Government of Nepal

Ministry of Federal Affairs and Local Development

(MoFALD)

Department of Local Infrastructure

Development and Agricultural Roads
(DoLIDAR)

Project Operations Manual

(Version-2)
Project for Strengthening the National Rural Transport Program (SNRTP)

March 2016
Kathmandu
 Government of Nepal
Ministry of Federal Affairs and Local Development (MoFALD)

Department of Local Infrastructure Development and Agricultural

Roads (DoLIDAR)

Project Operations Manual

(Version-2)
Project for Strengthening the National Rural Transport Program (SNRTP)

March 2016
Kathmandu
 FOREWORD

At the end of the 2068/69 financial year, Nepal had 50,944 km of rural roads. Two-thirds
of rural roads are earthen and remain inaccessible during the rainy season. Blacktopped
and gravelled roads are poorly maintained, further affecting access. The rural transport
infrastructure has been attracting around 6% of national budget (NPR 26 billion in
2011/12) which will be increasing over the years. The importance of local governments in
promoting sustainable development of rural roads is being felt seriously. We will require
strong development partners’ support for the foreseeable future.

The Strengthening the National Rural Transport Program (SNRTP) intends to enhance
the rural connectivity for more than 14.6 million people in 36 districts of Nepal. About
25% of the people living in these districts are poor. There are two components under
SNRTP. Component A will fund institutional strengthening, beneficiary monitoring of
physical works and an impact study of selected project interventions. Support packages also
include provision for updating District Transport Master Plans (DTMPs) and Multi-Year
Road Maintenance Plans (MYRMP). Component B will support districts to implement
physical works needed for upgrading or rehabilitating rural transport infrastructure;
and maintaining rural transport infrastructure. With these interventions, it is expected to
enhance the availability and reliability of transport connectivity for rural communities in
the programme districts.

I am sure that this operational manual will be useful for all individuals and institutions who
are directly involved in the program implementation. Scheduled implementation is in the
interest of target beneficiaries, entire country and all development partners.

Mahendra Man Gurung

March 2016 Secretary
 REMARKS FROM THE DIRECTOR GENERAL

The Strengthening the National Rural Transport Program (SNRTP) is the largest
transport project in this country in terms of allocation and coverage. This project will
have profound impact on the transformation drive of the rural communities which is crucial
for the development of the entire nation.

SNRTP’s focus on maintenance is another landmark. This component occupies nearly

50% of the total project outlay. This provision will have tremendous impact on rural
accessibility and reliability which will lead towards a greater degree of economic growth
and rural poverty reduction.

This project’s focus on the local governance is another noteworthy effort. There are
mechanisms to ensure integrity and transparency in the bidding process. Technical audits
are considered as built-in mechanisms for quality assurance. Beneficiaries are also
involved in the monitoring process. Moreover, more concerted mechanisms are in place
for ensuring beneficiary outreach.

All these innovative approaches require clear understanding of the implementing agencies
and individuals. This manual will be highly instrumental for quick reference for all
officials, and agencies related to the project directly and indirectly. The present version of the
manual is based on the requirements of SNRTP and experience gained in the implementation
of Rural Access Improvement and Decentralization Project (RAIDP). The manual will
be improved through its subsequent versions based on feedbacks received during project
implementation.

Ram Krishna Sapkota

March 2016 Director General

iv
 CONTENTS
Page
Foreword iii
Remarks from the Director General.....................................................................................iv
Abbreviations and Acronyms................................................................................................x

1. Introduction.................................................................................................................1
1.1 Project Background..........................................................................................1
1.2 Project Development Objective and Outcomes...............................................2
1.3 Project Components.........................................................................................3
1.4 Project Cost and Financing..............................................................................4

2. Institutional Arrangements........................................................................................6
2.1 Project Advisory Committee (PAC).......................................................................6
2.2 Department of Local Infrastructure Development and
Agricultural Roads (DoLIDAR) .....................................................................7
2.3 Central Project Coordination Unit (CPCU).....................................................7
2.4 Project Management Unit (PMU)....................................................................9
2.5 District Development Committee (DDC)......................................................11
2.6 District Technical Office (DTO)...................................................................... 12
2.7 World Bank.....................................................................................................13
2.8 Other Project Facilitators...............................................................................13

3. Subproject Implementation.....................................................................................14
3.1 Annual Budgeting..........................................................................................14
3.2 Subproject Eligibility.....................................................................................14
3.3 Window 1 - Output-based Maintenance.........................................................15
3.4 Window 2 - Upgrading and Rehabilitation....................................................22
3.5 Project Preparedness Requirements...............................................................26
3.6 Project Implementation Preparedness............................................................27

4. Social and Environmental Safeguards....................................................................27

4.1 Safeguards Responsibilities...........................................................................28
4.2 Summary of Safeguard Steps.........................................................................29

5. Procurement..............................................................................................................32
5.1 Procurement Activities and Application Guidelines.......................................32

v
 5.2 Provisions for Procurement............................................................................33
5.3 Procurement Plan...........................................................................................34
5.4 Procurement Process......................................................................................34
5.5 Procurement for Works, Goods and Non-consulting Services.......................38
5.6 Procurement of Consulting Services..............................................................38
5.7 Actions Required of CPCU and PMU...........................................................39

6. Contract Management............................................................................................39
6.1 Contract Initiation Phase................................................................................39
6.2 Implementation Phase....................................................................................40

7. Technical and Quality Management.......................................................................43

8. Governance and Accountability Action Plan (GAAP)..........................................44

9. Monitoring and Evaluation....................................................................................45

9.1 Monitoring and Evaluation Responsibilities..................................................45
9.2 SNRTP Monitoring and Evaluation Framework............................................46
9.3 Performance Monitoring of Project Districts.................................................46

10. Financial Management............................................................................................50

10.1 Financial Management Responsibilities........................................................50
10.2 Fund Flow Mechanism for Financial Management.......................................53
10.3 Project Accounting System............................................................................54
10.4 Book Keeping.................................................................................................54
10.5 Delegation of Authority at CPCU..................................................................55
10.6 Internal Controls.............................................................................................55
10.7 Project Accounting.........................................................................................55
10.8 Disbursement..................................................................................................55

vi
Annexes
................................................................................................................ 60
Annex 1 Annual Budgeting Format.......................................................................60
Annex 2 Multi-Year Roads Maintenance Plan (MYRMP).....................................61
Annex 3 List of Strategic Roads............................................................................. 62
Annex 4 Checklists.................................................................................................67
A. Subproject Appraisal Checklist.......................................................................70
B. Subproject Screening Checklist......................................................................72
1. Environmental Safeguard............................................................................72
2. Social Safeguard.........................................................................................82
C. DPR Review Checklist....................................................................................93
Annex 5 A: Annual Average Daily Traffic Count (AADT)...................................... 96
Annex 6 Procurement Plan.....................................................................................97
Annex 7 Checklist for Bid Evaluation Submission to PMU & CPCU................100
Annex 8 Bid Opening Checklist...........................................................................102
Annex 9 Standard Bid Evaluation Report ...........................................................103
Annex 10 Standard Templates of Project Information Boards............................... 111
Annex 11 GAAP Matrix......................................................................................... 114
Annex 12 SNRTP Results Framework and Monitoring.......................................... 117
Annex 13 Letter of Operating Account..................................................................120
Annex 14 Progress Report Format.........................................................................122
Annex 15 Ledger....................................................................................................133

vii
 TABLES

Table 1 SNRTP Project Districts...................................................................................... 1

Table 2 PDO Indicators......................................................................................................2
Table 3 Component A: Institutional Strengthening and Technical Assistance................. 3
Table 4 Component B: Maintenance, Upgrading and Rehabilitation...............................4
Table 5 SNRTP Financing............................................................................................... 4
Table 6 Breakdown of SNRTP Budget Allocation........................................................... 5
Table 7 PAC Composition............................................................................................... 7
Table 8 CPCU Fixed Staff.................................................................................................7
Table 9 CPCU Roles and Responsibilities...................................................................... 8
Table 10 CPCU Staff Functions and Duties...................................................................... 8
Table 11 Districts Under PMU-East and PMU-West......................................................... 10
Table 12 PMU Rules and Responsibilities...................................................................... 10
Table 13 PMU Staff Functions and Duties...................................................................... 11
Table 14 DDC Roles and Responsibilities...................................................................... 11
Table 15 DTO Roles and Responsibilities....................................................................... 12
Table 16 DTO Staff Functions and Duties....................................................................... 12
Table 17 World Bank Roles and Responsibilities............................................................ 13
Table 18 Roles and Responsibilities of Other Project Partners....................................... 13
Table 19 Scope of Maintenance Works.................................................................................16
Table 20 Window 1 Maintenance Milestones, Deadlines and Responsibilities............... 19
Table 21 Disbursement Amounts for Window 1.............................................................. 21
Table 22 Output Verification for Window 1................................................................ 22
Table 23 Safeguard Activities and Responsible Agencies............................................... 30
Table 24 Environmental Screening Categories................................................................ 30
Table 25 Summary of Safeguard Monitoring.................................................................. 31
Table 26 Procurement Activities and Applicable Guidelines........................................... 32
Table 27 Procurement Process for Works, Goods, Consulting
Services and Non-Consulting Services............................................................. 35
Table 28 Contract Management Form............................................................................. 43
Table 29 Key Performance Evaluation Criteria and Weightage........................................ 47
Table 30 Performance Evaluation Format....................................................................... 47
Table 31 Disbursement Plan............................................................................................ 58
Table 32 Uses of Funds by Activities.............................................................................. 58

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 FIGURES

Figure 1 SNRTP Districts.................................................................................................. 2

Figure 2 Institutional Arrangements.................................................................................. 6
Figure 3 Window 1 Maintenance Planning and Execution Cycle................................... 18
Figure 4 Institutional Arrangements Regarding Safeguards............................................ 28
Figure 5 SNRTP Financial Management......................................................................... 54
Figure 6 Reimbursement Procedure................................................................................ 56
Figure 7 Replenishment Procedure................................................................................. 57
Figure 8 Direct Payment Procedure................................................................................ 57

ix
 ABBREVIATIONS AND ACCRONYMS

ARMP Annual Road Maintenance Plan

BCR Benefits to Costs Ratio

BER Bid Evaluation Report

CIAA Commission for the Investigation of Abuse of Authority

COI Corridor of Impact

CPCU Central Project Coordination Unit

DDC District Development Committee

DDF District Development Fund

DFID Dept. for International Development

DoLIDAR Department of Local Infrastructure Development and Agricultural Roads

DTMP District Transport Master Plan

DTCO District Treasury Controller Office

DTO District Technical Office

EIRR Economic Internal Rate of Return

EMP Environmental Management Plan

ESMF Environmental & Social Management Framework.

FCGO Financial Comptroller General Office

FY Fiscal Year

GAP Gender Action Plan

GDP Gross Domestic Product

GON Government of Nepal

IDA International Development Association

ISN Interim Strategy Note

LRBP Local Road Bridge Program

LRUC Local Road Users’ Committee

LRN Local Road Network

x
MOF Ministry of Finance

MoFALD Ministry of Federal Affairs and Local Development

MPI Maintenance Performance Indicator

MYRMP Multi-Year Roads Maintenance Plan

NPV Net Present Value

NVC National Vigilance Centre

OSH Occupational Safety and Health

PDO Project Development Objective

PMU Project Management Unit

PMFACD Planning, Monitoring and Foreign Aid Coordination Division

PPA Public Procurement Act

PPMO Public Procurement Monitoring Office

QAP Quality Assurance Plan

RAIDP Rural Access Improvement and Decentralization Project

RBN Roads Board Nepal

RMG Road Maintenance Group

RuTIMS Rural Transport Information Management System

SDC Swiss Agency for Dev. & Cooperation

SMP Social Management Plan

SNRTP Project for Strengthening the National Rural Transport Program

TSA Treasury Single Account

VCDP Vulnerable Community Development Plan

VDC Village Development Committee

VDIMP Voluntary Donation Impact Mitigation Plan

xi
1. INTRODUCTION
1. The objective of this Project Operational Manual (POM) is to guide all stakeholders
for effective implementation of the Strengthening the National Rural Transport
Program (SNRTP). This manual will be adopted by all the parties involved in SNRTP
including:
• Ministry of Federal Affairs and Local Development (MoFALD)
• National Vigilance Centre (NVC)
• Department of Local Infrastructure Development and Agricultural Roads (DoLIDAR)
• Central Project Coordination Unit (CPCU)
• Project Management Units (PMUs)
• District Development Committees (DDCs)
• District Technical Offices (DTOs)
• District Road Coordination Committees (DRCCs)
• Local Road Users’ Committees (LRUCs)
• UN’s International Labor Organization (ILO)
• Consulting Firms, Individual Consultants, and NGOs
• The World Bank (WB)
1.1 PROJECT BACKGROUND
2. The Government of Nepal (GON) aims to provide all-weather road access to all VDCs
by gradually upgrading the District Road Core Network (DRCN) and providing proper
maintenance with the aim of promoting economic growth, providing access to services
and creating sustainable decent jobs in rural areas. Currently a large majority of roads
are only fair-weather and in poor condition, with a large portion of roads not trafficable.
Insufficient maintenance is being carried out, further aggravating the situation.
3. In this context, GON with support of the World Bank is implementing the SNRTP
project to strengthen the DRCN with a particular emphasis on the “Maintenance
First” approach. This project will furthermore cover the upgrading and rehabilitation
of rural roads as well as the construction of new river crossing structures to bring
the roads to an all-weather maintainable standard. The project will cover the 36
districts listed below with a total population of more than 14.6 million people.

Table 1: SNRTP Project Districts

Arghakhanchi Kapilvastu Rupandehi
Banke Kaski Salyan
Bara Lamjung Sankhuwasabha
Bardiya Mahottari Saptari
Bhojpur Makwanpur Sarlahi
Dang Nawalparasi Sindhupalchowk
Dhading Nuwakot Siraha
Dhanusha Palpa Surkhet
Gorkha Parsa Syangja
Gulmi Pyuthan Tanahun
Kailali Rasuwa Terathum
Kanchanpur Rautahat Udayapur

1
 Figure 1: SNRTP districts

1.2 PROJECT DEVELOPMENT OBJECTIVE AND OUTCOMES

4. The Project Development Objective (PDO) for this project is to enhance the
availability and reliability of transport connectivity for rural communities in the
participating districts.
5. Project outcomes include (i) increased access to all weather transport connectivity
for communities in participating districts; and (ii) improved reliability of rural
transport infrastructure in participating districts. The indicators are listed in the table
below.

Table 2: PDO Indicators

PDO level result PDO level indicator

Increased access to all PDO 1: Percentage of population within 2 and 4 hours

weather transport connectivity
Improved reliability of rural
transport infrastructure
walking distance from an all-weather road in the
participating Terai and Hill districts respectively.
PDO 2: Percentage of district road c o r e networks
(DRCN) in participating districts rated in "good" or
"fair" condition.

2
1.3 PROJECT COMPONENTS
The PDO will be achieved through the following three components:
Component A: Institutional Strengthening and Technical Assistance
6. Component A will fund three categories of activities including: (A1) institutional
strengthening and technical assistance; (A2) beneficiary monitoring of physical works
under Component B of the project; and (A3) an impact study of selected project
interventions.

Table 3: Component A: Institutional Strengthening and Technical Assistance

A1 Institutional strengthening and Technical Assistance
A1.1 Staff training on specific technical, fiduciary, or safeguards related subjects
A1.2 Capacity building of DoLIDAR, DDC and DTO officials
A1.3 Procurement of vehicles (2 & 4 WD Double-Cab Pick-Ups and Jeeps) for
CPCU, PMUs & DTOs
A1.4 Laboratory facilities and equipment
A1.5 Rental costs for CPCU , two PMU offices; salary costs, t r a v e l c o s t
& DSA of the project-based temporary employees in CPCU, PMUs and
DDCs/DTOs (lab technicians, lab assistants, social mobilizer, computer
operator , office assistant and 4 WD vehicle drivers); procurement of
computers, photocopy machines, fax machines, and other office equipment;
logistic support and other expenditures for IDD/ MoFALD, CPCU PMUs
& DTOs (stationeries, fuel, furniture, water supply, electricity, security,
telephone, internet facility, etc.); electricity back up (generators) and other
ICT accessories and their installment
A1.6 Strengthening technical, environmental and social frameworks A1.7
Technical audit and verification through NVC
A1.8 Implementation support consultancies (International Expert (ILO), both
individuals and f irms for engineering, safeguards, NGOs and others)
A1.9 Market infrastructure investment study and preparation activities
A2 Beneficiary monitoring of physical works under component B of the project
A3 Impact study of selected project interventions

COMPONENT B: MAINTENANCE, UPGRADING AND REHABILITATION

7. Component B will support districts to implement physical works through two
funding windows: (B1) output-based maintenance of rural transport infrastructure;
and (B2) upgrading or rehabilitating rural transport infrastructure.

