World Bank Document

Public Disclosure Authorized Government of Nepal Ministry of Agriculture Development Nepal Agriculture and Food Security Project

Public Disclosure Authorized

SOCIAL MANAGEMENT FRAMEWORK

Public Disclosure Authorized

July 2012

Social Management Framework 2012

ACKNOWLEDGEMENT

Particular acknowledgement goes to the U.S. Agency for International Development (USAID) for their financial support to prepare this document. Similarly, we are grateful for the assistance of International Food Policy Research Institute (IFPRI) and Institute for Integrated Development Studies (IIDS) to carry out the situation analysis and field study to prepare this framework.

Our special thanks goes to Mr. Bishwa Bandhu Raj Singh and Mr. Shyam K. Upadhyaya of Institute for Integrated Development Studies (IIDS) and Mr. Xinshen Diao and Mr. Pramod Kumar Joshi of International Food Policy Research Institute (IFPRI) for their invaluable effort to prepare this document. This document would never have taken shape without their hard work.

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CONTENT

Acknowledgement ------ii Abbreviation and Acronyms ------v Executive Summary ------vii 1. Introduction 1 1.1 Background ------1 1.2 Objectives ------1 1.3 Methodology ------2 1.4 Organization of the Report ------2

2. Social Situation of the Project Area ------3 2.1 Population ------3 2.2 Caste/Ethnicity ------3 2.3 Vulnerable Communities ------5 2.3.1 Dalits ------5 2.3.2 Indigenous People ------5 2.3.3 Women ------6 2.3.4 Landless ------9 2.3.5 Marginal Farmers ------9 2.3.6 Remote Area Population ------10

3. Potential Social Impacts of the Project Activities ------11

4. Stakeholder Analysis ------14 4.1 Farmer Community ------14 4.2 Farmer Groups and Cooperatives ------16 4.3 Government Organizations at District Level ------16 4.4 Private Sector and NGO ------18

5. Government policies, rules, and regulations on Social protection ------20 5.1 Laws and Policies relating to Land Acquisition, Resettlement or Rehabilitation ------20 5.2 Policies for Development of Vulnerable Groups (Dalits, Janjatis, Women, and the Poor 21

6. World Bank’s Social Safeguard Policies ------23 6.1 Involuntary Resettlement (OP 4.12) ------23 6.2 Indigenous Peoples (OP 4.10) ------23 7. Capacity of Executing Institutions for Management of Social Issues and Impacts ------24

8. Social Management Framework (SMF) ------25 8.1 Social Screening of Sub-Projects ------25 8.2 Land Acquisition, Displacement, Resettlement, and Compensation Issues ------25 8.3 Vulnerable Communities Development Framework ------26

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8.4 Gender Development Framework ------28 8.5 Consultation and Information Disclosure------29 8.5.1 Community Consultation Process: ------29 8.5.2 Information Disclosure: ------29 8.6 Grievance Redress Mechanism------30 8.7 Monitoring ------30 8.8 Institutional Arrangement for Implementing SMF ------31

8.9 Funding ------33 8.10 Capacity Building ------33 References ------34 Annexes ------36

List of Table Table 1.1: Proposed Project Districts ------1 Table 2.1: Development Region-wise Population of Nepal ------3 Table 2.2: Percentage distribution of Ethnic Groups in Mid-west Development Region, 2001 ------3 Table 2.3: Percentage distribution of Ethnic groups in Far West Region by district, 2001 ------4 Table 2.4: Asset ownership of men and women in Nepal ------7 Table 2.5: Regional Distribution of Literacy Rates of Men and Women, 2011 ------7 Table 3.1: Potential social impacts of project activities ------11 Table 8.1: Vulnerable community development strategy ------27 Table 8.2: Gender Development Strategy ------29

List of Figure Figure 2.1: Gender Empowerment Index, 2006 ------8 Figure 8.1: Proposed Project Implementation Arrangement – NAFSP ------32 Figure 8.2: Institutional Arrangement for Social Management Framework ------33

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Abbreviation and Acronyms

ADB Asian Development Bank CBO Community Based Organization CCV Community Consensus Valuation CDO Chief District Officer CDRC Community Development Resource Center COC Code of Conduct CEAPRED Center for Environmental and Agricultural Policy Research, Extension and Development DADO District Agriculture Development Office DACC District Agriculture Coordination Committee DCO Division Cooperative Office DDC District Development Committee DESMC District Environment and Social Management Committee DLSO District Livestock Service Office DOA Department of Agriculture DPCO District Project Coordination Office DOLS District Livestock Service Office DPHO District Public Health Office DPSU District Project Support Unit DWDO District Women Development Office EIG Education for Income Generation FFS Farmers’ Field Office FGD Focus Group Discussion FWDR Far-Western Development Region GAFSP Global Agriculture and Food Security Program GEED Gender Equity and Environment Division GO Government Organization GoN Government of Nepal GRC Grievance Redress Committee HRC Human Resource Center IP Indigenous People IR Involuntary Resettlement LACFC Land Acquisition and Compensation Fixation Committee LACRRO Land Acquisition Compensation and Rehabilitation Office LRO Land Revenue Office LRP Local Resource Person LSIS Livelihood and Social Inclusion Specialist MAP Medicinal and Aromatic Plant MoAD Ministry of Agriculture Development MoLD Ministry of Local Development MWDR Mid-Western Development Region NAFSP Nepal Agriculture and Food Security Project NDHS Nepal Demography and Health Survey NGO Non Government Organization NNDSWO Nepal National Dalit Social Welfare Organization

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OP Operation Policy PAF Poverty Alleviation Fund PAP Project Affected People PAF Project Affected Families PESMC Project Environment and Social Management Committee PMU Project Management Unit RAP Resettlement Action Plan RPF Resettlement Policy Framework SA Social Assessment SAPPROS Support Activities for Poor Producers of Nepal SMF Social Management Framework TA Technical Assistance UMN United Mission to Nepal USAID United States Agency for International Development VAHW Village Animal Health Worker VC Vulnerable Community VDC Village Development Committee WB World Bank WDO Women Development Office WFP World Food Program WUPAP Western Upland Poverty Alleviation Project

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Executive Summary

The Nepal Agriculture and Food security Project (NAFSP) aims to improve food security of poor and marginal groups of population by increasing agricultural production, increasing livelihood options and household income, and improving utilization of food. Project area covers mid-western and far-western development regions of Nepal, with special focus on seven food insecure mountain districts, viz. Dolpa, Jumla, Humla, Kalikot, Mugu, Bajhang and Bajura.

This study assesses the current social situation in the project area, identifies likely social impacts of the proposed project activities, and includes Social Management Framework (SMF) for the project. The SMF comprises procedures and mechanisms for ensuring that adequate level of social issues are taken into consideration during project implementation, and describes the principles, objectives and approaches to be followed to avoid, minimize or mitigate adverse impacts, and enhance participation and social accountability in project activities.

The study methodology included desk review of similar studies related to social assessment for development projects in Nepal; collection of secondary data/ information; consultations with national level Government Organizations (GOs) including the Project officials, and NGOs; consultation with district level stakeholders in selected sample districts; community level focus group discussions with different social groups in sample districts; and regional validation workshops. The findings of the assessment and the draft SMF were presented at the National Workshop held on May 16, 2012, and report has been revised based on the feedback received.

Social Assessment

In the mid-west and far-west regions, Tharu is dominant ethnic group in the Terai districts; with significant presence of Muslims in Banke, and Chhetris in Kanchanpur. In the hill and mountain districts in the two regions,Chhetris (including Thakuri) are the dominant groups while other groups include Dalits, Brahmin, Magars and Gurungs.

The vulnerable communities in the project area include: Dalits, indigenous people (Janjatis), women, marginal farmers, landless households, and populations residing in remote areasthat tend to be more resource poor, food insecure, socially excluded and lack access to basic services more than the others around them. These population groups also face considerably more constraints participating in development programs.

At the village/community levels, the settlement of people is found to be generally of mixed ethnic groups. Earning sources of the people include: agriculture (including livestock keeping, renting-in land), wage labor, remittance from labor work in India, collection and sale of firewood from forest, collection of NTFPs (in hills and mountain districts), and sale of farm production (vegetable, fruits, ginger and turmeric, etc). Up to 10% (mainly dalits) are landless, and up to 40% are marginal farmers with less than 0.2 ha (mainly dalits and indigenous communities). About 80% households have land holding of less than 0.5 ha.

Involvement of women is limited mainly to food preparation and indoor works, fodder and firewood collection, and supporting the family in farming and livestock related activities. Involvement of men was mainly in land cultivation, grazing of cattle and buffalo, and outdoor activities. Women are quite overloaded with work at home and in the fields, starting from early morning to late evening. Most adult women in the community are illiterate and backward, as compared to their men. About 50%

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households had at least one male family member going for seasonal migration for labor work in India, or elsewhere. However, in terms of education, there did not seem to be much discrimination at present while sending boys and girls to schools.

While untouchability is reportedly not practiced in the community but limited to private homes, and social discrimination against Dalits is slowly on the decline, certain traditions and practices continue to prevail. For instance, Dalits are barred from entering temples and non-dalit houses. Similarly, people refrain from buying milk from Dalits, and Dalitsare also barred from operating hotel businesses.

Food self sufficiency level of the households was generally less than 6 months; for 50% households it was less than 3 months. Coping strategies adopted were wage earning, out-migration of male member for labor work in India, sale of goats and other farm production, collection and sale of NTFPs and fire wood from forest, and borrow for food.

The Project activities under NAFSP focus on enhancing household food security in the poorest and most food-insecure regions through increased agricultural productivity, increased household incomes, and greater awareness about health and nutrition related issues. In this regard, adverse social impacts from the project are likely to be minimal. As a precautionary measure however, the potential positive and negative social impacts of some of the indicative project activities were assessed, and these have been taken into consideration in developing the Social Management Framework for the project.

Stakeholders Analysis

The government organizations at the district level that have relevance to social sector interventions and outcomes of the project are District Agriculture Development Offices (DADOs), District Livestock Service Offices (DLSOs), Division Cooperative Offices (DCOs), District Public Health Office (DPHO), District Women Development Offices (DWDOs), District Development Committees (DDCs) and Village Development Committees (VDCs).

The private sector enterprises that could support and have potential role in development of vulnerable communities are the agrovets, and community level LRPs (VAHWs, Farmers’ Field School Facilitators, etc). The agrovets look for trade volume and are motivated by profit, and it is natural that they operate where there is trade and profit. But these could support to the farmers’ group and

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individual farmers in the rural community to access improved seed and farming materials, and also advise on technology use and some market information.

DLSOs trained Village Animal Health Workers (VAHWs) are found operating in the rural areas in the treatment of animals, but their coverage is found to be very thin. There is need of upgrading technical knowledge and skill of these VAHWs, and develop code of conduct (COC) and guidelines for service delivery and fee charges. Farmers’ Field School (FFS) is getting very popular as an effective method of improved technology dissemination among the farmers. The DADOs have trained some farmer facilitators for conducting FFS at community level in the rural areas. There is possibility of using these FFS facilitators as LRPs in conducting training and demonstration programs at the community level.

