproject support for EFRC should continue to build the required capacity. The monitoring oncompliance of specifications for the EFRC should receive more attention.
* As a part of the award of contract, it is recommended that a mandatory provision of a clause isrequired for repairs in case of damages of community assets like irrigation water supply etc.More awareness needs to be created among contractors on the obligation and liabilities. Thereis a need to improve the capacity of the contractors in preparing and submitting bids,
* For the supervision of project site activities, a systematic supervisory mechanism needs to beput in place. Contractors should be involved in monitoring of the works. There is a need toimprove DoR capacity for supervision of work.
* For land acquisition and resettlement planning, the RGoB should consider revising the landcompensation rate due to increasing cost of land even in rural areas. The land acquisitionprocess should include surveyors for proper assessment of the affected areas.
* There is a need to build capacity within the DoR or MoW&HS to address social issues. A fulltime social development officer is required to coordinate and lead the social impactmanagement
8 SOCIAL IMPACT MANAGEMENT
8.1 Description and Objectives
The objective of the Social Assessment Framework (SAF) is to provide guiding principles forproject planners, in consultation with the affected population, to identify and prioritize critical socialissues and to address them in the design and implementation of the project. It details the broadmethodology to systematically identify, predict and evaluate beneficial and adverse social impactsof project activities, designing enhancement measures for beneficial impacts and appropriatemitigation measures for adverse impacts.
8.2 Social Screening
To assess the precise nature and magnitude of social impacts, social screening will be carried outas part of the feasibility studies for each subproject. To ensure consistency in the application ofsocial screening criteria a standard social screening format, presented in Annexure 3 has beenprepared which builds upon the current NEC and the DoR environmental screening guidelines andincludes:* Loss of land.* Loss of structures.* Loss of livelihoods.* Impacts on vulnerable groups.* Impacts on common community resources.* Willingness of communities to volunteer land.
To the extent possible, social and environment screening will be carried out together with technicaland economic screening. Social screening will identify the potential for loss of land,assets/structures, livelihoods, willingness of the community to donate land to the project, and othersignificant social impacts. The results of this review will include recommendations for the exclusion
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of the subproject if involuntary land acquisition or serious social impacts are anticipated. The socialscreening criteria agreed with the World Bank is expected to eliminate all project sites that mayrequire the acquisition of privately owned land for first year subprojects. Social screening will alsoenable the categorization of subprojects based on their level of social impacts. Where the extent ofadverse social impacts is minor and no displacement or loss of assets or livelihoods is expected,further social assessment will not be necessary.
Social screening has been carried out for the two project roads as part of the social assessment.The Drujeygang-Balung road under Dagana Dzongkhag will partially affect land of around 88households (28 households in Drujeygang, 32 households in Tshangkha and 28 households inLajab gewog). Details of these households are presented in Annexure 1. However, the roadalignment will not cause any relocation or displacement of the people.
Thirty-four households out of the 88 partially affected households are poor. Twenty-threehouseholds among the affected 34 poor households are headed by women. Some of the affectedpeople particularly in Thangna village under Drujeygang gewog consist of very poor households.Therefore, a mechanism for support is necessary to avoid adverse impact of the road for thisvulnerable group of people. The concerned GYT in consultation with those affected families andcommunities will agree upon compensation and suitable assistance to affected households. Theproject will pay special attention to these vulnerable groups who will receive targeted support andbe provided with more options and support mechanisms as appropriate.
In both project roads these were no significant adverse social impacts observed. None of thepotential beneficiaries would lose 25% or more of their owned land as any land acquisition isexpected to be very small. Therefore, no lands, houses or other private properties of the peoplewere significantly affected. In general, the vulnerable groups in the communities where the projectinterventions are to be implemented would not be adversely impacted (see Annexure 2, 2.1, 3 and3.1). However, some of the affected poorer households particularly the identified 34 householdsshould receive special attention during the implementation of the project. The project will considersupport mechanisms for improving their livelihood.
Land acquisitions for the project interventions are to be acquired on a voluntary donation basistherefore facilitating minor land acquisition. The project is also not expected to adversely impact onpeople's income and livelihoods. Further, the project is also not expected to impact adversely oncommon property resources namely religious and cultural sites and structures.
The result of the screening confirms the nature of social impacts identified through stakeholderconsultations and site visits to gewogs where similar works have already been implemented. Norelocation of people is anticipated. The screening findings will be discussed with design engineersand to the extent possible incorporated into project design to avoid or minimize impacts.
A socio-economic profile for the project sites has been prepared based on a separate socialassessment survey and secondary sources that provides a broad overview of the dzongkhagswhere the project will be implemented and their levels of socio-economic development. The socio-economic survey results will provide the socio-economic conditions of the project affected peopleprior to the implementation of project interventions, which will provide a baseline against which theproject impacts can be measured at the completion of the project.
8.3 Resettlement Policy Framework
The interventions proposed for road construction under the two dzongkhags of Dagana andWangdue are expected to be small and cause minimal negative social impacts. Resettlement isunlikely under the project. However, as a precautionary measure, a Resettlement PolicyFramework (RPF) has been prepared to address impacts arising from the construction of otherproposed feeder roads and involving: (i) loss of land; (ii) loss of homes/structures; (iii) loss of
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livelihood systems/income opportunity (due to the lost of productive land or impact to a structurewhere a livelihood activity is being carried out); and (iv) loss of community property resources(religious structures, grazing land).
The RPF defines the legal, institutional and implementation framework to guide the compensationfor lost assets, livelihoods, community property, and resettlement and rehabilitation of projectaffected people in accordance with the World Bank's Operational Policy 4.12 on InvoluntaryResettlement and RGoB guidelines and legislation. Key provisions of RGoB's Land Act (1979) andthe World Bank's policy were compared, policy gaps identified and recommendations made toaddress these gaps. This review formed the underlying basis of developing the RPF, especially thepolicy matrix for entitlements for losses suffered under the project. The RPF will be applicable tosimilar projects funded under by World Bank under RAP.
To the extent possible, the project will consider alternative engineering designs to minimizeadverse social impacts and land acquisition. Where the social screening indicates that landacquisition and/or loss of assets is unavoidable, a subproject Resettlement Action Plan (RAP) willbe prepared for which the RPF provides overarching guidance on principles and procedures.Subproject RAPs will be based on more detailed social studies/assessment and include thefollowing:* Project and subproject description.* Description of project losses and impacts.* Baseline survey and census data.* Policy entitlements related to additional impacts identified through the survey or census.* Time-bound implementation plan.* Costs and budgets.
The Project RAPs will be prepared at the planning and design stage and submitted to the WorldBank for review three months before the data of initiation of any land acquisition.
8.4 Principles and Objectives
The RPF is based on relevant RGoB laws and policies (as summarized in the legal frameworksection of the document), as well as the World Bank's Operational Policy 4.12 on InvoluntaryResettlement. It will be guided by the following key policy principles and objectives:* Avoid or minimize involuntary resettlement and land acquisition where feasible, exploring all
viable alternative project designs.* Assist displaced persons in improving their former living standards, income earning capacity,
and production levels, or at least in improving them.* Provide full information and carry out consultations with affected people on resettlement and
compensation so that resettlement becomes a participatory process.* Provide assistance to affected people regardless of legality of land tenure.* Applies not only to physical relocation, but loss of any land or other assets resulting in: (i)
relocation or loss of shelter; (ii) loss income sources or means of livelihood, whether or not theaffected people must move to another location; and (iii) loss of community resources.
* Take special measures to protect socially and economic vulnerable groups, such as femaleheaded households, people living in extreme poverty, marginal landowners and the landless.
* Provide compensation for acquired land and assets at replacement values.* Compensation for loss of perennial crops and trees calculated as annual net product value
multiplied by number of years for new crop to start producing.
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* Provide replacement residential and agriculture land as close as possible to the land that wasacquired by the project and which is acceptable to the affected person.
* Synchronize construction schedules with land acquisition to ensure that all land acquisitionactivities are completed prior to commencement of construction at that site.
* Implement subproject resettlement plans after consultations with the affected people.
* Ensure that the entire cost of resettlement or other social development programs budgeted inthe annual and overall implementation plans of the project.
* Establish adequate institutional arrangements to ensure the effective and timely monitoring of allsocial impacts.
* Establish effective mechanisms for hearing, recording and resolving grievances.
8.5 Eligibility Criteria
The following groups of people are entitled to compensation and assistance under the project:
Project Affected People includes any person or persons or households who because of projectactivities would have their: (i) standard of living adversely affected; (ii) legally recognized title, orinterest in any house, land (including residential, agricultural and grazing land) or any othermoveable or fixed assets acquired or possessed, in full or in part, permanently or temporarily, and;iii)place of work or residence or habitat adversely affected, with or without displacement.
Project Affected Families All members of a project affected household residing under one roof andoperating as a single economic unit, who are adversely affected by the project or any of itscomponents. For resettlement purposes, affected persons will be considered as members ofaffected households.
Squatters People who are occupying land in violation of the laws of Bhutan are not entitled tocompensation for loss of land under this policy. However, if such people have uninterruptedpossession of land for at least one year prior to the census, they are entitled to resettlementassistance if displaced. All displaced persons are entitled to compensation for loss of assets otherthan land, in particular, structures and crops.
Encroachers People who have trespassed into RGoB/private/community land to which they are notauthorized.
Marginal farmer A farmer whose land holding is less than 1.0 acre
Landless/Agricultural Laborer A person who does not hold agricultural land himself or jointly withany family member. Persons who work as agricultural laborers are also placed under thiscategory.
Vulnerable Group Distinct groups of people who are socially distressed or economically backwardand who might suffer disproportionately from resettlement effects. These include, but are notlimited to the following: women headed households, people living below the poverty line, marginalland owners, landless, agricultural laborers, and the disabled and elderly.
For adverse impacts on community facilities (i.e. places of worship) no financial compensation willbe paid directly to individual persons or groups. DoR will rebuild the affected facilities or providealternatives in consultation with user communities.
8.6 Entitlement Policy
The project will provide entitlements to rehabilitate persons who lose their land and property. Thespecific entitlements are presented in the following Entitlement Matrix (Table 7) which is applicableto the Rural Access Projects and which accommodates the provisions of the RPF and the laws ofBhutan:
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Table 7: Entitlement Policy MatrixType of Impact Enhitlement IJnil EntilIement Responsiblity
Affected person/families Cash compensation equivalent to the amount as per Dzongkhag in collaborationLand Acquisition Act; and Resettlement allowance in with the DoRcash equivalent to the difference between compensationas per the Land Act and full replacement value as percurrent values in the same vicinity, plus value of all landtransaction fees and charges.Families who become landless allotted land as per Dzongkhag in collaborationprovisions of the Land Act. with the DoR and satshab
Loss of private Committeeland Vulnerable groups and Resettlement assistance to those most vulnerable to Dzongkhag in collaboration
non-title holder (squatters restore pre-displacement level livelihoods. Vulnerable with the DoR.and encroachers) groups may include but not be limited to: poor or
landless, women headed households, disabled andelderly.Encroachers will not be entitled to any compensation fortheir affected unauthorized/illegal extensions over publicland. Vulnerable encroachers with economic losses maybe entitled to assistance as a vulnerable group.
Loss of Homes Affected person/families Cash compensation equivalent to the amount as per Dzongkhag in collaborationand structures BSR rates. To ensure compensation at replacement with the DoR.
value, resettlement assistance in cash equivalent tocover depreciation over and above compensatondetermined on the basis of BSR rates.
Loss of Affected person/families Compensate and replace lost assets at the their Dzongkhag in collaborationeconomic assets replacement cost. with the DoR.
Compensation for perennial crops and trees calculatedas annual net product value multiplied by number ofyears for new crop to start producing.Compensation in cash for lost standing crop.
Loss of income Affected person/ families Rehabilitation assistance for lost or diminished Dzongkhag in collaborationlivelihoods. with the DoR.In the case of landless families who suffer partial or totalloss of livelihood, allotment of land free of cost.
Loss of Affected Compensation for re-establishing or re-constructing lost Dzonghkag in collaborationCommunity institution/community community resources such as religious and cultural with DoR.Resources structures or providing altematives in consultation with
affected communities.Temporary Affected person/families Cash compensation/transition allowance Dzongkhag in collaborationlosses with DoR
8.7 Voluntary Land Donation
The project roads under the Dagana and Wangdue dzongkhags are expected to cause onlymarginal impacts without major economic or physical loss and displacement. Obtaining land forrural roads and infrastructure has typically been based on voluntary donations. Therefore, theproject envisages the acquisition of almost all lands by voluntary donation where:
It is recommended that the following criteria be used if land is to be voluntarily donated by projectbeneficiaries:
1) The impacts should be marginal (meaning that loss of productive assets should be no morethan 10% of the total owned by the volunteer.
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2) Impacts do not result in displacement of households or cause loss of a household's incomes
and livelihoods.
3) Households making voluntary donations must be direct beneficiaries of the project.
4) Land donated should be free from any dispute over ownership, or any other encumbrances.
5) Consultations with the affected households should be conducted in a free and transparentmanner.
6) A Memorandum of Agreement needs to support land transactions (see Annexure 4).