3
 Table 4: Component B: Maintenance, Upgrading and Rehabilitation

8. Window 1 will support routine and periodic maintenance of DRCN roads and
crossing structures in the DRCN roads using a simplified output-based disbursement
approach that ties release of IDA / donor funds to the completion of works. Under
Window 1, SNRTP will also support districts to operationalize Road Maintenance
Groups (RMGs) for routine maintenance. Window 1 will only support works within
existing rights of way along existing DRCN roads or crossing structures within
the DRCN roads. Maintenance that requires new or extended rights of way will be
considered under Window 2 as rehabilitation works.
9. Window 2 will support road upgrading and rehabilitation as well as new crossing
structure construction as needed to provide all weather connectivity in DRCN roads.
Road upgrading and new crossing structure construction under window 2 must be
complementary such that access along the integrated road linkage becomes possible
year-round. Window 2 will not support upgrading or new crossing structure works
alone unless uninterrupted year-round access is possible upon their completion. SNRTP
will directly manage funding for crossing structures and will liaise with DoLIDAR's
Local Roads Bridge Program (LRBP).
1.4 PROJECT COST AND FINANCING
10. The SNRTP project will be financed through a combination of GON funding, IDA
credit, IDA grant and donor grant. A breakdown of the f inancing is shown in Table
5. Table 6 provides a summary of the budget allocation to the different components
and subcomponents.

Table 5: SNRTP Financing

Funding source Amount (USD million) Percentage

World Bank IDA Grant $72.00 41.0%

World Bank IDA Credit $28.00 16.0%

GON funding $75.40 43.0%

Total $175.40 100.0%

4
Table 6: Breakdown of SNRTP Budget Allocation
Budget (USD million)
Component
Total GON IDA Donor
Component A: Institutional Strengthening and
26.58 1.48 25.10
Capacity Development
A1 Institutional strengthening and technical assistance 24.63 1.48 23.15 -
A1.1 Training 0..35 - 0.35 -
A1.2 Vehicles (2 and 4 wheel) 0.05 - 0.05 -
A1.3 Laboratory facilities and equipment 0.70 - 0.70 -
A1.4 Offices, computers, vehicles, and genera/logistics 0.80 - 0.80 -
A1.5 Strengthening technical, and E&S Frameworks 0.15 - 0.15 -
A1.6 Technical audit and verification 1.28 - 1.28 -
A1.7 Implementation support consultancies 17.00 - 17.00 -
A1.8 Market infrastructure investment study & preparatory
0.30 - 0.30 -
activities
A1.9 DTOs office expenses (current expenditure) 3.00 1.48 1.52 -
A1.10 DTOs office building construction and maintenance 1.00 - 1.00 -
A2 Beneficiary monitoring of physical works 1.55 - 1.55 -
A3 Project baseline survey and impact study 0.40 - 0.40 -
Component B: Maintenance, Upgrading and Rehabilitation 148.82 73.92 74.90 -
B1 Output-based maintenance (Window 1) 50.28 49.28 1.00 -
B1.1 Road maintenance 46.28 45.36 0.92 -
B1.2 Crossing structure maintenance 4.00 3.92 0.08 -
B2 Upgrading and rehabilitation (Window 2) 98.54 24.64 73.90 -
B2.1 Road upgrading and rehabilitation 83.54 20.89 62.65 -
B2.2 Crossing structure construction and rehabilitation 15.00 3.75 11.25 -
TOTAL 175.4 75.4 100.00

Financial mechanism
11. GON will allocate the IDA grant & credit to approved projects. GON will pre-
finance all project activities and receive reimbursement after spending the funds as
per the PAD and Financing Agreement. For window 1 under Component B, this will
involve an output-based disbursement approach with f ixed disbursement amounts
according to verified completed work volumes. For the other project components
disbursement will be on the basis of expenditures incurred. The entire allocation
shall be channeled through the government treasury system. The project has been
restructured with unchanged total project cost of US$ 175.40 million by providing
additional GON Funds because the envisaged donor has not shown the commitment
to avail the funds.

5
2. INSTITUTIONALARRANGEMENTS
12. DoLIDAR is the executing agency and will establish a Central Project Coordination
Unit (CPCU) based in Kathmandu that will have overall responsibility for
managing SNRTP, as well as two regional Project Management Units (PMUs)
based in Hetauda and Butwal to provide close technical support and supervision to
project districts. District Technical Offices (DTOs) will lead the implementation
of individual works packages under Component B. A Project Advisory Committee
(PAC) will facilitate inter-ministerial coordination and provide advice to DoLIDAR/
SNRTP.

Figure 2 : Institutional Arrangements

13. The CPCU Program Coordinator, Deputy Program Coordinator, Account Chief and
Account Officer, with the Project Coordinators, Account Personnel and in the 2
PMUs and with the DTO Chiefs, DTO Engineers and the Account Personnel in the
36 districts, together form the Key Management Team.
2.1 PROJECT ADVISORY COMMITTEE (PAC)
14. The overall role of the Project Advisory Committee (PAC) is to facilitate inter-
ministerial coordination and to provide advice to SNRTP on planning, implementation,
and monitoring and evaluation related matters. MoFALD shall establish the Project
Advisory Committee (PAC) with the members as defined in Table 7.

6
 Table 7: PAC Composition
MoFALD Secretary Chair
MoFALD (Planning and Foreign Aid Cooperation Division) Joint Secretary Member
MoFALD (Infrastructure Development Division) Joint Secretary Member
DoLIDAR Director General Member
Ministry of Forest and Soil Conservation Representative Member
Ministry of Finance Representative Member
National Planning Commission Representative Member
Ministry of Land Reform and Management Representative Member
Ministry of Population and Environment Representative Member
Ministry of Physical Infrastructure and Transport Representative Member
National Vigilance Center Representative Member
CPCU Program Coordinator Member
CPCU Deputy Program Coordinator Member/
Secretary
Note: Representative member will be of minimum at undersecretary level.
2.2 DEPARTMENT OF LOCAL INFRASTRUCTURE DEVELOPMENT AND
AGRICULTURAL ROADS (DoLIDAR)
15. DoLIDAR is the executing agency for the SNRTP project. It will establish a
Central Project Coordination Unit (CPCU) and establish two Project Management
Units (PMUs) in Hetauda and Butwal. DoLIDAR is responsible for the following
activities.
• Placement of required human resources in the CPCU, PMUs and DTOs
• Budgetary planning
• Authorizing the budget for CPCU, PMUs and DDCs
• Overall monitoring, coordination and management of the project
• Execution by the stipulated time of key legal covenants as stated in the PAD of
SNRTP
• Providing strategic guidance and instruction on project management
2.3 CENTRAL PROJECT COORDINATION UNIT (CPCU)
16. DoLIDAR will establish a Central Project Coordination Unit (CPCU). The CPCU
will comprise a Program Coordinator, a Deputy Program Coordinator, an Account
Chief and an Account Officer. These positions will be filled by as indicated in the
table below.
Table 8: CPCU fixed Staff
CPCU Position DoLIDAR staff
Deputy Director General for Planning, Monitoring and
Program Coordinator
Foreign Aid Coordination Division (DDG PMFACD)
Deputy Program
Senior Divisional Engineer (SDE),
Coordinator
Designated Account Chief (Under Secretary Level), to be posted
Account Chief
by FCGO
Account Officer Account Officer (Gazette III class) - to be posted by FCGO

7
17. The CPCU will also appoint the project-based temporary staff as approved by
DoLIDAR and MoFALD. There will furthermore be a group of individual
consultants as per the agreed procurement plan to support CPCU for specific
aspects of implementation.
The overall roles and responsibilities of the CPCU are indicated in Table 9. The functions
and duties of the CPCU staff are indicated in Table 10.
Table 9: CPCU Roles and Responsibilities
• Overall project monitoring, evaluation and coordination of safeguard issues
• Managing the interface between the World Bank and GON
• Providing specialized technical inputs to participating districts and PMUs
• Procurement of consultants for CPCU and PMUs functions and to provide
technical services to the PMUs and DDC/DTOs
• Procurement of goods for the CPCU and PMUs at mobilization stage.
• Strengthening DoLIDAR’s technical framework that applies to rural
infrastructure including i) the development of a rural road safety component
and its incorporation into the Nepal Rural Road Standards by mid-term
review; and ii) development of technical guidelines including a road
surfacing decision tool (i.e. a spreadsheet for guiding upgrading decision-
making) by mid-term review
• Financial management
• Monitoring and evaluation
• Overall quality assurance for the project
• Social and environmental safeguard compliance
• Management of project governance, transparency and anti-corruption
framework
• Preparation of consolidated trimester and annual reports including
unaudited and audited project accounts and submission to the World Bank
in accordance with Financing Agreement
• Coordinate with external auditors (from FCGO, OAG and World Bank) to
get audit done on time, ensuring that all financial accounts, records, reports
and other relevant documents, including internal reports, are available to the
external auditors

Table 10: CPCU Staff Functions and Duties

Qualification
Position Functions & Duties
Requirements
Program • Overall project implementation Specialized qualifications
Coordinator • Overall efficiency and effectiveness of and experience in
project management, including financial project management,
management, to ensure the funds good knowledge of IDA
of the project are used for intended purposes in procedures, mechanisms
an effective manner and policies, capacity
by accomplishing all of the above- mentioned for management and
responsibilities coordination of project
• Reporting and accountability to MoFALD, activities.
MOF, DoLIDAR, WB and other agencies

8
 Position Functions & Duties Qualification Requirements
Deputy • Day to Day Administration of the Specialized qualifications
Program Project and experiences in project
Coordinator • Assist the Program Coordinator to management, good
ensure proper project management and knowledge of IDA
financial management as delegated by procedures, mechanisms
Program Coordinator and policies, capacity for
• Supervision of the consulting services management and coordination
as delegated by the CPCU Program of project activities.
Coordinator
• Reporting and accountability for
MoFALD, MOF, DoLIDAR, WB and
other agencies on the issues under his/
her authorized/delegated management
• Preparation of budget plan for approval
by Program Coordinator
• Analysis of economic and financial status
of whole project (IDA and GON funds)
Account • Financial management Experience in Account
Chief • Management of the accounting and Chief positions, familiar
financial system, verification of with public budget process
financial reports and experience in financial
• Maintenance of suitable internal control management.
system
• Preparation of budget and annual
work plan for approval by Program
Coordinator
• Providing analysis on economic and
financial status of whole project (IDA
and GON funds)
Account • Efficient disbursement and use of Experience in working with
Officer project funds donor funded projects.
• Payment and disbursement
• Implementation of full and accurate
accounts and records
• Requesting for payment to DTCO
• Management of petty cash for
professional activities
• Archiving of relevant documents
• Support to the Account Chief in
financial management, payments and
disbursements and other related tasks

2.4 PROJECT MANAGEMENT UNIT (PMU)

18. DoLIDAR will establish two PMUs in Hetauda and Butwal. In each PMU, there will
be a Project Coordinator, two Engineers and an Accountant. The PMUs may recruit
other project based temporary staff as approved by the DoLIDAR / MoFALD. PMU-
East and PMU-West will be responsible for overseeing project activities in the districts
as shown in Table 11. The overall roles and responsibilities of the PMUs are indicated in
Table 12. The functions and duties of the PMU staff are indicated in Table 13.

9
Table 11: Districts under PMU-East and PMU-West
PMU-East : Hetauda PMU-West: Butwal
Sankhuwasabha Sarlahi Tanahun Surkhet
Bhojpur Ra utahat Nawalparasi Banke
Terathum Bara Rupandehi Kailali
Saptari Parsa Kapilvastu Kanchanpur
Udayapur Makwanpur D ang Palpa
Siraha Nuwakot Salyan Syangja
Dhanusha Rasuwa Pyuthan Kaski
Mahottari Dhading Arghakhanchi Bardiya
Sindhupalchowk Lamjung, Gulmi Gorkha

Table 12: PMU Roles and Responsibilities

• Procurement of goods and consulting services in addition to the procurement made by
CPCU for implementing the functions of the PMU and to provide technical services as
required to DTOs with prior approval from the CPCU.
• Preparation of the annual budget plan for each fiscal year.
• Ensuring that funds are administered in accordance with GON’s policies and
guidelines(PAD, FA, AM & others)
• Screening and clearing DTO’s subproject proposals based on eligibility
• Supporting the DTOs in the preparation of the Detailed Project Reports (DPRs),
procurement and contract management
• Forwarding the bid documents and bid evaluation reports to the CPCU f o r concurrence.
• Forwarding all Detailed Project Reports (DPR) submitted by the DTOs to the World
Bank through the CPCU for concurrence for the first two years of the project and
review this arrangement with CPCU and World Bank for providing concurrence of
DPRs within the post review threshold directly by the PMU for the remaining period of
the project
• Ensuring implementation of the project’s governance, transparency and anticorruption
framework
• Recommending reductions or cancelations of DDC allocations if the use of funds is
delayed or poorly performed
• Preparing trimester and annual reports and submitting to the CPCU
• Cooperating with the CPCU, World Bank, DoLIDAR, MoFALD, FCGO and Office
of Auditor General (OAG), ensuring that all financial accounts, records and reports and
other relevant documents, including internal reports, are available to them as and
when required
• Implementing the CPCU’s instructions for the implementation of the project
• Others as and when required

10
 Table 13: PMU Staff Functions and Duties
Positions Functions & Duties Qualification Requirements
Project • Overall project implementation Specialized qualifications
Coordinator • Reporting and accountability to and experience in project
CPCU management, and good
knowledge of IDA procedures,
mechanisms and policies, capacity
for management and coordination
of project/program activities.
Account • Financial management • Familiar with public budget
Personnel • Management of the accounting process and experience in
and financial system, verification financial management
of financial reports • Experience in working with
• Maintenance of internal control donor- funded projects
system
• Preparation of budget and anuual
work plan
• Analysis of economic and
financial status of whole project
(IDA and GON funds)
• Efficient and proper
disbursement and use of project
funds
• Maintenance of accurate
accounts and records including
book entries and book keeping
in accordance with current
regulations of GON
• Requesting for payment to
DTCO
• Archiving of relevant documents

2.5 DISTRICT DEVELOPMENT COMMITTEE (DDC)

19. The DDC will be responsible for the selection of subprojects. The overall roles and
responsibilities of the DDCs are indicated in Table 14.

Table 14: DDC Roles and Responsibilities

• Project planning
• Selection and approval of the subprojects as per the SNRTP guidelines
• Approval of ARMP and MYRMP
• Supporting and supervising the DTO in the implementation of the subprojects
• Providing budget spending authority to the DTO for implementation of the
project as per the Financing Agreement
• Supervision and control over the SNRTP's financial management of DTO
• Monitoring and evaluation during implementation of the project.
• Giving instructions to DTO for the effective implementation of the project.

11
2.6 DISTRICT TECHNICAL OFFICE (DTO)
20. The DTO will be responsible for overall implementation management of the sub
projects. The overall roles and responsibilities of the DTOs are indicated in Table 15.
The functions and duties of the DTO staff are indicated in Table16.

Table 15: DTO Roles and Responsibilities

• Assigning an engineer specifically for SNRTP subprojects
• Selecting subprojects as per the guidelines
• Seeking approval of subprojects from the DDC
• Preparing Detailed Project Reports (DPRs) based on the DoLIDAR’s Technical
Guidelines, Geometrics and Surfacing options for SNRTP works and SNRTP’s
Environmental and Social Framework
• Submitting DPRs, Bid documents with social and environmental clauses together
with the relevant technical, social and environmental checklists to the PMUs for
review and concurrence after approval of DDC
• Procuring the works
• Carrying out contract management, quality assurance, safeguard compliance, and
financial management
• Preparing quarterly and annual reports and submitting to the PMUs and DDC in
accordance with guidelines
• Cooperating with PMU ,CPCU, DoLIDAR, WB ,OAG, ensuring that all financial
accounts, records and reports and other relevant documents, including internal
reports are available to them as and when required
• Carrying out the instructions of the CPCU , PMUs and DDC for the implementation
of the project

Table 16: DTO Staff Functions and Duties

Positions Functions & Duties
DTO • Overall project implementation
Chief
DTO • Execute the contracts as Project
Engineer Manager
Account • Efficient and proper disbursement
Personnel and use of project funds in
accordance with requirements of
GON and WB
• Maintenance of accurate accounts
• Drawing of cash from Bank or
Treasury to the Project
• Archiving relevant documents
• Accounting, f inancial management,
payments and disbursements and
other relative tasks
Qualification Requirements
Specialized qualifications and experience
in project management, good knowledge
of IDA procedures, mechanisms and
policies, capacity for management and
coordination of project activities
Preferably Graduate in Civil Engineering
and experience in road contract
management. In case of non-availability
and insufficiency of Graduate Engineer
; DTO Chief may appoint non-graduate
DTO engineer as a Project Manager;
based on his/her experience in the road
contract management.
Experiences in working with donor-
funded projects

12
2.7 WORLD BANK
21. The World Bank will provide overall support to the implementation and management
of the project. The overall roles and responsibilities of the World Bank are indicated in
Table 17.
Table 17: World Bank Roles and Responsibilities
• Support CPCU‘s execution of the project including clearances for all consulting
services managed by CPCU
• Support PMUs’ execution of the project including required clearances for DPRs and
all consultant activities managed by PMUs
• Support CPCU and PMUs to ensure that the project is compliant with fiduciary
requirements
• Portfolio-wide monitoring and evaluation
• Supervision of all activities (capacity assessments, technical guidance, financial
management, procurement management, safeguards, quality assurance and control,
monitoring and evaluation, etc.) carried out by the CPCU, PMUs and DTOs
• Technical and quality review of all deliverables
• Execution of field supervision missions

2.8 OTHER PROJECT FACILITATORS

22. Apart from the above-mentioned institution that will be directly involved in project
implementation, SNRTP will further rely on government systems that entail inputs from
the Ministry of Federal Affairs and Local Development (MoFALD), the Ministry of
Finance (MOF), the National Planning Commission (NPC), the Finance Comptroller
General Office (FCGO), the District Treasury Controller Offices (DTCOs), the
National Vigilance Centre (NVC), the Public Procurement Monitoring Office (PPMO),
the Nepal Rastra Bank (NRB), and the Office of the Auditor General (OAG).