Agriculture and Livelihoods Related Concerns

Farming related social issues raised and observed during the focused group discussions were: • Youths in the area face considerable problems finding employment, there is a tendency of out-migration for labor work in nearby urban centers and in India, and labor shortage in farming is becoming significant • Women in the farming community are over burdened with work at home and in farming • Lack of improved farming technical know-how, and access to extension services at the community level • Lack of veterinary care service at the community level • Need to spend more time in collection of fodder and grazing for animals; several community forest impose restriction on animal grazing • Lack of collection centers and transportation facility in the rural areas which makes it costly and time consuming for farmers to sell their surplus production in markets located quite far, or sell to local collector traders at lower price • Traditional practice of unscientific compost making, and use (dung cake being used as cooking fuel in terai districts) • Need to promote local progressive/lead farmers as Local Resource Persons (LRPs) through training and support for technical assistance, and demonstration plots; these LRPsshould be of mature age (over 35 years), and preferably from the same community that they are supposed to support.

Support sought for livelihood opportunities are training and financial support for starting enterprises. Potential livelihood opportunities for the vulnerable communities could be: • Vegetable cultivation (including renting of leased land); irrigation support needed for this • Seed production (potato, cereals, vegetables); support needed in supply of foundation seeds, storage system, seed processing, etc • Fruit nursery in the high hills • Livestock keeping (goat, poultry) • Retail shop (Khoka) • Skill based enterprises: tailoring (Dalit), bicycle and motor cycle repair, electric wiring, wielding, mobile repair/shop, carpentry, masonry, auto-mechanics, etc

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Social Management Framework

The SMF consists of social screening guidelines, land acquisition, resettlement and compensation guidelines, a vulnerable community development strategy, gender development strategy, consultation and information disclosure mechanism, monitoring, institutional arrangement for implementing SMF, funding mechanism, and capacity building.

Social Screening of Sub-Projects

Social screening will be undertaken by the District Project SupportUnits (DPSUs) at an early stage for all subprojects to provide necessary information on the potential social impacts likely to be encountered during implementation. The screening will be carried out in close consultation with the primary stakeholders of the subproject, including beneficiary farmers from vulnerable communities. Project activities at community level related to productive rural and market infrastructures such as collection centers, milk chilling plants, and storage facilities require provision of land for construction of the facilities. The social screening should confirm that the subproject will not result in serious/ adverse social impacts.

Land Acquisition, Displacement, Resettlement, and Compensation Issues

Vulnerable Community Development Framework

Based on the findings of this social assessment, NAFSP project activities are unlikely to have major adverse impacts on vulnerable communities (VC) which includes indigenous people (Janajatis), Dalits, small and marginal farmers, and landless households. However, given the low level of empowerment, and capacity of VCs, it is possible that the VCs may not be able to benefit from NAFSP sub-project activities as much as other communities. Social screening will help to assess the potential impacts of sub-projects on VCs. If the sub-projects, during social screening, are found to have significant impact on VCs, a Vulnerable Community Development Plan (VCDP) would be needed. However, if the sub-project is located in an indigenous people dominated area, an Indigenous People Development Plan (IPDP) will be prepared irrespective of the type of impact.This SMF provides outlines of anIPDP. However, it is expected that a simple VC development strategy would be adequate for most sub-projects envisioned by the NAFSP. The Livelihood and Social Inclusion Expert

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(LSIE) at the Technical Assistance (TA) team of the PMU will prepare sub-projects specific formats for VCDP, or a VC development strategy based on the guidelines provided by this SMF.

Some inclusive measures to maximize project benefits and opportunities to indigenous/ ethnic groups and other vulnerable communities include both the mainstreaming as well as targeted approach. Mainstreaming approach includes increased participation and proportionate representation of IPs and vulnerable communities in various user groups and committees under the project so that their needs, priorities, interests and perspectives are reflected in project planning and implementation. Similarly, targeted approach will cater poor and disadvantaged IPs and vulnerable communities through livelihood enhancement skills training and other such activities to enable them to take full advantage of project opportunities and benefits, including employment opportunities. Livelihood enhancement skills training will be targeted to these groups on the basis of their specific needs and priorities, including promotion and upgrading of traditional skills for modern market requirements. Additional health and hygiene programs will be provided in home gardening and sanitation program targeting IP groups and other disadvantaged community members.

Gender Development Framework

Gender development strategy developed for the project seeks to address gender related concerns that were identified such as increased workload, male absence due to migration, low levels of skills and capabilities amongst women, and need for gender sensitizationto maximize benefits and minimize adverse effects of project interventions, and to ensure the participation of women in all phases of project cycle.

Consultation and Information Disclosure The SMF provides a mechanism for consultation and information disclosure.

Grievance Redress Mechanism The SMF has developed a mechanism for grievance redress.

Monitoring The SMF provides a monitoring mechanism.

Institutional Arrangement for Implementing SMF Institutional arrangement consistent with the overall institutional arrangement of the NAFSP has been developed.

Funding NAFSP will allocate adequate fund for the implementation of SMF.

Capacity Building The SMF provides a capacity building mechanism.

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Social Management Framework for Nepal Agriculture and Food Security Project

1. Introduction

1.1 Background

With funding support from the Global Agriculture and Food Security Program (GAFSP), the government of Nepal is proposing to implement the Nepal Agriculture and Food Security Project (NAFSP) in Nepal. The project aims to improve food security situation of poor and marginal groups of population by increasing agricultural production, increasing livelihood options and household income, and improving utilization of food. The primary target groups of the projects are food insecure households – marginal and small farmers, landless households, Dalits, indigenous, and other vulnerable groups of population. Project area covers mid-western development region (MWDR) and far-western development region (FWDR) of Nepal.Table 1.1 presents the list project districts in different ecological zones of the two regions.

Table 1.1: Proposed Project Districts

Development Districts Region/Ecological Zone Mid -west mountain Humla, Jumla, Dolpa, Mugu, Kalikot Mid-west hill Pyuthan, Rolpa, Rukum, Salyan, Jajarkot, Dailekh, Surkhet Mid-west Terai Dang, Banke, Bardiya Far -west mountain Darchula, Bajhang, Bajura Far-west hill Dadeldhura, Baitadi, Doti, Achham Far-west Terai Kanchanpur, Kailali

The project has the following four main components: 1. Technology Development and Adaptation 2. Technology Dissemination and Adoption 3. Food Security and Livelihood Enhancement 4. Nutritional Status Enhancement

This study assesses current social situation in the project area, identifies likely social impacts of the proposed project activities, and includes aSocial Management Framework (SMF) for the NAFSP. The purpose of the SMF is to provide a set of steps, procedures and mechanisms for ensuring that adequate level of social consideration and integration in each investment in the subproject cycle, and describe the principles, objectives and approach to be followed to avoid or minimize or mitigate adverse impacts, and enhance participation and social accountability.

1.2 Objectives

The objectives of the social assessment and the Social Management Framework are to:

a. Generate information/data to develop integrated Social Management Framework b. Identify measures to minimize and mitigate potential adverse social impacts of the project activities as a result of either individual project activities or their cumulative effects; c. Identify mechanisms to ensure that social impacts on groups such as women, vulnerable communities including indigenous peoples ( Janajatis ), Dalits, small and marginal farmers,

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and landless households, etc, are thoroughly evaluated and necessary interventions are incorporated in planning, decision making, and implementation of project activities; d. Assess project compliance and diligence with government policies, regulations, guidelines and procedures as well World Bank’s social safeguard policies, as applicable to the type of project activities financed by the project; e. Identify best practices and possible measures to enhance positive social outcomes; and f. Provide a mechanism for consultation and disclosure of information.

1.3 Methodology

The methodology for the study included desk review of similar studies related to social assessment for development projects in Nepal; collection of secondary data/ information; consultations with national level Government Organizations (GOs) including Project officials, andNGOs; consultation with district level stakeholders in selected sample districts; community level focus group discussions with different social groups in selected sample districts; and three regional validation workshops.

District level stakeholders consultation and community level focus group discussions were conducted in six districts, namely, Banke and Kailaliin the Tarai, Rukum and Dotiin the hills, and Jumla and Bajurain the high hills. Besides, regional validation workshops were held in Surkhet and Khajura (Nepalgunj) in the Mid-west region, and Dipayal in the Far-west region.In addition to these regional workshops, a national workshop was held in May 16, 2010. The outcomes of these consultations are presented in a Consultation report which is available separately.

1.4 Organization of the Report

The remaining part of the report is organized as follows. Section Two presents assessment of social situation of the project area. Section Three presents stakeholder analysis. Section Four reviews the government policies, rules, and regulations on social safeguards and other related social policies. Section Five reviews the World Bank social safeguard policies. Section Six is on the capacity of executing institutions for the management of social issues and impacts. Section Seven provides the proposed Social Management Framework (SMF) for the project which includes measures for social screening, provisions for land acquisition through voluntary donation, vulnerable communities development plans and gender specific measures.

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2. Social Situation of the Project Area

2.1 Population

According to the 2011 census, the Project area comprising mid-west andfar-west regions of the country account for 6.12 million people, i.e. 23 percent of national population. Table 2.1 below presents regional distribution of population and population density (per square km) in 2001 and 2011. With increase in population, there have been increase in population density in all the regions; however, population density in the far- and mid-western regions in the project area is relatively low compared to other regions of the country.

Table2.1: Development Region-wise Population of Nepal

Population Density 2001 (2058 BS) 2011 (2068 BS) (per sq km) Region Population Population Percent Percent 2001 2011 (‘000) (‘000) Eastern 5,344 23.1 5,834 21.9 188 205 Central 8,032 34.7 9,714 36.5 293 354 Western 4,571 19.7 4,945 18.6 155 168 Mid-western 3,013 13.0 3,584 13.5 71 85 Far-western 2,191 9.5 2,543 9.6 112 130 Nepal 23,151 100 26,620 100 157 181 Source: CBS, 2011.

2.2 Caste/Ethnicity

Caste/ethnic distribution of the population in the Mid-west and Far-west regions by district and ecological regions (Terai, hills and mountains) are presented in Tables 2.1 and 2.2, respectively.

In the mid-west region, Tharu (one of Indigenous Peoples of Nepal) is dominant ethnic group in theTerai districts (mainly Bardiya53% and Dang 32%), and Muslim comprise a significant portion of the total population in Banke district (21%). In all the hill and mountain districts of mid-west region, Chhetri (including Thakuri) are the dominant ethnic group (28% to 69%);other major ethnic groups include Magars in Surkhet (21%), Salyan (17%), Rukum (23%), Rolpa (44%),Pyuthan (31%) and Dolpa (13%);Gurung in Dolpa (23%); and Dalits in Jajarkot (28%), Dailekh (24%), Surkhet (26%) and Pyuthan (20%). Population of Dalits, one of the most vulnerable communities in Nepal, is found in all the districts in the region in significant numbers (minimum of 5% in Dolpa to maximum of 28% in Jajarkot).