7) Proper documentation needs to take place of all consultations, grievances, and actions taken toaddress grievances.
8) Assets that remain in the hands of volunteers should not be rendered economically unviable.
9) People affected by the sub-projects should be fully aware of the procedures and entitlementslaid out in the Resettlement Planning Framework.
In the event that some households are displaced, vulnerable groups are affected, or whereaffected households do not wish to donate land, the concerned GYT in consultation with thoseaffected families and communities, will agree upon compensation and suitable assistance toaffected households.
A memorandum of agreement will be established as a means of recording the location and size ofland being donated as well as the written consent and names of local witnesses for thosecommunity members donating lands voluntarily. It will contain specific provisions to record that theland being donated is free of squatters, encroachers or other claims or encumbrances. These willbe recorded in a Memorandum of Agreement, a suggested format for which is presented inAnnexure 4.
Different impacts will affect these groups differently, depending on the reason for their vulnerabilityunder the project. The project will pay special attention to these vulnerable groups who will receivetargeted support and be provided with more options and support mechanisms as appropriate.
8.8 Implementation Process
Resettlement will be coordinated with the timing of the civil works during project implementation.The project will provide adequate notification, counseling and assistance to affected people so theyare able to move without undue hardship before the commencement of civil works.
In the case of land acquisition, the procedures will follow the provisions of the Land Act, and SAF.The outline of the project along with the Project Resettlement Action Plan after its approval byRGoB and the World Bank, will be translated into the local language and made available in a publicplace accessible to affected people and other stakeholders. The project will ensure that civil worksare not started on any sites before compensation and assistance to the affected population havebeen provided in accordance with the Resettlement Policy Framework.
8.9 Grievance Redress Mechanisms
Informal traditional dispute mechanisms, based primarily on negotiations between aggrievedparties and through community meetings to reach consensus on a satisfactory resolution, arealready practiced in the beneficiary gewogs. These traditional dispute practices appear to functionwell and are generally accepted by all community members as a satisfactory means for resolvingdisputes and grievances. However, to make the grievance redress process more systematic, but
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still working within traditional community norms and practices, aggrieved parties will be able toappeal to local community committees (GYT, DYT) to facilitate resolution of the grievance. Anyappeals to committees will be recorded in a register, identifying the name of the aggrieved party,date grievance registered, nature of grievance, and measures suggested to address the grievance,including escalating resolution of the grievance to MoW&HS or RGOB for recourse throughtraditional judicial practices, and date of grievance redressed.
8.10 Funding Arrangements
All resettlement funding will be through the main project and under the oversight of DoR,MoW&HS. The Resettlement Action Plans shall be prepared during the planning and design phaseand include detailed cost estimates. The budget will be prepared by the Dzongkhag landacquisition committee, GYTs, DYTs, representatives from land use and MoW&HS while acquiringthe land from the affected people. The approved details are sent to the Department of Survey &Land Records, Ministry of Agriculture for obtaining approval of the Department of Budget, Ministryof Finance.
8.11 Consultation/Participation
Consistent with the decentralized planning and implementation approach of RGoB, thisconsultation will continue throughout the implementation of the project's physical works andoperation and maintenance phases. Systematic monitoring of these consultations, includingminutes of regular community meetings with gewogs to ascertain their views, concerns andgrievances, as well as concerns/issues identified though the participatory monitoring andevaluation processes, will be carried out by GYTs/DYTs and summarized by DoR in regularprogress monitoring reports.
8.12 Monitoring and Evaluation
A focal person in DoR (Project management Unit) will be responsible for coordination of landacquisition and resettlement implementation. The focal person and the District SuperintendentEngineer will be also responsible for monitoring resettlement activities. These officials willundertake this task quarterly.
The monitoring process will examine procedural issues, progress in land acquisition andresettlement, as well as, any critical factors that may have long term impacts on the project.Monitoring will place a specific focus on transparency, participation of project-affected people,especially women and vulnerable groups, effectiveness of the grievance redress process, andincome restoration initiatives.
9 INSTITUTIONAL ARRANGEMENTS FOR ENVIRONMENTAL AND SOCIAL ISSUES
This section of the report reviews and assesses the institutional arrangements currently in place inBhutan to identify, mitigate, and monitor environmental and social issues. It also providesrecommendations for the strengthening of these arrangements. Given the focus of the report, itplaces emphasis on the management of social issues, and especially those resulting from roadprojects.
9.1 The Regulatory Structure
As is the case in most jurisdictions, the assessment, management, and monitoring of the socialimpacts of development takes place in Bhutan predominantly within the context of requirementsimposed by the environmental legal structure. This structure has changed substantially since RAPI was initiated in 1999. All of the following important environmental laws, regulations, or guidelineshave been produced over the course of the last six years:
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* Environmental Assessment Act (2000);
* Regulation on the Environmental Clearance of Projects (2002);
* Regulation on Strategic Environmental Assessment (2002);
* Sectoral Environmental Assessment Guidelines and Environmental Codes of Practice;
* Biodiversity Act 2003;* Forest and Nature Conservation Rules (2000); and* Road Act (2004).
The most important development in relation to the assessment and management of new roads isthe commencement of the Environmental Assessment Act (EAA) (2000).
This law did not exist at the time of initiation of RAP I. It is of significance with regard to socialimpacts because the term "environment" is widely defined to mean:
"the complex web of interrelationships between the abiotic and biotic components which sustainslife on earth, including the social, health and cultural aspects of human beings".
This definition means that all of the procedures that are laid down in the EAA with regard to thebiophysical environment, also relate to the human or social environment.
In brief, the EAA establishes procedures for the assessment of potential effects of strategic plans,policies, programs, and projects on the environment, and for the determination of policies andmeasures to reduce potential adverse effects and to promote environmental benefits.
It makes environmental clearance (EC)9 mandatory for any project/ activity that may have adverseimpact(s) on the environment.
Based on the review of environmental information submitted by the project applicant, the NationalEnvironment Commission Secretariat (NECS) or the Competent Authority (CA)10 may issue/ denyEC or determine the need for a full environmental assessment (EA). Where a full EA is determinednecessary, the applicant will be asked to prepare EA documents according to the terms ofreference (ToR) approved by the NECS. The NECS will review the EA report and accordinglyissue/ deny EC.
The NECS or CA may issue EC when it is satisfied that: (a) the effects of the project on theenvironment are foreseeable and acceptable; (b) the applicant is capable of carrying out the termsof EC; (c) the project, alone or in connection with other programmes/ activities, contributes to thesustainable development of the Kingdom and the conservation of its natural and cultural heritage;(d) adequate attention has been paid to the interests of concerned people; and (e) the project isconsistent with the environmental commitments of the Kingdom.
EC for a project shall be reviewed and may be revised and renewed at least every five years,unless a shorter period is stated. The NECS or CA may review and modify the terms wheneverthere is: (a) unacceptable risks to the environment resulting from the project which were not knownat the time the clearance was issued; (b) availability of improved and cleaner technology; and (c) aneed to bring the project into compliance with changes to the laws of the country.
Non-compliance with environmental terms specified in the issuance of environmental clearancemakes the offender liable to penalties that may include compensation for environmental damage,fines, sanctions, and suspension or revocation of environmental clearance in part or full.
9 Article 6.11 of the EAA defines Environmental Clearance as the decision, issued in writing by the NECS or the relevantCompetent Authority, to let a project proceed, which includes terms (and conditions) to ensure that the project ismanaged in an environmentally sound and sustainable way.10 Article 6.2 of the EEA defines a Competent Authority as any agency of RGoB who has the power to issue developmentconsent for a project.
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Another important development has been the promulgation of detailed administrative guidelinesand regulations. The Regulation for the Environmental Clearance of Projects (RECOP) (2002)now provides supporting detail for the implementation of the EAA.
The Regulation is also important because it provides the basis for the delegation of EC power toline Ministries and other Competent Authorities (all of which are specified in Annex 2 of theRegulation).
Many other laws and regulations touch on the management of social issues, especially whereconsultation procedures are required. With regard to RAP 11, the most significant laws are possiblythe Gewog Yargay Tshogchung ("GYT") and Dzongkhag Yargay Tshogchung ("DYT") Chatrims(2002).
The GYT and DYT Chatrims were enacted to support the Government's decentralization policy andempower locally elected community bodies (DYTs and GYTs) with the authority and responsibilityto decide, plan and implement development programmes and activities, including those concerningenvironmental management. The Chatrims confer considerable powers in the DYTs and GYTs inrelation to environmental and social issues management.
The abovementioned laws and regulations are now supported by strong sectoral guidelines andcodes of practice, developed by the NEC and by the Department of Roads. These documents helpproponents through the environmental clearance administrative system, and assist them with thepracticalities of preparing environmental assessment studies, Environmental Management Plans,and Environmental Monitoring Plans.
Some of these guidelines make specific mention of the need to consult over proposeddevelopments, and to provide information on social details. For example, the NEC's Application forEnvironmental Clearance Guideline for Highways and Roads (2004) requires road proponents(such as the Department of Roads) to provide details of public consultation, and to comment onboth the number of project beneficiaries, and on whether the siting of the road will create anyadverse impacts to existing houses, infrastructure and cultural or heritage sites.1" The Guidelinesare important because the RECOP (in Article 28.2(b)) requires that proponents "comply withrelevant sectoral guidelines or codes of best practices" when they present environmentalinformation to Competent Authorities.12
9.2 Evaluation of Regulatory Structure
As the analysis presented above indicates, the environmental regulatory structure has improvedsubstantially since the initiation of RAP I and the broad application of that legislation provides coverfor social and cultural impacts.
While no specific laws exist for the identification, mitigation, and monitoring of social issues ... thisis not unusual. The definition of the term "environment" in the Environmental Assessment Act isbroad enough to enable social issues to be adequately dealt with in the planning and managementof new road proposals.
11 National Environment Commission, Royal Government of Bhutan (2004), Application for Environmental ClearanceGuideline for Highways and Roads, pages 19-20.12 The Department of Roads (Ministry of Works and Human Settlement), has also produced a separate EnvironmentalCodes of Practice (Highways and Roads). This is still in draft form.In 2005, the Department also produced separate guidelines for the preparation of Environmental Management Plans(Guidelines for Preparation of Environmental Management Plan, Version I. Royal Government of Bhutan, Department ofRoads, Ministry of Works and Human Settlement. Environment Friendly Road Construction - Support Project. July2005). These Guidelines provide detailed advice to proponents with regard to preparing EMPs, and EnvironmentalMonitoring Plans.
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9.2.1 Institutional Arrangements for Social Issues Management
Until very recently, responsibility for environmental management has rested squarely and clearlywith the National Environment Commission. The same cannot be said for social issuesmanagement. While the regulatory structure outlined in section 1.2 gives the NEC power toassess the social impact of new developments, in practice the focus of NEC interest tends to be onbiophysical issues. This is a natural outgrowth of the organizational culture, and backgroundqualifications of NEC staff. Recommendations for dealing with this situation will be suggested inthe next section.
Over the last 2 or 3 years, the NEC has been gradually delegating its environmental clearance(EC) powers to Competent Authorities. The most recent example of this trend has been theestablishment of District Environment Committees (DECs) in all 20 Dzongkhags. The NEC iscurrently helping these DECs to build capacity, through training of the Committees themselves,and through aid-funded scholarships for future Executive Officers. When in full operation, theDECs will be responsible for social issues management, a power that will be provided to them byEnvironmental Assessment Act delegation.
Environmental clearance power has also been delegated to the following agencies:
* Ministry of Trade and Industry (Departments of Industry, Trade and Geology and Mines);
* Ministry of Works and Human Settlement (Standards and Quality Control Authority);
* Ministry of Agriculture (Department of Forests, Department of Agriculture); and
* City Corporations.
The Government has also been establishing environmental units within line Ministries and otheragencies. This is part of its policy to encourage all agencies (not just the NEC) to takeresponsibility for their own environmental impacts. To date, environmental units have beenestablished in the following:
* Ministry of Trade and Industry;* Ministry of Agriculture; and
* Ministry of Works and Human Settlement (MoWHS).
MoWHS has environmental staff placed in both the Standards and Quality Control Authority, and inthe Department of Roads.
9.2.2 Evaluation of Institutional Arrangements for Social Issues Management
In parallel with reforms to the environmental regulatory structure, institutional arrangements forenvironmental management have also developed substantially over the course of the last sixyears. The NEC is no longer seen as the sole public custodian of environmental management.This responsibility is shared with other Ministries, the fledgling District Environment Committees,and City Corporations.
While these developments are entirely positive, they do focus strongly on the management ofbiophysical issues. While the social impacts of new developments are covered in law, it could beargued that they are less well provided for in a practical, institutional sense. There is therefore aneed to build better institutional capacity for social issues management.
There are three main options for consideration to deal with this situation. The first option is toestablish a new Social Impact Management Unit, within an existing organization. This couldeffectively take an equivalent role to NEC, but would concentrate solely on social issues. Thesecond option would be to appoint specialists in social impact assessment to be placed inside theNEC, and in other Competent Authorities, to take specific responsibility for social issuesmanagement. The third option would be to provide additional training to existing (and proposed)environmental officers, so that they have the technical ability to manage the identification,
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mitigation, and monitoring of the social impacts of new developments. Table 8 presents acomparison of these options.