Table 18: Roles and Responsibilities of Other Project Partners

Institution Role / responsibility
MoFALD Oversight of DoLIDAR, DDCs, and DTOs
MOF Budgeting and medium-term resource planning
NPC Planning and policy formulation for the broader transport sector and
Nepal's rural development strategy
FCGO Overall management of budget and expenditures and reporting
DTCO Receipt of payment requests from implementing entities and release of
funds from Treasury Single Account
NVC Technical audits under Component B
Delegation of financial authority to Technical Division of NVC for
SNRTP expenditures
PPMO Ensuring compliance with Public Procurement Act (2007) and associated
regulations
NRB Management of the designated account under the project
OAG Annual financial audits of SNRTP

13
3. SUBPROJECT IMPLEMENTATION
23. This section provides an outline for subproject implementation.
3.1 ANNUAL BUDGETING
24. The Central Project Coordination Unit (CPCU) is responsible for overall
budgeting. The CPCU depending upon the necessity; may engage a Programming
and Budgeting Advisor to assist with f inancial management related matters and
the programming of SNRTP works expenditures.
For each f inancial year the CPCU will prepare an annual budget indicating the
activities to be carried out in the current financial year and the related budget, as
well as the budget spent in the past financial year and any pending liabilities from
the last financial year to be covered in the current financial year. The annual budget
will furthermore indicate the budget allocation for the next financial year. The format
for annual budgeting is provided in Annex 1.
3.2 SUBPROJECT ELIGIBILITY
25. Subprojects to be carried out either in Window 1 or Window 2, may only involve roads
that comply with the following minimum criteria:
• Subproject roads form part of the District Road Core Network (DRCN)
• Subproject works are included in the District Transport Master Plan (DTMP)
• Subproject maintenance works are included in the Multi-Year Roa d
Maintenance Plan (MYRMP)
• Subproject works are included in the Annual Road Maintenance Plan (ARMP)
District Road Core Network (DRCN)
26. The District Road Core Network (DRCN) is defined as the minimum network of rural
roads that provides access to all VDC headquarters, and links them with the district
headquarters and the strategic road network. The DRCN includes the most important
rural roads in which investments will be focused to raise them to an all-weather
maintainable standard. DRCN road subprojects will only be considered eligible for
funding under SNRTP. The DTMP’s of only three project districts are prepared in
the new format which identifies the DRCN roads. The DTMPs of the remaining
p r o j e c t districts identify important district road network as Class A roads. The
DTMP’s of these districts are planned to be updated by DoLIDAR as per latest DTMP
guidelines in DRCN format. Till the DTMP’s are updated, the Class - A roads will be
considered to form the DRCN for meeting sub project eligibility criteria for funding
under SNRTP.
27. The 5-year District Transport Master Plan (DTMP) defines the maintenance,
improvement (upgrading and rehabilitation) and new construction works required
in the DRCN and ranks them by priority. Subprojects will only be considered
eligible for funding under SNRTP in as far as they are included in the DTMP and
follow the DTMP priority ranking (with the exception of former RAIDP roads).
DTMPs have been prepared for all 36 SNRTP districts. Where these DTMPs are still in
the old format, the DTMPs are under the process of updating to the new format based on
DRCN.

14
Multi Year Road Maintenance Plan (MYRMP)
28. For the purposes of the SNRTP project a Multi-Year Road Maintenance Plan (MYRMP)
will be prepared by each district that covers four financial years after the f irst
f iscal year of the project. The MYRMP will show specifically how maintenance
funding will be allocated in the consecutive financial years, ensuring sufficient
financial resources to cover all maintenance needs in the maintainable DRCN roads
for the full 4-year period. The financial resources include the SNRTP project
funding under Window 1, RBN funding, RTI-SWAp funding, MoFALD block grants
to the DDCs and DDC internal revenues. The implementation of maintenance will be
monitored and checked against the MYRMP. A template for the MYRMP is provided
in Annex 2.
Annual Road Maintenance Plan (ARMP)
29. Annual Road Maintenance Plans (ARMPs) are prepared for each financial year starting
from the first financial year, indicating the maintenance works to be carried out
in the particular financial year. The ARMPs include a detailed maintenance plan.
ARMPs are prepared in October/November each year, based on a rapid condition
survey carried out in September and taking account of the emergency maintenance
works carried out immediately after the rainy season. The standard format for ARMP
will as per RuTIMS software.
3.3 WINDOW 1 - OUTPUT-BASED MAINTENANCE
30. Window 1 is planned to cover maintenance of the entire District Road C o r e
Network (DRCN) including river crossing structures. The maintenance activities to
be carried out will be based on the DTMP, ARMP and MYRMP. Under Window 1,
the SNRTP project will fund routine maintenance and periodic maintenance works. The
expenditure for routine maintenance works will also cover emergency and recurrent
maintenance works, while the expenditure for periodic maintenance will also cover
specific maintenance works Window 1 funding will be available to any participating
district that has passed the set of criteria listed below.
• The district must have a DTMP
• The district must have a MYRMP
• The district must have an ARMP for the current fiscal year
• The district must have an accompanying routine maintenance regime in place for
any assets proposed for periodic maintenance. The district may develop this
regime in parallel with the periodic maintenance.
Scope of Maintenance works
31. This component provides funding for routine and periodic maintenance of DRCN
roads and river crossing structures. The scope of maintenance works to be carried
out under SNRTP is provided in Table 19.

15
Table 19: Scope of Maintenance Works
Routine Maintenance of Road;
• Emergency maintenance works for opening of the regular traffic in the road
• Erosion control on shoulders and slopes;
• Grass and bush clearing and cutting of branches of trees etc. obstructing low
of traffic and line of sight, and cleaning wild growth on shoulders/embankment
slopes/cut slopes.
• Clearing of land slides
• Dressing of shoulders, earth work on shoulders, rain cuts and dressing of earthen
embankments. Turing where necessary.
• Clearing/reshaping of longitudinal drains and clearing cross-drainage works to
allow free passage of water;
• Minor repairs to drainage structures and retaining/protection structures etc;
• Repair and replace scour checks;
• Repair, f ill and compact potholes, depressions and ruts by using locally
available materials like gravel, earth or stone (Boulders in case of RMG
works) in earthen, gravel and bituminous roads;
• Filling up edges of gravel and bituminous roads by using locally available
materials like gravel, earth or stone (Boulders in case of RMG works)
• Re-fixing /repair disturbed delineator posts, KM posts, traffic signboards etc.
• Painting of delineator posts, Km posts, parapets and Traffic Sign Boards
Routine maintenance of River Crossings (Bridge and Causeway)
• Removal of debris (soil, aggregate, cow dung and or any foreign material) from
deck, footpath, railings, bearing, expansion joints;
• Removal of grass, bushes from bridge/Causeway surfaces, substructure
members, foundation area, bearing area approach road etc,
• Cleaning of drainage spout on the bridge deck and bridge signs
• Painting bridge signs, railing etc.
• Rectification/repair of expansion joints, railing posts, safety barriers, sign board;
• Cleaning and lubrication of bearings
• Minor .repair of damages of approach slabs, seal cracks in wearing course, seal
concrete deck etc.
• Minor protection works to avoid damages to bridge structure;
• Emergency maintenance in bridge/causeway surface defects to prevent Vehicular
traffic /pedestrian accident
• Emergency maintenance woks for immediate protection of bridge/causeway
(drifts)

16
Periodic Maintenance of Road; Requirements for Periodic Maintenance
• Roads must be the DRCN or A class category in DTMP.
• Road must be engineered roads i.e. constructed by virtue of proper engineering survey and
designed previously.
• Road should be considered in full length or some considerable stretch ( say not less than 5-10
km or to be assured that this much length will provide the comfortable transport accessibility).
• Manage the Annual procurement and contract . For this F.Y. periodic maintenance should be
taken subject to be completed up to this F.Y.
• Full DPR as per standard format is required for periodic maintenance with technical
justification and safeguard ( environmental and social) compliance. However in the POM
no significance impact to occur has been envisaged. This should be justified by the social and
Environmental screening.
• If screenings dictate any impacts either social or environmental or both ; those must
be mitigated with proper SMAP and EMAP; subject to the cost limitation of periodic
maintenance.
• Roads to be proposed for periodic maintenance must be Gravel or Blacktop. Periodic
maintenance for earthen Roads can be taken case wise subject to approval from CPCU
through PMU .
• Most Important: The periodic maintenance activities/works must be focused along the road
pavement with minor maintenance of the structures if any.
• The activities under periodic maintenance by and large will be as per POM.
• The cost of the periodic maintenance in no case should exceed the threshold of cost per Km
as explicitly stated in POM.
a) Activities common to paved, unpaved road
• Localized repairs and improvements in critical sections of the road where there is
significant damage or which are prone to repeated damage or require additional works
for maintaining unobstructed traffic
• Necessary catch-up maintenance works required for carrying out periodic maintenance
works.
• Repair/reconstruction of drainage/protection/retaining structure works not covered by
routine maintenance
b) Activities in unpaved roads (gravel + earthen)
• Repairing corrugations by dragging
• Repairing corrugations and loss of camber by grading
• Re-gravelling of road surface and shoulder (in existing gravel road)
• For earthen roads periodic maintenance will be done in respect of grading the pavement
surface, maintaining the shoulder and cleaning the road side drains.
• Repair/Install delineator posts, Km posts, parapets or traffic Sign Boards if necessary.
c) Activities in paved roads
• Resealing (in existing blacktop road with patch repair)
• Placing road markings
• Re-gravelling of road shoulder if necessary
• Repair/Install delineator posts, Km posts, parapets or traffic Sign Boards if necessary.

17
Note: i) ARMP and MYRMP will be prepared and updated by DTO and finally,
approved by the DDC
ii) Any three ARMPs and MYRMPs will be reviewed by the PMUs and CPCU
iii) ARMP of Routine and DPR of Periodic Maintenance of the river crossing
structures, bridges and causeway will be approved by the DDC/DTO subject
to acknowledgment to respective PMU and CPCU.
Maintenance planning and execution cycle
32. SNRTP’s Window 1 planning and execution cycle will be integrated with GON’s
annual budgeting cycle and the ARMP preparation cycle. Figure 3 illustrates the
Window 1 maintenance planning and execution cycle that will be followed by the
project districts with its main milestones.
33. Summarizes the activities under each maintenance milestone indicated in Figure 3,
the annual deadlines that the CPCU/PMUs and the World Bank’s team will monitor,
and the parties responsible for implementation and oversight. Upon mutual agreement,
the World Bank’s team and the CPCU will modify annual deadlines as needed during
implementation. In the event that Nepal encounters future budget impasses that would
impact on the cycle described here, the World Bank’s team and the CPCU will modify
milestones, deadlines, and responsibilities as needed to ensure that maintenance
Window 1 activities continue with minimized interruptions.
Figure 3: Window 1 Maintenance Planning and Execution Cycle

18
Table 20 Window 1 Maintenance Milestones, Deadlines and Responsibilities
Oversee &
Milestone Description Deadline Implementation
support
Planning milestones
Districts will assess the condition of
P1: their core road networks through a Rapid 15 DTO with help of
condition Condition Survey and provide updates PMUs
October ILO consultant
assessment to the Rural Transport Management
Information System (RTMIS).
Based on the DTMPs, MYRMPs and the
results of the Rapid Condition Survey, DTO with help of
districts will develop their Annual Road 15
P2: ARMP ILO consultant PMUs
Maintenance Plans (ARMPs) with a November
program of maintenance activities to Approval by DDC
take up during the current fiscal year.

P3: Based on the DTMPs, MYRMPs and DTO with help of

the ARMPs, districts will prepare their 30
Procurement ILO consultant PMUs
procurement plans for SNRTP funding March
Plan in the next financial year. Approval by DDC

Window 1 financial management / budgeting milestones

F1: DoLIDAR will issue authority to spend 31

funds for Window 1 works during the DoLIDAR CPCU
Budget f iscal year. August

The DDC will provide budget authority 07

authorization DDC/DTO
to the DTO. September
The CPCU / PMU and DDCs will update
the Memorandum of Understanding for
F2: the program of packaged works contracts
that will be eligible for Window 1 funding 15
Procurement in the subsequent f iscal year. Updates PMUs
April CPCU
Plan for next FY will specify: (i) GON funding allocated;
and (ii) units of outputs expected upon
successful verification;
For works passing verification: The
CPCU will initiate a request for
F3:
disbursement of IDA / donor funds
IDA / donor 30 MoFALD-
For works failing verification: the CPCU
disbursement or June IDD
CPCU/PMUs or MoFALD-IDD will
GON recourses
initiate remedies as described in Table
22
Contracting and procurement
C1:
Districts will mobilize contractors to 30
mobilization execute Window 1 periodic maintenance DTOs PMUs
for periodic works September
maintenance

19
Milestone Description Deadline Implementa- Oversee &
tion support
C1: Districts will mobilize or update 15 DTOs PMUs
mobilization their arrangements for providing December
/ updates for routine routine maintenance throughout the
maintenance next twelve months (or longer)
Verification
V1: NVC technical auditors will 31 PMU clusters CPCU
mid-year spot checks undertake spot checks on routine January
maintenance activities. and any
follow up remedial actions from the
previous year-end verification
V2: NVC Technical Auditors will f o l l o w 30 PMU clusters CPCU
mid-year verification up status of necessary remedial March
of remedial actions actions taken as per mid -year spot
checks verification.
V3: NVC technical auditors will assess 30 PMU clusters CPCU
year-end verification completed Window 1 periodic May
maintenance works and perform a
spot check of routine and recurrent
maintenance activities
V4: NVC Technical Auditors will follow 30 PMU clusters CPCU
year-end verification up status of necessary remedial June
of remedial actions actions taken as per year end
verification

34. During project mobilization, the CPCU will prepare model procurement
documents, standard contract agreements, cost estimation tools, and program planning
tools (e.g. simple spreadsheets) that districts will use to prepare works packages,
budgets, procurement plans, and specific contract packages for Window 1 works.
Resources from Component A will assist with this effort. During RAIDP the RuTIMS
software developed to address all the aforesaid requirements has been updated and the
districts ARMP and MYRMP are being generated.
Safeguards
35. The safeguards impacts of Window 1 works are likely to be minor as they will only occur
within Corridor of Impact (COI) along existing roads, or existing crossing structures.
These activities are less likely to result in significant impacts given the nature of works
involved (e.g. shoulder and slope maintenance, clearing drains, maintenance of road
signs, road resurfacing, bridge bearing replacement, etc.). This will be verified by the
standard social and environmental screening checklists designed for each category of
activity and subsequently monitored by the safeguard monitoring checklist. During
project mobilization the CPCU will develop a basic social and environmental risk
mitigation plan along with standard approaches for basic social and environmental
impact mitigations. The PMUs will undertake spot checks to ensure that this checklist
is followed in practice. Where necessary, the World Bank and the CPCU/PMUs will
agree on case-by-case remedial measures in any district that is not able to effectively
implement the basic social and environmental plan for Window 1 works. The social
and environmental screening checklist attached herewith will facilitate to ensure the
impacts caused due to maintenance intervention.

20
Financial resources for Window 1
36. For Window 1 activities, an output-based funding system will be applied whereby a
fixed disbursement amount is provided based on the type and length of maintenance
carried out satisfactorily. The fixed disbursement amounts are presented in Table 21.
Table 21: Disbursement Amounts for Window 1
Maintenance Terai Districts (NPR) Hill/Mountain Districts (NPR)
Category Unit of Payment
GON IDA/ Total GON IDA/ Total
Donor Donor

Periodic road 852,000 284,000 1,136,000 900,000 300,000 1,200,000 Per km/year
maintenance

Routine road 75,000 25,000 100,000 99,000 33,000 132,000 Per km/year
maintenance

Periodic bridge 120,000 40,000 160,000 135,000 45,000 180,000 Per meter of a
Maintenance completed
discrete structure
per year

Periodic causeway 36,000 12,000 48,000 45,000 15,000 6,0000 Per meter of a
maintenance completed
discrete structure
per year

Routine crossing 2,325 775 3,100 2,475 825 3,300 Per meter of a
structure completed
maintenance discrete structure
(bridge & per year
causeway)
Note: The plain roads in the hill districts will be considered as roads in terai districts for the use of maintenance
performance indicator; similarly the hill roads in terai districts will be considered as roads in hill districts.