Table2.2: Percentage distribution of Ethnic Groups in Mid-west Development Region, 2001

District/ Dalit Tharu Magar Gurung Other IPs Brahmin Chhetri Muslim Others Region Bardiya 10.7 52.6 2.8 0.8 0.6 10.3 13.1 3.0 6.1 Banke 13.8 16.5 5.3 0.8 1.3 5.9 12.2 21.1 23.1 Dang 11.7 32.1 11.6 0.3 1.4 10.9 24.3 1.0 6.7 Tarai 12.1 33.6 6.9 0.6 1.1 9.1 17.0 8.0 11.6 Districts Jajarkot 27.9 0.0 8.7 0.0 0.4 5.1 55.5 0.0 2.4

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Dailekh 23.6 0.0 9.9 1.4 0.5 12.0 48.7 0.2 3.7 Surkhet 26.3 2.1 21.4 1.9 0.7 11.8 32.0 0.4 3.4 Salyan 15.0 0.0 17.3 0.2 2.8 4.5 53.3 0.8 6.1 Rukum 6.9 0.0 23.2 0.3 0.8 3.4 63.3 0.1 2.0 Rolpa 16.8 0.2 43.9 0.4 0.5 1.0 34.5 0.1 2.6 Pyuthan 20.2 0.2 30.7 1.5 2.3 11.5 28.2 0.3 5.1 Hill 20.1 0.5 23.3 1.0 1.0 7.8 42.6 0.2 3.5 Districts Humla 13.1 0.0 0.2 0.1 16.2 6.2 63.4 0.0 0.8 Mugu 19.7 0.1 0.0 0.0 13.0 4.1 62.0 0.0 1.1 Jumla 17.6 0.0 0.1 0.2 1.8 9.6 68.5 0.0 2.2 Dolpa 8.5 0.0 13.2 23.0 4.2 2.5 47.6 0.0 1.0 Mountain 15.7 0.0 1.9 3.2 7.9 6.7 63.1 0.0 1.5 Districts Mid-West 16.1 15.6 14.5 1.0 1.5 8.3 32.2 3.7 7.1 Region Source: Population Census 2001, CBS

In the far-west region, Tharus (one of indigenous population groups) is the dominant ethnic group in the Taraiistrict of Kailali (50%),Chhetriis a major ethnic group in Kanchanpur (34%); Dalits and Brahmins are also major ethnic groups in the Tarai districts of the region. In all the hill and mountain districts of far-west region, Chhetri (including Thakuri) are the dominant ethnic group (55% to 69%); other major ethnic groups are Dalits(17.3% in Baitadi, 20% in Dedeldhura, 26% in Doti, 28% in Achham, 10% in Darchula, 16% in Bajhang and25% in Bajura), and Brahmins (minimum of 7% in Bajura and maximum of 20% in Baitadi).

Table 2.3:Percentage distribution of Ethnic groups in Far West Region by district, 2001

Other District Dalit Tharu Magar Brahmin Chhetri Others IPs Kanchanpur 15.5 23.2 1.8 2.9 15.4 34.2 7.0 Kailali 12.4 49.9 3.4 0.8 9.5 17.9 6.1 Tarai Districts 13.4 40.5 2.9 1.5 11.6 23.7 6.4 Baitadi 17.3 0.0 0.1 0.4 20.4 56.3 5.5 Dadeldhura 19.7 0.0 2.9 0.3 18.1 54.9 4.1 Doti 26.2 0.1 2.8 1.0 9.2 57.0 3.7 Achham 28.4 0.0 0.7 0.2 10.7 57.1 2.9 Hill Districts 23.2 0.0 1.4 0.5 14.3 56.5 4.1 Darchula 10.8 0.0 0.0 1.2 18.5 66.6 2.9 Bajhang 16.3 0.0 0.0 0.3 10.9 69.2 3.3 Bajura 25.3 0.0 0.2 1.2 7.1 61.1 5.1 Mountain Districts 16.8 0.0 0.1 0.8 12.3 66.3 3.7 Far-West Region 17.5 19.2 1.9 1.0 12.7 42.6 5.1 Source: Population Census 2001, CBS

2.3 Vulnerable Communities

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The vulnerable communities in the project areas are Dalits, indigenous people (Janjatis), women, marginal farmers, landless households,and remote area population who tend to be more resource poor, food insecure, socially excluded and lack access to resources in comparison to others around them. They also face considerably more constraints while participating in development programs.

2.3.1Dalits

The term Dalit refers to people belonging to occupational castes which are considered untouchables in traditional social structure in the country. Dalit communities found in the hills and Tarairegions are as listed below.

Hills:Pariyar (Damai, Dargee, Suchikar, Nagarchee, Dholee, Hudke), Bishwokarma (Kami, Lohar, Sunar, Od, Chunanra, Parki, Tamata), Sarki (Mijar, Charmakar, Bhool), Badi, Gandharba (Gaine)

Terai:Chamar (Ram, Mochi, Harijan, Ravidas), Chidimar, Dom (Marik), Tatma (Tanti, Das), Dushadh (Paswan, Hajara), Dhobi (Rajak),Pattharkatta, Pasi, Bantar, Mushar, Mestar (Halkhor), Sarbhang (Sarbariya), Kalar, Kakaihiya, Kori, Khatik, Khatwe (Mandal, Khang)

Dalits are subjected to discrimination in employment and access to public facilities such as drinking water. Although the legal code of 1963 has abolished untouchability, the practice still continues due to weak enforcement of law and entrenched cultural beliefs of people. Practices relating to untouchability is more prevalent in the mid- and far-western hills and mountains. Over time, the practice of untouchability has weakened, but Dalitscontinue to be very much backward in terms of socio-economic conditions compared to othersin the society. Caste-based discrimination still excludesDalits from entering into certain occupations such as opening a restaurant, selling of milk, etc.

Traditionally, Dalits earned their living through occupational works such as tailoring, iron-works, leather-works, and as farm laborersin the land of higher caste groups, including the Janjatis. Industry manufactured (oftenimported) cheaper substitute products of traditional iron equipments, clothing and footwear have increased in urban as well as rural areas thus replacing the traditional source of livelihoods of the Dalits. While Dalits are being displaced from their traditional occupations, no alternate employment opportunity (except out-migration for labor works) is in place to absorb the large mass of Dalit youths in the project area. Most Dalits own small piece of poor quality land and do not possess much farming experience. Further, although Dalits have become more aware socially and politically in the recent years, their economic status has not improved much. In general, the incidence of poverty is high, andhealth and sanitation situation is poor among dalitsthan amongst the Janjatis and higher caste groups.

2.3.2 Indigenous People

Indigenous people (Janjati) are social groups that have distinct identity in terms of their culture, language and social association from the prevalent dominant society. Because of these differences, they are vulnerable to being disadvantaged in the development process. The government has enlisted 49 indigenous ethnic groups in the country. These ethnic groups are categorized according to their vulnerability under the following five groupings:

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i. Groups towards extinction: Kusunda, Bankariya, Raute, Surel, Lepcha ii. Ultra marginalized: Majhi, Siyar, Lhomi, Dhanuk, Chepang, Satar, Jhangad, Bote, Danuwar iii. Marginalized: Sunuwar, Tharu, Tamang, Bhujel, Kumal, Rajbansi, Dhimal, Bhote, Darai, Tajpuriya, Dura iv. Disadvantaged: Gurung, Magar, Rai, Limbu, Rawe, Marphali, Sherpa, Yakkha, Chantyal, Jirel, Hyolmo v. Advantaged group: Newar, Thakali

The major ethnics of indigenous people found in the project area (mid-west and far-west regions) are Tharu, Magar, Gurung, Dhanuk and Kumal (in Terai region), and Magar, Gurung, Bhote, Tamang, Kusunda andSherpa in hill and mountain districts.

The Tharus are the dominant ethnic group in most of the Terai districts in the mid-and-far west regions. While some of the Tharus are well to do with relatively large holding (more than 0.5 ha), about 90% of them have small and marginal land holding and hence are living in vulnerable economic conditions. More than 95 percent of the ex-Kamaiyas (freed bonded laborer) Tharus.In July 2000, the GoNhad freed the Kamaiyas from bondage, provided them with small plots of land (less than 0.2 ha), and small support for house construction. 1In the absence of effective implementation of government support to the ex-Kamaiyas, some of ex-Kamaiyas continue to live in public land as squatters and hence remain vulnerable to food insecurity.

Magars are one of the dominant ethnic groups in most of the hill districts (Rolpa, Pyuthan, Rukum, Surkhet and Salyan) and in Dolpain the high hillsof the mid-west region (Table 3).Other vulnerable indigenous people in the project areainclude marginal segment of the population such as Dhanuk, Kumal, Bote, Tamang, Kusunda, etc., who engage in economic activities ranging from small-scale market oriented agriculture activities to wage labors or even shifting agriculture in or near forests.

These people often experience the loss of self-esteem as individuals and as communities, when confronted with development and modernization.When dealing with these indigenous people, it is important to consider the following aspects of their livelihoods and traditions, and plan to avoid any adverse social impacts on them: a. Close attachment to natural resources; b. Self identification as members of a distinct cultural group; c. Indigenous language, often different from national language; and d. Presence of customary social institutions.

2.3.3 Women

Women suffer from long working hours, heavy work load, and high levels of social exclusion from productive resources and community activities. Traditionally, they have had little access to, or control over land and other assets, trainings, marketing, and employment opportunities. Women in the mid- west and far-west regions of the country are found to be more deprived compared to women in other regions of the country.

1 See Upadhyaya (2002a).

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Over time however, there have been some positive changes in the way issues of gender and social inclusion are being viewed and played out. With out-migration of male and increased earnings, rural women are at the helm of family and community affairs as never before. Also, development programs are increasingly focusing more on women for their increased participation in family, community affairs, and farming.

Access to Assets

The proportion of women who do not own a house and land is higher in the mid-west and far-west regions as compared to the national average (Table 2.4). Women’s ownership of house and land is lower than that of men in all ecological regions (mountain, hills and terai) of the two regions.

Table2.4: Asset ownership of men and women in Nepal

Do not own a house Do not own land Region Women Men Women Men Western mountain 96.2 67.4 96.3 63.8 Mid-western hill 94.7 62.8 92.2 61.6 Far-western hill 98.6 86.2 98.2 84.3 Mid-western Terai 94.5 78.8 92.1 79.4 Far -western Terai 94.7 78.7 93.6 76.4 Mid-western 97.7 70.2 92.5 69.6 Far-western 96.2 80.9 95.5 78.6 Nepal 92.5 74.9 89.6 71.8 Source: NDHS (2011).

Literacy Rate

The literacy rates for women are lower compared to men in all ecological regions in the mid-west and far-west regions, and the regional averages of women’s literacy rates are lower than the national average (Table 2.5).

Table2.5: Regional Distribution of Literacy Rates of Men and Women, 2011

Literacy Rate Regions Men Women Western Mountain 81.2 41.9 Mid-western Hill 86.9 63.8 Far-western Hill 93.0 54.5 Mid -western Terai 83.0 66.3 Far-western Terai 88.0 68.8 Mid -western region 84.1 62.2 Far-western region 89.0 61.2 Nepal 87.0 66.7 Source: NDHS (2011).

Women’s Empowerment

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Gender empowerment measure (GEM) is an indicator of women’swomen’s empowerment . 2Figure 2.1 presents GEM measures for different ecological regions of mimidd -west and far-west regions compared to the national average. It is found that empowerment of women in all sub -regions of the project area is lower than the national average. Furthermore, women in the hills and mountains of the project area are less empowered compared to women in the Terai.