Table 8: Comparison of Options for Consideration to strengthen Social Issues ManagementCapacity.
Option 1 (New Social Impact Option 2 (Place trained social Option 3 (Provide additionalManagement Unit) scientists in Competent training to existing
Authorities) environmental slaff)Advantages 1. Makes responsibility for 1 Increases the profile of 1 Cheapest and quickest
identification, mitigation, and social issues in Competent option to implement.monitoring of social issues Authorities. 2. Staff are already in place,clearer. 2. Less expensive than Option or currently planned.2. Indicates that the 1.Government is taking social 3. Not difficult to implementimpacts of new developments within existing Governmentseriously. structure.
Disadvantages 1. Requires considerable 1. Would require resources to 1. Biophysical scientistsresources to establish. train and place new staff. may find it difficult to adapt2. Would require new 2. There may be cultural to social science training,legislation to make it effective. difficulties associated with and hence neglect social3. Would necessitate taking placing social scientists in issues management.some powers away from NEC. biophysically-oriented
agencies.
Option 1 is the most problematic. Not only would it require considerable resources, butestablishing a proper place for such an agency within the Government agency structure would bedifficult. For it to be effective, a new Social Impact Management Unit would require its ownsupporting legislation, and this would necessitate taking some powers and responsibilities awayfrom the NEC. Attempts to establish similar units in other jurisdictions have not worked well.
Option 2 would also require additional resources, because the Competent Authorities do notcurrently have staff trained in social impact assessment. However, it would be less expensive thanOption 1, and would not be too difficult to implement within the Government's currentadministrative structure.
Option 3 would be the cheapest and quickest option to implement because the staff are already inplace, and/or are currently being trained while the main concem of Option 3 might be thatbiophysical scientists may find it difficult to adapt to social science training, and hence neglectsocial issues management, if training is carried out effectively this concern can be addressed.
10 IMPLEMENTATION ARRANGEMENTS
10.1 Institutional Arrangements
The project is aimed at relying as much as possible on existing RGoB existing policies andprocedures. As such, it will be implemented within existing institutional arrangements within theMoW&HS, the DoR and dzongkhag administrations for project preparation and implementationactivities.
Implementation arrangements to support social impact management will largely follow normalpractices, policies, and procedures. There will be a Project Management Unit in the DoR which willbe responsible for overseeing the implementation of SAF activities. Oversight of the social aspectsof the project will be done in close collaboration with geog and dzongkhag administrations.
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Implementing agencies will be decentralized and essentially comprise the 4 gewogs and 2dzonkhags in the first year project areas.
The data collection and reporting procedures will follow the existing guidelines on Monitoring andEvaluation. At the geog level M&E activities will be the responsibility of the GYT. At the dzongkhaglevel, the District Planning Officer will be the key individual for collection M & E data, including datarelevant for monitoring social impacts. Tracking overall progress of the program will be theresponsibility of the DoR and the MoW&HS. Many of the decentralized implementationarrangements are new and capacity-building is needed at geog, dzongkhag and MoW&HS levelsto effectively implement social impact management activities and if necessary resettlement actionplans. The institutional strengthening component of the project will include training to buildcapacity on social screening, assessment and mitigation.
Project implementation will require coordination between different agencies and departments. Inline the Environment Act and following the practice of other ministries, MoW&HS will appointinternal suitably qualified staff to provide coordination and oversight on the social aspects of theproject. Specifically, the role a focal person will be to work with gewogs and dzongkhags tofacilitate and build local capacity on social screening, awareness of social impacts and provideoutreach and disseminate information to the communities. The Terms of Reference for a focalperson on social issues could include the following:
1) Coordinate planning and implementation of RAP II social aspects in accordance the provisionsof the SAF.
2) Monitor the project implementation to ensure the effective implementation of social impactmitigation.
3) Regularly carry out site visits and consultations with affected communities to assess socialimpacts, adequacy of mitigation actions, voluntary land donations, participation of communitymembers, especially the most vulnerable in project activities, and transparency in voluntaryland donations.
4) Report progress (in quarterly progress reports) highlighting any new issues andrecommendations for addressing these issues and strengthening existing practices insubsequent subprojects.
10.2 Monitoring & Evaluation
The project will systematically monitor land acquisition based on: (i) process monitoring (e.g.project inputs, expenditures, staff deployment); (ii) output monitoring (e.g. results in terms ofnumber of affected people compensated and resettled); and (iii) impact evaluation (i.e. longer termeffect of the project on people's lives). The broader social monitoring program will also follow theseprocesses. Monitoring of the social aspects of the project will be fully integrated into the broadermonitoring program of the project and summarized in quarterly project progress reports for eachstage including: baseline and pre-construction monitoring, compliance and impact monitoring andoperational monitoring.
With some orientation on the monitoring procedures and indicators, monitoring will be conductedby the gewog and dzongkhags and if necessary with the assistance of skilled social assessmentconsultant(s) who will be appointed for this purpose. This information will serve to inform MoW&HSabout progress and results, and to adjust the work program where necessary if delays or problemsarise. The results of this monitoring summarized in reports will be submitted to MoW&HS and IDAon a quarterly basis.
Provisions will be made for participatory monitoring involving project affected people andbeneficiaries communities in assessing results and impacts.
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10.2.1 Indicators for monitoring
The following table presents suggested monitoring indicators to be used by the project, if asneeded more specific indicators can be developed and refined during project implementation:
Process Monitoring and Evaluation IndicatorsType of Monito Bsin-
and oiin Basisfor Indi;ca io.1,r ' :s*and Evaluati tor;sn*,
* Location of sub-project area* Population composition, structures, education and skills* Access to health, education, utilities and other social services
Sub-project Area * Housing type and amenities (toilets, drinking water, electricity)Information * Land and other resources ownership and use patterns
* Occupations and employment patterns of households* Participation in neighborhood or community groups / development* Access to cultural sites and events* Value of all assets for entitlements and resettlement needs* Have all land acquisition and resettlement provisions been made and
staff mobilized in the field and offices as per the schedule?e a* Are funds for compensation/resettlement sought to deal withBudget and Time involuntary land acquisition?
* Have funds been allocated to titleholders according to RAP?* Has the social preparation phase taken place as scheduled?* How effectively have grievances been addressed?* Have all land acquisition process been finalized officially?* Are land acquisition activities being achieved according to agreed
Land Acquisition principles?* Are there any resettlement related outstanding disputes?* Has all land been acquired in time for project implementation?* How many MoUs have been signed for voluntary land donation?
Output Monitoring and Evaluation Indicators
* Number of families providing lands voluntarily for project interventionsand those who have been provided with compensation for lands? Howmuch money has been disbursed as compensation under differentheadings?
e o* Number of households due to be compensated for their properties i.e.Delivery of land, house, business displacement, crop damage etc.
* Number of households/Project Affected People (PAP) to be resettledbecause of displacement.
* Do people have access to schools, health services, cultural sites?* Are restoration plans for social infrastructure and services adequately
addressed?
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* Are incomes and livelihood restoration activities being implemented asset out in the income restoration plan, for example number of PAPstrained and provided with jobs, micro-credit disbursed, number ofincome generating activities assisted?
* Were compensation payments made free of depreciation fees ofRestoration of Living costs?Standards css
* Have perceptions??? of "community" been restored?
* Have consultations taken place as scheduled including meetings,groups, community activities?
* How many PAPs know their entitlements? How many of them haveConsultation, received entitlements?
Special Issues * Have PAPs appealed for grievance redress? What were theoutcomes?
* Have conflict been resolved?* Was the social preparation phase implemented?
Impact Monitoring and Evaluation Indicators
*Were compensation payments sufficient to replace lost assets?
*Did transfer and relocation payments cover these costs?Restoration of * Have vulnerable groups been provided income-earning opportunities?Livelihoods Are these effective and sustainable?
* Are jobs provided to Project Affected People (PAP) to restore pre-project income levels and maintain their original living standards?
* How much the PAPs are aware of the resettlement procedures andentitlements? Do PAPs know their entitlements?
* Do they know if these have been met?Levels of Satisfaction * How to assess the extent to which PAPs own living standards and
livelihoods have been restored?* How much do PAPs know about grievance procedures and conflict
resolution procedures?
* Were the PAPs and their assets correctly enumerated?
Effectiveness of * Was the time frame and budget sufficient to meet objectives?Resettlement * Were entitlements too generous?Planning * Were vulnerable groups identified and assisted?
* How did resettlement implementers deal with unforeseen problems?
Other Impacts * Were there unintended environmental impacts?* Were there unintended impacts on employment or incomes?
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A detailed list of indicator is given below for monitoring of the impact at household and communitylevels. It is suggested that after completion of the road, the monitoring on the impact be carried outon an annual basis for 2-3 years using the following indicators.
List of indicators for monitoring of the impact due to project interventionsEmployment opportunities - No of person/days of employment generated by road construction/ maintenance.
- Changes in the labor market in terms of new opportunities and wage rates- Access to alternative sectors of economy and employment opportunities
Economic changes - Changes in the sources of income - pre and post transport improvement- Composition of household income (type of income sources)- Pattern of household expenditure (share of food, transportation)
- Diversification from farm based economy to non-farm economy, including serviceand other sectors
- Emergence of organized markets (replacing unorganized market)- Linkages to local and regional markets - traffic volume, transport expenses, traffic
volume, prices for the produce
- Changes in the volume of produce marketed- Distance to markets- Prices of key traded commodities- Price of land- Price of housing- Numbers of sellers/shops in the nearest market- Number of visits to market (as consumer and products bought and as producer and
products sold)Changes in - Area under improved crop varietiesAgriculture/Livestock - Area under cash cropsproduction - Cropping intensity
- Crop production (volume of agricultural outputs)- Crop productivity (increase in yields per unit area)- Changes in the cropping pattern/land use (from subsistence to commercial farming)- Specialized crop and livestock production enterprises- Time spent on various activities- Use of fertilizers, improved seeds and farm equipment- Availability of new products- Access to credit- Visits and support services by Agri Extension agents- Amount of loan disbursed in agriculture sector
Access to social/welfare - Education status (literacy, average years of education by age and gender)services - Education - Nos of primary/secondary schools in village
- Primary/secondary school enrollment rate (by gender)- Primary school drop out rate (by gender)- Distance to nearest primary/secondary school- Quality of schools (availability of teachers, qualification, availability of supplies)
Access to social/welfare - Health status (incidence of illness, number of work days lost due to illness, by ageservices - Health and gender)
- Nos and types of health facilities- Distance to nearest health centres- Number of visits to health facilities
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- Health services (visits of medical officer, availability of medical drugs and supplies- Morbidity rates- Nutritional status of children- Access to emergency services- Prenatal care for pregnant women
Transport - Availability of bus stops- Frequency of private and public transport services- Cost of transport- Travel time- Usage of non-motorized transport (Impact)- Occurrence of road accidents
Electrification - New transmission lines- Nos of houses electrfied
Access to other services - Access to postal and telecom services- Access to fair price shops and public distribution system- Access to government's development programs and other services- Social interaction (number of visits to other villages and cities, participation at
social events, by age and gender)
Housing condition - Changes in the housing conditions- Changes in the housing pattern - more space for carrying out commercial activities- Changes in the occupancy pattern - rents realized- Electrification of individual houses
Common - Changes in the availability of infrastructure - drinking water, health, school,infrastructure/resources electrification - street lights
- Changes in the area under common properties - village wood lots, grazing landimpact on livestock
Impact on women - Participation of women in economic activity- Saving time on haulage of wood, water- Saving time on agriculture activities- Status of women in family and community- Improvement in general health status of women- Access to govt. development schemes- Loan sanctioned to women for business purpose
Community Participation - Involvement of community in project planning- Involvement of vulnerable groups & community in deciding performance indicator- Monitoring mechanism developed for public participation- Monitoring of relationship between the local population and other stakeholders of
the project- Transparency in project implementation- Level of community participation in maintenance work
Adverse social impacts - Loss of land- Loss of house- Impact on irrigation channels- Conflict with outsiders- Increase in road accident- Introduction of new diseases- Loss of income to non-moterised transporters- Impact on biodiversity- Loss of community resources
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Following indicators are suggested that could be monitored after the project is completed. Thesehave been segregated at different levels namely at the process or activity level, the output or resultlevel and at the outcome or objective level. Monitoring indicators are suggested in the table below.
Suggested indicators for project interventionsProject element Level & Suggested indicator ResponsibleOverall obiectives OutcomeEnhanced income and living 3 years after completion ofstandard through increased the project 50% of farmers in rural communities have DoRagricultural out puts; increased improved access to social services and increase in theiraccess to social services and incomemarket for rural communities inselected dzongkhagsIntermediate Results OutputImproved Road Access due to A year after completion of the project, frequency of visits DoRproject interventions to district head offices and service centres double for half
the population
2 years after completion of the project, food security offarmers enhanced with 25% increase their cropproduction; increase in income of 50% of the beneficiarycommunity.
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Annexurel.List of participants, affected households, and vulnerable groups.