37. The disbursement of IDA / Donor funds under Window 1 will abide by the
following important notes.
• GON will pre-finance the maintenance costs by transferring the required funds
to the DTO via the DDF
• The IDA / Donor funds will be disbursed to the GON account only after
physical verification of outputs by NVC’s technical auditors
• The total funds for maintenance will be considered as spent only after physical
verification of the outputs through NVC’s technical auditors and subsequently
MoFALD-IDD to recommend for the disbursement of the funds spent.
• The disbursement for river crossing structure maintenance will be determined based
on the total length of completed maintenance (in meters). Only structures
where maintenance is verified as being substantially complete, will be
eligible for disbursement. No partial disbursements for single discrete crossing
structures will be made - if maintenance of a crossing structure is not considered to
be substantially complete, no disbursement will be made (disbursements against
window 1 for any single discrete crossing structure will be ‘all or nothing’).

21
Output verification for Window 1
38. The National Vigilance Centre (NVC) will employ technical auditors to verify the
output of maintenance. Based on the technical audit report, MoFALD-IDD will carry
out the actions as indicated in Table 22. The technical auditors will audit the routine
maintenance intervention based on the DoLIDARs routine maintenance guideline
(RMG) and approved ToR. The ToR will be finalized by the NVC in consultation with
CPCU SNRTP and subsequently concurred by the World Bank.
Table 22: Output Verification for Window 1
Verification/Audit Report MoFALD Actions
Substantially completed • MoFALD-IDD to initiate disbursement request against MPIs
to specifications

Substantially completed • PMU to follow up and confirm completion of remedial actions

with minor deviations from
• Upon PMU confirmation of completion, MoFALD-IDD
specifications
to initiate disbursement request against MPIs

Major corrections needed to • DTO to make required corrections

reach substantial completion
• PMU to assist DTO in pursuing contractual remedies
• CPCU, PMU and DTO to coordinate follow up technical
audit upon completion of remedial actions
• Upon certification of works substantially completed
by DTO, PMU and CPCU, MoFALD-IDD to initiate
disbursement request against MPIs

Major non-rectifiable • The concerned work package to be cancelled

deviations from specifications
• MoFALD to recommend departmental action as per law
of land, including referral to CIAA

3.4 WINDOW 2 - UPGRADING AND REHABILITATION

39. Window 2 is planned to cover upgrading and rehabilitation of District Road Core
Network (DRCN) roads, including new construction and rehabilitation of river
crossing structures. The works to be carried out will be based on the DTMP and
Investment Plan. Under Window 2, the SNRTP project will fund: i) road upgrading,
ii) new crossing structures (bridges) and iii) major maintenance works (rehabilitation)
of both roads and the river crossing structures; not eligible under Window 1.
Window 2 funding will be available to any participating district that has passed the
set of criteria listed below.
• The district must have a DTMP identifying the DRCN
• The district must have a MYRMP
• The district must have an ARMP for the current fiscal year
• The district must have subproject appraisal checklist approved by the PMU and
subsequently belonging to procurement plan.
• The district must have an accompanying routine maintenance regime in place for
any assets proposed for upgrading or rehabilitation. The district may develop this
regime in parallel with the upgrading or rehabilitation works
• The district must have a laboratory that meets DoLIDAR standards

22
Upgrading and surfacing decisions
40. The road upgrading /rehabilitation works shall cover the improvement of i) road
geometrics ii) improvement of existing drainage structures and construction of
missing drainage and crossing structures, and iii) improvement of the road surface to
all-weather standard. These all works will confirm to the Nepal Rural Road Standards,
2055 including 2nd Revision 2071 and Technical Guidelines on Planning, Design and
Construction of Rural Roads.
41. Road upgrading and new crossing structure construction should enable year round
accessibility. Investment in road upgrading and new crossing structures has to occur
in parallel. However, SNRTP may support upgrading or new crossing structure works
if it provides all-weather accessibility in another priority road.
42. Gravel surfacing in both Hills and Terai is envisaged with 15 cm thickness. Gravel
surfacing will be provided for roads with traffic levels of up to 50 vehicles per day
(VPD). For roads with traffic levels of between 50 and 150 VPD and Otta Seal surface
will be used. For roads with traffic levels greater than 150 VPD, Double Bituminous
Surface Treatments (DBST) or any other road surface based on the detailed design
will be implemented.
Subproject preparation process
43. The subproject preparation does not guarantee subsequent financing through the
SNRTP resources. The DTO will need to ensure that there is no duplication of source
of financing for the same subproject proposed to be included under SNRTP. The steps
for the subproject preparation process are presented below:
44. Step 1: The DTO will prepare a subproject proposal. The proposed subproject
must involve e i t h e r i) road upgrading o r ii) new crossing structures or iii) road
rehabilitation works or combination of any two or combination of all. The proposed
road subprojects must belong to either DRCN or Class A roads in the DTMP
and must either meet the DTMP’s priority ranking or be an incomplete RAIDP
subproject. SRN roads will not be eligible for SNRTP funding (a list of SRN roads
is provided in Annex 3). For each subproject, the DTO will prepare a Subproject
Appraisal Checklist and related Technical, Environmental and Social Screening
Checklists as included in Annex 4.
45. Step 2: PMU screens the subproject for eligibility based on the data in the checklist
and provides concurrence if the subproject complies with the criteria listed under Para
39, 44: Step 1.
46. Step 3: After receiving concurrence from PMU, the DTO will proceed for the preparation
of a Detailed Project Report (DPR) for each subproject approved by PMU. The DPR
shall include i) survey and investigations, ii) technical design, drawings and cost
estimate; iii) social and environmental safeguard c o s t a n d reports (see next section
for details) iv) Occupational Safety and Health(OSH) cost . The OSH cost shall be
estimated and mentioned distinctly (independent of any other cost components). The
DPR should be based on detailed surveys, investigations and designs with an
appropriate cost-effective technical solution in line with SNRTP requirements. The
costs of preparing the DPRs will be covered by the SNRTP, GON funding. The DTO
will submit the DPR within 2 months of the approval of the sub project appraisal
checklist. The PMU will also send the approved sub-project appraisal checklist with
procurement plan updated.

23
47. Step 4: The DTO submits the DPR with related bid documents to the PMU for
review and concurrence. The PMU reviews the DPR and ensures that the relevant
documents are consistent with all technical, environmental and social safeguard
requirements. The PMU will share all DPRs with CPCU for joint review by World
Bank and CPCU. After joint review the CPCU will give the concurrence on DPR for
due process of procurement and contract.
48. Step 5: After receiving concurrence from the PMU, the DTO proceeds with the
procurement process.
Detailed Project Report (DPR)
49. For each subproject under Window 2, a Detailed Project Report (DPR) needs to be
prepared. The DPR preparation shall cover i) survey and investigations, ii) technical
design, drawings and cost estimate, and iii) social and environmental management
plans (VDIMP, VCDP, GAP (SMAP and EMP) and reports as per ESMF with cost
estimates for each including Occupational Safety and Health cost. The whole DPR
will be submitted to PMU for concurrence. The DPR comprising the technical, social
and environmental safeguard reports. The safeguard documents will be confirmed by
the standard format as provisioned in ESMF.
50. Survey and investigations - The survey and investigations will include the
following aspects.
• Road condition survey and the road inventory survey of the existing road
with adequate information for required interventions to upgrade the road to
the specified standards. The survey shall include assessment of existing road
geometrics and road safety issues.
• Topographical survey of the existing road using a total station within the right-
of-way (ROW) in order to draw the plan of the road under consideration and
determine the existing features such as road centerline, road edges, construction
width, built up areas, utilities, drainage structures, retaining structures and other
information relevant for the design work.
• Establishment of horizontal and vertical control points (baseline, traverse points
and bench marks) at suitable locations for future use.
• Cadastral survey where land acquisition is required.
• Geological and geotechnical investigations and laboratory testing works required
for design of structures, road pavement and slope-stabilization works. Evaluation
of sub grade strength shall be done by DCP and field density tests.
• Construction material survey to identify the source, quality, and quantity of the
construction materials and location of the borrow pits and the quarries.
• Hydrological investigation and studies, to determine the different hydrological
parameters required for design of road formation, large cross drain structures,
subsoil drainage system and identification of unstable areas.
• Seven days traffic count with details of each category of motorized and non-
motorized vehicles in standard format (Annex 5)
51. Detailed design, drawing and cost estimate - The detailed design, drawing and
cost estimate will include the following aspects.
• The existing road alignment shall be improved to meet the Nepal Rural Road

24
 Standards (NRRS), 2055 including 2nd Revision 2071 as far as practically
feasible in view of constructability, cost and land acquisition. The design shall
include the improvement of road geometrics, drainage structures, retaining
and protection structures, slope stabilization and bioengineering works, road
pavement works, road safety works and miscellaneous ancillary works.
• The improvement work shall involve a 15 cm thick gravel surfacing option as
specified in the SNRTP surfacing option for traffic level less than 50 VPD.
For traffic levels between 50 VPD and 150 VPD, Otta Seal pavement shall be
provided. The Otta Seal pavement layers for different sub grade CBR values shall
follow the DoLIDAR standards For traffic levels greater than 150 VPD, DBST
pavement shall be designed and provided.
• The DPR of the bridges will confirm to Nepal Rural Road Standards (NRRS),
2055 including 2nd Revision 2071.
• DPR of Bridges will be associated with the Bridge Design Checklist (Annex4C)
• A specific SMP and EMAP shall be prepared on the basis of interventions of the
proposed road upgrading/improvement works.
• Detailed drawings shall be prepared in suficient detail for setting out and
implementation of the construction work and shall include:
o Location Map
o Voluntary Land Donation Plan
o Plan and Profile (1:1000). Plan and profile shall show the existing road,
survey reference points with coordinates, existing structure details, and
proposed structures.
o Typical cross-sections and detailed cross-sections (1:200)
o Drawings of drainage and other structures which shall include
General Arrangement Drawings (GAD) and structural details.
o Miscellaneous drawings such as r a i s e d p e d e s t r i a n p a t h s ,
P a s s e n g e r l o u n g e s , kilometre posts, traffic signs and road safety
measures
• Special specifications shall be prepared for all work items in the BOQ if
DoLIDAR’s Technical Specifications do not cover them or changes need to be
made. Department of Roads (DoR) technical specification may be used for certain
BOQ items which are absent in DoLIDARs technical specification. Special
specifications should be based on other standard specifications and or applicable
standard practices.
• Project cost estimates will be prepared on the basis of the following documents.
o Detail Design and Drawings,
o DoLIDAR Work Norms and Specification
o Market rate , District approved Rate
o DoR’s norms and specification in case DoLIDAR Work Norms do not
cover the related work item.
o DOR Standard Specificationsfor Road and Bridge Works as Special
Specifications in case of Road Work items

25
 o Other International Standards to supplement the above mentioned
standards.
• The cost estimate shall include 3% for social safeguard and separate costs for
environmental safeguard and occupational safety and health.
• The cost estimate shall include contingency as per classification of the districts
and 13% VAT amount.
• The design drawings and cost estimate should be approved by the authorized
entity.
52. Social and environmental safeguards - The social and environmental safeguard
reports form an integral part of the DPR. The following social and environmental
safeguards reports will be included.
• Fixation of Corridor of Impact (COI)
• Environmental and Social Screening reports with completed Checklists annexed
• Social Management Plan (SMP)
a. Voluntary Land Donation Impact Mitigation Plan (VDIMP) in case if private
properties are affected
b. Vulnerable Community Development Plan (VCDP)
c. Gender Action Plan (GAP)
• Environmental Management Plan / Environmental Impact Mitigation Plan (EMP/
EIMP)
• Other requirements as per ESMF
The aforesaid reports will be completed as per the Environmental and Social
Management Framework (ESMF).
Note: N
 o Private Construction will be allowed within the right of way of the roads.
The DDC will disseminate this message to all the local people through hoarding
board according to Public Road Act.
53. The DTOs will submit the DPR report covering technical , social and environmental
safeguard components with narrative summary to PMU.
3.5 PROJECT PREPAREDNESS REQUIREMENTS
54. The project preparedness requirements are as:
• The DDC remains committed to the priorities of District Transport Master Plan
(DTMP). The DTMP must include an up-to-date inventory of the District Road
Core Network (DRCN) roads.
• The DDC acknowledges and ensures that all the subprojects proposed by the DDC
pass through the environmental, social, economic and technical screening as set
forth in the concerned guidelines of the project.
• The DDC shall prepare a Multi-Year Road Maintenance Plan (MYRMP) and
an Annual Road Maintenance Plan (ARMP). The DDC will allocate sufficient
funds for regular maintenance of maintainable roads as the first priority, based
on the MYRMP and ARMP.
• The DDC shall ensure that implementation of the Project does not involve any
coercion to the affected person for voluntary donation of losses (including land,

26
 major or minor structures, access to assets, income sources or means of livelihood
and access to legally designated parks and protected areas). The land donation will
be documented and deed transfer will be completed latest by the completion of the
contract period
• The DDC shall conduct or cause to be conducted the collection of project baseline
data and carry out an inventory of roads, and maintain a road register with the book
value of each road of the district.
• The DDC shall establish financial management and audit systems as required
by the Project.
3.6 PROJECT IMPLEMENTATION PREPAREDNESS
55. The project implementation preparedness includes the following elements:
• MoFALD and DoLIDAR shall provide the DDC and DTO with an adequate
number of professional staff (as per approved number of posts) with the
required skills, qualifications, experience, including a DTO Chief Engineer,
Engineers and Sub- Engineers; Account staff and other supporting staff. Among
the supporting staff for the three years of the project implementation, DTO will
receive financial support from the project to fund one vehicle driver (4WD).
During the first two full fiscal years of implementation, SNRTP will provide
conditional recurrent grants to DTO for the full cost of that post. In the third
fiscal year of the project implementation SNRTP will fund one half of the cost
of that post. In the fourth year of the project implementation MoFALD/DoLIDAR
will have to manage this post from GON resources.
• The DDC will maintain a functional Material Testing Laboratory with a
Laboratory Technician, a Laboratory Assistant, and a Social Mobilizer. For the
three years of project implementation, DDCs will receive financial support from
the project to fund the laboratory technician, laboratory assistant and Social
mobilizer. During the first two full fiscal years of implementation, SNRTP will
provide conditional recurrent grants to DDC for the full cost of these posts. In
the third f iscal year of the project implementation SNRTP will fund one half of
the cost of these posts. In the fourth year of the project implementation, DDCs
will have to finance the posts of laboratory technicians, laboratory assistant and
Social Mobilizer permanently.
• The DDC shall form a District Road Coordination Committee (DRCC), Village
Road Coordination Committees (VRCCs), and Local Road Users Committees
(LRUCs) as per the rules and guidelines. Every trimester, the DDC will
disseminate project provisions and progress to these groups and the project
community widely.

4. SOCIALAND ENVIRONMENTAL SAFEGUARDS

56. The project will aim to have no direct adverse environmental and/or social impacts.
For this purpose, the project will have suitable processes and adequate resources to (i)
screen all subprojects for any socio-environmental impacts and determine the impact
category, and (ii) prepare the required safeguard instruments so that all applicable
GON and World Bank safeguard policies will be complied with.
57. This chapter deals with how safeguard issues will be addressed by the project. The
social and environmental impact assessments and their mitigation measures will be

27
 guided by the SNRTP Environment and Social Management Framework (ESMF).
The ESMF complies with the GON’s policy and the World Bank’s operation policy.
4.1 SAFEGUARDS RESPONSIBILITIES
58. The institutional arrangements regarding social and environmental safeguards are
presented in Figure 4.

