NEPAL RECONSTRUCTION ENGINEERING SERVICES

Annual Performance Report No. 01 Year 1, April 2017 – March 2018

May 7, 2018

This document was produced for review by the United States Agency for International Development. It was prepared by CDM International Inc.

1 | MONTHLY PROGRESS REPORT USAID.GOV

NEPAL RECONSTRUCTION ENGINEERING SERVICES

Annual Performance Report No. 01 Year 1, April 2017 – March 2018

Submitted by: Tarek Selim/COP CDM International Inc. 150 Sai Marg KMC Ward No. 3, Bansbari Kathmandu, Nepal 44600 Tel: +977-4372447 Email: [email protected]

Submitted to: Muhammad Khan, Deputy Director DR4/TO COR USAID Nepal US Embassy, Maharajgunj Kathmandu, Nepal

USAID Program Name: Nepal Reconstruction Engineering Services Project USAID Contract No.: AID-OAA-I-15-00047 USAID Task Order No.: AID-367-TO-17-00001 Report Date: May 7, 2018

This document is made possible by the generous support of the American people through the United States Agency for International Development (USAID). The contents of this document do not necessarily reflect the views of USAID or the United States Government.

In Nepali

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 1 CONTENTS

ACRONYMS 4 1. BACKGROUND AND REPORT PURPOSE 6 1.1 PURPOSE OF DOCUMENT 6 1.2 DOCUMENT ORGANIZATION 6 2 PROJECT INITIATION AND MANAGEMENT 7 2.1 MOBILIZATION AND ESTABLISHMENT OF OPERATIONS IN NEPAL 7 2.2 STAKEHOLDER ENGAGEMENT 9 2.3 NRES TEAM SUBCONTRACTORS 9 2.4 NRES CORE TEAM AND ORGANIZATION 10 2.5 SHORT TERM TECHNICAL SPECIALISTS 12 2.6 KEY PERSONNEL CHANGES DURING YEAR 1 12 2.7 OTHER CHANGES DURING YEAR 1 12 2.8 PROJECT SCHEDULE AND DELIVERABLES 12 3 KATHMANDU VALLEY / FAST-TRACK TASK ORDER 13 3.1 PRELIMINARY RAPID ANALYSIS 13 3.2 RAPID FIELD ASSESSMENTS 13 3.3 PROJECT PRIORITIZATION AND SELECTION PROCESS 14 3.4 ACTIVITIES WITH THE SELECTED FACILITIES IN THE KATHMANDU VALLEY 15 3.5 SUBCONTRACTOR MOBILIZATION 15 3.6 COMMUNITY ENGAGEMENT 16 3.7 PREDESIGN PLANNING, PREPARATION AND STUDIES 18 3.8 DESIGN PROCESS AND ACTIVITIES 19 3.9 ENVIRONMENTAL REVIEWS AND PLANNING 20 3.10 611(E) ANALYSIS AND REPORTING 21 3.11 PROCUREMENT/TENDERING SUPPORT 21 4 SELECTION OF FOLLOW-ON DISTRICTS 23 4.1 ASSESSMENT GUIDELINES 23 4.2 DISTRICT RANKING 24 5 ACTIVITIES IN SINDHULI AND MAKAWANPUR DISTRICTS 26 5.1 FACILITIES SELECTION 26 5.2 SUBCONTRACTOR MOBILIZATION 30 5.3 COMMUNITY ENGAGEMENT 30 5.4 PREDESIGN PLANNING, PREPARATION AND STUDIES 31 5.5 DESIGN PROCESS AND ACTIVITIES 32 5.6 ENVIRONMENTAL REVIEWS AND PLANNING 32 5.7 611(E) ANALYSIS AND REPORTING 32 6 GRANTS UNDER CONTRACT 33 7 SUPPORT TO GOVERNMENT OF NEPAL 34 8 MONITORING, EVALUATION AND LEARNING 35 9 COMMUNICATION 36 10 EXPENDITURES DURING THE YEAR [Financial report deleted from posted version] 37

2 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV APPENDIX A STAKEHOLDER TABLE APPENDIX B NRES TEAM APPENDIX C SHORT TERM TECHNICAL SPECIALISTS

APPENDIX D PROJECT SCHEDULE

APPENDIX E DELIVERABLE TRACKER

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 3 ACRONYMS A&E Architect-Engineers AMP Aid Management Platform A-Not A Not Architects CCDN Center for Community Development Nepal CDM Smith CDM International Inc. CEP Community Engagement Plan CFR code of federal regulations CLPIU Central Level Project Implementation Unit CLS Community Liaison Specialist CO Contracting Officer Coffman Coffman Engineers COP Chief of Party COR Contracting Officer’s Representative CoRD Center of Resilient Development CPFF cost plus fixed fee Createers Innovative CreAteers (P) Ltd. DCOP Deputy Chief of Party DDR Design Development Report DLPIU District Level Project Implementation Unit DOC Development Outreach and Communication DOE Department of Education DOHS Department of Health Services DR4 Disaster Risk Reduction, Reconstruction, and Resilience EMMP Environmental Mitigation and Monitoring Plan ERF Environmental Review Form F&A finance and accounting FFP firm fixed price GESI Gender Equality and Social Inclusion GESICIG GESI concerned interest group GIS geographic information system GON Government of Nepal GUC Grants Under Contract HFOMC Health Facility Operation and Management Committee HO home office HP Health Post H&S health and safety IDIQ Indefinite Delivery, Indefinite Quantity IEE Initial Environmental Examination IFB invitation for bid M&E monitoring and evaluation MEL Monitoring, Evaluation and Learning MOE Ministry of Education MOF Ministry of Finance MOH Ministry of Health MRB MRB Associates MVL Macro Vantage Levant NBC Nepali National Building Code NCRP Nepal Community Reconstruction Program NGO non-governmental organization

4 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV NRA National Reconstruction Authority NRES Nepal Reconstruction Engineering Services O&M operation and maintenance PERSUAP Pesticide Evaluation Report and Safe Use Action Plan PHCC Primary Health Care Center PPICD Policy, Planning and International Cooperation Division PQM Project Quality Management Q&A questions and answers QA quality assurance QMP Quality Management Plan RHF Resource Himalayas Foundation ROM rough order of magnitude RRL Reconstruction and Rehabilitation and Livelihoods SILT SILT Consultants SM social mobilizer SMC School Management Committee SOP standard operating procedure SUV sport-utility vehicle TDY temporary duty TLC temporary learning center TRC Technical Review Committee US United States USAID United States Agency for International Development

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 5 1. BACKGROUND AND REPORT PURPOSE This First Annual Performance Report was prepared by CDM International Inc. (CDM Smith) under the United States Agency for International Development (USAID) Architect-Engineers (A&E) Services II Indefinite Delivery, Indefinite Quantity (IDIQ) Contract AID-OAA-I-15-00047 Task Order AID-367-TO-17-00001 titled Nepal Reconstruction Engineering Services (NRES) Project

The NRES Project aims to support USAID in its efforts to “build back safer” health and educational facilities in Nepal after the devastating earthquake of April 2015. To accomplish this objective, the project will be implemented through the identification, design, procurement support, and construction supervision of several USAID Nepal Community Reconstruction Program (NCRP) task orders throughout the life of the contract. Each NCRP task order will encompass several education and/or health facilities to be reconstructed, following a prioritization process and USAID’s approval of prioritized districts. USAID executed the NRES contract with CDM Smith on April 24, 2017.

1.1 PURPOSE OF DOCUMENT As per Contract Clause F.5.1 and F.5.3 Task Order Required Reports, CDM Smith is required to prepare and submit an Annual Performance Report at the end of each project year. The purpose of this First Annual Performance Report is to document CDM Smith’s performance during the first year of the project, from inception (April 24, 2017) through March 31, 2018.

1.2 DOCUMENT ORGANIZATION As a convenience, and for ease of reference, the activities undertaken during the first year are presented in this document following the general outline utilized for the NRES Project’s First Annual Workplan dated November 21, 2017; the specific sections in this document are as follows:

 Project Initiation and Management  Fast Track Prioritization for First Task Order (Kathmandu Valley) – Design Approach – Social/Community Liaison – Environmental Management – Procurement Support  Selection of Follow-On Districts  Activities in Sindhuli and Makawanpur – Design approach – Social/Community Liaison – Environmental Management  Grant Under Contract (GUCs)  Support to Government of Nepal (GON)  Monitoring, Evaluation and Learning (MEL)  Communication  Expenditures During the Year

Throughout these sections, the report will highlight the achievements and deliverables and will provide explanations for any deviations from the activities in the First Annual Work Plan.

6 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV 2 PROJECT INITIATION AND MANAGEMENT This section provides an overview of CDM Smith’s initial mobilization activities, stakeholder engagement, NRES Team and organizational structure, schedule and deliverables.

2.1 MOBILIZATION AND ESTABLISHMENT OF OPERATIONS IN NEPAL USAID executed the NRES contract with CDM Smith on April 24, 2017. On May 1, 2017, the overall contract and deliverables were reviewed in a startup call conducted by the USAID Contracting Officer (CO) and USAID Contracting Officer’s Representative (COR) in Kathmandu. It was confirmed that “in-country” activities would commence in Kathmandu on May 8, 2017. During the startup call, the COR informed CDM Smith that the initial NCRP Task Order would focus on the reconstruction of up to five (three were ultimately selected) schools within an hour’s driving distance of Kathmandu. USAID was targeting the completion of designs for the three schools in preparation for bidding by the end of the 2017.

The COR conducted another conference call on May 4, 2017 with several representatives from USAID/Nepal to familiarize the NRES Team with various groups within USAID (e.g., Office of Controller, Disaster Risk Reduction, Reconstruction, and Resilience [DR4] Office, etc.) that they would interact with during implementation. These early interactions and planning meetings with USAID fed into the NRES Project’s First Annual Work Plan, and also initiated the NRES Project Stakeholder Engagement, see Section 2.2.

CDM Smith mobilized the core team to Kathmandu and commenced operations in a temporary office facility on May 8, 2017. The mobilized core team members consisted of:

 Chief of Party (COP), Tarek Selim  Deputy Chief of Party (DCOP), Sagar Joshi  Procurement Specialist, Rajeev Thapa  Community Liaison Specialist (CLS), Shambhu Kattel

The Construction Quality Assurance (QA) Manager (Raj Puri), the fifth key personnel position in the Contract, was mobilized in November 2017, to support the invitation for bid (IFB) development and prepare for construction supervision activities.

In addition to the core team, CDM Smith also mobilized the Home Office Project Manager (William Parente), a Project Mobilization Specialist (John Gavin), the Contracts Manager (Carlton Brown), and the CDM Smith Delivery Leader (Randa Chichakli) to support the initiation of project activities and administrative set-up. In addition, a geographic information system (GIS) specialist was also mobilized on a temporary duty (TDY) basis to support the initial activities of the project.

Figure 2-1 shows the NRES team organization at initial mobilization.

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 7 Figure 2-1 NRES Team Organization at Initial Mobilization

8 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV The permanent NRES Project office was established in the Bansbari, Kathmandu area after an assessment of six properties, with a preference for a location in close proximity to the USAID office. Office equipment and furnishings were identified and ordered in May through June 2017 and the NRES Team shifted operations to the permanent, fully operational, project office by the end of July 2017.