List of participants to Focus group discussions and interviews, Tshangkha Gewog,Dagana
Si No Name Male/ Rich/ Village
Female Poor/Average
1 Mrs. Dungchimo F P Budeychu
2 Mr. Maita Bdr. Subba M R
3 Mr. Damber Singh Mongar M R
4 Mr. Kharga Bdr. Mongar M A
5 Mr. Leki M P
6 Mr. Lokman Tamang M A Petakha
7 Mrs. Renuka Chhetri F P
8 Mrs. Chandri Maya Tamang F P
9 Mrs. Sancha Maya Tamang F P
10 Mr. Kaman Singh Tamang M A
11 Mrs. Rupa Tamang F P
12 Mr. Chechey M P
13 Mr. Dil Bdr. Tamang M R
14 Mr. Jit Bdr. Tamang M A
15 Mr. Buddhiman Tamang M A
16 Mr. Ram Bdr. Tamang M A
17 Mrs. Kamala Devi Rai F P Banderchu
18 Mrs. Pema Lhamo F P
19 Mr. Padma Kumar Thapa M A
20 Mr. Kesher Bdr. Thapa M A
21 Mr. Bakhad Bdr. Neopani M R Zinchula
22 Mrs. Phurba Lham F P
23 Mrs. Kali Maya Mongar F P
24 Mrs. Tshethumo F P
25 Mr. Tula Ram Kaderia M R
26 Mr. Nandalal Orari M R
27 Mr. Kesher Bdr. Rai M A
28 Mr. Dhendup M P
29 Mr. Wangdi M A
30 Mr. Pasang (A) M A Tshangkhatar
31 Mrs. Shabkey Lham F P
32 Mrs. Tshomo F A
33 Mrs. Tandi Om F P
34 Mr. Pasang (B) M A
35 Mr. Kadar Kumar Rai M R Tshangkha
36 Mr. Sangay Dori M A
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37 Mr. Jagat Bdr. Tamang M P Taey38 Mrs. Seti Maya F P Tisgarey39 Mrs. Padma Maya Gurung F P40 Mrs. Lali Maya F P41 Mrs. Bishnu Maya Gurung F P
List of participants to Focus group discussions and interviews,,Lajab Geog, Dagana
Si No Name . -. , Male/ Rich!. Village!_____ Female Poor/Average .
1. Mr. Man Bdr. Bhattarai M R Campgoan2. Mr. Tshering Dorji M A3. Mr. Kul Bdr. Gurung M A4. Mr. Buddhim Mongar M P5. Mr. Kharka Singh Gurung M A6. Mr. Nandalal Gurung M R7. Mrs. Norbu Om F P8. Mr. Garjaman Rai M P Seepa9. Mrs. Mani Dem F P10. Mrs. Pem Zam F P
11. Mr. Sonam M P12. Mr. Sam Bdr. Rai M A Manidara
13. Mr. Buddhiman Rai M A14. Mr. Tsherng Gyeltshen M A15. Mr. Gariaman Gurung M A Bana16. Mr. Jit Bdr Gurung M P
17. Ms. Cheku Lham F A18. Mr. Ram Kumar Gurung F A
19. Mr. Nakchung M R20. Mrs. Tshering Zam F A21. Tshewang Dorji M P22. Mr. Lal Bdr. Gurung M A Yechephu
23. Mr. Prem Bdr. Gurung M R24. Mr. Gopal Singh Gurung M R25. Mr. Dal Bdr. Gurung M A26. Mr. Kaluram Gurung M A27. Mrs. Gyem Lham F A Balung28. Mr. Phub Dorji M A
29. Mr. Gembo M R30. Mr. Kama Bdr. Subba M R Galeychu31. Mr. Nar Bdr. Gurung M R Kompa
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List of participants to Focus group discussions and interviews, Drujeygang Gewog,Dagana
1. Adeo M A2. Bumpamo F P3. Deki F A4. Dhothola M P5. Gyem Lhamo F P6. Kaleymo F A7. Keshmo M A8. Khandu M P9. Kinley Pemo F A10. Kinzang Lhamo F P11. Labtangmo F P12. Lhamchumo F P13. Ochemo F P14. Oktoma M P15. Panglemo F P16. Pegoma F P Thangna17. Mindumo F P18. Makuma F A19. Meckshamo F P20. Sangmo F A21. Sumchumo F A22. Tsheri Wangmo F P23. Tshering Lham F P24. Tshering Pemo F P25. Wangchuk M P26. Yangden F P27. Yeshey Lhamo F R28. Rinzin Wangchuk M R29. Rinchenmo F R30. Phurba M R31. Man Bahadur Bhatarai M A32. Pinchu F R33. Sangay Lhamo (Khipa) F P34. Karma F P35. Khandu Zangmo F P Pangna36. Kinzang Lhamo F A37. Luku F R38. Merka M A39. Sangay F A40. Sangay Dema F A41. Takumo F P Minchunang42. Lhadenmo F P43. Lhatu M P44. Norbu Lhadon F P Patala
53
45. Pema choki F A46. Chimi F P47. Chimi F P Pangserpo
List of participants to Focus group discussions and interviews, Dangchu Gewog,Wangdue
SI No Name Male/ Poor VillageFemale
1. Mr. Kencho M Godang2. Mr. Gyem Dorji M3. Mr. Nima M4. Mr. Gaku M5. Mr. Phupa M P6. Mr. Phupa M7. Mr. Phub Dorji M8. Mrs. Samgay Om F9. Mrs. Pasang Gem F10. Mr. Namgay M
11. Mr. Pasang Dodi M Chubar12. Mr. Tshering Penjor M
13. Mr. Sangay Penjor M Tashidingkha14. Mrs. Kinley Sithub F P15. Mr. Namgyel M16. Mr. Khandu M Gonpa17. Mr. Goley M P18. Mr. Mani Dorji M
19. Mrs. Yanka F Yelbagang20. Mrs. Tshering Dolma F21. Mrs. Kumbu Dolma F P22. Mr. Chagay M
23. Mrs. Phub Gem F24. Mrs. Sangay Lham F25. Mr. Lham Rinzin M26. Mrs. Kunzang Dema F
27. Mr. Rinchen Tshering M28. Mrs. Nim Dem F
29. Mrs. Sangay Om F Tokaling30. Mrs. Pasang F31. Mrs. Dhram F P32. Mrs. Phub Dem F33. Mrs. Tshewang Dem F P34. Mrs. Pema Lhamo F35. Mr. Sangay M
54
36. Mrs Om F
37. Mrs. Sigay F
38. Mrs. Sanqay Dem F
39. Mrs. Pema Lham F
40. Mr. Dhau M P Ridha
41. Mrs. Wangen F42. Mrs. Phub Dem F
43. Mrs. Gordha F P
44. Mrs. Dawa Pem F
45. Mr. Kaka M
46. Mr. Khandu M P
47. Mrs. Doenchum F Ridha Gonpa
48. Mrs. Nim Chuzam F
49. Mrs. Daw Pem F P
50. Mrs. Rinchen Dem F
51. Mrs. Tashi Budha F P Tasha
52. Mrs. Phub Pem F
53. Mrs. Dema F P
54. Mrs. Namgay F
55. Mrs. Doma F
56. Mr. Sangay Dorji M P
List of poor households, Drujeygang,DaganaName - t-,,M/F j, Wtulnerable -- Villagee- - .
______Category,
1. Bamtomo F Poor Thangna2. Chimi F Poor Pangserpo3. Chimi F Very Poor Patala4. Chokimo F poor Patala5. Dhothola M Poor Thangna6. Gangthermo F Poor Minchunang7. Karma F Poor Pangna8. Khandu Zangmo F Poor Pangna9. Kinzang Lhamo F Landless Pangna10. Lanu F Poor Pangna11. Lhadenmo F Poor Minchunang12. Lhadin F Poor Minchonang13. Lhato M Poor Minchonang14. Mindumo F Poor Thangna15. Norbu Lhadon F Poor Patala16. Octomo F Poor Thangna17. Pasang F Landless Thangna18. Pemach choki F Poor Patala19. Pingkamo F Poor Pangna20. Pinkamo F Divorce Thangna21. Rinchenmo F Poor Thangna
55
22. Rinziamo F Poor Pangsevso23. Rinzin Lhamo F Poor Minchonang24. Sangay F Poor Minchunang25. Sangay Dema F Poor Minchunang26. Sangmo F Poor Thangna27. Tashi Pema F Poor Thangna28. Tuku F Poor Minchuna29. Yangden F Landless Thangna30. Yeshey Lhamo F Poor Minchunang31. Yeshey Lhamo F Poor (orphan) Thangna
List of affected households Tshangkha gewog, DaganaName; ,,. -. .' ; Affected, --- k,i+,4;,,,-. P,oor - Village -
E $ 0' L i' ; '> nr!,*la"nd properWt3 '-v-6s ,F' 1 --, /..,
1. Mrs. Dungchimo Wetland P Budeychu2. Mr. Maita Bdr. Subba Wetland Budeychu3. Mr. Damber Singh Mongar Wetland Budeychu4. Mr. Kharga Bdr. Mongar Dryland Budeychu5. Mr. Leki Wetland P Budeychu6. Mr. Lokman Tamang Dryland Petakha7. Mrs. Renuka Chhetri Dryland P Petakha8. Mrs. Chandri Maya Tamang Dryland P Petakha9. Mr. Kaman Singh Tamang Dryland Petakha10. Mrs. Rupa Tamang Dryland P Petakha11. Mr. Chechey Dryland P Petakha12. Mr. Dil Bdr. Tamang Dryland Petakha13. Mr. Jit Bdr. Tamang Dryland Petakha14. Mr. Buddhiman Tamang Dryland Petakha15. Mr. Ram Bdr. Tamang Dryland Petakha16. Mrs. Kamala Devi Rai Dryland P Banderchu17. Mrs. Pema Lhamo Wetland P Banderchu18. Mr. Padma Kumar Thapa Wetland Banderchu19. Mr. Kesher Bdr. Thapa Dryland Banderchu20. Mr. Bakhad Bdr. Neopani Wetland/Dryland Zinchulla21. Mrs. Phurba Lham Dryland P Zinchulla22. Mr. Tula Ram Kaderia Dryland Zinchulla23. Mr. Nandalal Orari Wetland/Dryland Zinchulla24. Mr. Kesher Bdr. Rai Dryland Zinchulla25. Mr. Dhendup Dryland P Zinchulla26. Mr. Wangdi Dryland Zinchulla27. Mr. Pasang (A) Dryland Tshangkhatar28. Mrs. Shabkey Lham Dryland P Tshangkhatar29. Mrs. Tshomo Dryland Tshangkhatar30. Mrs. Tandi Om Dryland P Tshangkhatar31. Mr. Pasang (B) Dryland Tshangkhatar32. Mr. Jagat Bdr. Tamang Dryland P Tajey
56
List of affected households, Lajab gewog, dagana1. Mr. Karna Bdr. Subba Dryland Galeychu2. Mr. Nar Bdr. Gurung Dryland Kompa3. Mr. Man Bdr. Bhattarai Dryland/Wetland Campgoan4. Mr. Tshering Dorji Dryland P Campgoan5. Mr. Kul Bdr. Gurung Dryland Campgoan6. Mr. Buddhim Mongar Dryland P Campgoan7. Mr. Kharka Singh Gurung Dryland Campgoan8. Mr. Nandalal Gurung Dryland/Wetland Campgoan9. Mrs. Norbu Om Dryland/Wetland P Campgoan10. Mr. Garjaman Rai Wetland P Seepa11. Mrs. Mani Dem Dryland P Seepa12. Mrs. Pem Zam Dryland P Seepa13. Mr. Sonam Dryland P Seepa14. Mr. San Bdr. Rai Dryland Manidara15. Mr. Buddhiman Rai Cardamom field Manidara16. Mr. Tshering Gyeltshen Wetland Manidara17. Mr. Garjaman Gurung Dryland Bana18. Mr. Jit Bdr Gurung Dryland P Bana19. Ms. Cheku Lham Dryland Bana20. Mr. Ram Kumar Gurung Dryland Bana21. Mr. Nakchung Dryland Bana22. Mrs. Tshering Zam Dryland Bana23. Mr. Lal Bdr. Gurung Cardamom field Yechephu24. Mr. Prem Bdr. Gurung Dryland Yechephu25. Mr. Gopal Singh Gurung Wetland Yechephu26. Mr. Dal Bdr. Gurung Dryland Yechephu27. Mr. Kaluram Gurung Dryland Yechephu28. Mrs. Gyem Lham Wetland Balung
List of affected households, Drujeygang, Dagana,Name,-, Affetc,ed . -Poor- -- illage4 :-j
r 1 'land/property, 2:
1. Adeo M Dryland Thangna2. Bumpamo F Orchard P Thangna3. Chakola M Orchard Thangna4. Deki F Orchard Thangna5. Keshimo M Orchard Thangna6. Khandu F Wetland P Thangna7. Kinzang Lhamo F Wetland P Thangna8. Lhamchumo F Wetland P Thangna9. Luku M Dryland Thangna10. Meckshamo F Dryland P Thangna11. Makhoma F Dryland Thangna12. Ochamo F Dryland P Thangna13. Oktoma M Dryland P Thangna
57
14. Panglemo F Dryland P Thangna15. Pegoma F Dryland P Thangna16. Phurba M Dryland Thangna17. Pinchu F Dryland Thangna18. Prekarmo F Dryland Thangna19. Rinchenmo F Dryland Thangna20. Sumchumo F Dryland Thangna21. Tawla M Dryland Thangna22. Tsheri Wangmo F Dryland P Thangna23. Tshering Lham F Dryland P Thangna24. Tshering Pemo F Dryland P Thangna25. Wangchuk M Dryland P Thangna26. Zangmo F Dryland Thangna
List of households whose Irrigati n Channels are affected, Druijygang, DaganName- # Male/female'.- -O -Rich/Poor 4C'", VilageA. 4'
1. Chachmo F P Thangna2. Chakola M Thangna3. Changki F P Thangna4. Dhan Bahadur Bandri M Thangna5. Gyem Lhamo F P Thangna6. Gyemchamo F Thangna7. Gyemlhamo F P Thangna8. Jachumo F P Thangna9. Kaleymo F P Thangna10. Khandu M P Thangna11. Khepa P Thangna12. Kinley Pemo F Thangna13. Labtangmo F P Thangna14. Lhamo F P Thangna15. Luku Thangna16. Megsharmo F Thangna17. Nado/Lhamo Thangna18. Nado/Pemo F Thangna19. Nakhomo F Thangna20. Naley P Thangna21. Naleymo F P Thangna22. Nima Tshering M Thangna23. Pewangmo F Thangna24. Phuntsho F Thangna25. Phurba M Thangna26. Puekarmo F P Thangna27. Ran Bdr. Tamang M Thangna28. Rinchenmo F P Thangna29. Rinzin Pemo F Thangna30. Sangaymo F Thangna31. Saw Bdr Gurung M Thangna32. Tashimo F Thangna
58
33. Towla M Thangna34. Tsham Dubba M Thangna35. Zangmo F Thangna
59
riI
i
I
Annexure 2:Socio-economic Survey Format & Questionnaire for RAP 11 Roads Projects
I BACKGROUND INFORMATION
Name of the Road: I)rujeyvang - Baluii-. Total length 42.50 kms
Alignment of road for proposed work: From Drujeygang to Phuenlsumgang
Date of survey 9, 10, 11 January, 2006
Names of surveyors/Enumerators(1) K.B. Basnet (2) S. Tsherinig Yangcheni (3) Gup SheuLib Doiji (4) Tshogpa Norbu (5)Chimmi Karma Samdrup
1. Does the road need to acquire lands, houses or other private properties of the people for itsimprovement? No
2. Does the road impact houses/assets or other private properties? No
3. Is the acquisition of land based on voluntary donation? Ycs
4. Will any of the affected households lose 25% or more of their owned land or income due toproject interventions or any affected family who will lose a residential house as aconsequence of the project? No
5. Will the road adversely impact livelihoods? No
6. Are there any impacts on common property resources (religious or cultural structures)? No
7. Are there any adverse impacts on vulnerable groups in the community? No
Names of respondents (Please attach list)1 I23
8. Location and physical characteristics of road: Identify locations on strip map of road (showland use, land ownership i.e. private land, public land and community resources/properties,and human settlement/density of households showing villages. This has to be completed ona road design map for each road/project intervention.