Figure 4: Institutional Arrangements Regarding Safeguards

Ministry of Federal Affairs and Local Development (MoFALD)

59. MoFALD’s overall role will be to monitor and coordinate the project activities.
It also provides support to the implementing agencies and it also ensures that the
implementing agencies implement their respective subprojects effectively to agreed
schedules and in accordance with the compliance of safeguards policies.
Department of Local Infrastructure Development and Agricultural R o a d s
(DoLIDAR)
60. DoLIDAR is the implementing agency which has a mandate for overall coordination,
monitoring and management of the project. With respect to safeguards, DoLIDAR
shall:
• Adopt a framework satisfactory to the World Bank for managing the environmental and
social impacts of the project activities.
• Establish a dedicated internal unit within DoLIDAR for the purpose of managing social
and environmental impacts, and provide staff, funds, facilities, services and other
resources required to discharge its assigned responsibilities.
Central Project Coordination Unit (CPCU)
61. The CPCU is responsible for safeguard compliance monitoring. The CPCU
will also help the PMU’s safeguard consultants for effective management of the
subprojects in the districts. The CPCU will develop basic social and environmental
risk mitigation plans and checklists as per ESMF along with standard approaches
for social and environmental impact mitigations. The CPCU will recruit safeguard

28
 experts to monitor the safeguard compliance in the DDCs/DTOs. The experts will
also coordinate and cooperate to the safeguard personnel at each PMU and district,
on top of their own regular monitoring and assurance of safeguard compliance at
implementation level.
The CPCU will share the safeguard plans, reports and periodic updates with the Bank.
Project Management Units (PMUs)
62. Two PMUs located in Hetauda and Manigram (Butwal) will be accountable to
coordinate, monitor and manage the subprojects. Both of them will need to ensure
that the DDC/DTOs comply with safeguard policies, provisions and plan of action as
envisioned in the ESMF for this project. PMUs will recruit the safeguard specialist
(social and environmental) to coordinate and cooperate with the safeguard consultants
in the DTOs. The PMUs will undertake spot checks to ensure that the Social and
Environmental Management Plans are implemented. PMU will report to the CPCU
on the implementation status of social and environmental management plan; at every
three months interval.
District Technical Offices (DTOs)
63. The DTOs will be solely accountable for implementation of the subprojects as
per SNRTP Safeguard provisions stipulated in the ESMF, POM and other project
documents. A dedicated team of Safeguard personnel (Social Safeguard Consultant,
Environmental Safeguard Consultant and Social Mobilizer(s)) shall be recruited to
support the DTO/DDC in planning, implementing and monitoring of the safeguard
measures for each project intervention (maintenance as well as upgrading, rehabilitation
and/or new construction.
The DTO-based Safeguard team shall perform, monitor the implementation and report
as and when required and periodically as per Project provisions but at least once a
month to the CPCU through the DTO and respective PMU. Such a report from the ESC/
SSC supported by the SM will also include implementation of the outreach activities
including project information dissemination through community consultations, radio
announcements, information boards, leaflets/posters, etc.
World Bank
64. The World Bank’s safeguard team will oversee all activities at the project level
and subproject level. The team will share their field visit reports comprising safeguard
status , compliance, area of improvements to the CPCU. The team will advise the project
implementing agencies on the safeguard issues in the project as and when required.
4.2 SUMMARY OF SAFEGUARD STEPS
65. An overview of the safeguard related steps and responsible agencies is presented in
the table below.

29
Table 23: Safeguard Activities and Responsible Agencies
Project Stages Environmental and Social Activities Responsibilities
Project Selection of subproject: Brief outline of environmental DDC/DTO/safeguard
Identification and social issues/problems with initial consultation of consultants/Social Mobilizer
stakeholders as per project appraisal checklist
Project Environmental and Social Screening together with Technical DTO/safeguard consultants/
Screening and Socio Economic Screening - screening will be incomplete Social Mobilizer
if any of the four screening reports are not included
Submission of Screening Report to PMU DTO
Appraisal and Review of environmental and social screening PMU/CPCU
Approval
Initial Environmental Examination (IEE) DTO/CPCU/DoLIDAR/
MoFALD
Detailed Site specific EMP SMP (VDIMP, VCDP, DTO/PMU/CPCU/ Safeguard
Engineering GAP) Consultants/ Social Mobilizer
Design
Construction EMP implementation SMP implementation DTO/Social Mobilizer/
Period Safeguard Consultants

Supervision, reporting, monitoring, independent LRUC/DRCC/DDC/DTO/

compliance audit / PMU/ CPCU/ DoLIDAR/
MoFALD
Independent 3rd party
Operation Period Technical, Environmental and Social Audit NVC

66. The different environmental screening categories are listed below.

Table 24: Environmental Screening Categories
Category Description Actions
• No IEE and EIA Required
Category 1 Low Risk of adverse impacts
• A simple site specific EMP required
• IEE required
Category 2 Moderate risk of adverse impact
• EMP required
• Detailed EIA required
Category 3 Significant risk of adverse impact
• EMP required

67. The following environment and Social safeguards policies will apply to SNRTP:
• Environmental Assessment (OP/BP 4.1)
• Forests (OP/BP 4.36 and Physical Cultural Resources (OP/BP 4.11)
• Natural Habitat (Op/BP 4.04) to be triggered in certain circumstances
• Relocation or loss of assets, structures and/or resettlement of people,(OP/BP 4.12)
• Indigenous Peoples (OP/OD 4.10)
• Gender and Development (OP 4.20)
68. The impacts of Window 1 works are likely to be the minor as they will only occur
within the existing right-of-way (ROW) along existing roads, or existing cross
structures. These activities are less likely to result in significant impacts given
the nature of the works involved. The impacts of Window 2 activities might be
significant depending upon the location and extent of the activities.

30
69. Roads and bridges in any protected or highly environmentally sensitive areas
(conservation areas, national parks, heritage sites areas highly prone to landslide or
other highly vulnerable areas) will be excluded from the project. However the sub
project with approved environmental assessment study report at place
from concerned authority will be accepted for implementation after its
prior approval of World Bank and DoLIDAR. A major long span bridge
that would lead to significant conversion of natural habitat of critical endangered
species will be excluded from the project.
70. A summary of monitoring requirements regarding safeguard implementation is
shown below.
Table 25: Summary of Safeguard Monitoring
Frequency of Monitoring Description of Activities Responsibility
Routine and monthly reports Environmental and social impacts Safeguard consultants
during implementation of ongoing civil works including SMs in DTO
As and when required Support to DTOs to apply ESMF Safeguard consultants
effectively in PMUs
At least three times (After Tender Local level audit on implementation VRCC/LRUC in
Award, During Construction and of Social and Environmental coordination with
Before awarding Construction measures as per VDIMP, VCDP, DDTO/SSC/SM and
Completion Certificate) GAP and EMP provisions other line agencies
As and when required Additional support to DTO for CPCU/PMUs
safeguard compliance

Every Two Months District level supervision of each DDC/DTO

subproject
Every Four Months Central level supervision on a CPCU
sample basis
Every Six Months Monitoring by District Monitoring DTO
Committee(DMC) at Each
subproject under construction
At the time Technical Audit Capture key environmental and NVC’s Technical
social issues as per ESMF Auditors

71. Land will be acquired as per the ESMF process. In case of voluntary land
donation, assessment will be carried out and voluntary land donation impact
mitigation (VDIMP) will be prepared and implemented. The VDIMP provides for
incentives for land donation if the percentage of land donated is less than 10% of the
total land holding and additional benefits if donation goes beyond 10%.
72. In order to achieve the highest possible impacts of the interventions to improve the
quality of life and to ensure project benefits to vulnerable communities, the Vulnerable
Community Development Plan (VCDP) and Gender Action Plan (GAP) need to
be developed. The indigenous communities, women, Dalits and other marginalized
groups will be included in local road users’ committees. Local labourers belonging to
vulnerable communities and women will get priority in labour work in the project.
73. The SNRTP will support DoLIDAR to establish a Grievance Redressal Mechanism

31
 (GRM). A Local Road Users’ Committee (LRUC) will be established for every road
that will also act as grievance cell.
74. The Project will also comply with Right to Information Act and will ensure
proactive disclosure and sharing of information with key stakeholders, including
communities and beneficiaries. The project will have a communication strategy
focusing on efficient and effective usage of print and electronic media, information
boards, posters, public consultations and adoption of any other method suited to local
conditions, context, logistics and human and financial resources available.

5. PROCUREMENT
75. This chapter deals with the procurement guidelines. All procurement must comply with
World Bank procurement requirements. The major procurement related documents
are:
• World Bank
o Procurement of Works, Goods and Non-Consulting Services under IBRD Loans
and IDA Credits and Grants by the World Bank Borrowers, January 2011.
o Selection and Employment of Consultants under IBRD Loans and IDA
Credits and Grants by the World Bank Borrowers, January 2011.
• Government of Nepal
o Public Procurement Act, 2063 and Public Procurement Rules, 2064, with
amendments if any.
o Local Self Governance Act, Financial Rules and Regulations, 2064.
5.1 PROCUREMENT ACTIVITIES AND APPLICATION GUIDELINES
76. The procurement activities and applicable guidelines are listed in the table below.
Table 26: Procurement Activities and Applicable Guidelines
Procurement Activities Responsibility Applicable Guidelines Remarks
Procurement Plan CPCU,PMUs, WB’s PP format Individual PP of the
(PP) DTOs respective procurement
Entity
Integration of DTOs’ Respective WB’s PP format
PP PMU SEPA Online
Final integrated PP CPCU WB’s PP format
comprising all the
PPs of CPCU, PMUs
and DTOs SEPA Online
Endorsement of final CPCU WB’s PP format SEPA Online
integrated PP to WB
for NOL
NOL on Final PP WB SEPA Online

32
 Procurement Activities Responsibility Applicable Guidelines Remarks

Approval of multi- Secretary, At the time of

year PP MoFALD WB’s PP format preparation of the
Annual Program and
Budget
Procurement of CPCU WB’s Procurement
Guidelines for the
Consulting services Selection
for CPCU, PMUs &
DTOs of Consultants
Procurement of Consulting PMU WB’s Procurement
services for PMU in Guidelines for the
addition to procurement by Selection of Consultants
CPCU
Procurement of Goods for CPCU PPA 2063,PPR 2064 NCB only with Model Bid
CPCU, PMU, DTOs Document approved by
the Bank
Procurement of Goods for PMU PPA 2063,PPR 2064 NCB only with Model Bid
PMU with prior approval Document approved by
of CPCU the Bank
Procurement of Non- CPCU WB’s Procurement
consulting Services for Guidelines for Non-
CPCU Consulting Services
Procurement of Non- PMU WB’s Procurement
consulting Services for Guidelines for Non -
PMU with prior approval Consulting Services
of CPCU
Procurement of Works DTO PPA 2063,PPR 2064 NCB only with Model
Bid Document approved
by Bank. This model bid
document will address IDA
prescribed caveats.
For approval of the
estimate and bids, LSGA’s
Financial rules 2064 will
be followed.

5.2 PROVISIONS FOR PROCUREMENT

• Only the model bidding documents for the National Competitive Bidding (NCB)
agreed with the World Bank (as amended time to time) including qualification
criteria shall be used
• Bid documents shall be made available, by mail or in person, to all who are
willing to pay the required fee
• Foreign bidders shall not be precluded from bidding and no preference of any
kind shall be given to national bidders
• Bids shall be opened in public in one place, immediately after the deadline

33
 for submission of bids
• Qualification criteria (in case pre-qualification was not carried out) shall be
stated in the bidding documents, and if a registration process is required, a
foreign firm declared as the lowest evaluated bidder shall be given a reasonable
opportunity of registering without let or hindrance
• Evaluation of bids shall be made in strict adherence to the criteria disclosed in
the bidding documents, in a format and specified period agreed with the World
Bank and contracts shall be awarded to the lowest evaluated bidders
• Rebidding for prior review contract shall not be carried out without the prior
concurrence of the World Bank
• Extension of bid validity shall not be allowed without the prior concurrence
of the World Bank for the first request if it is longer than four (4) weeks, and for all
subsequent requests for extension of irrespective of the period, for prior review
contracts only.
• There shall not be any restrictions of the means of delivery of the bids
5.3 PROCUREMENT PLAN
77. A Procurement Plan for the initial 18 months of the project has been developed,
reviewed and agreed with the World Bank. The Procurement Plan will be updated in
agreement with the World Bank team annually, or as required, to reflect the annual
project implementation needs and improvements in institutional capacity. CPCU
will be required to submit, on a quarterly basis, a consolidated monitoring report
to the World Bank as part of the harmonized monitoring report. The report should
include the status of implementation of the Procurement Plan as well as the information
on the contract progress and expenditure. A “No Objection” from the World Bank
is required for the Procurement Plan prior to initiating the procurement processes.
All the implementing agencies will prepare the Procurement Plan according to the
template provided in Annex 6.
78. The Procurement Plan shall identify those contracts which shall be subject to the
WB’s prior review. All other contracts shall be subject to post review by the Bank.
The online Procurement Plan will be endorsed to the WB (SEPA software to be used).
5.4 PROCUREMENT PROCESS
The procurement process for works, goods, consulting services and non-consulting
services is described in Table 27.

34
 Table 27: Procurement Process for Works, Goods, Consulting Services and Non-Consulting Services
Type of Procurement Activities to be performed Responsibility Remarks

A. Procurement of • Preparation of Procurement Plan and endorsed to PMU • DTO • WB's PP format
Works • Endorsement of integrated Procurement Plan to CPCU
• Endorsement of integrated PP to World Bank • PMU
• Preparation of DPR & bid document submission of DPR • CPCU
and bid documents to PMU for concurrence • DTO
• Submission of DPR and Bid document to CPCU for
concurrence • PMU • Standard DPR Format and Model Bid
• Review and Giving concurrence on DPR and Bid Document
document • CPCU/WB
• Notification of IFB through National Daily Newspaper
and DoLIDAR's E-procurement portal • DTO
• Bid opening in Public Place
• Sending and uploading the Bid opening checklist and • DTO
minutes respectively to PMU and E-procurement Portal • DTO
• • Standard Bid opening Checklist

35
Bid Evaluation
• Endorsement of Bid Evaluation Report to PMU
• DTO
• Submission of Bid Evaluation Report to CPCU for • DTO
• Standard WB's Bid Evaluation Format
concurrence
• Approval of the BER and publication of Intention of
• PMU
Award of Contract
• DTO/DDC
• Contract Signing with the Lowest Evaluated Responsive • Local Body's Financial Administration
bidder Rules and Regulations
• DTO
 Type of Procurement Activities to be performed Responsibility Remarks
B. Procurement of Goods • Preparation of Procurement Plan and endorsement • CPCU • WB's PP format
and Non-Consulting to WB
Services
• Preparation of Cost Estimate, specification and • CPCU • Estimate based on the price list of
schedule & bid document. the vendors listed in DoLIDAR/
MoFALD, Market survey
• Submission to the WB for concurrence o • Model Bid Document based on
For Post review GON's NCB and concurred by the
o For Prior Review o Not required to submit to WB o World Bank
WB
• Notification of IFB through National Daily • CPCU
Newspaper and DOLDAR's E-procurement portal
• Bid opening in Public Place • CPCU

• Sending and uploading the Bid opening • CPCU

checklist and minutes respectively to PMU and
E-procurement Portal

36
• Standard WB's Bid Evaluation
• Bid Evaluation • CPCU Format

• Endorsement of Bid Evaluation Report to WB for

concurrence
o For Post review
o For Prior Review o Not required to submit to WB o
• Approval of the BER and publication of Intention WB
of Award of Contract • CPCU
• Contract Signing with the Lowest Evaluated
Responsive bidder • CPCU • PPA,2063 and PPR
 Type of Procurement Activities to be performed Responsibility Remarks
C. Procurement of Services • Preparation of Procurement Plan and endorsement • PMU , CPCU • WB's PP format
to CPCU and WB
• Preparation of Cost Estimate, & RFP • PMU, CPCU • Estimate based on the SCAF's rate
of consultants, Prevailing market
• Submission to the WB for concurrence o
o CPCU Price and Price Index
For Post review
for PMU o
o For Prior Review
WB
• Notification of EOI through National Daily • PMU, CPCU
Newspaper and DoLIDAR's Web site/SNRTP's web
site
• PMU, CPCU
• Short listing of the consultants
• Submission to the WB for concurrence o o CPCU
For Post review for PMU o
o For Prior Review WB
• Notification to the shortlisted consultants through • PMU, CPCU
National Daily and DoLIDAR and SNRTP's Web • WB's Procurement Guidelines

37
site • PMU, CPCU standard RFP document and
• Notification for RFP collection to shortlisted concurred by the World Bank
consultants • PMU, CPCU • Standard WB's RFP Evaluation Format
• RFP opening in Public Place
• Sending and uploading the RFP opening • PMU, CPCU
checklist and minutes respectively to CPCU and
E-procurement Portal
• RFP Evaluation • PMU, CPCU
• Endorsement of RFP Evaluation Report to WB for
concurrence o CPCU
• WB's Procurement Guidelines
o For Post review for PMU o
WB
o For Prior Review • PPA, 2063 & PPR, 2064
• Approval of the RFP and publication of Intention of
Award of Contract
• Contract Signing with the Winner Consultant • PMU, CPCU

• PMU, CPCU
79. The formats to be used for the different steps of the procurement process are provided
in the Annexes.
5.5 PROCUREMENT FOR WORKS, GOODS AND NON-CONSULTING
SERVICES
80. Window 1 (routine maintenance) - The procurement for routine maintenance
will be preferred through Road Maintenance Groups (RMGs). H o w e v e r i t
i s a l s o open to National Competitive Bidding (NCB), or Local Road User’s
Committees (LRUCs). The procurement processes for routine maintenance will
receive technical support from the ILO. The procedures to be followed will be
based on the D o L I D A R ’s RMG Guidelines. The contract packages will be
designed by the ILO. The ILO consultants in the two PMUs will assist the DTOs to
plan their routine maintenance activities as part of the SNRTP maintenance planning
cycle. The routine maintenance procurement is post review. Window 1 (Periodic
maintenance) & Window 2 - The procurement process for window 1 (periodic
maintenance) and all the activities under window 2 will follow all steps mentioned
in Table 27 .The options for Procurement of Goods, Works and Non-consulting
Services are described below.
• International Competitive Bidding - Except as otherwise provided in the
following paragraph, goods, works and non-consulting services shall be procured
under contracts awarded on the basis of International Competitive Bidding.
• Other Methods - The following methods, other than International Competitive
Bidding, may be used for procurement of goods, works and non-consulting services
for those contracts specified in the Procurement Plan: (a) National Competitive
Bidding, subject to the additional provisions set out in Part E of Schedule
2 of the Financial Agreement, (b) Shopping, (c) Direct Contracting; and (d)
Community Participation procedures acceptable to the World Bank.
5.6 PROCUREMENT OF CONSULTING SERVICES
81. The options for Procurement of Consulting Services are described below.
• Quality and Cost-Based Selection (QCBS) - Except as otherwise provided in
the following paragraph, consultants’ services shall be procured under contracts
awarded on the basis of Quality and Cost-Based Selection.
• Other Methods - The following methods, other than Quality and Cost-Based
Selection, may be used for procurement of consultants’ services for those
contracts which are specified in the Procurement Plan: a) Quality-Based
Selection (QBS); (b) Selection under a Fixed Budget; (c) Least Cost Selection;
(d) Selection based on Consultants’ Qualifications; (e) Single-source Selection
of consulting firms; (f) Procedures set forth in paragraphs 5.2 and 5.3 of the World
Bank Consultant Guidelines for the Selection of Individual Consultants; and (g)
Single-source procedures for the Selection of Individual Consultants.