The NRES Team relied upon monthly leased vehicles for transportation needs both in Kathmandu and trips to the field for most of the first project year. After initial field program planning and logistics analysis, project vehicles were ordered in October 2017 – four Indian sport-utility vehicles (SUVs) and three Japanese SUVs. These vehicles arrived in-country in February 2018 and following licensing and registration were ready for project use by the end of March 2018.

2.2 STAKEHOLDER ENGAGEMENT Immediately upon mobilization to Kathmandu, the NRES Team began interacting with the project stakeholders, starting with USAID/Nepal. After meeting with the Mission Director, the NRES Team held a Project Start-up Workshop with USAID on May 9, 2017 to review the deliverables and held a Project Quality Management (PQM) Workshop conducted with USAID, the NRES Team, and relevant GON representatives on June 12 and 13, 2017.

The NRES Team was informed that its main counterpart at the Ministry of Education (MOE) is the Central Level Project Implementation Unit (CLPIU), which had been recently established to oversee the reconstruction of more than 8,000 schools that were affected by the earthquake. USAID introduced the NRES Team to the CLPIU managers on May 15, 2017.

Additionally, USAID provided the NRES Team with a preliminary list of USAID primary stakeholders for the project, including government agencies at all levels, as well as facility management committees, beneficiaries, and other donors. The stakeholder list was first presented in the Reporting and Communication Strategy deliverable submitted on May 23, 2017. Throughout Year 1, the stakeholder list was augmented – additional details and contacts have been included (refer to Appendix A).

As the NRES Team started conducting facility assessments in the Kathmandu Valley, Sindhuli, and Makawanpur districts, the team met with the district-level GON organizations, the MOE District Level Project Implementation Unit (DLPIU) and the District Public Health Office in addition to the community-based authorities, School Management Committees (SMCs) and Health Facility Operation and Management Committees (HFOMCs). The NRES Team also met with the local government officials to provide information about the NRES Project and the collaboration needed for successful project implementation. Stakeholder engagement was a continuous effort throughout the first project year.

2.3 NRES TEAM SUBCONTRACTORS In addition to CDM Smith, the NRES Team includes the following eight Nepali subcontractors (professional private sector firms and non-governmental organizations [NGOs]) and one international seismic engineering company.

 Innovative CreAteers (P) Ltd (Createers) – Facility designs and construction supervision of facilities in Kathmandu Valley and Makawanpur districts. Createers was identified and proposed at NRES contract signing.

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 9 • A-Not Architects (A-Not) – Facility designs and construction supervision in Sindhuli district. A- Not was identified and proposed at NRES contract signing. • SILT Consultants (SILT) – Infrastructure and engineering support. SILT was identified and proposed at NRES contract signing. • MRB Associates (MRB) – Structural and seismic support. MRB was identified and proposed at NRES contract signing. • Center of Resilient Development (CoRD) –GUCs planning and execution. CoRD was identified and proposed at NRES contract signing. • Resource Himalayas Foundation (RHF) –SMs as members of the Social Team covering Kathmandu Valley district. RHF was identified and issued a subcontract during the first year. • Sahakarya Nepal –SMs as members of the Social Team covering Sindhuli district. Sahakarya Nepal was identified and issued a subcontract during the first year. • Center for Community Development Nepal (CCDN) –SMs as members of the Social Team covering Makawanpur district. CCDN was identified and issued a subcontract during the first year. • Coffman Engineers (Coffman) – United States (US)-based firm for structural and seismic support. Coffman was identified and proposed at NRES contract signing.

2.4 NRES CORE TEAM AND ORGANIZATION Following mobilization of the key personnel in early May 2017, the NRES Team was augmented throughout the first year. The last, planned, core team member – the Deputy Construction QA Manager – joined the NRES Team in early January 2018.

Figure 2-2 shows the current (i.e., end of Year 1) NRES Team organization. The NRES Team receives support, on an as needed basis, from short term technical specialists (see Section 2.5). The NRES in-country team also receives support from the CDM Smith home office (HO), on an as- needed basis. This CDM Smith HO presence in Nepal was more prevalent early in the first year of the project to assist with mobilization and the startup of in-country operations; CDM Smith HO support will continue throughout the project (remotely, from HO) with trips to Nepal only as needed.

A full list of NRES Team members, with their starting dates, is included in Appendix B.

10 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV Figure 2-2. NRES Team Organization at End of Year 1

Chief of Party (COP) Tarek M Selim

Project Control Specialist HO Project Manager Simon Dhungana John Gavin

BT Support Engineer Document Controller/ Admin Rabi M. Shrestha Brahmi Shah

Communication & Outreach Environment & ME Specialist Specialist Banita Rana Arjun B Kumal Kalpana Bhandari

Director of Operation & Procurement Deputy Chief of Party Construction Q & A Manager Community Liasion Specialist Rajeev K Thapa Arjun Koirala Raj Puri Sambhu Kattel Phd.

Office Manager Procurement & Contracts Manager Pramesh KC Reeju Shrestha Design Manager Deputy QA Manager Senior Finance Officer Prabin Shrestha Yamanta Niroula Bhupendra Karki

Design Support Engineers Social Mobilizers Logistic Officer Accountant/Contract Administrator Sagun Chitrakar Jyoti Dhakal Chandra Prakash Rajbanshi Barsha KC Prabin Bajrachaya Parbati Hitan Pranab M Singh Pradahna Satish Pokharel Arbinda Muni Bajracharya Suresh Babu Shrestha Manoj K Shah Roshana Subedi Ram Babu Paswan

Front Desk Nitu Thapa

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 11 2.5 SHORT TERM TECHNICAL SPECIALISTS In addition to the NRES Team and CDM Smith HO support, a few short term technical specialists were mobilized to Nepal to support different aspects of the project. Most of these trips took place early in the first year of the project to help develop key plans/reports and to work with NRES team counterparts. A listing of these specialists is provided in Appendix C.

2.6 KEY PERSONNEL CHANGES DURING YEAR 1 As noted in Appendix B, there was a change to Key Personnel during the first year of the project, with Mr. Arjun Koirala (the Stakeholder/Business Manager) shifting to the DCOP position in March 2018, following USAID approval. The former DCOP, Mr. Sagar Joshi, resigned for personal reasons but will continue to support the NRES Project, on an as needed basis, as a consultant for structural reviews and permitting support. A pending Key Personnel change is the replacement of the COP, which is expected to take place in June 2018. In addition, the HO Project Manager position shifted to Mr. John Gavin on Mr. William Parente’s departure from CDM Smith in October 2017.

2.7 OTHER CHANGES DURING YEAR 1 During the Startup Meeting with USAID on May 9, 2017, some changes to contract-required deliverables (content and timing) were suggested, including the period of coverage for the First Annual Work Plan (an imminent deliverable); it was agreed that the first year would end on March 31, 2017 with each successive year beginning on April1st. Subsequent suggested changes were discussed with the COR as the project progressed – the changes were primarily associated with deliverable triggers and due dates. CDM Smith submitted formal change requests to the CO and these changes were formalized in the first modification to the NRES Task Order on April 26, 2018.

2.8 PROJECT SCHEDULE AND DELIVERABLES The full NRES project schedule in included in Appendix D. The schedule presents a historical record of activities and durations occurring the first project year. It also includes a projection of future work breakdown structure with recent updates to design durations for Sindhuli and Makawanpur facilities, planned to meet the USAID schedule target for issuing IFB(s) by September 2018.

All NRES Task Order required plans, reports, and design/construction management deliverables were developed and submitted as required during Year 1 of the project. For the full list of Task Order deliverables, their due dates, and when they were submitted (and resubmitted in response to USAID comments in some cases), please refer to Appendix E. All NRES Task Order deliverables were submitted by their due date, or by a date discussed and agreed upon with the USAID COR as formalized in the April 26, 2018 modification to the NRES Task Order.

12 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV 3 KATHMANDU VALLEY / FAST-TRACK TASK ORDER This section describes the results of the fast-track approach adopted by the NRES Team during Year 1 to meet USAID’s objective of having a ground-breaking ceremony for the first facility around the third anniversary of the April 2015 earthquake. Please also refer to the Project Schedule in Appendix D for a detailed list of activities, dates and durations.

The fast-track approach employed by the NRES Team was described in detail in the First Annual Work Plan. The approach included expedited processes from assessment through design where more focus and resources were applied to complete each process in a shorter timeframe than for a more typical implementation approach, including reviews that occurred concurrently with design advancement. Every step of the fast-track approach was done in accordance with good engineering practices, following CDM Smith’s quality review requirements, with USAID’s knowledge and consent, and in consultation with MOE, CLPIU, and other local agencies as appropriate.

USAID facilitated the fast-track approach by prioritizing schools in the Kathmandu Valley for the first task order. On May 9, 2017, USAID provided the NRES Team with a list of schools released by the CLPIU; it initially included 16 secondary schools in the three Kathmandu Valley districts, two additional schools were subsequently added for a total of 18 schools to be considered. USAID further noted that schools receiving US Government funding in the past should receive a higher priority for consideration for rehabilitation/reconstruction in this fast-track task order. The fast- track approach was employed to expedite assessment of the 18 facilities and designs of the three schools ultimately selected for reconstruction in the Kathmandu Valley: Kanya Mandir Secondary School (Kathmandu district), Bhagawati Secondary School (Kathmandu district), and Adarsha Secondary School (Bhaktapur district). The design, tendering, and award for these schools were completed during the first year and the construction contract was awarded by USAID on April 12, 2018. The ground-breaking ceremony for Kanya Mandir Secondary School is scheduled for May 11, 2018.

3.1 PRELIMINARY RAPID ANALYSIS Prior to implementing the full Rapid Field Assessment process for the 18 identified school sites, the NRES Team dispatched the CLS (Shambhu Kattel) and the DCOP (Sagar Joshi) to briefly visit each school and make observations for initial assessments. The purpose of these Preliminary Rapid Analysis visits was to identify factors (such as lack of land ownership, non-functional SMCs, etc.) that reduce the number of schools warranting a full Rapid Field Assessment for prioritization. These preliminary visits were also carried out with a low profile, intended to prevent unrealistic expectations that might result if a full Rapid Field Assessment Team were deployed to visit a school that was lacking the basic technical/other criteria necessary for inclusion in the USAID NCRP program.

3.2 RAPID FIELD ASSESSMENTS After the initial Preliminary Rapid Analysis visits were completed by the NRES CLS and DCOP, the NRES Team conducted formal detailed site visits to the 15 schools identified for further assessment utilizing a set of forms for recording social, technical and environmental data for analysis and prioritization. Teams consisted of two to three individuals, including an architect, engineer, and community liaison staff who collected information in all areas concurrently. The technical objectives of the Rapid Field Assessments were to:

 Assess the physical condition of the school’s buildings and structural integrity.

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 13  Examine the geological stability and/or vulnerability of the site.  Assess the site location, condition, and accessibility to the nearest road.  Collect sufficient data to approximate the types/needs for improvement of the structures and the requirements of the site.

The social objectives of the Rapid Field Assessments were to:

 Assess the total number of students enrolled in the school, the percentage of girls and vulnerable, disadvantaged students.  Examine the percentage of students hailing from the local ‘catchment’ area.  Assess the effectiveness of each SMC, the management effectiveness of the SMC administration, and any local community land disputes.  Assess resources and commitment of SMC to operate and maintain the school.