Figure2.1: Gender Empower ment Index, 2006

Series1, Series1, Mid- Series1, Mid- Series1, Far-Series1, Nepal, Series1, Far - Western Western Hill, Western Terai,Western Terai, 0.496 Western Hill, Mountain, 0.41 0.488 0.469 0.413 0.396

Source: UNDP (2009).

Workload

Besides domestic work (water collection, house cleacleaningning,, child care, laundry), women in the far - and mid-western regions also do the majority of work in farming (both crops and livestock) . In general, they perform about 75% of agricultural works (including animal husbandry) performed at household level in the rural areas. Men do specific jobs like ploughing in the farmland , and do the major part of work away from the village like herding, wage laborlabor,, migratorymigratory labor, Medicinal and Aromatic Plant (MAPs) collection, marketing, and service jobs.

Women’s participation in farmer groups , and other community level groups and soci eties (women ’s groups, forest user group, etc) is also on the rise as a result, the associated group meetings are also consuming their time. Project interventions that increase workload of women thus might be affected by time shortage. Despite the overridin g importance of women in agriculture , women continue to have poor access to te chnical services and resources.

Promotion of women friendly mechanization and technology changes are thus needed to address the issue of feminization of agriculture . Also, there is a need for programs and interventions toattract

2 “GEM uses variables constructed explicitly to measu re the relative empowerment of men and women in political and economic sphere of activity.” See UNDP (2009). Social Management Framework 2012

potential migrant male population (youths in particular) with opportunities of better earnings from farming at home—this will be another way to reduce the workload of women in farming.

Household without adult male members

Female headed households face extra challenges while participating in development programs. FGDs with farmer communities and district level stakeholder meetings reveal that more than 50% of men between 20 and 45 years of are absent part of the year in most of the Terai, hill and mountain villages. In certain seasons and areas, more than 50% of households are without adult males. As a result, women in these households have greater control over resources and income, but on the other hand, have also been required to take on greater workload. These additional burdens on women have implications on women’s access to information, project support, decision making and participation in new development programs.

In general, migration and absence of males not only affects traditional livelihood opportunities like sheep or yak herding, but also entry into new ones, especially labor intensive ones like vegetable cultivation, which many male-less households refrain from participating in. The absence of adult males will be felt also in community dealings, socio-cultural affairs, marketing and crisis management.

Skill and Capacities

Broadly speaking, due to lower social status, lower levels of education, skills and exposure, and higher levels of economic dependency and heavy workloads, women’s participation in development activities is limited which also reduces the possibilities of them benefiting from development projects. Women are less involved in planning and design of program interventions, and even when they are involved, their lack time, training, mobility, exposure and leadership generally limits the effects of their involvement. Women’s groups and entrepreneurs are seen to be more dependent on men or NGOs to manage their groups, their administration and linkages, and this dependency will increase if project applies complex and lengthy procedures that require high levels of literacy and numeracy.

2.3.4 Landless

The landless or near-landless are the extreme poor, mostly illiterate, with only few assets. They survive on seasonal migration of male members, labor works and gathering of open access resources (firewood, MAPs, fish) by adults (both men and women) and remittances. The landless include mostly Dalits (including Badi community) and indigenous people (including ex-kamaiya). Based on FGDs and district level stakeholder interactions held in 6 survey districts, about 5-10% of the households in the project area could be in this category.

2.3.5 Marginal Farmers

These are households with small agriculture land holding (less than 0.2 ha) and some livestock. Theiragriculture land is usually uplands without access to irrigation, and food production is enough for less than 3 months of family food requirement. Those belonging to this category of marginal farmers also depend on seasonal migration, wage labor, and collection and sale of open access resources (such as MAPs). The marginal farmers in the project area include Dalits, indigenous people,

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and others, including Brahmin and Chhetris . Depending on market outlets, some of these households were found to be organized in groups and involved in producing vegetables (Bajura, Doti) and potato and maize seeds (Rukum).Some Dalit households in Jumla reported to have rentedagriculture land for share cropping. About 40% households in the project area is estimated to be in this category.

2.3.6 Remote Area Population

Another group of vulnerable communities in the Project area includes populations living in remote areas where basic infrastructures such as roads, transportation, market, school, drinking water, health, etc are lacking, and that people have to walk up for few days in order to access general health and market facilities, and to reach the district headquarters. The basic features of these areas are high costs of marketing due to poor connectivity and limited economics of scale. Large portion of the population in these areas, particularly Dalits and Indigenous people, are food insecure and in extreme poverty. In the six survey districtssome of these remote areas identified include: Rapti east of Banke; hill VDCs of Kailali; 11 high mountain VDCs of Bajura;Bogtan and PaschimChauki areas,Sirkhonisen, Girichauka and Chapali in Doti; 20 north-east VDCs in Rukum; and north-east VDCs ofJumla adjoining to Humla and Mugu districts. The detail listing of remote areas in the project districts can be accessed from the respective DDCs.

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3.Potential Social Impacts of the Project Activities

The Project activities focus on enhancing household food security in poorest and most food-insecure regions through increased agricultural productivity, household incomes and awareness about health and nutrition. The Project will have integrated, area-specific interventions that respond to local problems, potentials and priorities. It emphasizes generation and release of more productive and locally appropriate technologies, control of diseases and pests, enhancement of the supply of quality inputs, provision of small infrastructure support, value chain development, and enhanced market linkages for the farmers.

Development projects not only provide benefits to targeted beneficiaries but it may also cause adverse impacts to people especially VCs. Studies indicate that the development of large hydropower projects in Nepal has led to inequitable sharing of benefits in society causing adverse impacts on VCs while providing benefits to some other groups of population. 3 However, the project activities proposed by NAFSP are less likely to have significant adverse social impact although some minor negative impacts may be inevitable. For example, proposed project activities such as vegetable farming, goat farming, backyard poultry may add to already high work load to women. With men away from home and children at school, women are mainly responsible for collecting grasses and fodder for animals, cleaning of animal sheds, and grazing of livestock, and project activities such as upgrading of livestock breeds and goat farming may also increase workload of women. Social mobilization and training activities may also put pressure on women’s time.Project activity that fails to benefit some segments of population in the community such as vulnerable communities (VCs) while benefiting some other segments of population may lead to conflict within the community.

Focus group discussions and stakeholder consultations conducted during field survey indicate that VCs including dalits, indigenous people, landless households, marginal farmers, women, and remote area population may not be able to benefit from project activities as much as desired due to capacity and social constraints.Table 3.1 presents the likely social impacts of some indicative project activities, constraints that may prevent VCs from sharing benefits of project activities, and suggested enabling measures to enhance project benefits to VCs. These will be taken into consideration in developing the social management frameworks.

Table3.1: Potential social impacts of project activities

Indicative Potential Positive Constraints that may prevent Enabling Measures to Project Impacts/ Benefits VCs from sharing benefits of to Enhance Project Activities Project Activities Benefits to VCs Introduction of - Increased - Most farmers fromVCs - Promote selection of improved crop productivity of land haveless access to khet land better performing local varieties and and improved food and irrigation. These farmers seeds of the rainfed improved security mostly grow rainfed crops, and develop agronomic indigenous crops such as improved agronomic practices millet, buckwheat, barley, practices for rainfed chino, kagono, etc for which crops and cropping the improved varieties are not systems available. Consequently, farmers from VCs may not benefit much from this

3 See Upadhyaya (2002b).

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intervention. Upgrading of - Increased - In many parts of project area, - Awareness program on livestock breeds: productivity of the people are still reluctant to buy the nutrition value of cows and dairy animals to milk from VCs such as Dalits. milk, including cow’s buffalos promote increased - cow milk is generally not sold milk, and against supply of milk in - VCs such as remote area untouchability the community, and population lack market for milk - Promote milk as a in the local market due to lack of road and other source of household - Promote household market infrastructures nutrition income and - nutrition Food grain seed - Increased supply of - Food insecurity, lack of storage - Promote appropriate production improved seeds facility at household level, and storage facility among program from local lack of market system for seed the farmers production production at the community - Establish a workable - Increase in level may compel the farmers community seed household income from VCs to consume the seeds marketing system from sale of seed or sell them as food grain - Strengthen VCs farmer production groups and cooperativesto allow them to address issues of storage, processing, and marketing of seed production Promotion of - Improved poultry - Unlike local breed, the - Encourage farmers to small number of farrmingis likely to improved poultry need to be use kitchen waste and improved contribute provided with feed and agri by-products as poultry birds significantly to VC veterinary care which are feed among the family’s nutrition lacking in the rural areas, and - Support farmers for farmers status and also even in several district preparation of contribute to headquarters in the hills and supplementary feed at household income mountains, and without such the household level from sale of egg veterinary care support and - Create provisions for and live birds feed , improved poultry support of veterinary keeping may be a risky care through access to enterprise for the VCs para-vets at community level Promotion of - Goat is an important - Goat is often fed on open - Make degraded areas goat as IG source of cash grazing land in the nearby of community and activity income to poorer forests; however, several government forests households Sale of community forests restrict open available to VCs goat is also cited as grazing, particularly for goats, farmers for fodder and one of the coping and VCs have very little grass plantation under mechanism of food private land to grow fodder and leasehold forestry insecurity grasses for goats concept and promote stall feeding Development of - Vegetable farmers - The installation and - Subsidize the VCs in non- in the nearby maintenance cost of the the installation and conventional market centers are irrigation system may be maintenance of such irrigation likely to benefit unaffordable to most marginal facility, at least in the facilities (rain from this activity farmers initial priod This would water harvest - Landless households may not encourageVCs to grow pond, sprinkler, benefit from this activity vegetables drip irrigation, - Farmers in remote location - Encourage landless

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etc) may not have much incentive households to form to adopt such irrigation facility groups and rent lands as they have no access to from other land owners market for the production for vegetable cultivation - In remote areas, vegetable may be promoted as a source of household nutrition Construction of - Construction of - Few elite and politically - Ensure wider collection these will facilitate influential persons are involved consultation among the centers/ small bulking of scattered in the construction and user groups, including scale seed production of management of such facilities, VCs and higher order storage facilities farmers for supply and VCs may not get access to value chain participants to the market, and these facilities in construction and thus encourage - Local elites may also influence management of the commercialization the selection of sites in facilities of vegetables and inappropriate sites which may - Ensure locations of the seed production suits their needs but not benefit construction sites are VCs appropriate Source: Based on Field Survey, February – March, 2012.

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4.Stakeholder Analysis

The Project stakeholders are the beneficiary farmer households, CBOs (farmers groupsand cooperatives), government agencies at district level, private sector entrepreneurs (agrovets, local service providers), and NGOsthat have an interest in the project. These are likely to benefit from the project, have a stake, role and potentially influence the project’s outcome, and are likely to influence the conflict and governance risk factors associated with the project. The farmer households and their CBOs are the primary stakeholders who are directly affected by the project. The government agencies, local NGOs and private sector entrepreneurs are the secondary stakeholders which have some intermediary role and may have important effect on the project outcomes.