38
5.7 ACTIONS REQUIRED OF CPCU AND PMU
82. Procurement of Goods, Consulting Services and Non-Consulting Services under
the SNRTP will be carried out by the CPCU and the PMUs. The Works will be
procured by the DTOs. To ensure compliance with the procurement guidelines and
to strengthen the CPCU’s, PMUs’ and DTOs’ procurement performance capacities,
the following actions must be followed.
• The CPCU and PMUs must be adequately staffed with key staff, including
at least one procurement specialist in the PMUs with relevant procurement
qualifications and experience.
• Intensive procurement training will be provided to the DTOs.
• The PMU will give concurrence to the DTOs within seven (7) days after receiving
the after receiving the concurrence from CPCU.
• The CPCU will comprise the procurement status in every trimester implementation progress
report (IPR).
• The detailed GAAP will be followed, which includes specific measures to
improve fairness and transparency as well as to curb fraud and corruption in
procurement.

6. CONTRACT MANAGEMENT
83. This chapter deals with the implementation of contracts under all the components.
The contract agreement is the basis for contract management. This chapter describes
preliminary phase and implementation phase of contract management.
6.1 CONTRACT INITIATION PHASE
• Contract initiation phase will start by signing the contract agreement between
the client and the contractor. The contractor shall furnish a performance security
guarantee in the prescribed standard format for the period of 30 days beyond
contract period and defect liability period (DLP) ,
• DTOs shall arrange a Pre Start-up meeting with the contractor and supervision
staff as soon as possible after the contract agreement is signed. The date of the
meeting is recommended to be fixed at the time of the contract agreement. The
meeting will enable proper understanding of contract requirements, submittals,
roles and responsibilities of the contracting parties, supervision arrangement, lines
of authority and communication process.
• Normally the date of work order to the contractor shall be issued within seven days
of the contract agreement signed. The date of commencement of the contract shall
be on the seventh (7) day of the work order issued. The date of commencement
shall be considered as the date of effectiveness of the contract.
• The contractor shall be given 50% of the advance payment as per the provision
of the contract immediately after the contract becomes effective; in favor of the
specified unconditional Bank Guarantee. The validity of this guarantee will cover
the contract period. The guarantee will not be released till the full re-back of the
advance paid amount.
• The construction survey will be conducted jointly by the contractor and DTO
officials under the leadership of the Project Manager as assigned in the contract
data sheet. The construction survey shall be based on the design drawings and the

39
 established vertical and horizontal controls in the drawings.
• The construction survey report and the construction drawings will be approved
by the Project Manager and subsequently certified by the DTO chief. The
approval of the construction survey should not be delayed to avoid delay in
contractor’s mobilization which could result in time extension request from the
contractor.
• The remaining 50% of the advance payment shall be released only after
satisfying the following conditions:
Ø Approval of the joint construction survey report
Ø Submission of the revised work schedule and QAP and subsequently
approval by the project manager.
Ø Mobilization of the contractor’s key personnel, labour and equipment at
site as specified in the contract.
Ø Establishment of the camp for the labours as per ESMF.
Ø Establishment of the Lab facilities at the construction sites.
Ø Project Managers approval of the Query Site for natural/river bed
construction materials as per EMP.
Ø Establishment / Management of the crusher plant as required by the
contract.
Ø Submission of the source of manufactured construction materials (Cement,
Bitumen, GI Wire, Steel Reinforcement etc.) with manufactures test
certificate.
• The Project Manager will disseminate all the key facts and information of the
subproject to the LRUC and other key stakeholders by organizing a meeting
which is intended to ensure transparency.
• The contractor shall install a Project Information Board at the starting and end
points of the subproject containing all the information in a standard template
as attached in Annex 10. The Project Information Board may be in the local
language.
• Information on the construction materials for the particular contract such
as cement, bitumen, boulder/bricks, gravel, sand etc. may be presented in
local language in order to enable beneficiaries also to monitor the contract
implementation.
• The QAP shall be based on DoLIDAR’s specifications and the Quality Control
Handbook. The submittal requirements shall be discussed in the Pre Start-up
meeting.
• The DTO will maintain the separate ledgers for the performance security and
advance payment security in the standard format.(Annex14)
6.2 IMPLEMENTATION PHASE
A. Construction Period
84. The Project Manager shall be responsible for overall contract management and
supervision of works as per the provision of the contract. Therefore the Project Manager
shall discharge his duties as per the contract and insure that parties to the contract meet

40
their obligations to perform the works satisfactorily as per contract procedure to the
specified standard within the contract milestones and cost. Contract management shall
include:
• Give possession of the site and issue design, drawings and instructions to the
contract in time as specified in the contract,
• Use of standard formats developed by DoLIDAR's Quality Control Handbook-(Vol-I
&II) to administer the contract and to establish effective, efficient documentation
and reporting procedure for contract administration, monitoring of schedules and
quality assurances of the construction works, the records of the correspondences
and daily diaries shall be properly maintained to assist processing of contractor’s
claims.
• Survey work to provide the contractor adequate control points and reference
points for construction survey and setting out of the works to be carried out by
the contractor as per approved design drawings.
• Assisting/checking setting out of the works and approving the setting out of the
works undertaken by the contractors. The approval shall be requested by the
contractor in standard format provided and the contractor shall be instructed to
start the works only after approval by the Project Manager.
• Preparing/checking and approving the working drawing in time.
• Issuing instructions to the contractor for update of the Work Program and
checking/ approval of the Work programs, QAP and other submittals as per contract
requirements.
• Approval of preceding work item to commence the following work item. The
Contractor shall be instructed not to commence the following work without prior
approval of the preceding work.
• Supervise/ensure that all materials and workmanship comply with the
specifications and design. Ensure that all the required lab/field tests are carried out
following standard procedures and frequency. The approval for the completed
works shall only be given on the basis of meeting the specified test requirements.
Recommend follow-up actions to be taken and issue instructions to the
contractors for correction of any defects or deficiencies reported in the test
reports or observed during the field inspections. A set of all lab/field tests shall
be maintained in the DDC lab and an additional set shall be prepared to include
them as attachment to the recommended payment certificates.
• Ensure that approved EMP and SMP requirements are implemented during
construction.
• Monitor and evaluate project progress and ensure that the works are executed on
schedule to meet the contract completion milestones. The contract provision of
liquidated damage shall be strictly followed for failure of the contractor to meet
specified work progress in the prescribed milestone date. The PM shall duly
record all delays caused by the contractors not meeting the approved program
and inform the same to the Contractor with a copy to the DTO Chief. Such
delays should be considered while assessing the extension of mile stones and
the intended completion date, if any. Extension of milestones and completion
date shall be strictly based on contract provision and after getting concurrence
from the PMU.

41
 • Measurement of quantities of approved and accepted work and materials, and
checking and certifying contractor’s payment certificates. The PM shall not
recommend a payment certificate without attaching the lab/field test reports
related with the work/ material included in the payment certificate and no
payment shall be made if the test certificates are not attached with the payment
certificates.
• Valuations and approval of Contract Variations. Variations shall only be approved
after getting concurrence from the CPCU on the recommendation of PMU.
• The time extension of the contract shall only be approved after getting
concurrence from the CPCU on the recommendation of PMU.
• The PM upon completion of the works shall carry out an inspection of the
completed work and recommend to the DTO Chief, the date or dates of completion.
The approved recommended date shall be considered as the date or dates of
commencement of the twelve (12) month maintenance and defect liability period
for the sections considered.
• Monthly Progress Report shall be prepared as part of contract management and
the report shall include the following information:
o Brief information of the contract details
o Actual physical progress and financial progress compared to planned for
overall project, for each component and for each bidding package
o The reasons for difference if any
o The measures to resolve problems to speed up the planned progress
o The report must show how the project can be completed as scheduled
and committed in the Financing Agreement, compare the actual
implementation progress with its plan, and how the situation can be improved
after taking all the necessary mitigation measures.
• Contract Management Form (see Table 28) will be prepared and updated regularly
by the assigned staff for each contract.
• At the end of each trimester the “S” (Earned Value) curve will be prepared to
analyze the total progress of the contract
B, Defect’s Liability Period
• The PM shall ensure the submission of the as built drawing by the contractor as
specified in the contract and in case the same is not submitted then the prescribed
amount in the contract shall be withheld from the payments due to the contractor
till the submission is made and approved.
• Inspection of the completed works shall be made at appropriate interval to note
down any defects and issue instructions to the contractor for the rectification
of the defective works and ensuring that the contractors are carrying out their
contractual obligations. Final inspection shall be made shortly before the end of the
Defects Liability period, and instruction shall be issued to correct the defective
works under contractor’s obligation within a reasonable period of time.
• The Defects Liability Period shall be extended for as long as Defects remain to be
corrected or the Project Manager will assess the cost of having the Defect corrected,
and the Contractor will pay this amount, if the Contractor has not corrected a Defect
within the time specified or extended in the Project Manager's notice.

42
 • The Defect Liability Certificate as per the provision of the contract shall only be
issued after defect correction is satisfactorily completed and the Final payment
Certificate shall only be issued after issue of the defects liability certificate.
Table 28: Contract Management Form
Financial Payment Planned Remaining
Contract ID

Completion

work prog-
Contractor
Name of

Contract

Physical
Amount
Planned
Signing
Date of
Progress for the year Amount

ress %
Date
No.
Amount % Amount %

7. TECHNICALAND QUALITY MANAGEMENT

85. The SNRTP project will not compromise on quality. For this purpose, the project
will follow suitable procedures and provide adequate resources to implement
the subprojects as per specified SNRTP standards. The quality of work shall not be
compromised in the preparation of the cost estimate sighting project budget limitation.
SNRTP shall establish required quality instruments so that all applicable policies will
be complied with. Establishment of a functional Material Testing Laboratory (MTL)
with proper human resources is essential.
86. This chapter describes the technical issues in conjunction with Total Quality
Management. RAIDP lessons will be considered for strengthening the institutional
capacity of all the concerned implementing institutions. Different institutions will
have different role in quality assurance.
Department of Local Infrastructure Development and Agricultural Roads (DoLIDAR)
87. As the implementing agency, DoLIDAR will coordinate, monitor and manage the
project. DoLIDAR with support from SNRTP will capacitate the human resources
involved in implementation. In addition to that the DoLIDAR will:
• Introduce e-bidding based procurement in all works, goods and services
• Establish a dedicated internal monitoring unit for assuring quality
Central Project Coordination Unit (CPCU)
88. CPCU will be responsible for quality compliance monitoring. SNRTP will provide
intermittent quality management experts to assist CPCU. CPCU will specifically
perform the following tasks.
• The CPCU seconded experts will support PMUs’Quality Management Consultants
for effective management of the subprojects in the districts.
• DoLIDAR will endorse the road safety works and CPCU will take lead
informalising the types, locations and design of road safety infrastructures with
their specification..

43
 • Liaise with DoLIDAR’s Local Roads Bridge Section for all SNRTP bridges and
to apply relevant DoLIDAR guidelines for designs.
• Strengthen DDC’s labs.
Project Monitoring Units (PMUs)
89. PMUs will be the ultimate authorities that are accountable to coordinate,
monitor and manage the subprojects on the issue of quality. PMUs will recruit the
Quality Management Consultant to implement periodic maintenance, upgrading/
rehabilitation and bridge construction works carried out by the DTOs. PMUs will
recruit senior laboratory technicians to monitor and oversee district labs.
District Development Committees (DDCs)
90. DDCs will be responsible to:
• Maintain material testing laboratories (applicable to 30 existing districts).
• Establish laboratories (applicable to 6 new districts)
• Appoint one laboratory technician and one laboratory assistant.
91. SNRTP will fund the laboratory technician and laboratory assistant for the first two
and half years. After that period, DDC will fund these positions and will employ
them on permanent basis. Unless they are employed as permanent staff, the DDC will
not receive budget for any component under either Window 1 or 2 of Component B.
District Technical Offices (DTOs)
92. DTOs will be solely accountable for quality assurance. For ensuring quality, DTOs
need to perform the following tasks:
• Prepare standard Quality Assurance Plans (QAPs) for all upgrading,
rehabilitation, periodic maintenance and river crossing structure contracts.
• Include the results of conducted tests in the Trimester Progress Reviews submitted
to the PMUs.
World Bank
93. The World Bank’s quality team will oversee all activities at the project level and subproject
level. The team will advise the project implementing agencies on the quality issues.

8. GOVERNANCE AND ACCOUNTABILITY ACTION PLAN (GAAP)

94. This chapter details out the Governance, Transparency and Anti-Corruption guidelines.
The Implementing Agency (IA) must fulfill the World Bank’s Transparency and Anti-
corruption requirements specific to each project.
95. SNRTP will put systems in place to address the risks on Governance, Corruption
and Accountability. The strategy involves adoption of a three-pronged approach to
strengthening governance and accountability systems. First, the project will work
with civil society to promote social accountability in its operations. Proactive
citizens’ organizations that are working at the district and village level will be
requested to strengthen the demand side of governance. They can be engaged in
beneficiary monitoring, social audit or capacity building of beneficiary groups. The
project will use opportunities to work with such community-based organizations.

44
96. Second, existing rules and regulations will be operationalized in project activities.
These include the Guidelines for Conducting Social Audit (MoFALD), the Fiduciary
Risk Reduction Action Plan (MoFALD), the Service Delivery Guidelines (PMO),
the Good Governance Act and the Right to Information Act. The project will
reflect on lessons learned from other GON Departments (e.g., grievance handling
system at Department of Roads).
97. Finally, SNRTP will strengthen internal management systems to reduce any
opportunity for misuse of resources. Inter-departmental coordination, M&E
systems, and progress reporting are priorities for this.
98. The Governance and Accountability Action Plan (GAAP) is the main instrument
which needs to be reviewed during the project implementation. The GAAP has
outlined the following actions:
• Integrity and transparency in the bidding process
• Quality Assurance of the physical works
• Strengthening grievances handling system in DoLIDAR
• Beneficiary monitoring
• Transparency and beneficiary outreach
99. It is expected that most of the preparatory activities (screening, detailed design,
safeguards instruments) executed by the subproject implementing agencies will not
require an individual Governance and Accountability Action Plan. However, strict
fiduciary risk mitigation measures will be in place as outlined in this document. The
GAAP Matrix is presented in Annex 11.

9. MONITORING AND EVALUATION

100. This chapter deals with the Monitoring and Evaluation guidelines. The Implementing
Agency (IA) must comply with the World Bank’s Monitoring and Evaluation
requirements. Obviously, the government’s generic requirements are also applicable
to SNRTP projects.
9.1 MONITORING AND EVALUATION RESPONSIBILITIES
CPCU and DoLIDAR
101. CPCU and DoLIDAR will have primary responsibility for monitoring and evaluation
of the project and subprojects. CPCU will provide a consolidated progress report to
the MoFALD/PFACD and to the World Bank. A full time M&E Specialist consultant
within the CPCU will coordinate monitoring and evaluation. S/he will work in
close coordination with M&E section in DoLIDAR.
PMU
102. PMU will provide documents, data, and other information to CPCU in an expedient,
consolidated and accurate manner.
DTO
103. DTOs will prepare all the physical and financial progress reports and submit them to
the DDCs and PMUs.