The environmental data for the Rapid Field Assessments was collected using the Site-Specific Environmental Review Form (ERF) to identify significant environmental issues that may cause a site to be rejected. The ERFs were completed in the initial site visits, coordinated with the social assessment team. The Site-Specific ERF incorporated requirements from the NRES Project’s Initial Environmental Examination (IEE), completed and approved by USAID in December 2015.

The Rapid Field Assessments were completed on May 26, 2017, after which data consolidation and analysis began. Evaluations and prioritization based on technical and social criteria were performed, and a grading system was assigned to indicate the readiness and suitability of each site in terms of development, construction, and sustainability.

3.3 PROJECT PRIORITIZATION AND SELECTION PROCESS Based on the prioritization criteria developed with USAID and the results of the Rapid Field Assessments, six of the 15 assessed schools were ranked as the most desirable for reconstruction to work. These six schools were discussed with USAID prior to the NRES Team’s submittal of the Facility Prioritization and Recommendation Report on June 22, 2017. The six schools identified were:

 Adarsha Higher Secondary School, Sanothimi, Bhaktapur  Adarsha Higher Secondary School, Bhadrabas, Kathmandu  Nepal Rastriya N. Higher Secondary School, Mulpani, Kathmandu  Kanya Mandir Higher Secondary School, Nhyakha, Kathmandu  Bhagawati Higher Secondary School, Sankhu, Kathmandu  Laboratory Higher Secondary School, Chovar, Kathmandu

On June 14, 2018, USAID instructed the NRES Team to proceed with further assessment of these six schools for initiating planning and design within a $5 million construction cost estimate.

On July 10, 2017, the results of the further assessment were discussed with USAID, resulting in USAID’s direction to proceed with the designs for three schools: 1) Kanya Mandir Secondary School, Nhyakha, Kathmandu, 2) Adarsha Higher Secondary School, Sanothimi, Bhaktapur, and 3) Shree Bhagawati Secondary School, Sankhu, Kathmandu. These three schools are described below:

14 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV  Kanya Mandir Secondary School, Nhyokha, Kathmandu. Kanya Mandir Secondary School is situated in the core city of the Kathmandu district. It is in Nhyokha Tole, in the Thamel area, in between Naradevi and Chhetrapati, in Ward #25 of Kathmandu Metropolitan City. This is the first girls’ school of Nepal, established in 1947 with 535 students and 32 teachers. The main building of the school, with 25 rooms and a multi-purpose hall, which was constructed during its establishment time, is totally damaged from the April 25, 2015 earthquake. Kanya Mandir Secondary School is an exclusively girls’ school. There are 70% local students enrolled every year (permanent residents), and the remaining 30% are those students who are not yet registered as locals. More than 20% are from poor and marginalized groups.  Shree Bhagawati Secondary School, Sankharapur, Kathmandu. Shree Bhagawati Secondary School is situated in the north-east corner of Kathmandu Valley. It is in the ancient Sankhu core area in Ward #6 of Sankharapur Municipality. This school was established as a primary school in 1983, which was upgraded to a secondary school in 2002. There are currently 392 students and 24 teachers. Out of the total students, 53% are girls and 6% are poor and marginalized students. The school has 90% of the student body from local catchment area (permanent residents).  Adarsha Secondary School, Sanothimi, Bhaktapur. Adarsha Secondary School is in the central region of Bhaktapur District. It is in the educational and institutional area of Sanothimi in Ward #2 of Madhyapur Thimi Municipality. The school was established in 1967. This is an iconic and historic school building with 14 spacious rooms and a multi-purpose hall, constructed with the assistance from the USAID in 1968. The main building was partly damaged by the April 25, 2015, earthquake and its aftershocks. The school has 665 students and 29 teachers. Out of the total students, 63% are girls. Similarly, 60% students are from poor and marginalized groups and more than 60% are local students (permanent residents). The remaining 40% of the students are from families who migrated to the city area after the earthquake.

3.4 ACTIVITIES WITH THE SELECTED FACILITIES IN THE KATHMANDU VALLEY The selection of the three schools in the Kathmandu Valley kicked off a number of activities, many of which occurred concurrently, programmed to adhere to USAID’s schedule objectives (for project schedule, refer to Appendix D). These activities are further described in the following sections and include:

 Subcontractor Mobilization (for design, design support/reviews, and social mobilization/ community engagement)  Community Engagement  Predesign Planning, Preparation and Studies  Design Process and Activities  Environmental Reviews and Planning  611(e) Analysis and Reporting  Procurement/Tendering Support

3.5 SUBCONTRACTOR MOBILIZATION The following provides a summary of the subcontractors engaged on the NRES Team during Year 1 for Kathmandu Valley work:

 Design Services – The local A&E firm, Createers, identified in CDM Smith’s proposal for the NRES Task Order, was selected for the planning and design of the Kathmandu Valley facilities

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 15 due to their extensive experience in designing schools in Nepal. Following the selection of the three schools in the Kathmandu Valley, CDM Smith worked with Createers to refine the design scope, familiarize Createers with CDM Smith’s design requirements, requirements of the NRES Task Order, and negotiate the subcontract for their services. The Request for Consent to Subcontract for design services, under a firm fixed price (FFP) subcontract, with Createers was submitted to USAID on July 18, 2017 and was approved on August 28, 2018.  Design Support/Review Services – The local A&E firm, SILT, also identified in CDM Smith’s proposal for the NRES Task Order, was subcontracted under a cost plus fixed fee (CPFF) mechanism to second staff to the NRES Team, providing architects and engineers in various disciplines, and working in the NRES Team Kathmandu office to perform design reviews. They were mobilized in August 7, 2017.  Social Mobilization/Community Engagement –RHF, an NGO working in the Kathmandu Valley, was selected from three potential NGOs to provide two SMs for 24 months to support the implementation of the community engagement process for the selected facilities in the Kathmandu Valley. The two SMs from RHF started working with the selected communities in the Kathmandu Valley on September 1, 2017. These SMs, along with the NRES CLS, form the Social Team for ongoing activities in the Kathmandu Valley.

3.6 COMMUNITY ENGAGEMENT Community engagement/community mobilization for the project is guided by the Community Engagement Plan (CEP), a deliverable under the Task Order, submitted to USAID on June 22, 2017. The CEP includes the processes, activities and milestones to help ensure an effective and collaborative working relationship with the community throughout project implementation. The NRES Team has a high and ongoing interest in proactive community engagement as an element of risk avoidance and management. This effort is intended to help facilitate construction and keep it on schedule, build capacities to enhance the future functioning of the new facility, and encourage communities to help improve education.

The NRES Social Team (CLS and SMs) is cross-cutting, supporting virtually all other implementation elements of the NRES Project. Below are activity highlights related to the Kathmandu Valley facilities during the first year of the project.

 Community Engagement Training – with the understanding that community engagement is a responsibility of the entire NRES team, the Social Team has provided training to the NRES Team members and subcontractors. This is an ongoing effort led by the NRES Team CLS, but two training events were supported by the expatriate Community Engagement Advisor, early in the project (May 2017) and near the start of the construction phase (April 2018).  Social Assessments – as described in Section 3.2, the NRES Social Team conducting the social aspects of the Rapid Field Assessments was a key element of the facility prioritization (including the verification of land ownership), resulting in the three facilities selected in the Kathmandu Valley.  Willingness Resolution Letters – these letters formalize a mutual agreement and commitment between the NRES Project and the community, where the community commits to support and facilitate project efforts, and to operate and maintain the facility once constructed; these letters were signed by SMC members for the Kathmandu Valley facilities in July/August 2017.  Temporary Learning Centers (TLCs) – identifying locations where educational activities can take place away from the reconstruction area is a major issue, it facilitates free access to the

16 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV construction site for the construction contractor and minimizes the health and safety (H&S) hazards for the school children and staff. An appropriate location was found for TLCs for each school, in decisions made by the SMC, and facilitated by the Social Team.  Design Inputs – conceptual designs for each facility were reviewed with the SMCs and community members of each school. Feedback from the community was incorporated into subsequent design stages.  611(e) Reporting –to confirm the ability of each community to maintain and operate the USAID-funded facility, the NRES Team conducted extensive data collection, consolidation and interpretation to document the historical support (both support staff and operation and maintenance [O&M] budgets) that had been provided by the SMCs to the selected schools in Kathmandu Valley. This data was submitted by the NRES Team to USAID to be used in their 611(e) reports.  SMC Meetings – regular meetings of the SMC were organized to help ensure ongoing commitment and timely addressing of issues that may come up during project implementation. The Social Team encourages and facilitates regularly scheduled monthly meetings for each of the selected communities in the Kathmandu Valley.  Code of Conduct/Grievance Committee – the Social Team helped facilitate the development of a Code of Conduct that is an agreement between the community and the construction contractor in effort to avoid issues. The Social Team also facilitated the formation of a Grievance Committee for each facility to facilitate resolution of issues when they arise during construction.  Community Coordination – the Social Team led the community coordination for presentation of designs, pre-bid conference, site visits, and other project meetings as required.  Education Improvement Plans – each of the selected schools prepared a 5-Year Education Improvement Plan and a 20-Year School Development Plan; these plans will be effective in April 2018, at the start of the new school session. This is a new initiative for the schools, and these plans will help maintain sustainability and growth of the schools.  Gender Equity and Social Inclusion (GESI) – the promotion of GESI is a key element of the NRES Project. The Social Team encourages GESI at the community level through its meetings and activities. GESI participation at meetings is also tracked by the Social Team as shown in Figure 3-1.

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 17 Figure 3-1. GESI Participation in Community Meetings in the reporting period. GESI Participation in Meetings

Other meetings

SMC terms of reference orientation

Temporary School Relocation meeting Type SMC meetings

Community‐wide in three school sites Meeting

Sharing conceptual designs

Meeting for Partnership Agreement/ Decision

0 2040 60 80 100 120 140 160 180 200 Number of People Attending

Others (Female) Dalits (Female) Janajati (Female) Others (Male) Dalits (Male) Janajatis (Male)

 Municipality Approval of Designs –the Kathmandu Valley municipalities approved the school design drawings as follows: – Adarsha Secondary School: Madhyapur Thimi Municipality, Bhaktapur District approved on March 16, 2018. – Kanya Secondary School: Kathmandu Metropolitan City, Kathmandu District approved on March 22, 2018. – Bhagawati Secondary School: Sankharapur Municipality, Kathmandu District approved on February 6, 2018.

3.7 PREDESIGN PLANNING, PREPARATION AND STUDIES The first tasks following the selection of facilities included verification of the Rapid Field Assessment teams’ determinations, as well as regular and more formal interactions with the local community and SMC to ensure timely information sharing and transparency. Other specific pre-design and preparation activities included the following:

 Nepali National Building Code (NBC) and related design criteria – on May 16, 2017, USAID requested a review of the NBC, focusing on earthquake resistance to better ensure the earthquake resistance of facilities constructed under NCRP. The review was conducted by CDM Smith’s subcontractor Coffman who is based in the US and specializes in seismic resistant design. This review was completed on June 17, 2017 and the seismic recommendations were clarified and synthesized on June 27, 2017 in a letter that included structural recommendations and guidance that were used in the design of the facilities to improve their seismic resistance.  Review of Standard Designs – the identified/available standard designs for schools were reviewed for consideration as templates or guides for design development.