The analysis presented here is mainly based on FGDs with the primary stakeholder at the community level, and interaction meetings and validation workshops with secondary stakeholders held during the field survey. The FGDs were held in food insecure and Vulnerable Community dominant areas, with representation of women, Dalitsand indigenous communities.The details of stakeholder consultations are provided in separate report. 4

4.1 Farmer Community

The settlement of people at the village/community level is found to be generally of mixed ethnic groups. The average family size of the households generally range from 6 to 8. Earning sources of the people are agriculture (including livestock keeping, renting-in land), wage labor, remittance from labor work in India, collection and sale of firewood from forest, collection of NTFPs (in hills and mountain districts), sale of farm production (vegetable, fruits, ginger and turmeric, etc). Up to 10% (mainly dalits) are landless, and up to 40% are marginal farmers with less than 0.2 ha (mainly dalits and indigenous communities).These marginal holding farmers generally own poor quality land, mostly in upland areas. About 80% households have land holding of less than 0.5 ha. Common agriculture tools holding of farming families are plough, kodalo , kuto and sickle. Several households now own radio and mobile phone (usually by men).

Involvement of women is limited mostly to food preparation and indoor works, fodder and firewood collection, and supporting the family in farming and livestock keeping activities. Involvement of men is mainly concentrated in land cultivation, grazing of cattle and buffalo, and outdoor activities. Women are quite overloaded with work at home and in the fields, starting from early morning to late evening. Most adult women in the community are illiterate and backward, as compared to their men. Generally, male members in the family control economic activities, land, and are also responsible for important household decisions. About 50% households have at least one male family member going for seasonal migration for labor work in India, or elsewhere. Scarcity of wage labor in rural areashas increased wage rate in farming (Rs 250 person/day in terai to up to Rs500 person/day in mountain districts),and also increased use of Parma (exchange labor) system among farming community.

Food self sufficiency level of the households in the project area isgenerally less than 6 months; for 50% of households, it is less than 3 months. Coping strategies adopted include: wage earning, out- migration of male member for labor work in India, sale of goats and other farm production,

4 Upadhyaya, Singh, and Aryal (2012).

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collectionand sale of NTFPs and fire wood from forest, and borrowing of food. Intake of food is limited to two meals of rice or roti (bread)in a day (at least one time rice) with either vegetable or pulses (sometimes just plainchilli with salt). Based on the stakeholders consultation held by this study, There is no disparity in foodconsumption between men and women;although,children and older people in the family receive some preferential treatment.5

Hand pump in the Terai and pipe water in hills and mountain are common sources of drinking water. Improved toilet use among the dalits and indigenous households is almost non-existent in the terai, but relatively better in hills and mountains. Washing hands with water is common, but people seldom use soap. Firewood collected from nearby forests is the energy source for cooking; some households in the Teraiwith cattle and buffalo also prepare dung cake for use as cooking fuel.

5 This study asked women participating in focus group discussions about the food consumption pattern of men, women, and children. It is possible that their answers may be biased. Direct observation is considered a more appropriate research technique in this kind of research. However, the response was consistent in all six survey districts.

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4.2 Farmer Groups and Cooperatives

The farmer communities are organized in groups, formed under DADO, DLSO, DWDO and development projects operating in the area. Several of them are also members of cooperatives formed in the area. Credit need of farming community is served by funds available through the farmer groups, forest user groups, and cooperatives. However, these groups and cooperatives were found to be not always supporting the farmer community in acquiring farm inputs and technical services, and in marketing of farm outputs. Women farmers have difficulty managing time to attend meetings of several farmer groups to which they are members. Key officials of the farmer groups and cooperatives are generally from non-dalits groups. Farmer groups, forest user groups, and cooperatives are the main sources of credit to the farmer community. The interest rates charged is at 1-2% per month from cooperatives and forest user groups, and relatively high (2-5% per month) from farmer groups. None of the farmers in any of the community reported to have accessed bank lending. The cooperatives are in short supply of fund for lending among their members.

The Division Cooperative Offices who were consulted during stakeholder meetings and validation workshops were of the view that cooperatives are mushrooming in the rural areas, many with just an interest in getting some benefits from government or donor funded projects. There is an urgent need for educating the farmers organized in groups and in cooperatives on cooperative principles, including system of patronage dividend and business planning, so that the cooperatives are properly managedto serve the interest of the member farmers.

4.3 Government Organizations at District Level

The government organizations at the district level that have relevance to social sector interventions and outcomes of the Project include, the District Agriculture Development Office (DADO), District Livestock Service Office (DLSO), Division Cooperative Office (DCO), District Public Health Office (DPHO), District Women Development Office (DWDO), District Development Committee (DDC) and Village Development Committees (VDCs). DADO and DLSO are the major stakeholders in implementation of the project at the district and community level.

DADO and DLSO

The DADOsare organized within the district office at the district headquarters, and 4-6 service centers (4 in terai, 6 in hill and 4 in mountain districts) to cover clusters of VDCs. Similarly, the DLSOs are organized with district office at the district headquarters, and varying number of service and sub- service centers to cover clusters of VDCs. The DADOs and DLSOs have adopted group approach to promote crop/livestock related technology and support services to the farmer community.

Each service center of the DADOs in the project districts are to serve on an average 7 to 11 VDCs. Similarly, each service/sub-service centers of the DLSOs are to serve on an average 3 to 7 VDCs. With staffing at the service center of 1 or 2 technicians, it is assumed that the service centers play the role of resource center for technical support and other extension services. Considering group approach adopted for delivery of services, the percentage of households covered in farmer groups (maximum of 19% by DADO and 15% by DLSO in Doti) indicate that a large number of farmer households are outside the DADOs/DLSO service umbrella. The weak extension coverage of the DADOs/DLSOs is thus posing a major challenge in promoting agriculture/livestock development programs of the project

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among the vulnerable communities, particularly women, dalit, and poor households. Furthermore, during the course of the field survey, the technicians at the service and sub-service centers were found to be poorly equipped in terms of up to date technical knowledge and lacked proper motivation.

The farmer communities and district stakeholders suggested the need to promote the progressive/lead farmers,trained Village Animal Health Workers and farmers’ field school (FFS) facilitators as local LRPs at the community level. The professional skills and motivation of the DADO/DLSO technicians, and physical facilities at the service/sub-service centers need to be improved substantially in order for these to effectively function as local resource centers and provide technical back up to the local LRPs.

Division Cooperative Office

Cooperatives are considered instrumental in the rural transformation, particularly in terms of the socio-economic transformation of the poor and the vulnerable communities, through collective actions in the supply of credit, farm inputs and marketing facilities. The Cooperative Offices are tasked with the responsibility of registering and inspecting cooperative societies and unions, organizing education and training programs for cooperative members, and approving auditors to be appointed for auditing cooperative organizations. They also supervise the electionsin cooperatives, and dissolve or close and liquidate inactive cooperative organization.

Quite a large number of cooperatives have been registered in the project districts. In total, there are 3,670 primary cooperatives in 24 districts of mid-west and far-west regions; of thesemost are saving & credit (32%) and multipurpose (27%); only 21% are registered as agriculture cooperatives (Nepal Cooperative Statistics, 2011). Membership within cooperatives is found to be male dominated—of 597,347 cooperative members in total in the far- and mid-western regions,64% are men, and 36% are women.

The issues relating to cooperatives are as follows: 1. Cooperative approach for the promotion of small holder farmers is good, but there is mushrooming of cooperatives that have been established just for the sake of getting some benefits and subsidy supports; 2. Lack of awareness among farmers on objectives and principles of cooperative; 3. Cooperatives are mostly run by well to do and politically motivated people with limited interest in serving the small holder farmers; 4. Cooperatives need to develop a business approach in supporting the smallholders to become competitive in linking with the market system, and minimizing risks involved in farming enterprises; 5. Need for training of farmers organized in groups and cooperatives on cooperative principles, patronage dividend system, and business planning; and 6. Inadequate staff and resources in the cooperative offices to monitor and regulate the cooperatives in their area of jurisdiction (e.g., there is only one officer level staff in a Division Cooperative Office).

DPHO and DWDO

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The District Public Health Offices (DPHOs) are mobilizing Female Community Health Workers (FCHWs) at the ward level in each VDC in the project districts, and are implementing national programs relating to health, nutrition and family planning. The District Women Development Offices (DWDOs) have organized women community groups at the community (ward) level, and committees and cooperatives at the VDC level in their respective districts. In Doti district alone, the DWDO has formed 1,184 women groups with 7,161 members, 164 women committees with 2,737 members, and 17 women cooperatives with 2,678 members. Through these groups and local level institutions, the DWDOs organize activities like awareness raising, skill training and income generation under their women development program. In addition, they also organize other activities such as those relating to gender development, eradication of social evils, children welfare, etc. The DWDOs are staffed with Women Development Officer and other support staff at the district office, and some Women Social Mobilizers (WSM) at the community level.

Social mobilization of the rural women communities done by the DWDOs and the FCHWs mobilized by the DPHOs could be utilized by the project, and the DPHOs and DWDOs could be conceived as stakeholders in bringing synergy to effectively address social and gender concerns relating to the Project.

DDC and VDC

The District Development Committees (DDCs) and the Village Development Committees (VDCs)/ Municipalities are the local governments with interest in development activities at the district and community level. The DDC is the apex body in the district that is responsible for the formulation, coordination, monitoring and evaluation (M&E), and implementation of development programs at the district level.In addition, the DDC and VDCs also have budgetary allocation to conduct programs relating to agriculture, women, dalit, and other vulnerable communities in the areas under their jurisdiction. The DDCs conduct Disadvantaged Group (DAG) mapping of their respective districts, and have periodic and annual program planning meetings. These are to be taken into consideration while planning project activities at the district level. The DDCs and VDCs will be the major stakeholders in the coordination and monitoring of project activities in the district and at the VDC level, respectively.

4.4 Private Sector and NGO

Agrovets, VAHW and FFS Facilitator

The private sector enterprises that could support and have potential role in development of vulnerable communities are the agrovets, and community levelLocal Resource Persons or LRPs (e.g., Village Animal Health Worker or VAHWs, Farmers’ Field School Facilitators, etc). The agrovetsare interested in trade volume and are motivated by profit, and it is natural that they operate where there areprospects for both trade and profit. But these agro-vets could be mobilized to provide support to the farmers’ group and individual farmers in the rural community to access improved seed and farming materials, and also advise on technology use and some market information. While the large farmers have the option of getting service from other sources (distant markets), women and vulnerable people with small volume to purchase and sell have no choice but to rely on these agrovets and traders in their nearby locations.Therefore, technical knowledge of local agrovets and traders need to be

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upgraded from time to time. Furthermore, there is also a need for a control mechanism to monitor activities of the local agrovetsin order to ensure that the goods supplied to the farmers are of quality and are also reasonably priced.

DLSOs trained Village Animal Health Workers (VAHWs) are found operating in the rural areas in the treatment of animals, but their coverage is found to be very thin. The veterinary technicians at the DLSOs were of the view that these VAHWs do not have adequate technical skill to properly diagnose animal diseases and prescribe appropriate medicine, and very often, they prescribe strong dose and excessive medicines to give quick result and charge more for the treatment and medicine. There is a need to upgrade technical knowledge and skill of these VAHWs, and develop code of conduct (COC) and guidelines for service delivery and fee charges.

Farmers’ Field School (FFS) is getting very popular as an effective method for improved technology dissemination among the farmers. The DADOs have trained some farmer facilitators for conducting FFS at community level in the rural areas. Several women, dalits and janjati farmers are found in the list of FFS facilitators approved by the DADOs. There is a possibility for using these FFS facilitators as LRPs while conducting training and demonstration programs at the community level. Besides, there is need to include improved compost making and its use in the FFS curriculum.