60
2 SOCIO-ECONOMIC INFORMATION
9. Does the road pass through village settlements? Yes
9.1 If yes, please provide the following information in the table below:
Geog Name of village Total No. of hhs in No. of wvomen headed hhsvillage
Drujeygang Thangna 95 60Tshangkha Budeychu 16 I
Petakha 62 6Zinchulla 35 4Nobding 9 0Banderchu 15 0Tshangkhatar 40 20Tajey 3 0
Lajab Galeychu 6 0Campgoan/Kompa 22 4Manidara 3 0Seepa 19 3Bana 18 4Yechephu 17 5Phuensumgang 3 2Balung 21 16
Total
10.0 Does the road construction need to acquire lands, houses or other private properties of thepeople for its improvement? No
If yes, fill in the following tables:-
10.1 Impacts on land
. -]4.t ;; * - Ngalong K-heng Sh L hotshonipa
ih'n--A iRis.9-; srSn archop32in Tshangkha 7 4 21 12
28 in Lajab 5 4 19 9
27 Drujeygang - 27 - 2
10.2 Impacts on structures
61
(1) Total hhs losing Ethnicir. b Nt ot voomen lheadedstructures Nof) No o h.h kv ethnit Iosing households losing structures
structures)Ntvalon Khenu Sh| L Ilhuiini p.
C,rc holp
-Nil Nil Nil -- Nil Nil
10.3 Impacts on livelihoods
(1) Total hhs losing Ethnicity* No. of women headedlivelihoods (No.) (No. of h/h by ethnicity losing households losing
livelihoods) livelihoodsNgalong Kheng Sha Lhotshompa
rchopNil Nil Nil Nil Nil
10.4 Is the acquisition of land based on voluntary donation? Yes
10.5 If yes, how much has been acquired (specify approximate acreage)(Attach copies of the Memorandum of Undlerstanding signed with persons voluntarily contributingland)- land will be acquired7.
10.5 Will any of the affected households lose 25% or more of their owned land or income due toproject interventions or any affected family who will lose a residential house as a consequence of theproject? No
If yes, list down the affected families by impact category
Village -N&offafni1ies`-:--- No: of farhilies' ota iTes - NW omen-' -*,i * dlosingUresiueni > - householIds
:4 'house -'-land -dng0A is# -=Nil Nil Nil Nil Nil
11.0 In case of such affected households what could be the mitigation measures(resettlement/rehabilitation) to be adopted by the Dzongkhag? Please specify.No resettlement/rehabilitation required.
12.0 What community resources and systems the road will adversely affect. Please list them in thetable below:
No. Community _ . ,-Uni@; [Quantity Remarks (Spcify)Resources/Properties -iv7-- 4 . .r , -
1. Community forests (including No. No idea
62
sokshing)
2. Community and private No. 10 7 in l)ruje-an (privatc. Iirrigation in Tshangkha & 2 in Ld jab
3. Drinking water source and No. 7 'shangkha & Pctakhasystem village
4. Schools No. Nil
5. Public buildings No. Nil
6. Temple No. Nil
7. Others (specify) No Nil
13. Does the road provide better access to health facilities? YesIf yes, how and in what way? Please specify.Easy access to health services with reduced travel time, referral to hospitals will be faster andeasier with road. Construction of ORC in each village could be initiated. Due to remoteness andhigh transportation cost therc are no ORCs in most villages. P'resently, the BI-IU staffs use theTshzogpas' houses for their monthly visit to provide vaccination and immunization.Transportation of drugs will be easier and faster.
14. Does the road provide better access to schools, education and communication?YesIf yes, how and in what way? Please specify.Possibility for up gradation of schools in the geog (students do not have to go to other schoolsoutside the geog which is more expensive). More trained teachers would prefer to join schools ifthere are road services. Transportation of stationeries, furniture and other items would be easier.Farmers will be relieved from providing manpower for such activities.
15. How would the poor and disadvantaged people benefit from the road and to what extent?The road will provide better job opportunities as wage laborers during and after construction forcash income. Small marketable surpluses could be sold more easily with the road. 'I'he access tohealth and education will improve with road.
16. What are the potential income generating activities in the area following construction of theroad? Please list them in detail.D)airy farming: The project road areas have high number of cattle and almost all houscholdshave a minimum of 1-2 milking cows. l)ue to market problem, livestock products like cheeseand butter are sold in the villages at low prices. One of the major sources of income for thefarmers is from the sale of livestock products.
17. Would the road promote marketing opportunities of local produce?Yes
If yes, how that would happen? Please elaborate.
63
atirketing of' cash crops mainly oranges aind potatoes Wou!d he casieS. At present, fa-rmers scllthirli produce (orchard) to thie contractors DlUe to distanit roa(i hlead. the fhai-ners arc paid verylow price. Farmcers can sell oranges at good prices otncc thc road is constrUcted. Similarly,rnarkc-ting ol' livestock prrodLucts an(d the *ecgetables Would be mulch easier with road.
18. Are people ready to cooperate in the project? YesIf yes or no - why? Please elaborate.The beneficiaries are willing to cooperate f'ully tor the sake of road. '['hey have even agreed tovolLintarily contribute their land for road construction wvithout any compensation flom thegovernment. Even during construction and maintenanice phase, the farmers are willing toprovide required support as and when reqtIired and as per the directives of the concernedauthorities.
19. How would the project benefit women, children and vulnerable groups? Please specify in detail.Long walking distance to market, school and health facilities are major problems for this groupof people. In some villages, the students have to travel for more than two hours to reach theschool. Marketing of farm produce is very difficult and most people produce for their ownconsumption only. Sick people have difficulty going to BHU or the hospital due to long walkingdistance and difficult terrain. If the road is constructed, they will have easy access to thesefacilities.
20. Are there disputes, which might hinder/delay successful accomplishment of proposedroadwork? No
If yes, how could these be resolved? How can the ownership by locals be ensured?No disputes are foreseen at this stage
3 LOCAL COMMUNITY MOBILISATION
1) Are there already established groups similar to Road User Committee and Road User Group(RUG)? No
If yes, how active are these groups? Please specify.
2) If no, would people like to form RUC? Yes
3) If yes, how would these Committees be formed? What would be their role in road works?Please specify.
People are willing to form committee/groups if it helps the community as a whole. Since they donot have any experiences of having such committee in the geog they need guidance from thegovernment on the roles and responisibilities to be provided by the people.
4) In what way social mobilization and community participation could be enhanced for theimprovement of people's livelihood.
64
With the decentralized approach of acti\ itics at the ,geog level. the gcog representatives fecl thatit voVLIld be theil- responsibility to be involved in the prloject as k ell althoughll the work \ ill begiven to the contractors. l1-hev would like to enlsUIre that the workers reqLuircd by the contractorslor the road construction are (givein pretcrence friom the geogs and if' cqLlired additional mray berecruited fi-om other geogs or outsidc.
The farmers from thle project gcogs have shown interest to work in the road conlstructioin forcash income and there are few skilled workers (masons and carpenters) as well. 'I'he road wouldeven provide employment opportunities for the stidents during winiter vacation.
C'ommunity participation could be improved through creating better awareness on their rolesand responsibilities. Training and exposure will also help. The GYT xwill play a very importantrole on this.
Name of respondents.