18 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV  Design Criteria/Basis of Design for School Facilities – this was a high-level (not facility- specific) guidance document intended to clarify explicit goals for a successful project in terms of function, performance, and maintainability incorporating USAID/other stakeholder requirements, as well as desirable elements. It provides the parameters for school design, defines the design standards, guidelines and criteria, and the decisions, assumptions, and specifications that will be used for the design.  Quality Management Plan (QMP) – the QMP was a deliverable under the NRES Task Order and submitted to USAID on June 22, 2017. It includes requirements from both USAID and CDM Smith’s quality processes and procedures to be employed throughout the NRES Project, from design through construction supervision, including areas of responsibility for quality control. Each phase of design is described, along with required reviews to help ensure the development of quality designs. It was originally drafted by CDM Smith and finalized after incorporating reviews and inputs from NRES Team subcontractors. The QMP was updated (and resubmitted to USAID) on November 1, 2017, incorporating modifications after the initial Kathmandu Valley designs were completed.  Design Workshop – a Design Workshop was held over from (July 31, 2017 to August 1, 2017 with representatives from the NRES Team and the full design teams of the subcontractor firms (SILT, MRB, A-Not, and Createers). The workshop focused on establishing the requirements for design phase submittals, standards for software use and electronic file deliverable format, drawing format and size, development of early Basis of Design principles, CDM Smith quality management procedures, and a discussion of the GON approval process.  Topographic Surveys, Field Sketches, and Geotechnical Studies – from August 29, 2017 to September 4, 2017, following receipt of USAID’s Consent to Subcontract with Createers, the NRES Team conducted topographic surveys, field sketches, and geotechnical studies for the Kathmandu Valley facilities.

3.8 DESIGN PROCESS AND ACTIVITIES The design process flow employed by the NRES Team is described in detail in the First Annual Work Plan incorporating CDM Smith’s quality review requirements and input from consultations with USAID.

As previously mentioned, Createers developed the designs for the Kathmandu Valley schools. Design reviews were led by the NRES Team Design Manager (Prabin Shrestha), supported by architects and engineers from SILT. Supporting the in-country Design Review Team, the HO Lead Practitioner (Ed Morales) coordinated multi-discipline Technical Review Committee (TRC) reviews of designs at each design milestone.

The development of designs proceeded in phases, providing an established milestone for the design to be reviewed, and to obtain consent from stakeholders at key stages as the design advanced to the next phase. As mentioned above, for the fast-track approach, designs were advanced as comments and suggested changes were received. The following provides a description of the design phases:

 Basis of Design/Conceptual Design – the first design milestone outlined the parameters for design, the design standards, guidelines, and criteria to be used. The Conceptual Designs for the Kathmandu Schools were presented to USAID on October 6, 2017, and to the CLPIU on October 17, 2017. These designs were also shared with the SMC/communities between October 23 and October 27, 2017. Updates to the Conceptual Designs were made by November 2, 2017. Consensus on the Conceptual Designs led to the Preliminary Design phase.

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 19  Preliminary Designs – include design drawings, calculations, and quantities determinations at a level of detail of roughly 40%. The Preliminary Design provided a better definition to the facility and higher accuracy to quantities (+/- 20%), and provided sufficient detail for stakeholders to better understand the nature of the project and formulate decisions moving forward. Preliminary Designs were completed for Kanya Mandir and Bhagawati Schools on October 27, 2017 and Adarsha on November 15, 2017. The details resulting from the Preliminary Design were used for the Design Development Reports (DDRs). The DDR for Kanya Mandir was submitted on September 14, 2017; Bhagawati on September 15, 2017, and Adarsha on October 25, 2017.  Final Designs – more detail was applied in the Final Designs to produce construction quality drawings, specifications and special provisions to guide construction, quality control, measurement, and estimate quantities to a level of +/- 10% accuracy. This is the final stage before preparation of the bid documents. The Final Designs for Kanya Mandir and Bhagawati were completed on October 31, 2017, and on November 16, 2017 for Adarsha.  Bid Documents – the Bid Documents are the 100% Construction Documents. They include the design drawings, specifications, and other final design documents packaged and prepared for USAID to utilize for the IFB for tendering with the NCRP IDIQ construction contractors. Upon receiving acceptance from USAID on the Final Design, the NRES Team packaged the designs and documents together with the USAID-format construction contracting documents to form a Task Order Bid package. The 100% Construction Documents for Kanya Mandir and Bhagawati Schools were submitted on November 15, 2017, and for Adarsha on December 15, 2017.  Post-Design Review – a post-design review meeting was held with USAID on December 6, 2017, where the NRES Design Team provided an overview of the design progression through each phase, along with examples of reviews and corrections made as the designs progressed. Lessons learned and how next design process could be improved were also discussed.

3.9 ENVIRONMENTAL REVIEWS AND PLANNING Initial site-specific environmental reviews were conducted concurrently with the technical and social aspects of the Rapid Field Assessments, using the Site-Specific ERF, which incorporates the concerns, mitigation measures, and best management practices from the governing IEE. Based on the ERF, site- specific Environmental Mitigation and Monitoring Plans (EMMPs) were prepared. An overall NRES EMMP for the project was developed for the First Annual Work Plan. The NRES EMMP contains a range of best management practices, adapted to NRES from guidance documents referenced in the governing IEE, to be included in each site-specific EMMP.

During development of the EMMPs for the three schools in the Kathmandu Valley, three issues were encountered or identified that required amendment to the governing IEE. These included:

 Scale of Construction – the definition of Medium versus Large Scale Construction was unclear in the IEE. The NRES Team proposed a clarification to avoid potential issues with the start of construction.  Pesticides – termicide use was identified as a requirement to prevent termite attacks in the design of the reconstructed schools. This use fell outside the constraints of the NRES Project governing IEE. The NRES Team developed a Pesticide Evaluation Report and Safe Use Action Plan (PERSUAP).  Asbestos – the designs for Adarsha Secondary School required demolition of a facility containing asbestos which was outside the constraints of the governing IEE. The NRES Team developed a standard operating procedure (SOP) for asbestos removal/management and disposal.

20 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV The suggested amended IEE, addressing these three issues was submitted on October 23, 2017, for USAID review and replacement of the governing IEE. Supplemental exchanges took place between USAID and the NRES Team in November 2017 as these issues were clarified. USAID also produced an IDIQ IEE amendment for screening criteria which revised the ceiling area of the covered area of the facilities from 10,000 square feet to 35,000 square feet and revised the construction cost of “small scale” construction activities from $200,000 to $2.5M. The amended IEE was approved by USAID on January 26, 2018.

3.10 611(E) ANALYSIS AND REPORTING An element of the NRES Task Order is to provide information to USAID for the 611(e) certifications of the facilities to be constructed under USAID’s NCRP. 611(e) certification indicates the capability of the country (both financial and human resources) to effectively maintain and utilize the project funded by the US Government.

To meet this requirement, 611(e) reporting was split into two parts for each school. Part 1 focused on a historical (to current) review of resources, both support staff and O&M budget over the past 5 years. Part 2 focused on the resources required to maintain the new/reconstructed facility. Breaking the report into two parts was necessary because the historical information could be collected, consolidated, and presented by SMs (working with the communities) when the facility was selected. Part 2 could only be completed later as designs were nearing completion to obtain a more accurate representation of resource needs for appropriate O&M of the new facility.

The NRES Team submitted the Part 1 reports for all three schools on September 7, 2017. Part 2 reports for Kanya Mandir and Bhagawati Schools were submitted on November 8, 2017. The Part 2 report for Adarsha School was submitted on December 12, 2017. At USAID’s request, a consolidated 611(e) report was submitted to USAID on December 17, 2017 which combined both parts for all three schools in the Kathmandu Valley.

3.11 PROCUREMENT/TENDERING SUPPORT The NRES Team provided procurement support to USAID at the beginning of the project. At USAID’s request, CDM Smith mobilized a Senior Construction Manager, Mr. Anthony Mirabella, to Nepal during June 2017, to support USAID for the review of proposals submitted under the NCRP IDIQ.

The NCRP IDIQ contracts were awarded to four construction contractors on January 8, 2018: 1) Fell Group; 2) Himalayan Builders & Engineers Pvt. Ltd.; 3) Macro Vantage Levant (MVL); and 4) Joint Venture of Urban Builders Group & Gajurmukhi Construction Pvt. Ltd. The NCRP IDIQ contractor kick-off meeting was held in the NRES Team Kathmandu office on January 22, 2018.

The majority of procurement and tendering support carried out in the first year was focused on the IFB and the evaluation of bids for the Kathmandu Valley schools (see Figure 3-2). The NRES Team initially provided an outline of bid documents (IFB outline), with specific focus on Section C (Statement of Work), Section L (Instructions to Offerors), and Section M (Evaluation Factors). A number of exchanges occurred between USAID and the NRES Team as preparations for the IFB ramped up in December 2017. The NRES team provided full support to USAID in fine-tuning and finalizing the overall IFB document, including Section J attachments (for Drawings, Specifications, Schedule of Values, Project Controls and Submittal requirements), and issuing the first IFB.

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 21 USAID issued the first IFB for the three Kathmandu Valley schools on January 29, 2018. The NRES Team then held the Pre-Bid Conference from February 6 to 8, 2018. All four NCRP contractors participated in the conference, which consisted of presentations by USAID and the NRES Team and site visits to all three schools coordinated by the NRES Team. Questions were due from the NCRP contractors on February 19, 2018. USAID, with assistance from the NRES Team, issued an addendum to the IFB on February 21, 2018 to make corrections and provide a list of the questions and answers (Q&A).

Three of the four NCRP contractors submitted bids (the Fell Group did not submit a bid) on March 5, 2018. The bids were opened on the same day at USAID’s meeting hall in front of the bidders, USAID, and NRES Team representatives. The bid evaluation was completed by USAID, with assistance from the NRES Team, from March 6, 2018 to March 9, 2018. The Joint Venture of Urban Builders Group & Gajurmukhi Nirman Construction Pvt. Ltd., was identified as the lowest cost, responsive, and responsible bidder. USAID sent the Notice of Award to Urban Builders Group & Gajurmukhi Construction Pvt. Ltd. on April 12, 2018.

Figure 3-2. Procurement Support Timeline for Kathmandu Valley Construction Task Order.

22 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV 4 SELECTION OF FOLLOW-ON DISTRICTS USAID determined that the NRES Project will focus efforts on the districts that were most affected by the earthquake of April 2015. Figure 4-1 shows the 14 most-affected districts in red and the 17 less-affected districts in green. NRES Project activities during the first year have been focused on the Kathmandu Valley (first NCRP Task Order) and the districts of Sindhuli and Makawanpur.

Figure 4-1. Map of Affected and Most Affected Districts in Nepal with NRES Project districts highlighted.

After the selection of the three schools in the Kathmandu Valley for the first NCRP Task Order, the NRES Team was tasked to review and prioritize other districts, within the 14 most affected districts, for follow-on task orders.

4.1 ASSESSMENT GUIDELINES At the start of this process, USAID prioritized the following areas of concern to be considered for selection of districts and then selection of facilities within those selected districts for reconstruction:

 The underserved districts.  Complementing other USAID assistance activities to the extent feasible.  Community commitment (e.g., information/indicators that the supporting/owning entity can reasonably satisfy 611[e] requirements through historical performance, etc.).  Technical criteria (e.g., land area is suitable for facility, sound soils, suitable drainage, space for planned facility, etc.).