NGO

There are several national and local NGOs operating in the project districts. The national NGOs found in the survey districts were SAPROSC in Bajura (implementing PAF, WFP, WUPAP programs), CEAPRED in Rukum (implementing vegetable seed, EIG programs), NNDSWO in Kailali(implementing Save the Children program). Besides these national level NGOs, there are also a large number of local NGOs active in social mobilization and income generating programs at the community level in the project districts. Several locals NGOs consulted during the course of the fieldwork (RukmeliSamaj and Nepal MagarSamaj in Rukum; CDRC and HRC in Bajhang; SamajSewa in Doti, etc) had reasonably adequate office space and staff strength, and were implementing community level programs for PAF, Actionaid, WFP, MercyCorps, UMN, WUPAP, Save the Children, etc. Notably, vulnerable communities, including women, dalits and indigenous people are major focus of the NGOs’ programs in the project districts.

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5. Government policies, rules, and regulations on Social protection

5.1 Laws and Policies relating to Land Acquisition, Resettlement or Rehabilitation

The Interim Constitution of Nepal 2007(2063 BS)

The Interim Constitution of Nepal 2007, article 19 (2) on Right to Property, states: (i) every citizen shall, subject to the laws in force, have the right to acquire, own, sell and otherwise dispose of the property; (ii) the State shall not, except in the public interest, requisition, acquire, or create any encumbrance on the property of any person; and (iii) compensation shall be provided for any property requisitioned, acquired or encumbered by the State in implementing scientific land reform program or in public interest in accordance with law. The compensation and basis thereof and operation procedure shall be as prescribed by law.

Land Acquisition Act, 1977 (2034 BS)

The Land Acquisition Act 1977 is the core legal document to guide tasks related to land acquisition and resettlement activities in Nepal. It authorizes the Government which may, if it deemed necessary, acquire land for any public purpose, subject to payment of compensation. According to the Act, institutions seeking land acquisition may also request GON to acquire the land under the regularity provisions subject to be compensated by such institutions' resources.

The Act has provisions for land acquisition through the mutual agreement with the plot owners, where the process of land acquisition as per Act is not required. The Act grants the plot owner the right to choose between a mutual agreement and the formal process for land acquisition as per the Act.

For acquiring land under the Act, GON forms a Land Acquisition and Compensation Fixation Committee (LACFC) under the chairmanship of Chief District Officer (CDO) of the respective districts. The other members in the Committee comprise of the Chief of Land Revenue Office (LRO), an Officer assigned by CDO, representative from District Development Committee (DDC), Concerned Project Manager, and VDC representative. The Project Chief functions as the Member Secretary of the Committee. In addition, it has become the practice to include representatives from the Affected Persons (APs). This practice of fixing compensation is known as Community Consensus Valuation (CCV). The LACFC determines the amount of compensation considering the following factors: current price of land value, value of standing crop, houses, walls, sheds or other structures, loss incurred as a result of shifting residence or place of business, and consider relevant acts and periodic guidelines of GON. The Act also authorizes the legal tenant entitlement to 100% compensation for any structure built on the land with the permission of the land owners.

The compensation to be provided for land acquisition should generally be in cash as per current market value. However, there is also a provision to compensate land for-land provided government land is available in the area. The Act also envisages the possibility of two separate rates of compensation, distinguishing between families who lose all their land and those who lose only some part of their landholdings. Unpaid government taxes, if any, could be deducted from the compensation amount.

Any grievances and objections will be referred to the Grievances Redress Committee (GRC). The Act assigns the CDO as the sole responsibility to chair land acquisition activities and to address the grievances related to the Resettlement Plan (RP) implementation activities.

Land Act, 1964 (2021 BS)

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Another key legislation in Nepal related to land acquisition is the Land Act1964. This Act establishes the tiller's right on the land, which he is tilling. It specifies the compensation entitlements of registered tenants on land sold by the owner or acquired for the development purposes. The most recent amendment to the Act (2001) established a rule that when the State acquires land under tenancy, the tenant and the landlord will each be entitled to 50 percent of the total compensation amount. Tenants are verified through a record of tenancy at the Land Revenue Office.

Guthi Corporation Act, 1976 (2033 BS)

Land acquisition must also comply with the provisions of the Guthi Corporation Act, 1976. This Act states that Guthi (religious trust) land acquired for a development purpose must be replaced with other land, rather than compensated in cash.

Forest Act, 1993 (2049 BS)

The Forest Act, 1993 recognizes the importance of forests in maintaining a healthy environment. The Act prohibits reclaiming lands, setting fires, grazing, removing or damaging forest products, felling trees or plants, wildlife hunting and extracting boulders, sand and soil from the National forest without prior approval. It also states that the government may permit the use of any part of government-managed forest, leasehold forest or community forest, if there is no alternative for the implementation of a plan or project of national priority without significantly affecting the environment. If any loss to persons or community is involved while permitting use of such land, it is required to compensate the loss.

Local Self-Governance Act, 1999 (2055 BS)

The Local Self-governance Act has authorized the local governments to acquire land for development purpose. In regard to agriculture development, the Act authorizes the local bodies to plan and carry out agricultural development programs and arrange Haat (village market), facilitate development and operation of veterinary hospitals, and development of pastures for livestock grazing.

National Policy on Land Acquisition, Compensation and Resettlement, 2006

The National Policy on Land Acquisition, Compensation and Resettlement in development Projects was prepared in September 2006 by the National Planning Commission. This policy aims to address gaps in the current resettlement, compensation, and rehabilitation practices in Nepal. However, this Policy but it is awaiting approval from the concerned government agencies, the cabinet and the parliament.

5.2 Policies for Development of Vulnerable Groups (Dalits, Janjatis, Women, and the Poor)

Interim Constitution of 2007

The Interim Constitution of2007 commits the government for the protection and development of vulnerable communities. Article 21 on Right to Social Justice guarantees the rights of the economically, socially or educationally backward women, Dalits, indigenous peoples, Madhesi communities, oppressed classes, poor farmers and laborers to take part in the structures of the State on the basis of the principle of ‘proportional inclusion’. According to Article 35 (Policies of State) the State has compulsory obligation to pursue a policy of uplifting the economically and socially backward indigenous people, Madhesi, Dalits, marginalized communities, and workers and farmers living below the poverty line, by making a provision of reservation in education, health, housing, food sovereignty and employment, for a certain period of time. Three Year Interim Plan and Approach Paper

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In line with the constitutional provisions, the successive national periodic plans (the Three-year Interim Plans for 2007-2010 and 2011-2013) provided policies and programs for inclusive growth and upliftment of the vulnerable communities. The specific policies for inclusive development of the vulnerable communities adopted by the government are: (i) creating an environment for social inclusion; (ii) participation of disadvantaged groups in policy and decision making; (iii) developing special programs for disadvantaged groups; (iv) positive discrimination or reservation in education, employment, etc; (v) protection of their culture, language and knowledge; (vi) proportional representation in development; and (vi) making the country’s entire economic framework socially inclusive.

National Foundation for the Development of Indigenous Nationalities, 2002

The Parliament passed a bill in 2002 for formation of National Foundation for the Development of Indigenous Nationalities, which came into existence in 2003. Similarly, in 2002 National Women Commission and National Dalit Commission were formed. These foundation and commissions are to work for protection and promotion of rights of the indigenous, marginalized, Dalit and women.

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6. World Bank’s Social Safeguard Policies

6.1 Involuntary Resettlement (OP 4.12)

The World Bank’s operational policy on involuntary resettlement is to avoid or minimize involuntary resettlement where feasible, exploring all viable alternative project designs. Where resettlement is unavoidable, people affected should be fully informed, and be compensated and assisted to improve or at least restore their livelihoods. The policy covers not only physical relocation, but any loss of land or other assets resulting in relocation or loss of shelter; loss of assets or access to assets; loss of income sources or means of livelihood whether or not the affected people must move to another location. The affected persons should be meaningfully consulted and should be given opportunities to participate in planning and implementing resettlement programs. The absence of legal title to land should not be a bar for compensation, resettlement, and rehabilitation assistance. Furthermore, the vulnerable groups such as indigenous people, dalits, women-headed households, and senior citizens should be entitled to special benefit package in addition to regular compensation and resettlement benefits.

A full Resettlement Action Plan (RAP) must be prepared if more than 200 people are affected, and an abbreviated resettlement plan may be developed when less than 200 people are affected by the project. In situations where all the precise impacts cannot be assessed during project preparation, provision is made for preparing a Resettlement Policy Framework (RPF). The RAP/RPF must ensure that all the bank’s policy provisions in the OP 4.12 are addressed, particularly the payment of compensation for affected assets at their replacement cost.

6.2 Indigenous Peoples (OP 4.10)

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

On the basis of the social assessment and in consultation with the affected indigenous people communities, an Indigenous People Development Plan is to be prepared in a flexible and pragmatic manner, and its level of detail may vary depending on the specific project and the nature of effects to be addressed.

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7. Capacity of Executing Institutions for Management of Social Issues and Impacts

The institutions under the Ministry of Agriculture Development (MOAD) directly related to management of social issues and impacts of the project are Gender Equity and Environment Division of MOAD, the two departments, viz. the Department of Agriculture (DOA) and the Department of Livestock Services (DOLS), the district level offices under the two departments, viz. DADOs and DLSOs.

Gender Equity and Environment Division, MOAD

Gender Equity and Environment Division (GEED) in the Ministry has Gender Coordination Section and Gender Equity Section that deals with social issues in development programs in the agriculture sector. The role and responsibilities of these two sections are as follows:

Gender Coordination Section • Institutionalize gender mainstreaming in agriculture development programs under the ministry and its line organizations; • Prepare policies, plans, programs and guidelines for an equitable gender development as targeted by long-term planning of agriculture sector; and • Work as contact point for other ministries, agencies related with equitable gender development.

Gender Equity Section • Monitor the agriculture development program in accordance with the concept of equitable gender development; and • Enhance the reach of women farmers on agriculture based income generating program.

The Gender Equity and Environment Division (GEED) does not have any unit to look after broader social management issues in the agriculture sector. For instance, it has not developed any social policies and strategies in the areas of indigenous and Dalit people, and resettlement and rehabilitation of people affected by agriculture development programs. Further, social issues in agriculture are yet to be practically incorporated in the agricultural strategies and plans.

Department of Agriculture and Department of Livestock Services

There is no gender or social section or unit within the Department of Agriculture and the Department of Livestock Services. Any social and gender issues that arise in the departments are referred to by their planning units to the Gender Equity and Environment Division at MOAD.In practice, social issues are seldom raised by the Departments.

At the district level, either the DADO or DLSO will take up the responsibility of the District Project Coordination Unit (DPCU). But there is nobody at these district offices to look after the social and gender concerns.

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8. Social Management Framework (SMF)

As discussed earlier, the primary target groups of the NAFSP are poor and vulnerable groups of population in food insecure regions. The adverse social impact of the project is expected to be minimal. This section presents overall Social Management Framework (SMF) for the project.

8.1 Social Screening of Sub-Projects

Social screening provides first stage information about the subprojects, including: (i) beneficiary population, (ii) extent and nature/quality of the land required and number of land owners affected, (iii) impacts on poor and vulnerable groups, (iv) willingness of people for voluntary land donation, and (v) other impacts.Social screening reports are crucial to decide whether or not a particular subproject can be considered under the project.