Tshangkha gewog, DaganaName- Affected land/property -Poor- Village
1. Mrs. Dungchimo Wetland P Budeychu2. Mr. Maita Bdr. Subba Wetland Budeychu3. Mr. Damber Singh Mongar Wetland Budeychu4. Mr. Kharga Bdr. Mongar Dryland Budeychu5. Mr. Leki Wetland P Budeychu6. Mr. Lokman Tamang Dryland Petakha7. Mrs. Renuka Chhetri Dryland P Petakha8. Mrs. Chandri Maya Tamang Dryland P Petakha9. Mr. Kaman Singh Tamang Dryland Petakha10. Mrs. Rupa Tamang Dryland P Petakha11. Mr. Chechey Dryland P Petakha12. Mr. Dil Bdr. Tamang Dryland Petakha13. Mr. Jit Bdr. Tamang Dryland Petakha14. Mr. Buddhiman Tamang Dryland Petakha15. Mr. Ram Bdr. Tamang Dryland Petakha16. Mrs. Kamala Devi Rai Dryland P Banderchu17. Mrs. Pema Lhamo Wetland P Banderchu18. Mr. Padma KumarThapa Wetland Banderchu19. Mr. Kesher Bdr. Thapa Dryland Banderchu20. Mr. Bakhad Bdr. Neopani Wetland/Dryland Zinchulla21. Mrs. Phurba Lham Dryland P Zinchulla22. Mr. Tula Ram Kadera Dryland Zinchulla23. Mr. Nandalal Orari Wetland/Dryland Zinchulla24. Mr. Kesher Bdr. Rai Dryland Zinchulla25. Mr. Dhendup Dryland P Zinchulla26. Mr. Wangdi Dryland Zinchulla27. Mr. Pasang (A) Dryland Tshangkhatar28. Mrs. Shabkey Lham Dryland P Tshangkhatar29. Mrs. Tshomo Dryland Tshangkhatar30. Mrs. Tandi Om Dryland P Tshangkhatar31. Mr. Pasang (B) Dryland Tshangkhatar32. Mr. Jagat Bdr. Tamang Dryland P Tajey
65
Lajab Gewog, Dagana1. Mr. Karna Bdr. Subba Dryland Galeychu2. Mr. Nar Bdr. Gurung Dryland Kompa3. Mr. Man Bdr. Bhattarai Dryland/Wetland Campgoan4. Mr. Tshering Dorji Dryland P Campgoan5. Mr. Kul Bdr. Gurung Dryland Campgoan6. Mr. Buddhim Mongar Dryland P Campgoan7. Mr. Kharka Singh Gurung Dryland Campgoan8. Mr. Nandalal Gurung Dryland/Wetland Campgoan9. Mrs. Norbu Om Dryland/Wetland P Campgoan10. Mr. Garjaman Rai Wetland P Seepa11. Mrs. Mani Dem Dryland P Seepa12. Mrs. Pem Zam Dryland P Seepa13. Mr. Sonam Dryland P Seepa14. Mr. San Bdr. Rai Dryland Manidara15. Mr. Buddhiman Rai Cardamom field Manidara16. Mr. Tshering Gyeltshen Wetland Manidara17. Mr. Garjaman Gurung Dryland Bana18. Mr. Jit Bdr Gurung Dryland P Bana19. Ms. Cheku Lham Dryland Bana20. Mr. Ram Kumar Gurung Dryland Bana21. Mr. Nakchung Dryland Bana22. Mrs. Tshering Zam Dryland Bana23. Mr. Lal Bdr. Gurung Cardamom field Yechephu24. Mr. Prem Bdr. Gurung Dryland Yechephu25. Mr. Gopal Singh Gurung Wetland Yechephu26. Mr. Dal Bdr. Gurung Dryland Yechephu27. Mr. Kaluram Gurung Dryland Yechephu28. Mrs. Gyem Lham Wetland Balung
Drujeygang Gewog, Dagana
Name Male/Female -. Affected . Poor Vilage yptr,'-land/property
1 . Adeo M Dryland Thangna2. Bumpamo F Orchard P Thangna3. Chakola M Orchard Thangna4. Deki F Orchard Thangna5. Keshimo M Orchard Thangna6. Khandu F Wetland P Thangna7. Kinzang Lhamo F Wetland P Thangna8. Lhamchumo F Wetiand P Thangna9. Luku M Dryland Thangna10. Meckshamo F Dryland P Thangna11. Makhoma F Dryland Thangna12. Ochamo F Dryland P Thangna13. Oktoma M Dryland P Thangna14. Panglemo F Dryland P Thangna15. Pegoma F Dryland P Thangna16. Phurba M Dryland Thangna17. Pinchu F Dryland Thangna18. Prekarmo F Dryland Thangna19. Rinchenmo F Dryland Thangna20. Sumchumo F Dryland Thangna21. Tawla M Dryland Thangna22. Tsheri Wangmo F Dryland P Thangna23. Tshering Lham F Dryland P Thangna
66
24. Tshering Pemo F Dryland P Thanqna25. Wangchuk M Dryland P Thangna26. Zangmo F Dryland Thangna
List of households whose Irrigation Channels are affected, Drujeygang, DaganaName Male/lemale Rich/Poor Village
1. Chachmo F P Thangna2. Chakola M Thangna3. Changki F P Thangna4. Dhan Bahadur Bandri M Thangna5. Gyem Lhamo F P Thangna6. Gyemchamo F Thangna7. Gyemlhamo F P Thangna8. Jachumo F P Thangna9. Kaleymo F P Thangna10. Khandu M P Thangna11. Khepa P Thangna12. Kinley Pemo F Thangna13. Labtangmo F P Thangna14. Lhamo F P Thangna15. Luku Thangna16. Megsharmo F Thangna17. Nado/Lhamo Thangna18. Nado/Pemo F Thangna19. Nakhomo F Thangna20. Naley P Thangna21. Naleymo F P Thangna22. Nima Tshering M Thangna23. Pewangmo F Thangna24. Phuntsho F Thangna25. Phurba M Thangna26. Puekarmo F P Thangna27. Ran Bdr. Tamang M Thangna28. Rinchenmo F P Thangna29. Rinzin Pemo F Thangna30. Sangaymo F Thangna31. Saw Bdr Gurung M Thangna32. Tashimo F Thangna33. Towla M Thangna34. Tsham Dubba M Thangna35. Zangmo F Thangna
67
Annexure 2.1:Socio-economic Survey Format & Questionnaire for RAP II Roads Projects
1 BACKGROUND INFORMATION
1. Name of the Road: Jangcholing - Tashidingkha. ..Total length 14.30 kms
2. Alignment of road for proposed work: From Jangchocholing to Tashidingkha
3. Date of survey: 12, 17, and 18 January, 2006
4. Names of surveyors/Enumerators(1) Ms. Tshering Yanghcen (2 Gup Phub Tshering (3) Mang- Ap Gyem Dorji (4)
Gup Dep Tshewang (5) Chimmi Sangey Penjore
1. Does the road need to acquire lands, houses or other private properties of the people for its
improvement? No
2. Does the subproject impact houses/assets or other private properties. No
3. Is the acquisition of land based on voluntary donation? Yes
4. Will any of the affected households lose 25% or more of their owned land or income due to
project interventions or any affected family who will lose a residential house as a
consequence of the project? No
5. Will the project adversely impact livelihoods? No
6. Are there any impacts on common property resources (religious or cultural structures). No
7. Are there any adverse impacts on vulnerable g-roups in the community? No
Names of respondents: See attached list below.
8. Location and physical characteristics of road: Identify locations on strip map of road (showland use, land ownership i.e. private land, public land and community resources/properties. This
has to be completed on a road design map for each road/project intervention.
2 SOCIO-ECONOMIC INFORMATION
9. Does the road pass through village settlements? No (close to the village mostly through theforest) No.
9.1 If yes, please provide the following information in the table below:
No Name of village .- ::Geog . .Total, No. -of hhs No: of women headed hhsqinyillage;--. *
68
10.0 Does the road construction need to acquire lands, houses or other private properties of thepeople for its improvement? No
If yes, fill in the following tables:-
10.1 Impacts on land(1) Total Households Ethnicity* No. of women headedlosing land (No.) (No. of h/h by ethnicity losing land) households losing land
Nil Nil INil Nil NilIn a village if there are for e.g. Ngalongpa, Sharchokpa and Lhotsampa people, number of h/h fromthese groups affected to be noted in relevant sub-columns.
10.2 Impacts on structures
(1i)Total hhs losing , rEthn i t -n -2 _No.-.ofSwo9penheaded*' 1
istructures(No.) (No. of' ethnicity losing structures) Iosingstructures 'Nil Nil I Nil Nil Nil
In a village if there are for e.g. Ngalongpa, Sharchokpa and Lhotsampa people, number of h/h fromthese groups affected to be noted in relevant sub-columns.
10.3 Impacts on livelihoods
(1'):Total Hhs]losing pew hEthi - . N=4of;worneyrieaded -( livelihoods (. -- ht --byethnicityifosin live ihoods)- losingl ivelihoods .
Nil Nil I Nil Nil NilIn a village if there are for e.g. Ngalongpa, Sharchokpa and Lhotsampa people, number of h/h fromthese groups affected to be noted in relevant sub-columns.
10.4 Is the acquisition of land based on voluntary donation? Yes
If yes, how much has been acquired (specify approximate acreage)(Attach copies of the Memorandum of Understanding signed with persons voluntarily contributingland).
10.5 Will any of the affected households lose 25% or more of their owned land or income due toproject interventions or any affected family who will lose a residential house as a consequence ofthe project? No
If yes, list down the affected families by impact category
Village,; N "of far i le ffmiis ~womefl,
11.0 In case of such affected households what could be the mitigation measures(resettlement/rehabilitation) to be adopted by the Dzongkhag? Please specify. No affected hhs
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12.0 What community resources and systems the road will adversely affect. Please list them in thetable below:
No. Community Resources/Properties Unit Quantity Remarks (Specify)
1. Community forests (including sokshing) No. Nil
2. Community irrigation No. Nil
3. Drinking water source and system No. Nil
4. Schools No. Nil
5. Public buildings No. Nil
6. Temple No. Nil
7. Others (specify) No. Nil
13. Does the road provide better access to health facilities? YesIf yes, how and in what way? Please specify.The BHU is planned to be upgraded after the road. Emergency cases could be more efficiently.The health services will improve through visits by health professionals and provision ofmedicines.
1. Does the road provide better access to schools, education and communication?YesIf yes, how and in what way? Please specify.With road the services will improve through placement of more qualified teachers, reduced costof expenses to parents, better feeding programmes. The enrollment especially of the girls isexpected to improve. The communication will also improve through access to telephones andpostal services.
2. How would the poor and disadvantaged people benefit from the road and to what extent?The poor can gain employment after the road due to increased economic activities. Theopportunity for alternative income sources will increase.
3. What are the potential income generating activities in the area following construction of theroad? Please list them in detail.1. Cultivation of cash crops including vegetables and fruits.2. Production of vegetable seeds3. Harvesting of medicinal herbs.4. Backyard poultry and piggery rearing.
4. - Would the road promote marketing opportunities of local produce?Yes
If yes, how that would happen? Please elaborate.The buyers can easily reach the villages. Transportation cost will reduce. Commodity could besent out quickly.
5. Are people ready to cooperate in the project? YesIf yes or no - why? Please elaborate.
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The cv'n:vnun,, expressed the benefit of the road saying that the road brings all the requireddevelopment to their villages - better access to services on health, education, and market.They expect to increase their cash incomes and improvement in their living standard.
6. How would the project benefit women, children and vulnerable groups? Please specify in detail.The focus group women expressed that their chances of generating cash income will increasedue to better employment opportunities. Rich households will be more activities and they canwork for them. Small surpluses could be easily sold.
Are there disputes, which might hinder/delay successful accomplishment of proposed f roadwork?No
If yes, how could these be resolved? How can the ownership by locals be ensured?
Ownership can be ensured through continuous consultations and addressing their needs as theproject progresses.
3 LOCAL COMMUNITY MOBILISATION
1) Are there already established groups similar to Road User CommiUtee and Road UserGroup (RUG)? NoIf yes, how active are these groups? Please specify.There are few water user associations but these are not very active.
2) If no, would people like to form RUC? Yes
3) If yes, how would these Committees be formed? What would be their role in road works?Please specify.
The direct beneficiaries would like want to form groups in consultation with the Gup and thevillage representatives. Usually the beneficiaries including the village elderly get together andmeet in a Zomdue and discuss and form such association. The chairperson is elected amongthem. If financial aspect is involved, then they select a treasurer too for keeping the record offunds. Such a body is expected to monitor the road condition and initiate maintenance work if itinvolves minor repairs and maintenance.
4) In what way social mobilization and community participation could be enhanced for theimprovement of people's livelihood.
It can be improved through increased awareness, training, study visits to successfulcommunities and facilitation.
Name of the respondentsSi No Name I. ,- V-O- Vllage.; i, -c ; .
1. Mr. Kencho Godang2. Mr. Gyem Dorji Godang3. Mr. Nima Godang4. Mr. Gaku Godang5. Mr. Phupa Godang6. Mr. Phupa Godang7. Mr. Phub Dorji Godang8. Mrs. Samgay Om Godang9. Mrs. Pasang Gem Godang
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10. Mr. Namgay Godang11. Mr. Pasang Dorji Chubar12. Mr. Tshering Penjor Chubar13. Mr. Sangay Penjor Tashidingkha14. Mrs. Kinley Sithub Tashidingkha15. Mr. Namgyel Tashidingkha16. Mr. Khandu Gonpa17. Mr. Goley Gonpa18. Mr. Mani Dorji Gonpa19. Mrs. Yanka Yelbagang20. Mrs. Tshering Dolma Yelbagang21. Mrs. Kumbu Dolma Yelbagang22. Mr. Chagay Yelbagang23. Mrs. Phub Gem Yelbagang24. Mrs. Sangay Lham Yelbagang25. Mr. Lham Rinzin Yelbagang26. Mrs. Kunzang Dema Yelbagang27. Mr. Rinchen Tshering Yelbagang28. Mrs. Nim Dem Yelbagang29. Mrs. Sangay Om Tokaling30. Mrs. Pasang Tokaling31. Mrs. Dhram Tokaling32. Mrs. Phub Dem Tokaling33. Mrs. Tshewang Dem Tokaling34. Mrs. Pema Lhamo Tokaling35. Mr. Sangay Tokaling36. Mrs Om Tokaling37. Mrs. Sigay Tokaling38. Mrs. Sangay Dem Tokaling39. Mrs. Pema Lham Tokaling40. Mr. Dhau Ridha41. Mrs. Wangen Ridha42. Mrs. Phub Dem Ridha43. Mrs. Gordha Ridha44. Mrs. Dawa Pem Ridha45. Mr. Kaka Ridha46. Mr. Khandu Ridha47. Mrs. Doenchum Ridha Gonpa48. Mrs. Nim Chuzam Ridha Gonpa49. Mrs. Daw Pem Ridha Gonpa50. Mrs. Rinchen Dem Ridha Gonpa51. Mrs. Tashi Budha Tasha52. Mrs. Phub Pem Tasha53. Mrs. Dema Tasha54. Mrs. Namgay Tasha55. Mrs. Doma Tasha56. Mr. Sangay Dorji Tasha
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Annexure 3:Social Screening Format for Road Projects RAP 11 (SAF)
Background Information
1. Name of road: Drujevgang -Balung Road
Total length: 42.50 kms
2. Alignment of road for proposed work: From Drujegang to Balung
3. Date of survey 9, 10, 11 January, 2006
4. Names of surveyors:
(1) K.B. Basnet (2) S. Tshering Yangchen (3) Gup Sherub Dorji (4) Tshogpa Norbu (5)
Chimmi Karma Samdrup (6)
Social Impacts
1) Does the subproject need to acquire lands, houses or other private properties of the people for
its improvement? No
2) Does the subproject impact houses/assets or other private properties. No
3) Is the acquisition of land based on voluntary donation? No
4) Will any of the affected households lose 25% or more of their owned land or income due to
project interventions or any affected family who will lose a residential house as a
consequence of the project ? No
5) Will the subproject adversely impact livelihoods. No
6) Are there any impacts on common property resources (religious or cultural structures). No
Are there any adverse impacts on vulnerable groups in the community? No
Names of respondents (Please attach list)List attached at the end.