Within the areas of concern identified above, the following sub-criteria, was used to determine school eligibility and priority:

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 23  Underserved districts: – Is the earthquake impact high or low at this site? – Is this a ‘higher investment need’ district? – Presence of other donors doing similar work. – Number of students from same community/percentage in school. – Number of girls, poor, and/or marginalized students enrolled in the school.  Complementing USAID assistance - preponderance of other USAID programs a plus.  Community commitment and participation: – Necessity of new building (do other safe buildings exist on compound?). – SMC effectiveness. – SMC committed to maintain building and provide O&M budget (611[e]). – Unity and commitment of school’s teachers, based on meetings and discussion with teachers and head teachers. – Harmonious relationship between community and SMC (as observed in meetings and discussions in the community). – Willingness to sign resolution/commitment letter.  Technical criteria: – Is new construction required, or only rehabilitation? – Is there suitable and adequate land available onsite for new building(s)? – Does the school own the land, free and clear (have certificate)? – Are TLCs, Transitional Learning Structures, or other arrangements available?

4.2 DISTRICT RANKING The NRES Team collected available socio-economic data at the district level for the 14 most affected districts, analyzed the data, and ranked districts according to the six identified criteria. These criteria and data sources are shown in Table 4-1.

Table 4-1. District Ranking Criteria and Information Sources. S. Criteria Source No 1 Highly Excluded Multidimension Exclusion Index (Developed by USAID based on 2011 Census) Population 2 Number of Schools School Level Educational Statistics of Nepal, Consolidated Report 2014, MOE, GON Affected 3 Number of Health Policy, Planning and International Cooperation Division (PPICD), Ministry of Health Facilities Affected (MOH), GON 4 Foreign Aid Data as accessed on June 6, 2017 from Aid Management Platform (AMP) – Ministry of Disbursements Finance (MOF), Nepal (http://amis.mof.gov.np/TEMPLATE/ampTemplate/gisModule/dist/index.html#saved/86) 5 Number of School Level Educational Statistics of Nepal, Consolidated Report 2014, MOE, GON Students/Educational Facilities 6 Population per Health Data from PPICD, MOH, GON and Department of Health Services (DOHS), Annual Facility Report 2071/72 (2014/2015), Census 2011. The NRES Team presented the findings on July 5, 2017 to USAID’s acting Mission Director and Deputy Mission Director, as well as the Office Directors of Education, Health and Governance. A subset of seven of the 14 most affected districts were selected for ranking, as these districts had the highest population per facility requiring reconstruction. Table 4-2 presents the ranking of these seven districts as presented on July 5, 2017.

24 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV Table 4-2. District Ranking per the Six Ranking Criteria S. No Districts Ranks within Criteria Total Score

- - - 1. Highly Excluded Population 2. Schools Affected 3. Health Facilities Affected 4. Foreign aid Disbursement 5. per Students Educational Facility 6. per Population Health Facility 1 Makwanpur 2 6 7 1 1 1 18

2 Sindhuli 3 2 5 5 2 3 20

3 Sindhupalchok 6 1 1 4 5 6 23

4 Rasuwa 1 5 2 3 7 7 25

5 Dhading 7 3 4 7 4 2 27

6 Nuwakot 4 4 3 6 6 4 27

7 Kavrepalanchok 5 7 6 2 3 5 28

The six criteria were weighted equally and resulted in Makawanpur district being ranked #1 with the lowest total score (highest priority rank among the seven districts) and Kavrepalanchok district being ranked #7 with the highest total score (lowest priority rank among the seven districts). USAID concurred that the follow-on USAID assistance (after the Kathmandu Valley) will focus in the districts of Sindhuli and Makawanpur. A memorandum from the NRES Team dated July 10, 2017 was submitted to USAID documenting the process that was followed in identifying the follow-on districts outside the Kathmandu Valley.

Following USAID’s concurrence with the selection of districts, the NRES Team was asked to continue with the efforts to identify facilities in Sindhuli and Makawanpur districts, conduct field assessments of those facilities, and develop a recommended list to USAID to prioritize for reconstruction.

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 25 5 ACTIVITIES IN SINDHULI AND MAKAWANPUR DISTRICTS Activities began in Sindhuli and Makawanpur districts in July 2017 and continued in parallel with the advancement of the fast-track efforts focused on the Kathmandu Valley Schools. The facility selections in Sindhuli and Makawanpur were finalized in November 2017, when the preparation for the Invitation for Bid (IFB) for the Kathmandu Valley started ramping up. Consequently, forward progress, after facility selection, in the Sindhuli and Makawanpur was delayed due to the priorities associated with the IFB for the Kathmandu Valley facilities.

5.1 FACILITIES SELECTION USAID expressed an interest for including health facilities in the Sindhuli and Makawanpur district facilities. The inclusion of health facilities, in addition to schools, and the larger number of affected facilities in the two districts (compared to the number of schools assessed in the Kathmandu Valley) resulted in a much longer list of potential facilities for reconstruction to be assessed. Early efforts were focused on narrowing the list of potential facilities to those that could be reasonably assessed for selection and inclusion in the next USAID NCRP task orders.

This section describes the activities and decisions resulting in the selection of facilities in Sindhuli and Makawanpur. The NRES Team’s recommended facilities were presented to the USAID Mission Director on October 26, 2017. Details of the selection process were documented in the NRES Team’s Facilities Recommendation and Prioritization Report covering Sindhuli and Makawanpur districts that was submitted to USAID on December 12, 2017 and resubmitted incorporating USAID’s comments on December 25, 2017.

5.1.1 UNCOMMITTED FACILITIES To arrive at a reasonable number of facilities for field assessments, it was necessary to narrow the total number of potential facilities for consideration under NCRP; this effort was initiated with the identification of facilities where there were no other commitments for their reconstruction/ rehabilitation by other donors or GON itself.

In consultation with the Department of Education (DOE)/ CLPIU, the NRES Team initially identified 1,106 educational facilities (574 in Sindhuli and 532 in Makawanpur) for further consideration. As the process of updating commitments from various agencies for the school reconstruction effort was ongoing at CLPIU, CLPIU suggested that the NRES Team update the initial list in consultation with the DLPIU for Education.

A list of 32 (20 in Sindhuli and 12 in Makawanpur) uncommitted health facilities was collected from MOH. Like the suggestion from the CLPIU for schools, MOH Advisory Experts requested the NRES Team to reconfirm the status of the reconstruction commitments, particularly focusing on Primary Health Care Centers (PPHCs) and Health Posts (HPs) in both districts. According to MOH, all the district hospitals in the 14 most affected districts have funding commitments, so district hospitals were excluded from further investigation.

At the district level, the NRES Team held consultation meetings at the District Public Health Offices, the DLPIU for Education in both the districts, and with the Chief District Officer in Sindhuli. During these consultations, the district offices were also updating their lists of uncommitted facilities for fiscal year end reporting and planning for the next fiscal year. The consultations at the district level resulted in an updated list of 241 total uncommitted facilities – 209 education facilities and 32 health facilities – in both districts.

26 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV With the assistance of local NGOs (Community People Awareness Development Program in Sindhuli and CCDN in Hetauda, Makawanpur) the NRES Team conducted a preliminary assessment of a sample (15 schools and 10 health facilities) of the 241 facilities to verify the availability and ease of collecting site specific data. This sample assessment gathered information from the beneficiary community and population about the damages, assessed the topographical condition of the facility site, the willingness of local community, accessibility, environmental and social sensitivities, construction material availability and cost, etc.

5.1.2 SHORTLISTING OF FACILITIES FOR ASSESSMENT As the list of 241 uncommitted facilities was still too high for conducting field assessments within the project schedule constraints, additional criteria were employed to reduce the number for the assessment phase. The uncommitted facilities were reviewed and prioritized using the number of beneficiaries per facility, the concentration of highly excluded population served, proximity of facilities to each other, and accessibility (availability and type of road). In addition, the priorities of district authorities and the findings from observations during the sample assessment visits were also considered. The review of the 241 uncommitted facilities resulted in shortlisting 78 facilities in Sindhuli and Makawanpur districts for detailed field assessment. A plan was then prepared for conducting the environmental, social, and technical assessments based on the facilities’ proximity to each other.

5.1.3 FIELD ASSESSMENT PREPARATION To expedite the field assessments of the 78 sites in Sindhuli and Makawanpur districts, four field teams (two for each district) were prepared for deployment. The field teams for Sindhuli were provided by SILT and the field teams for Makawanpur were provided by A-Not. Each field team consisted of a Team Leader (civil engineer), Environmental Expert, and a Sociologist.

A one-day orientation/ training on data collection procedures (updated from lessons learned during the Kathmandu Valley assessments) was provided in the NRES Team Kathmandu office on August 29, 2017 to the field assessment team members. Consistent with the Rapid Field Assessment conducted for the Kathmandu Valley facilities, the three assessment areas included:

 Environmental: a) determine if the site is in a protected area; b) examine the presence of threatened, endangered or endemic species on the site; and c) assess the status of intact, relatively undisturbed forest, wetland or other ecosystems on the site.  Social: a) collect beneficiary details (e.g., total number of beneficiaries, percentage of female and disadvantaged beneficiaries); b) assess the effectiveness of the SMC or HFOMC; and c) identify any land dispute and/or local community dispute.  Technical: a) assess the availability of adequate land for the facilities; b) assess the site condition; c) examine the vulnerability of the site; and d) assess the condition of existing buildings/structures.

The teams were briefed on the methodology for the assessment as well as the assessment forms and the basis for the selection criteria for which data was to be collected in the field.

5.1.4 FIELD ASSESSMENTS The field teams assessed the facilities from late August to the end of September 2017. During the field assessments, two NRES Team members accompanied the field assessment teams in each district. These NRES Team members conducted introductory meetings with district officials,

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 27 provided QA support, and assisted with the completion of survey forms with the assessment teams for the first 2 days.

While the assessment teams were deployed in the field, new information on donor commitments became available, which shifted the specific facilities assessed by the field teams. The field teams still assessed 78 facilities with a breakdown of 35 facilities in Sindhuli (29 schools and 6 health facilities) and 43 facilities in Makawanpur (39 schools and 4 health facilities), but a few of the facilities assessed were changed due to this new information.

5.1.5 FEASIBLE FACILITIES The environmental screening of the 78 sites in Sindhuli and Makawanpur districts did not disqualify any of them. Therefore, all 78 sites were then analyzed both from the social and technical perspectives using the field assessment, a weighted scoring criterion, and finalization consultation with USAID. For the facilities in Sindhuli and Makawanpur districts, USAID had an interest in reaching the under-served population, in part, represented by ease of access.

The resultant scoring of the social and technical assessments, without considering access constraints of the 78 sites, deemed 36 facilities (26 in Makawanpur and 10 in Sindhuli) feasible for consideration for reconstruction under the NCRP. The other 42 assessed facilities (25 in Sindhuli and 17 in Makawanpur) were found to have issues causing them to be excluded from further consideration. These issues included land disputes, insufficient land, disputes among management committee members, or were already committed for construction by other donors. The 26 feasible facilities in Makawanpur included 24 schools and two health facilities; the 10 feasible facilities in Sindhuli included six schools and four health facilities.

