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Environmental & Social Management Frameworkresult, the Unit has failed to retain experts trained in social and environmentalfields.10.5 Recommendations for Upgrading the Institutional Capacity of theGESUThe existing weaknesses in the ability to implement adequate environmental andsocial safeguards for road projects are caused by a combination of weaktechnical and resource capacity, low morale, inadequate enforcement andmonitoring. However, these all stem from inappropriate institutional arrangementsbetween the many institutions currently involved in these important functions.Unless these external weaknesses are addressed adequately, the DoR’s GESUwill be unable to carry out its functions properly, regardless of its internalcapacity.These recommendations therefore address constraints that are external to theGESU (institutional recommendations), and constraints internal to the GESU(organisational recommendations).10.5.1 Develop Standardized ProceduresClarity is required in the roles, responsibilities and hence functions for each of theinstitutions involved in the development, implementation and enforcement ofenvironmental and social functions associated with road projects in Nepal. Suchclarity is necessary if these institutions are to fulfil their functions efficiently,without duplication with other institutions. It will also make the purpose ofreporting much clearer and make monitoring, auditing and problem identificationmuch more straightforward. Most importantly, all of these benefits should alsoresult in a far more effective implementation and enforcement of appropriateenvironmental and social policies and standards. At present, such institutionalclarity and clearly defined mandates are lacking, with the result that decisionmaking is slow, cumbersome and bureaucratic; problems are difficult to identify(and hence rectify); and accountability, reporting and auditing weak.The following set of recommendations is made to overcome these existinginstitutional weaknesses:(1) Environmental/social and internal standard regulations should beestablished clearly by the Ministry for the Environment. These should beclear and include detailed project preparation, supervision and reportingrequirements (defined in terms of what information is to be provided, nothow the work is to be carried out, which should be the responsibility of theimplementing agency, i.e. the GESU and DoR).(2) Standards need to be elaborated that should stipulate study and surveymechanisms related to the environmental and social assessmentactivities, such as techniques for baseline information, methods formeasuring standard (and really required) bio-physical and socialparameters, formalization of household surveys, monitoring indicators andverification techniques, compliance control and enforcement,compensation requirements, and public consultation processes, grievanceprocedures, audit procedures,(3) In establishing appropriate policies and standards, the MoEST shoulddiscuss what measures should be included from the Department ofForestry and Department of Archaeology. However, responsibility for thisfunction should ultimately rest with the MoEST who should ensure that theresulting policies and standards are consistent and realistic. Note thatChapter 10-8 April 2007
Environmental and Social Management Frameworkthese standards and policies may well cover many or all governmentsectors.(4) The implementation of these standards and regulations should be theresponsibility of the relevant implementing agency, which for roads is theDoR. Thus the DoR should be ultimately responsible for ensuring that theenvironmental and social policies established by the MoEST areimplemented and enforced properly, as applicable for road projects.10.5.2 Prepare Regular Business Plans(5) Based on the Policies and Standards imposed on it by the MoEST, DoRsenior managers should inform the GESU managers what it expects fromthe Unit over the coming year (and longer if possible).(6) In return, the GESU management should be required to submit aBusiness Plan for its Unit for the start of each financial year, detailingwhat resources it believes that it will require over the coming year, interms of expertise, physical resources and finance, in order to achieve itsobjectives. These plans would therefore include some proposals for stafftraining, risk management assessment and a cash flow forecast for theUnit for the coming year. This Business Plan would (following discussionsbetween the GESU and DoR managers) be approved and would form thebasis on which the obligations of each would be explicitly described.10.5.3 Allocate Clearly Defined Responsibilities(7) Within the DoR, the senior management should clearly allocateresponsibility for environmental and social aspects for all of its projects tothe GESU (as the relevant unit). The Unit’s manager would be required toaccount for the Unit’s performance to senior DoR managers. This wouldpredominantly involve the submission of relevant reports to senior DoRmanagers, who should stipulate what summary information and formatthese reports should take.(8) Subsequently, the responsibility of DoR managers is to ensure that theresources allocated in the Unit’s approved Business Plan are providedcompletely and on a timely basis. They would also monitor theperformance of the Unit through the submission of regular reports fromthe Unit’s managers, and the use of expert and independent audits.(9) The responsibility of the Unit’s managers is to organise the availableresources within the Unit in whatever way they deem appropriate, in orderto achieve the Unit’s objectives. They should be given far greatermanagerial and operational autonomy in this respect. They would also berequired to submit reports on the performance of the Unit in the formatstipulated by the DoR managers, on a regular and timely basis.(10) In carrying out its mandatory functions, the GESU would delegate on-siteauthority to the relevant supervising Engineer, stipulating what are hisenvironmental and social obligations (and any operational requirements.This includes any requirement to involve Local Authorities during thework. These requirements would be detailed in the contract documents.(11) The DOR has a policy to move towards labour-based methods andstaged construction, in combination with using private sector contractorsfor construction works. If labour-based construction methods are adopted,the role of Local Authorities including VDC, DDC under the Ministry ofLocal Development (MoLD) may increase and needs accordingly bedefined. Close coordination with Local Authorities should help inmobilising local communities, particularly when employing bio-engineeringApril 2007 Chapter 10-9
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