6. Location and physical characteristics of road: Identify locations on strip map of road (show land
use, land ownership i.e. private land, public land and community resources/properties. This has to becompleted on a road design map for each road/project intervention.
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Name of respondentsshangkha gewog, Dagana
Name Affected land/property Poor Village1. Mrs. Dungchimo Wetland P Budeychu2. Mr. Maita Bdr. Subba Wetland Budeychu3. Mr. Damber Singh Mongar Wetland Budeychu4. Mr. Kharga Bdr. Mongar Dryland Budeychu5. Mr. Leki Wetland P Budeychu6. Mr. Lokman Tamang Dryland Petakha7. Mrs. Renuka Chhetri Dryland P Petakha8. Mrs. Chandri Maya Tamang Dryland P Petakha9. Mr. Kaman Singh Tamang Dryland Petakha10. Mrs. Rupa Tamang Dryland P Petakha11. Mr. Chechey Dryland P Petakha12. Mr. Dil Bdr. Tamang Dryland Petakha13. Mr. Jit Bdr. Tamang Dryland Petakha14. Mr. Buddhiman Tamang Dryland Petakha15. Mr. Ram Bdr. Tamang Dryland Petakha16. Mrs. Kamala Devi Rai Dryland P Banderchu17. Mrs. Pema Lhamo Wetland P Banderchu18. Mr. Padma KumarThapa Wetland Banderchu19. Mr. Kesher Bdr. Thapa Dryland Banderchu20. Mr. Bakhad Bdr. Neopani Wetland/Dryland Zinchulla21. Mrs. Phurba Lham Dryland P Zinchulla22. Mr. Tula Ram Kaderia Dryland Zinchulla23. Mr. Nandalal Orari Wetland/Dryland Zinchulla24. Mr. Kesher Bdr. Rai Dryland Zinchulla25. Mr. Dhendup Dryland P Zinchulla26. Mr. Wangdi Dryland Zinchulla27. Mr. Pasang (A) Dryland Tshangkhatar28. Mrs. Shabkey Lham Dryland P Tshangkhatar29. Mrs. Tshomo Dryland Tshangkhatar30. Mrs. Tandi Om Dryland P Tshangkhatar31. Mr. Pasang (B) Dryland Tshangkhatar32. Mr. Jagat Bdr. Tamang Dryland P Tajey
Lajab gewog, Dagana1. Mr. Kama Bdr. Subba Dryland Galeychu2. Mr. Nar Bdr. Gurung Dryland Kompa3. Mr. Man Bdr. Bhattarai Dryland/Wetland Campgoan4. Mr. Tshering Dorji Dryland P Campgoan5. Mr. Kul Bdr. Gurung Dryland Campgoan6. Mr. Buddhim Mongar Dryland P Campgoan7. Mr. Kharka Singh Gurung Dryland Campgoan8. Mr. Nandalal Gurung Dryland/Wetland Campgoan9. Mrs. Norbu Om Dryland/Wetland P Campgoan10. Mr. Garjaman Rai Wetland P Seepa11. Mrs. Mani Dem Dryland P Seepa12. Mrs. Pem Zam Dryland P Seepa13. Mr. Sonam Dryland P Seepa14. Mr. San Bdr. Rai Dryland Manidara15. Mr. Buddhiman Rai Cardamom field Manidara16. Mr. Tshering Gyeltshen Wetland Manidara17. Mr. Gariaman Gurung Dryland Bana18. Mr. Jit Bdr Gurung Dryland P Bana
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19. Ms. Cheku Lham Dryland Bana20. Mr. Ram Kumar Gurung Dryland Bana21. Mr. Nakchung Dryland Bana22. Mrs. Tshering Zam Dryland Bana23. Mr. Lal Bdr. Gurung Cardamom field Yechephu24. Mr. Prem Bdr. Gurung Dryland Yechephu25. Mr. Gopal Singh Gurung Wetland Yechephu26. Mr. Dal Bdr. Gurung Dryland Yechephu27. Mr. Kaluram Gurung Dryland Yechephu28. Mrs. Gyem Lham Wetland Balung
Dru evgan. DaganaName Male/Female Affected Poor Village
land/property1. Adeo M Dryland Thangna2. Bumpamo F Orchard P Thangna3. Chakola M Orchard Thangna4. Deki F Orchard Thangna5. Keshimo M Orchard Thangna6. Khandu F Wetland P Thangna7. Kinzang Lhamo F Wetland P Thangna8. Lhamchumo F Wetland P Thangna9. Luku M Dryland Thangna10. Meckshamo F Dryland P Thangna11. Makhoma F Dryland Thangna12. Ochamo F Dryland P Thangna13. Oktoma M Dryland P Thangna14. Panglemo F Dryland P Thangna15. Pegoma F Dryland P Thangna16. Phurba M Dryland Thangna17. Pinchu F Dryland Thangna18. Prekarmo F Dryland Thangna19. Rinchenmo F Dryland Thangna20. Sumchumo F Dryland Thangna21. Tawla M Dryland Thangna22. Tsheri Wangmo F Dryland P Thangna23. Tshering Lham F Dryland P Thangna24. Tshering Pemo F Dryland P Thangna25. Wangchuk M Dryland P Thangna26. Zangmo F Dryland Thangna
List of households whose Irrigation Channels are affec ted. Drujeyganci. Dagana,__,__-Name . ~Male/female l Rich/Poor VillageRs-> A4
1. Chachmo F P Thangna2. Chakola M Thangna3. Changki F P Thangna4. Dhan Bahadur Bandri M Thangna5. Gyem Lhamo F P Thangna6. Gyemchamo F Than,na7. Gyemlhamo F P Thangna8. Jachumo F P Thangna9. Kaleymo F P Thangna10. Khandu M P Thangna11. Khepa P Thangna12. Kinley Pemo F Thangna13. Labtangmo F P Thangna
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14. Lhamo F P Thangna15. Luku Thangna16. Megsharmo F Thangna17. Nado/Lhamo Thangna18. Nado/Pemo F Thangna19. Nakhomo F Thangna20. Naley P_ _ Thangna21. Naleymo F P Thangna22. Nima Tshering M Thangna23. Pewangmo F Thangna24. Phuntsho F Thangna25. Phurba M Thangna26. Puekarmo F P Thangna27. Ran Bdr. Tamang M Thangna28. Rinchenmo F P Thangna29. Rinzin Pemo F Thangna30. Sangaymo F Thangna31. Saw Bdr Gurung M Thangna32. Tashimo F Thangna33. Towla M Thangna34. Tsham Dubba M Thangna35. Zangmo F Thangna
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Annexure 3.1:Social Screening Format for Road Projects RAP II (SAF)
Background Information
1. Name of road: JanghchLCholing - Tashidingklha Road (Wangduephodrang)Total length: 14.30 kms
2. Alignment of road for proposed work: From Jangchucholing to Tashidingkha Road
3. Date of survey 12, 17, 18 January, 2006
4. Names of surveyors:(1) Ms. Tshering Yanghcen (2 Gup Phub Tshering (3) Mang- Ap Gyem Dorji (4)
Gup Dep Tshewang (5) Chimmi Sangey Penjore
Social Impacts
1) Does the subproject need to acquire lands, houses or other private properties ofthe people for its improvement? No
2) Does the subproject impact houses/assets or other private properties. No
3) Is the acquisition of land based on voluntary donation? Yes
4) Will any of the affected households lose 25% or more of their owned land orincome due to project interventions or any affected family who will lose a residentialhouse as a consequence of the project ? No
5) Will the subproject adversely impact livelihoods? No
6) Are there any impacts on common property resources (religious or culturalstructures). No
7) Are there any adverse impacts on vulnerable groups in the community? No
Names of respondents (Please attach list)
List attached.
6. Location and physical characteristics of road: Identify locations on strip map of road (show land
use, land ownership i.e. private land, public land and community resources/properties. This has to
be completed on a road design map for each road/project intervention.
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Name of the respondents, Dangchu
SI No Name Village1. Mr. Kencho Godang2. Mr. Gyem Dorji Godang3. Mr. Nima Godang4. Mr. Gaku Godang5. Mr. Phupa Godang6. Mr. Phupa Godang7. Mr. Phub Dorji Godang8. Mrs. Samgay Om Godang9. Mrs. Pasang Gem Godang10. Mr. Namgay Godang11. Mr. Pasang Dorji Chubar12. Mr. Tshering Penjor Chubar13. Mr. Sangay Penjor Tashidingkha14. Mrs. Kinley Sithub Tashidingkha15. Mr. Namgyel Tashidingkha16. Mr. Khandu Gonpa17. Mr. Goley Gonpa18. Mr. Mani Dorji Gonpa19. Mrs. Yanka Yelbagang20. Mrs. Tshering Dolma Yelbagang21. Mrs. Kumbu Dolma Yelbagang22. Mr. Chagay Yelbagang23. Mrs. Phub Gem Yelbagang24. Mrs. Sangay Lham Yelbagang25. Mr. Lham Rinzin Yelbagang26. Mrs. Kunzang Dema Yelbagang27. Mr. Rinchen Tshering Yelbagang28. Mrs. Nim Dem Yelbagang29. Mrs. Sangay Om Tokaling30. Mrs. Pasang Tokaling31. Mrs. Dhram Tokaling32. Mrs. Phub Dem Tokaling33. Mrs. Tshewang Dem Tokaling34. Mrs. Pema Lhamo Tokaling35. Mr. Sangay Tokaling36. Mrs Om Tokaling37. Mrs. Sigay Tokaling38. Mrs. Sangay Dem Tokaling39. Mrs. Pema Lham Tokaling40. Mr. Dhau Ridha41. Mrs. Wangen Ridha42. Mrs. Phub Dem Ridha43. Mrs. Gordha Ridha44. Mrs. Dawa Pem Ridha45. Mr. Kaka Ridha46. Mr. Khandu Ridha47. Mrs. Doenchum Ridha Gonpa48. Mrs. Nim Chuzam Ridha Gonpa49. Mrs. Daw Pem Ridha Gonpa50. Mrs. Rinchen Dem Ridha Gonpa51. Mrs. Tashi Budha Tasha
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I52. Mrs. Phub Pem Tasha
53. Mrs. Dema Tasha54. Mrs. Namgay Tasha
55. Mrs. Doma Tasha
56. Mr. Sangay Dorji Tasha
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Anexure 4:Format for a Memorandum of Agreement for Voluntary Land Donation
Memorandum of Agreement between a land volunteer and the Department of Roads.
The following agreement has been made on ................... day of ...... between Mr./Ms........................................................................ ..................... Resident of ......
Geog .......... dzongkhag ......... the grandson/daughter of ............and son/daughter of .....................................
1) That the land with certificate no ............ is a part of ......... is surrounded fromeastern side by ................ western side by .................. on northernside, by ................................ and southern side by ...............
2) That the owner holds the transferable right of ........................................ (unit of land) ofland/structure/asset ......................................................................
3) That the owner testifies that the land/structure is free of squatters and encroachers, and is notsubject to any other claims.
4) That the owner hereby grants to the ................ this asset for the construction anddevelopment of a feeder road ........in ................ geog ..............dzongkhag supported by the Rural Access Project (RAP) II for the benefit of the community.
5) That the owner will not claim any compensation against the grant of this asset nor obstruct theconstruction process on the land in case of which he/she would be subject to sanctionsaccording to law and regulations.
6) That the GYT/DYT agrees to accept this grant of asset for the purposes mentioned.
7) That the GYT/DYT of .......... shall construct and develop the RAP 11 sub-project
8) and take all possible precautions to avoid damage to adjacent land/structure/other assets.
9) That both the parties agree that the RAPII sub-project so constructed shall be a communityasset.
10) That the provisions of this agreement will come into force from the date of signing of this deed.
Signature of the Owner Signature of Gup
Signature of the Tshogpa
Witness:
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Annexure 5:
Check List of Questions for focus group discussions - stakeholder consultations
ObjectivesThe main objectives of the group discussions/consultations are:
1) To discuss the project with beneficiary communities and seek their views and perceptions;
2) To identify social impacts and issues;
3) To review the extent to which geog members participated in the preparation of geog plans andcontinue to be involved in their implementation;
4) To review the extent of which vulnerable groups in these communities participated in thepreparation of the geog plans and will be involved in their implementation; and
5) To review current procedures and mechanisms for voluntary land donations.
Guidelines and Procedures
A) General Meeting (with primary stakeholders)
Primary Stakeholders include:
* Beneficiaries
* Poor and vulnerable groups
* Adversely impacted people (households losing land, home, assets or livelihoods)
* The Department of Roads (representative)
Conduct a general meeting with cross section of men and women in the community, includingpeople who may be affected by loss of land and those who had previous experience in donatingland.