5.1.6 ADDITIONAL FACILITY SCREENING Due to the constraints of available funding for construction, construction costs were estimated before finalizing the facility recommendations. A rough order of magnitude (ROM) cost estimate was developed for each of the 36 feasible facilities. The ROM cost for reconstruction of the 36 feasible facilities (26 in Makawanpur and 10 in Sindhuli) was estimated to be $28.4 million ($18.1 million in Makawanpur and $10.3 million in Sindhuli). However, the available budget to USAID for construction, at the time, was around $14 million.

The NRES Team consulted with USAID stakeholders on an approach for further screening to arrive at the recommended facilities. Since the number of feasible schools was far greater than the number of feasible health facilities it was decided that any further screening should not eliminate any of the feasible health facilities but rather concentrate on reducing the number of schools. Consequently, the two feasible health facilities in Makawanpur and the four in Sindhuli would be recommended. The further screening of the 24 feasible schools in Makawanpur and the six feasible schools in Sindhuli involved imposing constraints on two elements of enrollment at these schools: a) total number of enrolled students; and b) percentage of disadvantaged students (students receiving government scholarship) enrolled. This additional screening resulted in six schools recommended in Makawanpur and three schools in Sindhuli.

5.1.7 RECOMMENDATIONS AND SELECTION The results of the field assessment, analysis, screening and prioritization resulted in the recommendation of 15 facilities for reconstruction under NCRP in Sindhuli and Makawanpur. There are seven (three schools and four health facilities) recommended facilities in Sindhuli (see Table 5-1

28 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV and Figure 5-1) and eight facilities (six schools and two health facilities) in Makawanpur (see Table 5-2 and Figure 5-2). These 15 facilities were approved by USAID on November 17, 2017. MOH recognized USAID’s commitment to the six health facilities via a letter received on January 4, 2018 and MOE CLPIU confirmed the nine schools in Sindhuli and Makawanpur on January 31, 2018.

Table 5-1. Facilities Selected for Reconstruction in Sindhuli. No. Facility Name EMIS Code Address

1 Dirgha Pradip Secondary School 200470004 Sunkoshi 2, Khalte 2 Shree Secondary School 200490004 Fikkal GP 2, Lumti 3 Bhanu Secondary School 200180002 Dudhauli GP 2, Ratanpur 4 Belghari PHCC 10201400 Belghari, Ward No 1 5 Kapilakot PHCC 10201399 Kapilakot, Ward No 1 6 Mahendrajhyadi HP 10201453 Jhyadi Belpur, Ward No 2 7 Mahadevsthan HP 10201451 Badimuhaan, Ward No 2

Table 6-2. Facilities Selected for Reconstruction in Makawanpur. No. Facility Name EMIS Code Address

1 Mahendra Kiran Secondary School 310040006 Hetauda-3, Basamadi 2 Bhrikuti Secondary School 310110005 Hetauda -14, Uttarpani 3 Janata Secondary School 310420006 Makapurgadhi-7, Sukaura 4 Yug Chetana Basic School 310340009 Hetauda 13, Brindaban 5 Bandevi Basic School 310110001 Hetauda-15, Fireline, Churiyamai 6 Gyan Jyoti Basic School 310400007 Bakaiya-3, Jaljale 7 Kankada HP 10202277 Siladhani, Ward No 5 8 Sukaura HP 10202267 Sukaura, Ward No 4

Figure 5-1. Facilities Selected in Sindhuli

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 29 Figure 5-2. Facilities Selected in Makawanpur

5.2 SUBCONTRACTOR MOBILIZATION The following provides a summary of the subcontractors engaged during Year 1 for the Sindhuli and Makawanpur work:

 Field Assessments –the field assessment teams for Sindhuli were conducted by SILT, and the field assessment teams for Makawanpur were conducted by A-Not. These teams started on August 29, 2017 with the training/orientation conducted prior to the field assessments.  Design Services – A-Not was selected for the design of facilities in Sindhuli, and USAID approved the Consent to Subcontract to A-Not on April 6, 2018. Createers was identified for the design of facilities in Makawanpur, and USAID approved the Consent to Subcontract to Createers on April 16, 2018.  Social Mobilization/Community Engagement – Two NGOs, one for each district, were selected from among three in each case and contracted to provide the SMs working in Sindhuli and Makawanpur for 24 months. Sahakarya Nepal provides the SMs working in Sindhuli and CCDN provides SMs working in Makawanpur. Two SMs from each of these NGOs joined the NRES Team in January 2018.  Design Support/Review – Services continued to be provided by SILT, performing in the same role as for the support they provided for the Kathmandu Valley designs.

5.3 COMMUNITY ENGAGEMENT As for the Kathmandu Valley, community engagement activities in Sindhuli and Makawanpur are being led by the NRES Team’s CLS, working with SMs. There are two SMs working in each district, but with a plan to add one additional SM in each district at the start of construction to handle the additional responsibilities and activities, and higher potential for conflict during the construction phase. The community engagement activities in Sindhuli and Makawanpur during the first project year, are like those conducted in the Kathmandu Valley after the selection of facilities, as the same NRES CEP applies. Below are community engagement activity highlights related to the Sindhuli and Makawanpur facilities during the first year of the project.

 Community Engagement Training – the January 2018 Community Engagement training was provided by the NRES Team’s Social Mobilization Specialist and focused on training the new SMs

30 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV hired for Sindhuli and Makawanpur The SMS of the Kathmandu Valley also attended the training to reinforce skills/procedures learned during the May 2017 Kathmandu Valley-focused training. This ensured cross fertilization and cohesion between the existing Kathmandu SMs and the new Sindhuli and Makawanpur SMs.  Social Assessments – as described in Section 5.1.1, the NRES Social Team had a key role in the identification of uncommitted facilities and the Social Assessment and facility prioritization (including the verification of land ownership) that resulted in the 15 selected facilities for the Sindhuli and Makawanpur districts.  Willingness Resolution Letters – following the confirmation of the 15 Sindhuli and Makawanpur facilities in November 2017, the NRES Social Team collected Willingness Resolution Letters from the SMCs in December 2017 and January 2018.  Temporary Service Sites – discussions have been initiated with the Sindhuli and Makawanpur SMCs/HFOMCs related to the need for temporary sites for school and health activities during the construction period; arrangements on temporary sites for all communities is targeted for June 2018.  611(e) Reporting –to confirm the ability of each community to maintain and operate the USAID-funded facility, the NRES Social Team has collected historical records (both support staff and O&M budgets) from each of the 15 facilities that forms the basis of the 611(e) Part 1 report.  SMC/HFOMC Meetings – the NRES Social Team has encouraged and facilitates regularly scheduled monthly meetings for each of the selected communities in the Sindhuli and Makawanpur districts. The NRES Social Team maintains a record of the meetings, with meeting participants disaggregated for GESI tracking.

5.4 PREDESIGN PLANNING, PREPARATION AND STUDIES Some of the activities undertaken in the pre-design stage for the Kathmandu Valley facilities are also applicable to the Sindhuli and Makawanpur designs, such as the general Design Criteria and Basis of Design developed for school facilities. Additional pre-design activities conducted in preparation for the designs in Sindhuli and Makawanpur include:

 Review of Standard Designs for Health Facilities – to facilitate and potentially shorten the design effort, a review was conducted of available health facility standard designs from the Government of Nepal.  Design Criteria/Basis of Design for Health Facilities – The document developed for the Kathmandu Valley facilities, focusing on school facilities, was used as the template for creating the same guidance with a focus on health facilities. This document was developed by the CDM Smith HO Lead Practitioner (Ed Morales), with inputs from the local design subcontractors. The document was submitted along with Design Development Reports on November 15, 2018.  Design Considerations Workshop – The NRES Team held a Design Considerations Workshop on March 21, 2018. The purpose of the workshop was to walk USAID through the different phases of designs and decisions for each of the Sindhuli and Makawanpur facilities. NRES Design Team along with Createers discussed an overview of the Kathmandu Valley facilities design progression through each phase, along with examples of reviews and corrections made as the designs progressed. A-Not participated as well.  Design Orientation Meeting - This meeting was held on March 26, 2018 to share experiences and lessons learned from the Kathmandu Valley design review process (including CDM Smith’s TRC reviews) and to discuss and clarify the USAID Branding and Standard

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 31 Templates to be used for designs for schools and health facilities. Meeting participants included the NRES Design Team and design subcontractors (Createers and A-Not).  Topographic Surveys, Field Sketches, and Geotechnical Studies – in April 2018, Createers and A-Not initiated topographic surveys, field sketches, and geotechnical studies at the 15 sites ahead of the finalization of their subcontract agreements.

5.5 DESIGN PROCESS AND ACTIVITIES The designs will follow the same process as developed for the Kathmandu Valley facilities, excepting that they will not be developed under a fast-track approach as required for the first NCRP Task Order. The same design phases will also be consistent with conceptual, preliminary, final and bid/ construction documents. At the end of the reporting period for the first project year (March 31, 2018), the Conceptual Designs are under development by both Createers (for Makawanpur facilities) and A-Not (for Sindhuli facilities). Conceptual Designs will be reviewed with USAID as they become available in April and May 2018. The DDR for Sindhuli facilities is due by May 7, 2018 and the DDR for Makawanpur facilities is due by May 18, 2018.

5.6 ENVIRONMENTAL REVIEWS AND PLANNING Like the Kathmandu Valley facilities, the ERF was used to capture site-specific environmental data for Sindhuli and Makawanpur facilities. The 15 sites in Sindhuli and Makawanpur districts were visited in January 2018 (January 3-6 and January 17-20) and February 2018 (February 25-28) for site specific environmental studies. Supplemental information required for the development of the EMMPs was collected through consultations with headmasters, teachers, and SMC members for the schools, and similar required information for the health facilities was obtained from HFOMC representatives.

5.7 611(E) ANALYSIS AND REPORTING Based upon information collected from the SMCs and HFOMCs, the 611(e) Part 1 Report covering the historical staff support and O&M budget for the 15 facilities in Sindhuli and Makawanpur was submitted to USAID on March 23, 2018.

32 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV 6 GRANTS UNDER CONTRACT Following the development of the GUC Manual, submitted on June 22, 2017, GUCs got a delayed start in the first project year. Other project activities, namely the fast-track facilities in the Kathmandu Valley activities took priority. Even so, GUCs gained momentum in the fourth quarter with the addition of CoRD to the NRES Team to explore and develop grant options. CoRD started its work in February 2018.

In March 2018, CORD completed 17 separate consultation meetings with 17 stakeholders including government agencies, private sector, professional societies, and consumers. The issues, gaps, and suggested actions were identified from the stakeholders’ meetings. The analysis of the consultation meetings led to the identification of potential intervention areas, which were presented to USAID on April 4, 2018; these areas included:

 Quality and testing of construction materials  Awareness- basically on the part of users  Building Material Supply chain  Repair and maintenance  Advocacy for location of industrial sites for brick industries, and exploration of mines for steel industries.

The GUC areas of intervention were agreed upon with USAID during a meeting on April 4, 2018. USAID suggested working on possible areas to cover women entrepreneurs, youth and technology, etc. There is a plan to receive inputs of private sector experts including a USAID economist to consolidate the ideas to initiate GUCs activities.

CoRD is now preparing to hold workshops with the relevant groups of stakeholders. A tentative structure for the workshops was discussed with USAID in March 2018. The workshops will provide the basis for consolidating the intervention areas and packaging the GUC activities. These workshops are scheduled to start in May 2018 and will include:

 Reconfirmation of issues, gaps and suggested interventions.  Prioritization of the areas of intervention.  Detailing out the prioritized interventions for GUC activities, timeline, resources, potential grantees, etc. – essentially, the scope of work for grant activities.