8.2 Land Acquisition, Displacement, Resettlement, and Compensation Issues

The NAFSP does not foresee any land acquisition, and displacement of people, or any activities that would generate land dispute. If there is a need for common land for activities such as construction of agriculture produce collection centres, it will be made available by the VDC, or the community through VDC with a clear Memorandum of Understanding (MoU). If the VDC or community acquires land for the project activities through donation by individual households, the following conditions will be met/observed: - Impact on donor household will be marginal, i.e., it will not involve more than 10 percent of the land holding and there will be no physical relocation; - The project will not entertain any land donation under coercion; - The remaining assets of the household donating land will be economically viable to ensure livelihood and shelter; - The land required will be identified by the affected community; - The land will be free of squatters, encroachers and other encumbrances; - Verification of the voluntary nature of land donations will be obtained from each person donating land; - That the land donation does not negatively impact on livelihood of vulnerable groups, and if so, the community devised mitigation measures are acceptable; - That a local/community level grievance redressal system is available; and - The land will be transferred in the name of the recipient through a legal process prevalent in the country.

The District Project Support Unit (DPSU) will be responsible for ensuring that the above conditions regarding land donation are fulfilled. The members of the District Environment and Social Management Committee (DESMC) under DPSU, which also includes District Women Development

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Office (DWDO), will visit sub-project site, consult land donor, and other local stakeholders to verify that the donation is marginal and that it was not coerced.

The project also does not foresee felling of any trees, or damages of crops in private land. If logs are needed for some project activity, then it would be obtained from community forest through the local users’ groups in compliance with the management plan of the concerned community forest.If there are standing crops in donated private, or public lands, the DPSU of the project will ensure that construction activities will not start until after the crops are harvested. The project will also not accept donated land (public or private) which involves displacement of squatter households. In such cases, the project will ask communities to look for alternate sites. For these reasons, a separate entitlement matrix is not deemed necessary for this project.

8.3 Vulnerable Communities Development Framework

The World Bank safeguard policy (OP 4.10) requires that free, prior, and informed consultation are held with indigenous people and steps be taken to enhance Project benefits for them even as there may be no adverse impacts on them. In case of adverse impacts, special measures need to be outlined to mitigate these impacts.

Based on the findings of this social assessment, NAFSP project activities are unlikely to have major adverse impacts on vulnerable communities (VC) which includes indigenous people (Janajatis), Dalits, small and marginal farmers, and landless households. However, given the low level of empowerment, and capacity of VCs, it is possible that the VCs may not be able to benefit from NAFSP sub-project activities as much as other communities. Social screening will help to assess the potential impacts of sub-projects on VCs. If the sub-projects, during social screening, are found to have significant impact on VCs, a Vulnerable Community Development Plan (VCDP) would be needed. However, if the sub-project is located in an indigenous people dominated area, an Indigenous People Development Plan (IPDP) must be prepared irrespective of the type of impact. The following outline is suggested for the preparation of anIPDP:

a. Description of the sub-project b. Free prior and informed consultation with IPs/VCs c. Potential impacts of the sub-projects on VCs/IPs d. Measures to mitigate adverse impacts and enhance benefits e. Monitoring f. Implementation Schedules g. Costs Estimates

A VCDP could be a sub-set of the IPDP. However, it is expected that a simple VC development strategy would be adequate for most sub-projects envisioned by the NAFSP. The Livelihood and Social Inclusion Expert (LSIE) at the Technical Assistance (TA) team of the PMU will prepare sub- projects specific formats for IPDP, VCDP, or a VC development strategy.

Vulnerable Community Development Strategy

The vulnerable community development strategy aims to address major social issues related to VCs identified during social screening of sub-projects. Such issues may include the process of

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identification of VCs, ensuring adequate consultation with VCs, capacity and resource constraints, benefit sharing, etc.

The key issues identified by the Vulnerable Communities during FGDs and district stakeholder meetings held by this study during social assessment are: (a) promote the participation of Vulnerable Communities (VCs) and their organizations in planning and implementation of VC focused programs at the district and community levels; (b) provide targeted income generation and skill development activities with enterprise development support; and (c) create provisions within the project for employment opportunities.

The overall development of any target beneficiaries cannot be achieved without their inclusion in the planning and implementation process through increased participation and specific interventions. Some inclusive measures that the project will adopt to maximize project benefits and opportunities to indigenous/ ethnic groups and other vulnerable communities are: (i) mainstreaming and (ii) targeted approach. Mainstreaming approach includes increased participation and proportionate representation of IPs and vulnerable communities in various user groups and committees under the project. When their participationis promoted, their needs, priorities, interests and perspectives are also reflected in project planning and implementation. Similarly, targeted approach catersto poor and disadvantaged IPs and vulnerable communities through livelihood enhancement skill training activities which in turn enable them to take full advantage of project opportunities and benefits, including employment opportunities. Livelihood enhancement skills training will be targeted to these groups on the basis of their specific needs and priorities, including promotion and upgrading of traditional skills for modern market requirements. Additional health and hygiene programs will be provided in home gardening and sanitation program targeting IP groups and other disadvantaged community members.

The proposed vulnerable community development strategy is presented in Table 8.1.

Table 8.1: Vulnerable community development strategy

Issues Target VCs Strategy/ Proposed Activities Responsibility Social Constraints Women, Dalit, - Conduct project related meetings PMU, DPSU - No access to IPs, and VCs with VCs to encourage their active information in remote participation in planning and - Not represented, areas implementation of subproject invited, or consulted activities - Communication, - Information dissemination via FM cultural gap with radio, NGOs and farmer project, GO and organizations NGO staff - Engage NGOs that are already working with VCs and women - Ensure vulnerable communities representation (community level and district level) in subproject planning and monitoring mechanism Capacity Constraints Dalits, IPs, - Adjust interventions and trainings PMU, DPSU - Illiterate, no poor, and to illiterate and inexperienced exposure women villagers, such as by using more - Lack of leadership, visuals, easy language, multiple skills, decision short trainings making capability - Adjust procedure complexity and

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- No financial ability length to levels that do not make to take risks beneficiaries dependent on NGOs and local project staff - Training and income generation activities based on the identified needs and priorities of the VCs - Allocate enough staff and time for intensive interaction - Training to enhance leadership skills and decision making capacity Resource Constraints Landless and - Promote the system of leasing land PMU, DPSU - Lack of land title marginal (private land, community forest) to - Limited access to households, landless and marginal farmers road and transport Dalits, - Promote small scale mechanization - Limited water women- for labor saving in farming sources for irrigation headed - Promote non conventional - Time shortage households, irrigation - Absence of male women - Promote program for potential because of migration migrants and returnees to have attractive earnings at home - Promote LRPs for technical support at community level Benefit Distribution Dalits, poor - Regular monitoringof subprojects PMU, DPSU - Unequal benefit households, by the community and the DPSU to share women, see whether subproject benefits are - Increased migrant being shared vulnerabilities to households - Adjust technology and level of failure intervention to the absorption - Naivety about capacity of the beneficiaries benefits and risks - Create provisions for disaster risk - Benefits too small to reduction for VCs keep men from - Awareness raising, cooperative migrating, or training, leadership training for working elsewhere VCs - Support migrant laborers to assess opportunities at home and to overcome local constraints - Provide targeted assistance and training aimed at enhancing livelihoods of the VCs

8.4 Gender Development Framework

NAFSP activities are unlikely to have major adverse impacts on women. However, a gender streategy is needed to ensure that women are able to derive maximum benefits from NAFSP sub-projects. The Livelihood and Social Inclusion Expert (LSIE) of the PMU will prepare formats for sub-project specific gender strategy. Table 8.2 presents proposed gender specific measures to address gender issues identified during social assessment for this study. These measures will help to maximize benefits and minimize adverse effects of project interventions, and to ensure the participation of women in all phases of project cycle.Sub-project level strategies/measureswill be prepared based on this general strategy.

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Table8.2: Gender Development Strategy

Gender Issues Strategy/ measures Responsibility Workload - Assess and address implication of project interventions on PMU, DPSU workload to women in the family through a comprehensive study of the target beneficiaries in the project area - Promote interventions to reduce workload such as small scale mechanization in agriculture, and multi-use water system - Seek synergy with projects offering workload reduction interventions (mechanization, water supply, etc) Male absence - Mobilization of NGO and LRPs for supporting women-headed PMU, DPSU due to and male-less households in accessing project benefits migration - Feminization of agriculture system (promotion of appropriate tools, equipments and small scale mechanization) - Include subprojects to encourage migrant laborers to assess opportunities at home and to overcome local constraints Skill and - Adjust procedures and technologies according to the PMU, DPSU capabilities capabilities of women - Give women extra coaching and training where required - Introduce adult literacy program at the community level - Organize training on improved agriculture practices at community level with focus on women farmers - Arrange field visits to agricultural farms, research stations and progressive farmers’ fields Gender - Selection criteria for implementing agencies and NGOs should PMU, DPSU sensitization include gender diversity of their staff composition and experiences working with and for women - Gender sensitize male groups, decision makers and staff to ensure that meeting and training venues, times, styles and materials are adjusted to women’s needs and preferences - Include gender issues in information, materials and massages for activity planning, and capacity building

8.5 Consultation and Information Disclosure

8.5.1Community Consultation Process:

Consultations will be held at different stages of sub-project cycle including sub-project identification, social screening, preparation of vulnerable community and women development strategies, monitoring, etc. The DPSU will prepare detailed schedules for consultations and inform the concerned stakeholders well ahead of scheduled date. The DPSU will take extra care to include women, Dalits, indigenous people, poor and marginal farmers in such consultations. Information on dates, venue, and agenda of consultations will be disseminated through local FM stations, local newspapers, and other mediums.

8.5.2Information Disclosure:

The project will establish community based Information Centers in the areas where subprojects are implemented, with disclosure of all relevant information, documents, leaflets, etc. Other places for information disclosure will be the concerned VDC, Agriculture/ Livestock Service Centers, the DDC,

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the Agriculture and Livestock district offices and regional directorates, and the PMU at the central level. Beside, the PMU will also post the subproject related information on its website.

8.6 Grievance Redress Mechanism

Since this project does not involve land acquisition issues, disputes are expected to be minimal. However, some disputes regarding beneficiary selection, sub-project selection, and other project related matters cannot be ruled out. Therefore, a grievance redress mechanism (GRM) will be put in place. The grievance redress mechanism will be established at two levels - at the community level where subproject is planned and implemented, and at the district level. The coordinator of the DPSU will be responsible for establishing the GRM at community level. Complaint Resolution Sub- committee at the community level will consist of representatives from affected people, VDC representative, local NGOs, local service provider, and a representative from the District Project Support Unit (DPSU). This committee will be chaired by the VDC representative or the senior member of the community as determined by the committee members. 6 When the committee receives complaints, it will visit sub-project site, consult affected party, local leaders, and all other relevant stakeholders to understand grievances and possible solutions. The committee will then bring all concerned parties together and try to reach an agreeable solution.