45
World Bank
104. The World Bank teams and relevant World Bank specialists will review the progress.

9.2 SNRTP MONITORING AND EVALUATION FRAMEWORK

105. The SNRTP’s monitoring and evaluation framework involves three tiered structures.
Performance Monitoring
106. Performance Monitoring determines the progress of the project implementation. It
will be used to improve project management and identify problems in implementation.
Performance monitoring will have two aspects: monitoring of activities and monitoring
of processes, in terms of identification and prioritization of needs. It will be undertaken
using the following indicators:
• Maintenance programming milestones
• Numbers of subprojects undergoing preparation under SNRTP
• Timelines showing the subprojects preparation
• Monthly, quarterly and annual progress reports from PMUs. This information will
be consolidated by the CPCU, and reported to the World Bank as a part of its
financial management reports.
• Annual review of process for identifying and selecting subprojects.
Compliance Monitoring
107. Compliance monitoring will be used to ensure that project implementation follows
prescribed policies and procedures. The Project M&E system will have to assess
whether the project is following the guidelines by comparing against the following
indicators:
• Criteria relating to eligible subprojects
• Financial management arrangements
• Procurement arrangements
• Environmental and Social Safeguard provisions
Impact Monitoring
The impact monitoring measures the extent to which the SNRTP Project Development
Objective is achieved. This monitoring will also be undertaken through project impact
evaluation and lessons learned workshops at the end of the project. Impact monitoring
will also include the quality aspect of delivery so that sustainability is ensured. Impact
monitoring will be mainly linked to the SNRTP Results Framework as presented in Annex 12.
9.3 PERFORMANCE MONITORING OF PROJECT DISTRICTS
108. Performance of the DDC will be monitored based on the key criteria as mentioned Table
29 below, providing each district or DDC with a score of between 0 and 100. Based on
the performance scores received by the districts or DDC, they may receive additional
budget allocations or their budget allocations may be cut in the next financial year.
• DDCs scoring 80 points or above will receive additional bonus allocation of 20%.

46
 • DDCs scoring 70-80 points will receive the same amount of allocation as in
the previous year.
• DDCs scoring 60-70 points will receive 80% of the amount allocated in the previous
year.
• DDCs scoring 50-60 points will receive 60% of the amount allocated in the previous
year.
• DDCs scoring <50 points will not receive any amount for implementing additional
subproject work unless the lapses are improved.
109. Apart from the performance score, DDCs have to comply with additional criteria. Failure
to comply with these criteria will lead to the DDCs not receiving any allocation for
the next f inancial year.
• Submit Internal Audit for first two trimester of the previous year
• Submit Final Audit report of previous year but one
• Comply with QAP and specifications
• Maintain Audit irregularities < 10% of the expenditures
• Maintain overall performance score > 50
Table 29: Key Performance Evaluation Criteria and Weightage
No. Key Performance Evaluation Criteria Maximum points
1 Planning and budgeting 10 points
2 Survey and design 10 points
3 Procurement of works 10 points
4 Quality of works 25 points
5 Work Progress 10 points
6 Safeguard Provision Compliance 10 points
7 Financial Management 10 points
8 Communication and Transparency 5 points
9 Monitoring, Evaluation and reporting 10 points
Total 100 points

110 The scoring system for the performance monitoring under the SNRTPproject is presented
in the table below.
Table 30: Performance Evaluation Format
Maximum
Evaluation criteria Very Good Good Satisfactory Marginal Poor
Score
1. Planning and Budgeting 10 points
1.1 Annual Road Investment 4 points Very Good Good Satisfactory Marginal Poor
and Maintenance Program 4 points 3 points 2 points 1 points 0 points
with road inventory,
maintenance prioritization,
and budget.
1.2 Three year rolling plan 3 points Very Good Good Satisfactory Marginal Poor
with priorities 3 points 2 points 2 points 1 points 0 points
1.3 Timely submission 3 points Very Good Good Satisfactory Marginal Poor
3 points 2 points 1 points 1 points 0 points

47
 Maximum
Evaluation criteria Very Good Good Satisfactory Marginal Poor
Score
2. Survey and Design 10 points
2.1 Compliance with screening 3 points Very Good Good Satisfactory Marginal Poor
exercise 3 points 2 points 1 points 1 points 0 points

2.2 Survey carried out with 4 points Very Good Good Satisfactory Marginal Poor
adequate horizontal and
vertical controls and 4 points 3 points 2 points 1 points 0 points
drawings
2.3 Timely submission of 3 points Very Good Good Satisfactory Marginal Poor
design and estimates 3 points 2 points 2 points 1 points 0 points

3. Procurement 10 points
3.1 Compliance with SBDs 2 points Very Good Good Satisfactory Marginal Poor
and specifications 2 points 2 points 1 points 1 points 0 points

3.2 Compliance with rules 3 points Very Good Good Satisfactory Marginal Poor
3 points 2 points 2 points 1 points 0 points

3.3 Timeliness 5 points Award Award Award Award in Award

between between between March between
August & Novem- January and April &
October ber and February June
December
4.1 Material tests No of tests 60-80% 40-60% QAP 30-40% <30%
and quality QAP tests carried QAP tests QAP
comply with tests out carried out tests
specifications carried out carried
QAP out

4. Quality of Works 25 points

4.2 Works quality as per 10 points Meet design tested no marks inadequate no roller
specification line, levels, layered here compaction used
finish, tested com- (roller used)
layered paction
compaction (roller
(grader and used) 3 points
roller used) 8 0 points
10 points points
5 points 4 points 3 points 2 points 0 points
5 points 5 points 4 points 3 points 2 points 0 points
4.3 Compliance with 10 points Very Good Good Satisfactory Marginal Poor
Implementation Modality
(technical, social,
environmental)
10 points 8 points 5 points 3 points 0 points
5 Work progress 10 points
5.1 Maintenance Works 5 points >80% 60-80% 40-60% 30-40% <30%
5 points 4 points 3 points 2 points 0 points

48
 Maximum
Evaluation criteria Very Good Good Satisfactory Marginal Poor
Score
5.2 Upgrading Works 5 points >80% 60-80% 40-60% 30-40% <30%
5 points 4 points 3 points 2 points 0 points
6 Compliance with 10 points
Environmental and
Social safeguards
6.1 Timely and quality 10 points Very Good Good Satisfactory Marginal Poor
pre-investment studies and
reports, availability/ use of
human and other resources/
services, and impact 10 points 8 points 5 points 2 point 0 points
mitigations & management
at site
7 Financial management 10 points
quality
7.1 Accounting records and 4 points Very Good Good Satisfactory Marginal Poor
documents properly
4 points 3 points 2 points 1 point 0 points
maintained
7.2 Timely reporting to 3 points Every 3 2 trimester 1 trimester Never
DoLIDAR trimester trimester
3 points 2 points 1 point 0 points 0 points
7.3 Nature of financial audit 3 points <1% of the 1-2% 2-3% 3-5% >5%
irregularities reported expenditures
3 points 2 points 1 point 1 point 0 points
8 Communication and 5 points
Transparency
8.1 Project information 2 points > 3 public 8 public 8 public 1 public no
dissemination meetings meetings meetings meeting public
meeting
2 points 1.5 points 1 point 0.5 points 0 points
8.2 Project information 1 points all sites 60-80% 40-60% 30-40% <30%
hoarding boards and of the
others sites
1 points .7 points .5 point .25 point 0 points
8.3 Dissemination through 2 points All modes Radio and Print and Any one None
radio, print and Print Electronic
electronic media
2 points 1.5 points 1.5 points 1 points 0 points
9. Monitoring & 10 points
Evaluations
9.1 DRCC field visits 2 points 3 trimesters 2 1 trimester 1 fair 1 poor
reports / Community trimester only report report
Based Performance
2 points 1.5 points 1 point 1 points 0 points
Monitoring (timeliness
and findings)

49
 Maximum
Evaluation criteria Very Good Good Satisfactory Marginal Poor
Score
9.2 DDC Trimester 5 points 3 trimesters 2 1 trimester 1 fair 1 poor
Reports and DoLIDAR trimester only report report
evaluation (quality and
5 points 4 points 3 points 1 point 0 points
timeliness)
9.3 Independent Technical 3 points Very Good Good Satisfactory Marginal Poor
Audit Report findings
3 points 2 points 1 point 0 points 0 points
Evaluation criteria Maximum Very Good Good Satisfactory Marginal Poor
Score

10. FINANCIAL MANAGEMENT

111. Financial management has following objectives:
• To enhance transparency for ensuring the effective use of the project resources
• To guide on the financial management procedures
• To comply with the prevailing laws, directives and Financing Agreements
• To clarify requirements, processes and procedures of the project management
10.1 FINANCIAL MANAGEMENT RESPONSIBILITIES
112. There are eight different institutions related to the financial management.
National Planning Commission (NPC)
• Provide the SNRTP’s budget ceiling for each Fiscal Year according to the approved
SNRTP Investment Plan
• Approve SNRTP’s Annual Work Programs and Plans (AWPP)
• Monitor the project progress and give feedback for improvement
Ministry of Finance (MOF)
113. MOF is accountable for the proper financial management of the project in accordance
with GON and the World Bank regulations. MOF’s specific responsibilities are:
• Set up and approve, in collaboration with MoFALD, all f inancial management
guidelines
• Appoint signatories for operation of Designated Bank Account
• Provide budget as per AWPP
• Provide GON’s counterpart funds to the project based on Project Appraisal
Document (PAD) and Financial Agreement.
• Allocate and issue budget authority to NVC for technical audit
• Assign a representative for the World Bank’s mid-term review mission
National Vigilance Centre (NVC)
• Issue budget expenditure authority to the Technical Audit Division
• Submit financial reports to MOF and MoFALD at the end of every trimester
Ministry of Federal Affairs and Local Development (MoFALD)
• Review and recommend SNRTP's AWPP to NPC for final approval

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 • Fulfill all the approved posts in all DTOs
• Fulfill vacant account officers post in each DTO in coordination with FCGO
• Issue budget authority to DoLIDAR and NVC
• Review budget disbursement of both GON and IDA in every trimester
• Coordinate with other government agencies with respect of financial management
• Issue directives to DoLIDAR for project implementation
Department of Local Infrastructure Development and Agricultural Roads (DoLIDAR)
114. DoLIDAR is the project implementing agency. The specific financial management
activities of DoLIDAR are:
• Review and recommend SNRTP's AWPP to MoFALD for approval
• Issue budget authority to the CPCU, PMUs and DDCs
• Authorize budget to DDCs under respective expenditure head
• Review disbursement of the budget of both GON and World Bank in every trimester
and report to MoFALD
• Monitor physical and financial progress of the project
• Instruct CPCU for project implementation
Central Project Coordination Unit (CPCU)
• Prepare aggregated AWPP including budgeting
• Elaborate budget ceiling for DDCs under all the expenditure heads corresponding
to current expenditures
• Operate the Designated Accounts (DA) at the Napal Rastra Bank (NRB)
• Ensure compliance with government’s financial management in expenditures
management
• Set up accounting system and maintain accounting records in accordance with
requirements of the World Bank and the Government
• Set up an internal control system and ensure effective operation of this system
• Consolidate financial reports from PMUs
• Prepare documents for withdrawal of grant/credit proceeds, applications for
withdrawal together with supporting documents
• Act as an inter-coordinator for disbursement of IDA funding from World Bank
• Maintaining the records of contractors
• Review of concurrences given by PMUs to DTOs on Bid Evaluation Reports of works;
• Review of PMUs' procurement of the goods and services
• Submit Implementation Progress Reports (IPR) to the DoLIDAR, MoFALD
and World Bank; comprising Financial Management Reports (FMR) and
Procurement Management Reports (PMR) every four f iscal months within 45
(forty f ive) days from the end of trimester
• Submit the Unaudited Project Account to the World Bank within 90 (Ninety)
days from the end of each fiscal year
• Submit Audited Project Account to the World Bank after getting audited by
the Office of Auditor General (OAG) within 6 (six) months from the end of each
fiscal year

51
 • Give access to World Bank representatives to all the project records (contract
orders, invoices, bills, receipts and other relevant documents evidencing
all expenditures) for the purpose of Bank's audit and examination CPCU will
be assisted by Programming / Budget Advisor specialist who will work as a part
time consultant in the CPCU. The consultant should have good command of
English language and should be familiar with budgeting process and financial
accountability in project management. The function and duties of the consultant
will be as follows:
• Support to Deputy Program Coordinator and Account Chief in preparation of
budget plan
• Checking and reconciliation of PMU reports
• Support to CPCU, PMUs and DTOs in financial management
• Checking and evaluation of the internal control in CPCU, PMUs and DTOs
Project Management Unit (PMU)
• Prepare aggregated AWPP and budget while identifying budget demand for the
subprojects
• Ensure compliance with Government's financial regulations
• Set up accounting system and maintain accounting records in accordance to
the requirements of WB and the Government
• Establish and maintain an effective operation of an internal control system;
• Prepare monthly financial reports and submit to CPCU
• Submit Implementation Progress Reports (IPR) to the CPCU; comprising
Financial Management Reports (FMR) and Procurement Management Reports
(PMR) on trimester basis within 30 (Thirty) days from the end of trimester
• Prepare documents for fund withdrawal proceeds together with Statement
Of Expenditures (SOE) and Non-SOE and submit to CPCU for disbursement
• Provide necessary documents to CPCU to facilitate preparation of withdrawal
application, Unaudited and Audited Project Account
District Development Committee (DDC)
• Approve SNRTP’s AWPP
• Approve ARMP and MYRMP
• Manage fund for maintenance of DRCN roads and river crossing structures as per
ARMP and MYRMP. This fund will supplement the fund available from SNRTP
• Issue SNRTP's budget spending authority to DTO.
• Monitor physical and f inancial progress of the subprojects and submit
the corresponding reports to CPCU /DoLIDAR
• Coordinate with other line agencies in the districts to implement the project
District Technical Office (DTO)
• Prepare AWPP, budgeting and identifying budget demand for the subprojects
• Set up accounting system and maintain accounting records in accordance with
requirements of the WB and the Government
• Establish, maintain and ensure effective operation of an internal control system;
• Operate SNRTP Financial Transactions through TSA.

52
 • DTO shall take approval of CPCU for expenditure of contingency amount.
• DTO will spend contingency related expenditures such as variation in the
contract; operation and maintenance of the vehicles for supervision and other
project logistics required. These expenditures will be only applicable in the case
of shortfall of the budget already provided under respective expenditure heads
corresponding to current expenditures. Contingency expenditures shall be recorded
in the Measurement Book corresponding to the respective subproject
• Prepare monthly financial supervision reports and submit to DDC and PMU
• Submit Implementation Progress Reports (IPR) to the PMU; comprising Financial
Management Reports (FMR) and Procurement Management Reports (PMR)
on trimester basis within 15 (Fifteen) days from the end of trimester
• Prepare documents for withdrawal proceeds of fund together with Statement
Of Expenditures (SOE) and Non-SOE and submit to PMU for disbursement
• Provide necessary documents to PMU to facilitate preparation of w i t h d r a w a l
a p p l i c a t i o n , Unaudited and Audited Project Account
• Allow access to IDA representatives, CPCU and PMU to all the project
records (contract orders, invoices, bills, receipts and other relevant documents
evidencing all expenditures)
• Contingency expenditure and expenditure for project preparation (DPR) shall
be booked under SNRTP GoN resource allocation
10.2 FUND FLOW MECHANISM FOR FINANCIAL MANAGEMENT
• DoLIDAR shall provide the budget authority to DDC/DDF with full elaboration
under each budget expenditure heading (e.g. 26312, 26319,………….).
• DDC shall issue the spending authority to DTO immediately upon receiving of
authority of SNRTP funds from DoLIDAR.
• DDC will maintain separate ledger accounts to track income/budget release,
expenditure incurred under the SNRTP based on the statement of expenditures
prepared by the DTO.
• All the funds will be released for the incurred expenditures from DTCO upon
request of the DTO under TSA system on basis of direction issued by FCGO on
2072-07-19. The DTCO will record these transactions under the paying office
code of respective DDC.
• All the financial transactions will be operated by only the DTO Chief and the
DTO Account personnel.

53
Figure 5: SNRTP Financial Management

10.3 PROJECT ACCOUNTING SYSTEM

• Financial statements are prepared on the basis of GON’s cash based accounting
system.
• Fiscal Year starts on Shrawan 1 and ends on the last day of Ashad every year.
• Income is recognized when received, and expenditure is recognized when incurred.
• Accounting System: current accounting system on the basis of GON’s cash basis
of accounting system.
• The applicable exchange rate for transactions conducted in foreign currencies is
the prevailing buying rate on the day of transaction. Exchange rate of trimester-
end date or year-end date is considered for assets and liabilities in foreign
currencies on the Financial Monitoring Report/Project Account. All exchange
rate differences must be addressed in the exchange rate difference account and
recognized on the Financial Monitoring Report/Project Account.
• Accounting transactions are recorded in Nepalese currency. However, for the
Designated Accounts, transactions are recorded both in USD and NPR.
• For reporting purposes, reports are maintained in local currency except
equivalent amount in USD of Designated Account and Disbursement Report.
10.4 BOOK KEEPING
115. Project staff should have good understanding of the regulations, provisions and
conditions of PAD, FA, Procurement and Disbursement Guidelines, to ensure that the
project is implemented in line with the relevant regulations, guidelines and agreement.
• Accounts to be maintained as per GON’s accounting system could be maintained
either manually or using accounting software.
• All transactions should be supported by original documents for book keeping
and accounting purposes.
• Account staff check and review accounting documents and record following
the standard procedure based on verified and reconciled original documents.
• All transactions are accounted periodically, summarized and reported following
the requirements of the government and the WB.
• All the vouchers and supporting documents shall be maintained and adjusted at
the end of the fiscal year as requested by the current regulations.