1) Discuss the project proposal with the community.
2) Perceptions, expectations and participation of the community for the new road.
3) Amongst other important and immediate needs for the village, how the need for a road becamethe most important?
4) How was the need to build a road processed as a first step?
5) Is the road, a part of the 9th Plan? If so how was it planned?
6) What are the benefits from the road?
7) How do the community plan to participate during and after the project (in the planning,implementation and monitoring and maintenance/restoration works)
8) How will the loss of land/property affect the community? How can this be compensated?
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9) What problems (conflicts), constraints or opportunities are foreseen during construction of theroad?
10) If the alignment and then the road passes through a cultivated land, what opinions are formedand course of action taken to decide to part with the land.
1) Which type of households voluntarily or willingly give land for the road and which types donot (elicit criteria{by households, by wealth - income level and sources}, amount and type ofland given)? Are households genuinely willing to sacrifice land?
12) What is the view of community if the road displaces households?
13) What are the procedures for voluntary land donations?
B) Group meeting with affected persons (primary stakeholders)
Conduct a group meeting with the persons - those impacted by the facility. These persons may loseland, property and livelihoods. Provide details of public consultation held with affected people(names) whose land or property is affected by the road. People who had contributed land toprevious projects or whose lands might be affected should be identified during consultations.
Some of the guiding questions for the discussions could include:
1) What benefits will the facility bring you?
2) How will the loss of your land/property impact you?
3) How would you manage that impact?
4) What has the community decided in the meeting to discuss the impacts and what mode ofsettlement has been agreed?
5) If you cannot manage the impact, and if you are not satisfied with the community'smanagement plan, what support would you require? From whom?
6) If it was agreed that the impacted would not voluntarily contribute land but seek compensationthen describe the options that are open. For e.g. from the side of the government -compensation (in replacement land according to the Land Act, compensation according to theCompensation Rates (1996), relocation assistance etc.)
7) Agree with the impacted persons what their needs would be and discuss the time frame andprocedures to process compensation.
8) Record views and concerns of the vulnerable community members.
9) Describe issues that remain unresolved.
C) Individual Interviews/vulnerable groups
Conduct Separate meeting with the vulnerable groups. For individual interviews the respondentsshould be identified in consultation with the Gup or tshogpa.
* Vulnerable community members should be chosen based on the size of their landholding,food security, livelihoods and women whose husbands had expired or who had been divorcedand were responsible for the management of the household.
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* How will the road benefit the vulnerable groups
* Record adverse impacts to the vulnerable groups due to the road.
* Record views and concerns of the vulnerable community members.
D) List of persons met (focus group discussions, stakeholder meetings)
Participants of the focus group discussions and interviews (Dzongkhag ........... )
Name Male/Female Rich/Poor Village Gewog
List of affected households
Name -Affected t Rich/Poor Village--. Gewog-and/poperty. w V,; -- -8
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E) Consultations with the Secondary Stakeholders
Secondary stakeholders include:- local community based organizations (CBOs)- community representatives (Gup, Tshogpa, village elders)- Department of Planning, Planning Commission- Department of Survey & Land Records- Ministry of Agriculture- National Environment Commission
Check List of questions:
1. Discuss the project proposal
2. Perceptions, expectations and participation
3. Perceptions and concerns about the positive and negative social impacts of the project
4. What are the main social impacts and issues?
5. What are your roles and responsibilities for new roads construction?
6. What are your main interests as stakeholder?
7. Who are the potential beneficiaries?
8. Who may be adversely affected?
9. What are the mechanisms in place to address the adverse social impacts
10. What could be the possible mitigation strategies and measures to address the socialissues?
11. What are the current procedures and mechanisms for voluntary land donations
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Annexure 6. Work Plan for development of Social Assessment Framework (SAF) RAP 11
Activity January 2005 February 2006
Weeks 1 2 3 4 5 6 7 8
1.. Inception Report
2. Reviews/Desk study
3. Field Work Surveys = I4. Data Compilation, analysis and report writing
6. First Draft Report l
7. Final Report l
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Annexure 7DRAFT TERMS OF REFERENCE FOR DEVELOPING
A SOCIAL ASSESSMENT FRAMEWORKFor Follow up Project RAP II (World Bank Financing)
1. Introduction
The Department of Roads (DoR) under the Ministry of Works and Human Settlement(MoWHS) is seeking IDA support for financing construction of about 65-75 kilometer offeeder roads. The main objective of the project is to improve the access of ruralcommunities to markets, schools, health centers and other economic and socialinfrastructure, in order to improve the quality of life and productivity of projectbeneficiaries. The project will have a similar focus and follow similar implementationarrangements as the initial Road Access Project (RAP I), currently under implementation.Specifically it will comprise of two components: a physical component and a capacitybuilding and advisory services component.
2. Obiectives
The objective of the services that form the subject of these TOR are to: (i) reviewRGoB's current policies, operational procedures and practices to address and mitigatesocial issues including those related to gender; (ii) review the World Bank's socialsafeguard policies and guidelines and assess the compatibility of the core principles ofthe Royal Government of Bhutan's (RGoB) policies with World Bank policies andidentify any gaps; (iii) suggest measures for policy enhancements at the geog, dzongkhagand national levels where necessary; (iv) prepare a Social Impact ManagementFramework (SIMF) that details the guiding principles and methodology for screening allsubprojects for social impacts, identifies appropnrate measures to manage and mitigateadverse social impacts and outlines social documentation preparation requirements (e.g.Resettlement Action Plans).
3. Scope of Work
Review of Bhutan 's Land Acquisition and Social Assessment Policies and Practices. Areview of current RGoB policies, procedures and practices relating to land acquisitionand social issues and the World Bank's social safeguard policies OP 4.12 on InvoluntaryResettlement and OD 4.20 on Indigenous Peoples will be carried out to assess thecompatibility of the core principles of both set of policies and identify how to harmonizeand address any gaps. The review will identify areas that need modification andstrengthening and recommend measures for policy enhancements. Recommendations forpolicy enhancements where possible will be made within the context of the current legalframework in Bhutan and existing procedures and processes. The consultant willcoordinate this work with the World Bank's study on the use of country systems inBhutan.
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Assessment of Social Impacts and Risks. Since the proposed project will supportmultiple subprojects spread over three years, the detailed design of which may not beknown at project appraisal, a Social Impact Management Framework (SIMF) will beprepared. This Framework based on the findings of the Initial Social Assessment for firstyear subprojects will be included as a section of the SIMF. The objective of the SIMF istwofold. First, it will build upon the lessons learned from the initial Rural Access Project(RAP I) and define the overarching principles and processes for screening and assessingpotential social impacts, including impacts on, benefits to, and the participation of localbeneficiary communities in project preparation and implementation. It will defineimplementation, institutional, participatory monitoring and evaluation modalities, as wellas special measures to protect and ensure the inclusion of socially and economicallyvulnerable groups such as female headed households, ethnic groups, and people living inextreme poverty. Second it will define appropriate mitigation measures, and when socialsafeguard studies based on the guiding principles of RGoB's and the World Bank's socialsafeguard policies will need to be prepared (i.e. Resettlement Action Plans or VulnerableCommunities Development Plans). A detailed suggested outline for the SIMF is given inparagraph 5.
Voluntary Land Donation. Although no acquisition of privately owned land is expectedunder the proposed project, the SIMF should contain specific criteria for the acquisitionof land donated voluntarily by project beneficiaries. This will include provisions thatany impacts from voluntary land donation do not result in the displacement of people,any loss of incomes or livelihoods, and that people making the voluntary donations arebeneficiaries of the project. The proposed project should also ensure that the process ofvoluntary land donation is transparent and appropriately documented. Wheredisplacement or negative social/environmental impacts of an involuntary nature areunavoidable, the social assessment process will provide the basis for the requiredcompensation and rehabilitation of the affected people.
Impacts on Vulnerable Social Groups. The results of the Initial Social Assessment willidentify the presence of ethnic minorities in the subproject areas and whether the WorldBank's OD 4.20 on Indigenous Peoples is applicable. If the policy is applicable, ratherthan prepare individual site specific Vulnerable Communities Development Plans, theSIMF will include specific provisions and processes to ensure that issues associated withethnic and other vulnerable social groups are adequately addressed and modalitiesdefined to ensure their participation in decision making throughout the planning andimplementation phases of the project.
4. Methodolouy
The Consultant will carry out a desk review of relevant RGoB and World Bank Policiesand guidelines to address social issues, procedures and processes as well as to harmonizethese set of policies as discussed above. The desk review will be supplemented by somestakeholder consultations to: (i) develop a consultation framework for participatoryimplementation; (ii) identify all other relevant issues including those described above inthe scope of work.
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5. Output.
The Consultant will prepare a Social Impact Assessment Framework as detailed below.
All draft outputs will be reviewed and commented by DOR, the World Bank and SNV(Netherlands Development Organization). These comments should be suitably
incorporated into the final versions.
Social Impact Management Framework Outline
Acronyms
Executive Summary
Introduction* Project Description and Objectives* Project Components
Approach and Methodology* Objectives and Scope of the Social Impact Monitoring Framework
* Methodology and Tools
Socio-Economic Profile* Country Overview
Stakeholder Analysis and Consultation* Rationale* Methodology* Stakeholder Analysis and Consultation Strategy
Policies, Regulations and Guidelines* RGoB Land Acquisition Act and Regulations* Land Ownership and Tenure* World Bank Policies on Involuntary Resettlement and Indigenous Peoples
* Comparison of RGoB and World Bank Policies
Social Impact Management* Description and Social Development Outcomes* Social Screening* Socio-Economic Baseline* Social Impacts and Mitigation Arrangements
o Gender Issues and Impactso Impacts on the Poor and Other Vulnerable Social Groups
* Resettlement Policy Frameworko Principles and Objectives
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o Eligibility Criteriao Entitlement Policy Matrixo Voluntary Land Donation
* Vulnerable Communities Development Frameworko Principles and Objectiveso Participation and Mitigation Measures
Implementation Arrangementso Institutional Arrangementso Capacity Buildingo Monitoring and Evaluation
Annexes* Summary of Consultations* List of Consultation Participants* Social Screening Format* Socio-Economic Household Survey Questionnaire* Format of Memorandum of Understanding for Voluntary Land Donation
6. Reportingy and timing! of the assignment
The consultancy work including reporting is estimated to take about two months.
The consultant shall submit the draft report (in five fold) at the end of these months. Thecomments on the draft report from DoR, SNV and other stakeholder agencies shall beincorporated in the Final Report.
The final reports in five hard copies and a soft copy in CDs shall be submitted to DoRand SNV in two week's time after receipt of comments from DoR, SNV and otherstakeholder agencies.
7. Oualification & Experience of the consultant
Minimum Masters Degree in Social Studies with at least 5 years of professionalexperience in with social assessments and preferably working experience underHimalayan conditions, and ability to train other persons.
8. Submission of Proposal and criteria for award of the assignment
The consultant's proposal for the assignment shall include, but not limited to, thefollowing:
i) Copies of relevant documents like valid Trade License, (CDB) RegistrationCertificate, and Tax Clearance Certificate proving the firm's eligibility to carryout the assignment;
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ii) The company profile demonstrating the firm's ability to carry out the assignment.The information on the firm's experiences in similar projects in the recent pastshould also be provided;
iii) Details of the personnel proposed to be deployed for performing the assignment.Copies of Academic & Training Certificates, Experience Certificates andCurriculum Vitae should be attached;
iv) Tentative work plan/schedule and methodology proposed to be adopted forcarrying out the assignment;
v) Financial Proposal (in a separate sealed envelope), indicating the costs forcarrying out the assignment. The financial proposal should be inclusive of allitems of expenses that would be incurred in carrying out the assignment. Theproposal should reflect the cost-breakups indicating clearly all the items ofexpenses including remuneration for personnel to be deployed, overhead costs,consultant's fee, and tax deductible at source. The firm may also indicate in theirproposal the mode of payments to be made by the client for carrying out theassignment.
The evaluation of the proposal will be based on the comparison of the technicalcapability of the firms (which shall include experience of the firms, quality andsuitability of the approach and methodology, work program, experience andqualification of the personnel proposed to be assigned for the work). This evaluationis called Quality Based Selection. The evaluation will be carried out by SNV andDoR. The evaluation and the technical proposal of the highest ranking firm will besent to the World BankOnly the financial proposal of the firm with the technically best proposal will beopened and will be negotiated.
The sealed proposals must be delivered at the following address not later than 13:00hours of 26th October 2005:
The Director SNVBhutan,PO Box 815,Thimphu, Bhutan
The contract will only be awarded when SNV and RGoB have a written agreementregarding the reimbursement of this consultancy.
9. Support services to be provided by the client
Any documents related to the project, if required for the purpose of the study, shall beprovided by the client upon receipt of a written request from the consultant. Theconsultant will work closely with the Department of Roads (DoR), SNV and, where
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necessary, Dzongkhag Administration officials. The client may also, at its discretion,consider fielding of its representative to accompany the consultant's study team duringfield works upon receipt of a written request from the consultant. However, theresponsibility of completing the assignment successfully will lie solely with theconsultant.
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