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 33 7 SUPPORT TO GOVERNMENT OF NEPAL In September 2017, USAID requested the NRES Team’s support for the provision of a GESI Specialist to support the Nepal Reconstruction Authority’s (NRA’s) GESI program. The NRES Team identified and interviewed several candidates, and Ms. Archana Tamang was selected for the position. Ms. Tamang started her work in October 2017, initially under a 6-month agreement, which was extended for an additional year in April 2018.

The GESI Specialist’s work has followed the work plan she developed and endorsed by NRA. The NRA GESI Work Plan 75/76 (18/19) process began in October 2017. Apart from fulfilling the identified deliverables on time, the process also enabled several intended outcomes throughout the different stages, based on NRA’s vision of transformative engagement of GESI within NRA, with GESI concerned interest groups (GESICIG), local governments, rights upholders, civil society organizations, communities and other stakeholders. The GESICIG and NRA met in person five times during Year 1 and continue to communicate regularly on various issues related to GESI in NRA’s reconstruction and livelihoods work.

The first ever GESI in Reconstruction Rehabilitation and Livelihoods (RRL) workshop was held in March 6, 2018 and brought together 49 NRA officials from 32 earthquake impacted districts and included officials from CLPIU/DLPIUs, NRA’s Executive Committee, and representatives of GESI Concerned Umbrella Organizations as participants and resources. The workshop helped in establishing NRA’s GESI mandate and commitments; learning about the nuanced issues related to vulnerabilities, exclusion and approaches to overcome them; the identification and articulation of the need for designation of GESI focal points at the local levels; and in influencing the Draft Work Plan with inputs from the GESICIG, center, districts and the Executive Committee.

Given Nepal’s transition to a federated system of governance and the devolution of power to the subnational structures, NRA’s main emphasis has been to work jointly with sub national governance mechanisms. The first leg of this joint programming began with GESI/Livelihoods consultations in Kathmandu, on February 2, 2018. These consultations will be moving on to Dhading, Sindhupalchok, Kavre, Lalitpur, Bhaktapur, and Makwanpur districts. These consultations are envisaged to again, establish NRA’s GESI in reconstruction mandate and to encompass livelihoods and social recovery activities from a GESI perspective beginning with targeted interventions for/with the most vulnerable (single women 65+, persons living with disabilities-blue/red card holders, senior citizens 70+, and child-headed households), based on NRA’s vulnerability criteria.

Below are highlights of the accomplishments under this activity:

 GESI in RRL workshop.  GESI budget approval of Rupees 6.4 million for the 2nd and last quarter of the current fiscal year.  Creation of GESI vulnerability index at the NRA.  NRA’s GESI Workplan for Nepali fiscal year 2075/ 2076 BS.  Capacity development on GESI programming exercise with NRA heads of district offices, DLPIUs/CLPIUs, involving all 32 districts.

34 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV 8 MONITORING, EVALUATION AND LEARNING The NRES Team submitted the Draft MEL Plan to USAID on June 22, 2017 during the first quarter of the project. On November 13, 2017 USAID provided comments on the Draft MEL plan. CDM Smith incorporated comments and submitted the revised MEL Plan on January 15, 2018. The revised plan included the following proposed Performance Indicators:

 Number of individuals with access to reconstructed disaster-resilient facilities because of US Government assistance.  Number of local community governance groups with increased capacity to maintain disaster- resilient facilities because of US Government assistance.  Number of sites of permanent facilities repaired or reconstructed to be disaster resilient because of US Government assistance.  Number of public institutions with improved disaster-resilient reconstruction capacity through US Government assistance.  Number of construction companies and grantee organizations in the construction supply and value chain implementing GUCs.

Three of the above-listed indicators are dependent on the constructed facilities under the NCRP, the fourth is dependent on public institutions adopting more resilient disaster response as a result of the NRES project work that is just beginning, while the fifth indicator is dependent on the implementation of the GUCs component of the NRES Project. At the end of NRES Project Year 1, construction has not started and GUC activities only began in February 2018. Therefore, to date, the NRES Team has not been able to upload information on USAID’s AidTracker+ to document progress on these indicators.

In the meantime, on December 4, 2017 the NRES Team’s Monitoring and Evaluation (M&E) Officer received a brief training at USAID’s Office in Kathmandu on how to use AidTracker+. It was mentioned in the training that because the construction activities under the NCRP/NRES were envisioned to start at the end of 2nd Quarter or beginning of 3rd Quarter 2018, the use of AidTracker+ for the NRES Project would start in October 2018 covering the first quarter of actual construction supervision activities under the contract and potentially GUCs identified to date under the contract. The NRES Team plans to begin inputting data to AidTracker+ after June 30, 2018.

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 35 9 COMMUNICATION The NRES Team recognizes the importance of communication in the success or failure of development projects. Therefore, on November 13, 2017 the team added two part-time communication consultants. The NRES Communication Team discussed communication strategy based on the Reporting and Communication Plan submitted on May 17, 2018 with USAID’s Development Outreach and Communication (DOC) office at a meeting on December 18, 2017.

The NRES Team’s communication consultants have been instrumental in preparing the required quarterly Success Stories that have been submitted during the first year of the project; at USAID’s request, four additional short stories were submitted to USAID on March 8, 2018. In addition, they have helped prepare a short video documenting the project activities, especially in the Kathmandu Valley. The video, and other documents have been shared with USAID via Google Drive since November 15, 2017. The team has also been instrumental in the preparation for the planned ground-breaking ceremony scheduled for May 11, 2018 to be attended by the US Ambassador to Nepal and the Chief Executive Officer (CEO) of NRA.

36 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV APPENDIX A

Project Stakeholders

38 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV Stakeholder Names and Contact Information Contact SN Name Office Designation # Email: District Shovendra A‐Not Architect [email protected] 1 Raj Joshi Kathmandu MitraLal A‐Not Director [email protected] 2 Gaurav Kathmandu Damodar A‐Not Managing Director [email protected] 3 Acharya om Kathmandu Ima CLPIU (MOE) Project [email protected] Narayan Director(CLPIU)/Joint 4 Shrestha Secretory Kathmandu Ujjwal Man Createers Managing Director createers@mos. Com.np 5 Shakya Kathmandu Anika Createers Architect Engineer createers@mos. Com.np 6 Dhaubhadel Kathmandu RGB H4L Chief of Party [email protected] 7 Timmons Kathmandu Sagar P DOHS‐MOH Senior Public Health [email protected] 8 Ghimire Administrator Kathmandu Pradeep MoH Sr. Technical [email protected] 9 Adhikari Administrator Kathmandu Santosh MOH (NHSSP) Sr. Earthquake Dr.santosh.shrestha@gma 10 Shrestha Resilient Advisor il.com Kathmandu Sunil MoH (NHSSP) Lead Advisor Health [email protected] 11 Khadka Infrastructure Kathmandu Manohar MRB Managing Director [email protected] 12 Rajbhandari om Kathmandu Kamaleswor MRB Civil Engineer Kalaleswar‐ 13 Joshi [email protected] Kathmandu Prakash National Joint Secretory [email protected] Thapa Reconstruction 14 Authority (NRA) Kathmandu Dr. Bhisma NRA Under Secretory [email protected] 15 K Vhusal Kathmandu Chandra NRA Executive Member [email protected] 16 Shrestha Kathmandu Pranay PCU(MoH) Senior Public Health [email protected] 17 Updhaya Administrator Kathmandu Sangun SILT Engineer [email protected] 18 Chitrakar Kathmandu Sarmila SILT Engineer [email protected] 19 Lawoju Kathmandu Anup Shree Head Teacher Shrestha Bhaghawati 20 School (Sankhu) Kathmandu Nagendra Kenya Mandir Head Teacher 21 Bista School(Nhyokha) Kathmandu Surya B Adarsha School Head Teacher 22 Karki (Bhaktapur) Bhaktapur Udhab CLPIU (MOE) Civil Engineer 23 Nepal Kathmandu Ram Chandra District Health 985507 24 Pathak Office DH Officer 1305 District Level Project Prem Implementation Badhur K.C. Unit (DLPIU), Chief DLPIU, 984964 25 Makwanpur Makwanpur 759

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 39 Contact SN Name Office Designation # Email: District Mahendra Purna Lama 26 Saraswati S.S. Head Teacher Dr. Amar 984507 [email protected] 27 Dip Mandal Bhimfadi PHL Chief Medical Officer 1478 om Atma Ram 984545 28 Bartaula Bishnu P.S. Head Teacher 6502 Prativa 984542 29 Bhattari Namtar H.P Health Assistant 0690 Suman Kailash VDC‐ 985507 30 Latula Ward9 Ward Chair Person 0204 Shuva Narayan 984523 RamPrasad.kalkhati@gma 31 Chaudary Kalika S.S. Head Teacher 7413 il.com Arun Kumar 984554 Arunkumarlal2015@gmail 32 Lal Baruki D.S. Head Teacher 2584 .com Bhakta Chandika Devi 984507 33 Maan Thing P.S. Head Teacher 0995 Krishna Badhur Hetuda Chief Technical 984503 34 Adhikari S.Metropoliti Section 0297 Ajay Kumar DLPIU,Heatuda 985404 35 Shah MOE Engineer 1456 [email protected] Arjun Kumar 984442 36 Ghimire Chandrabati S.S. Head Teacher 2220 [email protected]

40 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV APPENDIX B

NRES Team

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 41 NRES Team Name Position or Purpose Start Date Tarek Selim Chief of Party (COP)/Chief Resident Engineer 6‐May‐17 Rajeev Thapa Director, Procurement and Operations 4‐May‐17 DCOP, Senior Civil Engineer Consultant (resigned on March Sagar Krishna Joshi 8‐May‐17 9, 2018 as DCOP) Shambhu Kattel Community Liaison Specialist (CLS) 8‐May‐17 Pramesh KC Office and Human Resources Manager 8‐May‐17 Deputy COP ‐ Stakeholder Coordinator/Business Manager Arjun Koirala 7‐Jun‐17 (assumed DCOP responsibilities March 12, 2018) Bhupendra Karki Accountant 17‐Jul‐17 Prabin Shrestha Design Manager 31‐Jul‐17 Simon Dhungana Project Controls 2‐Aug‐17 Sagun Chitrakar (SILT) Architect‐ ‐ Subcontractor 7‐Aug‐17 Prabin Bajracharya (SILT) Structural Engineer‐ ‐ Subcontractor 7‐Aug‐17 Barsha K.C. Contract Administrator / Junior Accountant 15‐Aug‐17 Parbati Hitan (RHF) Social Mobilizer (Kathmandu)‐ Subcontractor 1‐Sep‐17 Jyoti KC (RHF) Social Mobilizer (Kathmandu)‐ Subcontractor 1‐Sep‐17 Banita Rana Environmental and Monitoring and Evaluation (M&E) Officer 4‐Sep‐17 Archana Tamang Lama Gender Equality and Social Inclusion (GESI) Advisor to NRA 14 Oct‐17 Reeju Shrestha Procurement/ Contracts Engineer 16‐Oct‐17 Chandra Rajbanshi (KTM Security) Security and Logistics Coordinator‐ Subcontractor 17‐Oct‐17 Rabi Man Shrestha (RPT Solution) Business Technology Support ‐ Subcontractor 23‐Oct‐17 Pranab Man Singh Pradhan (SILT) Architect Engineer‐ Subcontractor 25‐Oct‐17 Arbinda Muni Bajracharya (SILT) Quantitative Surveyor‐ Subcontractor 30‐Oct‐17 Arjun Kumal Senior Communication Consultant 13‐Nov‐17 Kalpana Bhandari Communications and Outreach Consultant 13‐Nov‐17 Manoj Kumar Shah (SILT) Electrical Engineer‐ Subcontractor 28‐Nov‐17 Raj Puri Construction Quality Assurance Manager 29‐Nov‐17 Yamanta Niroula Deputy Construction Quality Assurance Manager 2‐Jan‐18 Satish Pokharel (Sahakarya) Social Mobilizer (Sindhuli)‐ Subcontractor 1‐Feb‐18 Suresh Babu Sharma (Sahakarya) Social Mobilizer (Sindhuli)‐ Subcontractor 1‐Feb‐18 Roshana Subedi (CCDN) Social Mobilizer (Makawanpur)‐ Subcontractor 1‐Feb‐18 Ram Babu Paswan (CCDN) Social Mobilizer (Makwanpur)‐ Subcontractor 1‐Feb‐18