At the district level, the District Agriculture Development Committee (DADC), which already exists in all districts, will work as dispute resolution body for the NAFS. The DADC is chaired by the Local Development Officer (LDO) of the DDC and includes Chief District Officer (CDO), and representatives from district line agencies related to agriculture development in the district as members. Any grievances not settled at the community level will be referred to the DADC. If the disputes cannot be resolved even at the district level, it will be referred to the PMU at the centre.

8.7 Monitoring

There will be three levels of monitoring: a baseline survey; compliance and impact monitoring, and independent monitoring of overall social performance of the NAFSP.

Baseline Survey: Prior to the implementation of the sub-project, the DPSU will conduct a rapid baseline survey of main social indicators in the sub-project area and establish a baseline for future monitoring. Such social indicators will include population of vulnerable group population, livelihood strategies, and income levels, level of representation of women, indigenous people, and Dalits in community organizations, etc. The Livelihood and Social Inclusion Expert (LSIE) at the TA team of the PMU will prepare sub-project specific baseline indicators.

Compliance and Impact Monitoring: Compliance monitoring will monitor whether the sub-project is complying to social safeguard measures (activities) it has committed to, or not. Impact monitoring will monitor the impact (outcome) of sub-project activities on the baseline situation of various social indicators. The DESMC under DPSU will be responsible for compliance and impact monitoring. The DPSU may designate District Women Development Officer, who is also a member of DESMC, to take the lead for such monitoring. Compliance and impact monitoring will be done on a quarterly

6 If all stakeholders related to a sub-project agree, the Citizen’s Forum, which already exists in all wards of VDC, may also act as community level GRM.

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basis. The LSIE at the PMU will be responsible for ensuring that such monitoring will be done on a timely basis.

Independent Monitoring of Overall Social Impact of NAFSP: In addition, the Gender Equity and Environment Division (GEED) of the MoADwill be responsible for independent monitoring of overall social impact of NAFSP sub-projects. The GEED staff may do such monitoring, or hire independent consultants to do such monitoring. The GEED can also mobilize experts from other agencies under MoAD, if available. The project will bear the costs of consultants. Such monitoring will be done annually on sample basis.

8.8 Institutional Arrangement for Implementing SMF

Figure 8.1 presents proposed project implementation arrangement for NAFSP. The MoAD is main implementing agency of the project. A Project Management Unit (PMU) would be established under MoAD which will be located in Kathmandu. The MoAD will delegate a Joint Secretary Level officer to lead the PMU. The NAFSP will contract a national level service provider which would work either through its field offices at district level, or contract local level service providers to provide services at district level. The PMU would consist of a Technical Assistance (TA) team.

There would be two Regional Project Support Units (RPSUs) for two development regions. The Regional Director (RD) of the Regional Agriculture Directorate or the Regional Livestock Services Directorate will be designated as the coordinator of RPSU. The RPSU for mid-western development regions would be located in Surkhet, and the RPSU for far-western development region would be located in Dipayal. Each program district would have a District Project Support Unit (DPSU) for the filed level implementation of the project. The chief of DOAD or the chief of DLSO would lead the DPSU.

NAFSP has also proposed institutional mechanisms for governance oversight and coordination. These include: a Steering Committee chaired by the MOADSecretary, a Technical Committee chaired by a Joint Secretary at the MoAD, two Regional Project Coordination Committees chaired designated Regional Project Coordinators, and District Project Coordination Committees chaired designated District Project Coordinators.

Figure 8.2 presents institutional arrangement for SMF implementation. The TA team at the PMU would include a Livelihood and Social Inclusion Expert (LSIE). The LSIE would prepare guidelines and training manuals, and monitor progress of project interventions on vulnerable people and gender related issues as indicated by the SMF. The PMU would have a Project Environment and Social Management Committee (PESMC) as a sub-committee of proposed Technical Committee. The PESMC would be chaired by the Project Director (PD). Other members of the PESMC would include LSIE, Environment Expert, gender and environmental staff of GEED. It may also invite social and gender experts from other line agencies as per need. The GEED at the MoAD will oversee the planning and implementation of social inclusion and gender development related interventions to ensure that these interventions are in compliance with the government policy and the approved SMF. At the district level, the DPSU would form a District Environment and Social Management Committee (DESMC). The DESMC would be chaired by the coordinator of the DPSU. The members of the DESMC would include experts from DWDO, DFO, DSCWMO, and DDC. In addition, the local service provider would have a Social Mobilization Officer who will coordinate social screening of sub-projects.

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Figure8.1: Proposed Project Implementation Arrangement - NAFSP

Ministry of Agriculture and Cooperatives

Project Steering Committee

NARC MoAD Departments Project Management Unit

TA Team (LSIS) TA Provider Regional Project Support Units

Regional Directorates; DoA, DLS, DoH Regional Coordination RegionalResearchCenter, NARC Committees

Nepal Peasant Coalition (Regional level)

Representatives from development partners District De velopment Committees

Invitees: District Agriculture Development Coordination Committees

District Project Support Unit District Agriculture Development Offices (either at DADO or DLSO) District Livestock Development Offices

Partner NGOs (Local NGOs) Agriculture Service Centers

Livestock Service Centers

Village Development Committees

Beneficiary groups in the communities, villages

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Figure8.2: Institutional Arrangement for Social Management Framework

TA Team PMU PESMC (LSIE)

TA Provider DPSU DESMC

8.9 Funding

NAFSP will allocate adequate fund for the implementation of SMF.The project requires that the subprojects do not involve any loss of land, infrastructure, field crops, trees, etcthat attract compensation to the affected person/family, and therefore no project fund will be allocated for the purpose.

8.10 Capacity Building The following provisions are made to strengthen social inclusion management capacity at MOAD, PMU, and Project coordination offices at the regional and district levels:

1. Gender Equity and Environment Division (GEED) at MOAD: The officials of Gender Equity and Gender Coordination sections in the GEED at MOAD will receive refresher training of one month duration on various aspects of social inclusion and gender development management. The project will support the GEED to prepare policy guidelines, identify monitoring indicators and establish monitoring mechanism for social inclusion and gender development management in development programs under the MOAD.

2. Project Management Unit (PMU): The PMU will have a Livelihood and Social Inclusion Specialist (LSIS) hired for the whole duration of the project. The LSIS will prepare guidelines and training manuals, and monitor progress of the project on interventions relating to vulnerable people and gender at the district and community levels as indicated in the SMF.

3. District Project Support Unit (DPSU): The designated DPSU will have a full time Agri /livestock officer, crop and livestock technicians and project facilitator (Social Mobilizer) hired through TA provider. The chief of the DPSU will be the focal person responsible for the implementation of the SMF at the district and agri/ livestock officers, technicians and facilitators will assist in community level implementation. The agriculture officer or livestock officer at the district level will support in implementation and monitoring of SMF. The LSIS at the PMU will provide training and orientation to the district level officers, technicians and facilitators and support them while preparing detail action plan for the implementation of the SMF at the district and community level.

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References

Agriculture Census 2001, CBS, 2004. Annual Program and Statistics Report, MW RAD Surkhet, 2067/68 Annual Program and Statistics, DADO Bajura, 2066/67 Annual Program and Statistics, DADO Dadeldhura, 2067/68 Annual Program and Statistics, DADO Doti, 2066/67 Annual Program and Statistics, DADO Kailali, 2068 Annual Program and Statistics, DLDO Jumla, 2066/67 Annual Program and Statistics, DLSO Banke, 2067/68 Annual Program and Statistics, DLSO Doti, 2067/68 Annual Program and Statistics, DLSO Kailali, 2065/66 Annual Progress Report, FW RLSD Dipayal, 2066/67 Annual Report, District Women Development Office, Doti, 2067/68 Annual Report, District Women Development Office, Rukum, 2067/68 Annual Report, Nepal National Dalit Social Welfare Organization, 2009/10 Cooperative Activity: at a Glance, Division Cooperative Office, Doti, 2067/68 District Poverty Mapping Report, DDC Banke, 2066 Environment and Social Management Framework: Project for Agriculture Commercialization and Trade (PACT), MOAD/GON, April 2009. Environment and Social Management Framework: Rural Access Improvement Project, Project Coordination Unit, RAIDP, DOLIDAR, Sept, 2009. Gender and Inclusion Assessment for USAID/Nepal, 2007 Gender Assessment, High Mountain Agribusiness and Livelihood Project (HIMALI) MoHP, New Era and ICF international Inc (2012), Nepal Demographic and Health Survey 2011, Kathmandu, Nepal. Nepal Cooperative Statistics 2011, Department of Cooperatives, GoN. National Agriculture Sector Development Priority (NASDP) for the Medium Term (2010/11 – 2014/15). National Agriculture Sector Development Priority (NASDP) for the Medium Term (2010/11 – 2014/15). Population Census 2001, CBS Project Administrative Manual: High Mountain Agribusiness and Livelihood Project (HIMALI), February, 2011 Project Administrative Manual: Raising Income for Small and Medium Farmers Project (RISMFP) Project Design Document: High Value Agriculture Project in Hill and Mountain Areas (HVAP) Social Assessment of Rani JamaraKulariya Irrigation Project, Department of Irrigation, GON.

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Social Management Framework for Urban Governance and Development Program: Emerging Towns Project, Dept. of Urban Development and Building Construction, GON, July 2011. Three Year Plan (2010/11 – 2012/13), NPC/ GON. UNDP. 2009. Nepal Human Development Report 2009: State Transformation and Human Development. Kathmandu: United Nations Development Program (UNDP). Upadhyaya, Shyam K., Bishwa B. R. Singh, and Shankar Aryal. Consultation Report for the Situational Assessment for the Preparation of Nepal Agriculture and Food Security Project. Draft Report Submitted to International Food Policy Research Institute by Institute for Integrated Development Studies (IIDS), June 2012. Upadhyaya, Shyam K. 2002a. Hydropower Development in Nepal: Issues of Equity and Environmental Justice. Equitable Hydro Working Paper 1, Winrock International. Upadhyaya, Shyam K. 2002b. Scarcity Amidst Plenty: Vulnerable Livelihoods in Nepal’s Terai. A Report Submitted to Vulnerable Livelihood Profiling Project. FAO-Nepal. Vulnerable Community Development Framework, Nepal School Sector Program, August 2011 Women Development Program, District Women and Children Office, Surkhet, 2067/67 Women Entrepreneurship development Program, Cottage and Small Industry Development Committee, 2068.

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Social Management Framework 2012

Annex 1: Checklist for Social Screening of Sub-project

A. Background Information

1. Sub-project Title: 2. District: 3. Location (VDC/Municipality and Ward No.): 4. Brief description about the Sub-project: 5. Type of the Beneficiary: (a) Government Organization ( ); Community ( ); Individual ( )

B. Socio-economic Information

6. Please provide information of beneficiary farmer community who will be served/benefited by the subproject. SN Name of VDC Ward Name of Major Total no. of Total no. of settlement(s) ethnic beneficiary beneficiary groups HHs population

7. Does the Sub-project need to acquire private land? Yes ( ) No ( )

8. Are beneficiaries or community organizations willing to donate land for the sub-project, if needed? Yes ( ) No ( )

9. Does the subproject disturb any public common community structures? (Chautara, temple, etc)? Yes ( ) No ( )

10. Are there any dalit or marginalized indigenous group of people who could be adversely affected by the subproject? Yes ( ) No ( )

11. How would the poor and disadvantaged people benefit from the subproject?

12. Will the subproject increase workload of women?

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