42 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV APPENDIX C

Short Term Technical Specialists

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 43 Short Term Technical Specialists Name Position or Purpose Start Date or Date End Date or Date of Arrival of Departure William Parente Home Office (HO) Project Manager. Assisted in May 5, 2017 June 24, 2017 mobilization of the project, preparation of initial deliverables, and served as acting Chief of Party (COP) in the absence of the COP for medical reasons. Anthony Mirabella Senior Construction Manager May 8, 2017 June 9, 2017 Emily Hendrick Monitoring, Evaluation, and Learning (MEL) May 21, 2017 June 5, 2017 Advisor, working on MEL plan and Nepal Reconstruction Engineering Services (NRES) Project counterparts. Jane Thomas Community Engagement Advisor. Working with May 21, 2017 June 14, 2017 NRES Team Community Liaison Specialist (CLS) and the Community Engagement Plan (CEP). Ms. Thomas made a subsequent trip from April 15 to May 1, 2018 to provide training to field supervision team and new social mobilizers (SMs). Uma Maheswara Rao Engineer/geographic information system (GIS) June 20, 2017 November 30, 2017 Specialist – initially mobilized for project GIS database development but became key specialist for supporting assessment data analysis/reporting (using GIS) and training Nepali GIS Specialist. Mohammad Naveed Finance and Accounting (F&A) Specialist – Train July 16, 2017 August 6, 2017 NRES Team Accountant on CDM Smith accounting system and procedures. Edward Morales Project Lead Practitioner / Architect – July 28, 2017 August 5, 2017 Lead/facilitate an internal design process workshop with our engineering subconsultants to streamline and harmonize the design production and internal reviews. Ali Shahbaz Project Controls Specialist – introduce CDM August 19, 2017 August 26, 2017 Smith specific project control systems requirements and develop detailed program schedules and protocols for schedule review, monitoring and reporting. Mr. Shahbaz made a subsequent trip from April 8-23, 2018, in preparation for construction scheduling. Karen Menczer Environmental Compliance Specialist – Guide September 13, 2017 September 28, 2017 the project’s Environmental Compliance Officer in the requirements of 22 Code of Federal Regulations (CFR) 216 regulations, to establish protocols and procedures for field environmental compliance monitoring, and train engineers and related staff. Beth Colling Chief Ethics and Compliance Officer – Provide November 13, 2017 November 20, 2017 training to NRES Team in ethics, compliance, fraud, waste and abuse, how to recognize, how to report, the importance of preventing corrupt practices on the project, and how to deal with these issues. John Gavin HO Project Manager- Provide guidance on November 28, 2017 December 15, 2017 Quality and Project management and assist the NRES Team

44 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV APPENDIX D

NRES Project Schedule

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 45 46 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 47 48 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 49 50 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV APPENDIX E

NRES Deliverables Tracker

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 51 NRES Project Deliverable Tracking System

Comments Approval Type of Submitted Resubmitted Uploaded No. Deliverable Description Due Date Remarks Received Received Deliverable On On to DEC? On On

01 Annual Work Plans Plans Comments received, revision 1 First Annual Work Plan (for 4/24/17 to 3/31/18) 7-Jun-17 7-Jun-17 7-Sep-17 22-Nov-17 submitted, awaiting approval. Submission date extended due 2 Second Annual Work Plan (for 4/1/18 to 3/31/19) 31-Jan-18 16-Feb-17 to IFB issuance and TO 2 & 3 uncertainty

Comments received, revision 02 Monitoring, Evaluation & Learning Plan Plan 22-Jun-17 22-Jun-17 13-Nov-17 15-Jan-18 submitted, awaiting approval.

Awaiting review and comments 03 Reporting & Communications Strategy Plan 23-May-17 23-May-17 from USAID.

Awaiting review and comments 04 Emerg. Preparedness & Response Plan Plan 21-Jul-17 21-Jul-17 from USAID.

November revision submitted to reflect updated quality 22-Jun-17 procedures being used on the 05 Quality Management Plan Plan 22-Jun-17 and project. 1-Nov-17 Awaiting review and comments from USAID.

Comments received, revision 06 Branding & Marking Plan Plan 23-May-17 15-May-17 17-May-17 23-May-17 submitted, awaiting approval.

Comments received, revision 07 Safety & Security Plan Plan 23-May-17 23-May-17 8-Jun-17 15-Jun-17 submitted, awaiting approval.

Awaiting review and comments 08 Grants Under Contract Plan Plan 22-Jun-17 22-Jun-17 from USAID.

09 Monthly Progress Reports Report 6 October 2017 10-Nov-17 10-Nov-17 12-Nov-17 15-Nov-17 Submission delayed due to 7 November 2017 10-Dec-17 12-Dec-17 Future TO Site Visits and Adarsha School Final Design.

52 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV NRES Project Deliverable Tracking System

Comments Approval Type of Submitted Resubmitted Uploaded No. Deliverable Description Due Date Remarks Received Received Deliverable On On to DEC? On On

- 8 December 2017 - 10-Jan-18 N/A - N/A N/A N/A - Submission date extended due - 9 January 2018 -- - 10-Feb-18 16-Feb-18 to Pre-bid conference of Feb 6------8 - 10 February 2018 - 10-Mar-18 12-Mar-18 3/10/18 is Saturday. ------

1-0 Quarterly Progress Reports Report ------3 Y1, Q3 Oct - Dec 2017 - 15-Jan-18 16-Jan-18 1/15/18 is MLK Jr holiday. - - - - Submission date extended due - 4 Y1, Q4 Jan - Mar 2018 - 15-Apr-18 20-Apr-18 to preparation for Ground - - - - Breaking Event ------11 Annual Performance Reports Report ------1 First Year Annual Report - 30-Apr-18 ------

12 Final Report Report 23-Mar-22 ------

13 Success Stories ------Comments received, revision - 1 Y1, Q2 Jul - Sep 2017 - 15-Oct-17 19-Oct-17 20-Oct-17 20-Oct-17 - - submitted, awaiting approval. - 2 Y1, Q3 Oct - Dec 2017 - 15-Jan-18 16-Jan-18 1/15/18 is MLK Jr holiday. - - - - Success story on GESI - 3 Y1, Q4 Jan - Mar 2018 - 15-Apr-17 - Specialist being discussed with - - - - USAID ------14 Foreign Assistance Reporting Report 8-Apr-22 ------

15 Facility Recommendation & Prioritization Report ------T.O. #1 Kathmandu Valley Report 22-Jun-17 22-Jun-17 - - - - - USAID - - facility 11-Jul-17 ------selection Draft prioritization/recommendations T.O.(s) TBD Sindhuli District Report 26-Oct-17 26-Oct-17 - - - - presented to USAID Mission Director on 10/26/17. USAID - - facility 17-Nov-17 - - - - 17-Nov-17 - selection

USAID.GOV ANNUAL PERFORMANCE REPORT - YEAR I | 53 NRES Project Deliverable Tracking System

Comments Approval Type of Submitted Resubmitted Uploaded No. Deliverable Description Due Date Remarks Received Received Deliverable On On to DEC? On On

Draft prioritization/recommendations - T.O.(s) TBD Makwanpur District Report 26-Oct-17 26-Oct-17 - - - - presented to USAID Mission Director on 10/26/17. USAID - - facility 17-Nov-17 - - - - 17-Nov-17 - selection ------Awaiting review and approval 16 Community Engagement Plan Plan 22-Jun-17 22-Jun-17 - - - - from USAID. ------17 Design Development Reports ------USAID - T.O. #1 Kathmandu Valley Consent to 15-Aug-17 ------Subcontract Kanya Mandir and Shree 14-Sep-17 Bhagawati schools submitted - - Report 14-Sep-17 and 9/14/17; Partial DDR of 2-Oct-17 - - - 15-Sept-17 Adarsha School submitted 9/15/17. Complete DDR of Adarsha - - Report - 25-Oct-17 School handed over in USB - - - - Drive. USAID - T.O.(s) TBD Sindhuli District Consent to 6-Apr-18 ------Subcontract 4/30/18 & 5/1/18 are public - - Report 8-May-18 - - - - - holidays. USAID - T.O.(s) TBD Makwanpur District Consent to 17-Apr-18 ------Subcontract - - Report 18-May-18 ------18 611(e) Reports ------Submission date extended due - T.O.(s) TBD Sindhuli District Part 1 18-Mar-18 23-Mar-18 to preparation IDIQ Task - - - - Order. - - Part 2 22-Jun-18 - 6/21/18 is a Sunday ------

54 | ANNUAL PERFORMANCE REPORT – YEAR I USAID.GOV NRES Project Deliverable Tracking System

Comments Approval Type of Submitted Resubmitted Uploaded No. Deliverable Description Due Date Remarks Received Received Deliverable On On to DEC? On On

Submission date extended due - T.O.(s) TBD Makwanpur District Part 1 18-Mar-18 23-Mar-18 to preparation IDIQ Task - - - - Order. - - Part 2 2-Jul-18 ------19 Environmental Mitigation and Monitoring Plan (EMMP) Report ------9/9/17 is a Saturday, deliverable submitted 9/11/17. Comments - T.O. #1 Kathmandu Valley Report 9-Sep-17 11-Sep-17 20-Oct-17 1-Nov-17 - - received, revision submitted, awaiting approval. - T.O.(s) TBD Sindhuli District Report 21-May-18 ------T.O.(s) TBD Makwanpur District Report 1-Jun-18 ------20 Solicitation Documents ------T.O. #1 Kathmandu Valley ------Kanya Mandir and Bhagawati Secondary Schools - 15-Nov-17 15-Nov-17 - - - 15-Dec-17 - - - Adarsha Secondary School - 7-Dec-17 6-Dec-17 - - 15-Dec-17 - - - T.O.(s) TBD Sindhuli District ------80% Draft Solicitation Document - 9-Sep-18 - Baseline schedule ------100% Final Solicitation Document - - 1-Oct-18 - Baseline schedule - - - - - T.O.(s) TBD Makwanpur District ------80% Draft Solicitation Document - 10-Aug-18 - Baseline schedule - - - - - 100% Final Solicitation Document - 3-Sep-18 - Baseline schedule - - - -

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