54
10.5 DELEGATION OF AUTHORITY AT CPCU
• Program Coordinator shall delegate the required administrative and financial
authority to the Deputy Program Coordinator.
• Deputy program coordinator shall report about the financial management and
progress to the program coordinator at monthly interval or as and when asked by
the Program Coordinator.
10.6 INTERNAL CONTROLS
116. The project officials at CPCU and PMUs will manage the internal control in the
project through following activities:
• Monitor, check and approve by a higher level official, of expenditures
and procurements executed by the lower level.
• Define responsibilities of project staff with positions and level of authority.
• Assign specific responsibilities to each staff.
• Use appropriate method to ensure proper custody of assets.
• Ensure full and appropriate documentation.
• Use internal procedures for cross checking of accounts, payments and transaction
entries for time detection of errors.
• Prepare an annual inventory of assets.
10.7 PROJECT ACCOUNTING
117. Expenditures are made within the designed project scope. Project investment capital
must be within the limits approved by the authorized body. Upon the completion
of the project, PMU prepares the project final account to submit to CPCU. CPCU
consolidates and submits to the MoFALD and MOF for review and approval. Final
Project Completion Accounting reports shall contain:
• Project resources detailed by sources.
• Project cost by expenditure items: construction, equipment, others which are
detailed to project components.
• Notes to project accounts to explain the details of sources of income and details
of expenditures by component and category wise.
• The period of the project account.
10.8 DISBURSEMENT
118. This section includes disbursement principles, disbursement methods, and
disbursement plan.
Disbursement Principles
• CPCU would be responsible for managing the Designated Accounts (DA)
to be established at Nepal Rastra Bank (Nepal's Central Bank) on terms and
conditions satisfactory to the World Bank.
• Designated Accounts will have authorized limit of US$ 5 million and will follow
the existing disbursement procedures.
• CPCU would be responsible for withdrawals of IDA.
• Disbursements by IDA under component A and Window 2 of Component B will

55
 be made on the basis of a percentage of eligible expenditures specified in the
Financing Agreement according to statement of expenditures submitted to IDA.
• Disbursements under Window 1 of component B; Output based maintenance will
be made on achievement of Maintenance Performance Indicators as determined
by the physical verification of the completed outputs.
Disbursement Methods
119. The following disbursement methods shall be used under this IDA Grant/ Credit:
• Reimbursement
• Advance (Replenishment)
• Direct payment
120. Reimbursement - WB shall reimburse the borrower for expenditures eligible for
f inancing pursuant to the project ("eligible expenditures") that the g o v e r n m e n t
has pre- financed from its own resources.

Figure 6: Reimbursement Procedure

121. Replenishment (Advance) - CPCU will submit replenishment application for

Designated Accounts on a monthly basis, or when 25% of the authorized allocation
has been used, whichever occurs first. The replenishment applications will be
supported by the necessary documentation, which includes the bank statement and
a reconciliation statement. The eligible expenditure amounts will be transferred from
Designated Accounts to the government treasury on monthly or more frequently if
required.

56
 Figure 7: Replenishment Procedure

122. Direct Payment - The WB shall make payment at the borrower's request, directly to
the third party (e.g. Supplier, Contractor, and Consultant).

Figure 8: Direct Payment Procedure

Note:

• The blanket commitment will be issued to the World Bank before direct payment
to the UN agency ( ILO)
• UN agency (ILO) will receive payment directly from the World Bank upon
submission of the invoice to the World Bank, Chennai Office.
Disbursement Plan
123. The disbursement plan should be prepared in the format specified in the following
form to provide information for reporting purposes and to form the basis for
f inancial and disbursement.

57
Table 31: Disbursement Plan
No. Components Total Project Amount disbursed to Plan for 201--
Amount date

IDA OD GON IDA OD GON IDA OD GON

Table 32: Uses of Funds by Activities

Disbursement in Year

Accumulated from the start of the

Trimester III
Trimester I Trimester II Accumulated during the year
Project Activities (Eligible

Accumulated Actual Dis-

Expenditure Categories

bursement at last year

% yearly implement-

Achievement Rate (%)

Cumulative to Date
Cumulative to date
Planned Annual
Disbursement

Net Amount
TOTAL

TOTAL

TOTAL

project
tation
GON

GON

GON
IDA

IDA

IDA
OD

OD

OD

Withdrawal of Financing Proceeds

124. After project’s effectiveness, the Designated Account is opened at Nepal Rastra Bank.
• Authorized Signatures: A letter (see Annex 13) shall be endorsed to the World
Bank at the address indicated below providing the names and specimen signatures
of the officials authorized to sign applications. The Program Coordinator and
Account Chief/DoLIDAR (Under Secretary, Account) will be the authorized
signatories for this project.
The World Bank GPO Box 798
Kathmandu, Nepal
Attention: The Country Director for Nepal
• Applications: The completed and signed applications for withdrawal, together
with supporting documents will be sent at following address:
The World Bank
No.11, Taramani Main Road Taramani, Chhenai-600113 India
Attention: Ms. Samvita R. Arikatla, Sr. Finance Officer.

58
 • Electronic Delivery: The Association may permit the recipient to electronically
deliver to the Association applications with supporting documents through
the Association's Client Connection Web-Based Portal.
• Minimum Values of Applications: The minimum value of applications for
direct payment, Reimbursement Application will be US$ 200,000 for category 2
and US$ 1,000,000 for category 1.
Reporting on Use of Financing Proceeds
• For request for reimbursement and for reporting eligible expenditures paid from
the DA for Category 1:
o Interim Unaudited Financial reports.
o List of payments against contracts that are subject to the Bank's prior review.
• For request for reimbursement for category 2: o Interim Unaudited Financial
Reports
o Output Technical and Financial verification reports.
• For request for direct payment for category 1:
o Records evidencing eligible expenditures e.g. copies of receipts,
supplier invoices.
125. SOE and Non-SOE Thresholds: All the contracts subject to post review as per
procurement plan will be under SOE and those subject to prior review will be under
Non-SOE.
CPCU will be assisted by Financial Management Consultant who will work as a part time
consultant in the CPCU. The consultant should have good command of English language
and should be familiar with similar financial management in donor funded projects. The
function and duties of the consultant will be as follows:
• Support to CPCU in overall financial management activities of the CPCU
• Record management
• Withdrawals and Disbursement of project fund and ,
• Reporting on use of financial proceeds.

59
 ANNEXES
ANNEX 1: ANNUAL BUDGETING FORMAT
Budget spent
Budget Required for Current FY
No. in last FY Budget allocated for next FY Remarks
Activities Liability for last FY New works in current FY
GrandTotal

IDA OD GON Total IDA OD GON Total IDA OD GON Total IDA OD GON Total

60
 ANNEX 2: MULTI-YEAR ROADS MAINTENANCE PLAN (MYRMP)
District:
Fiscal Year
Estimated DTMP budget (NPR)
Allocation to maintenance (NPR)
Core network length (km)
Blacktop (km)
Gravel (km)
Earthen (km)
Annual Maintenance Length (Km) Budget Length (Km) Budget Length (Km) Budget Length (Km) Budget Length (Km) Budget
(NPR) (NPR) (NPR) (NPR) (NPR)
Routine
Periodic (Blacktop)
Periodic (gravel)

61
periodic (earthen)
Total annual maintenance
Multiannual maintenance plan Year 1 Year 2 Year 3 Year 4 Year 5
Maintenance Routine Periodic Routine Periodic Routine Periodic Routine Periodic Routine Periodic
Road Code BR GR ER km NPR km NPR Km NPR km NPR km NPR km NPR km NPR km NPR km NPR km NPR
(km) (km) (km)

Total multiannual maintenance - - - - - - - - - - - - - - - - - - - -

Total maintenance budget (NPR) - - - - p
Remaining budget - - - - -
 ANNEX 3: STRATEGIC ROADS
List of SRN Roads
Code Road Name Code Road Name Road Name
Code
SRN Highways SRN Feeder Roads(continued) SRN Feeder Roads(continued)
H01 MRM (East West Highway) F056 Jhumka - Chatara Barahachhetra F133 Maldhunga – Beni
H02 Tribhivan Rajpath F057 Dharan - Chatara - Gaighat-Katari- F134 Tamghas-Sandhikharka - Pyuthan
Sindhuli- Hetauda
H03 Arniko Rajmarg F058 Bhedetar - Rajarani - Rabi - Ranke (MERM) F135 Ramapur (MRM) - Lumbini
H04 Prithiwi Rajmarg F059 Birtamod - Sanischare - Budhabare F136 Shivgadhiya - Padariya (Lumbini-
H05 Narayanghat Mugling Rajmarg F060 Bardanga - Urlabari (MRM) - Madhumalla F137 Pipara (MRM) - Chakar Chauda
Daregaunda
H06 Dhulikhel - Sindhuli,- Bhittamod - Rajmarg F061 Rangeli - Kanepokhari - Dandagaun - Budbabare F138 Lamahi (MRM) - Koilabas

62
H07 Mechi Rajmarg F062 Ghinaghat (MRM) - Biratchok F139 Holeri- Sworgadware – Jaluki (Bhingri)
HO8 Koshi Rajmarg F063 Inerwa (MRM) - Kaptanganj F140 Sitalpati (H 11) - Salyan
H09 Sagarmatha Rajmarg F064 Phattepur - Kanchanpur - Rajbiraj - F141 Tulasipur - Purandhara – Botechaur
Govindapur
H1O Siddhartha rajmarg F065 Kathauna (MRM) – Pato F142 Nepalganj - Baghauda
HI1 Rapti Rajmarg F066 Kalyanpur (MRM) - Subharpatti F143 Ranjha (H12) - Nepalganj Airport
H12 Ratna Rajmarg F067 Dhangarhi (MRM) - Vidyanagar - F144 Tallo Dungeswor - Mathillo Dungeswor
Bariyarpatti
H13 Karnali Rajmarg F068 ICD (Pokhariya) – Jitpur F145 Hilsa - Simikot
H14 Mahakali Rajmarg F069 Galchhi (PRM) - Debighat F146 Sanphebagar- Martadi - Kolti - Sukhadhik
H15 Seti Rajmarg F070 Khurkot (DSRM) - Manthali F147 Sati (Khairipur) – Khakraula
H16 Kathmandu Ringroad F071 Panchkhal (ARM) - Palanchok Bhagawati F148 Muda (MRM) - Bhajani - Lalbojhi
 List of SRN Roads
Code Road Name Code Road Name Code Road Name
H17 Hulaki Rajmarga (Postal Road) F072 Gwarko - Panauti - DSRM (H06) F149 Sahajpur- B.P. Nagar - Silgadhi (Dipayal)
H18 Mid-hill (Pushpa Lal) Highway F073 Bakhundol (ARM) - Bogatigaun (Ktm Fl50 Kaluwapur(MRM)-Shreepur-
Belauri(Chhyangtapu- MERM) University Road)
H19 Shabha( MRM) - Bramhadev F074 Nuwakot Darbar Access Road Fl51 Daiji(MRM)-Jogbudha-Buddar(MKRM)
Code Road Name Code Road Name Code Road Name
H20 Kathmandu - Terai - Fast - Track F075 Kalimati - Sitapaila - Bhimdhunga - F152 Leguwaghat - Sabha Khola (Boharatar)
(Express Way) Dharke
H21 Kathmandu Outer Ring road F076 Ringroad - Tinpipale - Okharpauwa - Kolpu F153 Bastipur - Makri- Pashupatinagar (Hetauda Bypass)
SRN Feeder Roads F077 Budhanilkantha - Kakani – Kaulethana Fl54 Nagma-Gamgadhi
FO1 Birtamod Chandragadhi F078 Shobhabhagwati - Nishangaun - Halchok F155 Brahmadev- Jogbuda
- Narayanthan

63
F002 Damak Gauriganj F079 Thulo Bharyang (Ring Road) - Raniban Post F156 Phikkal ( MERM) - Sriantu - Baudhadham
F003 Bharda Rajbiraj F080 Balaju - Nepaltar - Sangla Bazar F157 Ilam ( MERM) - Maipokhari - Sandakpur
F004 Rupani Kunauli F081 Baniyatar – Lainchaur F158 Damak (MRM) - Chisapani
F005 Chaurahawa- Madar FO82 Samakhusi - Tokhagaun- Fl59 Khurkot - Ramechhap - Sanghutar -Okhaldhunga
Dandagaun- Gurje- Tadi-Gangate
F006 Nawalpur (M.R.M.) - Malangwa – F083 Kapan - Mandikhatar - Handi Gaun F160 Janakpur Circumambulatory
Sonbarsa (Bulbule)
F007 Chandranigahapur (M.R.M.) - Gaur F084 Chuchchepati - Kapan - Gamcha F161 Lothar (MRM) - Chuniyadhara – Malekhu
Bairganiya
F008 Bardaghat Surajpur Harpur F085 Mahankal – Atterkhel F162 Beganastal - Bhorletar
F009 Sunwal - Parasi -Mahespur (Tanka F086 Jadibuti (ARM) - Thimi - Sallaghari Fl63 Khairenitar (PRM) - Bhimad - Kawaswoti(MRM)
Pd Aacharya Marg)
F010 Jitpur Khunuwa FO87 Pepsikola – Gothatar F164 Gagangaunda (PRM) -Begnastal
 List of SRN Roads
Code Road Name Code Road Name Code Road Name
FO11 Taulihawa - Gorusinghe (M.R.M.)- FO88 Gokarna - Jorpati- Gothatar F165 Pratapur-Raninagar-Triveni
Sandhikharka
FO12 Chabauta Krishnanagar FO89 Pepsikola – Karkigaun F166 kagbeni(F042) - Muktinath
F013 Bhaluwang (M.R.M.) Liwang FO90 Thimi (SOS) - Lokanthali - Tikathali F167 Gaindakot-Rampur Phat-Pipaldanda
(Rolpa)-Madichaur-Darbot -Manohara
F014 Pyuthan - Chakchake - Ghorahi F091 Kausaltar - Balkot - Sirutar - Biruwa F168 Bansgadhi (MRM) - Mainapokhar
F015 Lasmahi Tulsipur FO92 Thimi - Mulpani - Gokama F169 Kothiya -Thakurdwara - Amreni (MRM)
F016 Bhuregaun (M.R.M.) - Gulariya - F093 Sallaghari – Duwakot F170 Baddichour - Gutu
Murtihawa
Code Road Name Code Road Name Code Road Name
F017 Junga - Rajapur - Bhimapur F094 Byasi (Bhaktapur) - Changunarayan F171 Bhuregaun (MRM) - Bangesimal (Surkhet)

64
F018 Birgunj Kalaiya F095 Mulpani - Changunarayan - Phedigaun F172 Karnali Corridor (Manma - Kolti)
F019 Bhainse Bhimphedi F096 Nagarkot – Sankhu F173 Gamgadhi - Sukadhik
F020 Palung Kulekhani F097 Chyamasingh - Nala - Banepa F174 Silgadhi - Khaptad
FO21 Kathmandu - Trisuli - Kamalbinayak - Sudal - Nagarkot Fl75 Patan - Pancheswor
D h u n c h e R a s u w a g a d h i ( P a s a n g FO98
Lhamu Marg)
F022 Balkhu Dakschinkali F099 Trolly Bus (ARM) - Suryabinayak - F176 Ugratara - Melauli
Bhujunge
F023 Satdobato Tikabhairab Fl00 Sallaghari - Katunje - Lubhu F177 Jumla Khalanga - Garngadhi
F024 Satdobato- Phulchoki FlOl Manohara Bridge (RR) - Sankhamul- F178 Bijulebhanjyang - Larnidanda
Teku- Balkhu (RR)
 List of SRN Roads
Code Road Name Code Road Name Road Name
Code
F025 Lainchaur - Maharajgunj F102 Satdobato - Dhapakhel - Thecho F179 Shahid Road (Ghorahi Nuwagaun Tila
- Budhanilkantha Ghartigaun Thabang)
F026 Chabahil - Sankhu - Jhule - Chautara F103 Jayanepal - Bhaisepati – Tikabhairab F180 Ganesh Man Marg (Thankot-Markhu)
F027 Jorpati Sundarijal F104 Khasibajar - Kirtipur - Tinthana F181 Tadi (Gangate) -Labdhu-Samundratar-
Golphubhanjyang
F028 Bhaktapur Nagarkot F105 Nagdhunga –Tankeswor Fl82 Tallo Dungeshwor - Dullu
F029 Banepa Khopasi F106 Charikot - Dolakha -Lamabagar F183 Shivanagar - Gumi - Patihalnachaur
- Lapchegaun
F030 Panchkhal Melanchi Helambu F107 Birendra Bazar -Yadukuha - Mahinathur F184 11 Kilo (FO35) - Chhepetar - Bhaluswara -Barpak
F031 Dolalghat Chautara F108 Janakpur – Yadukaha Fl85 Putalikhet - Karkineta -Majhbeni (Kusma)

65
F032 Lamosangu Ramechap F109 Dharapani (MRM) - Dhanusadham - F186 Mirdi - Chitre - Bhimad
Janakpur
F033 Tamakoshi Jiri Fl10 Janakpur (H06) – Jatahi F187 Trafic chok(MRM)-Baniniya
F034 Malekhu Dhading FIll Jaleswor – Matihani F188 Banke (MRM) - Sangrampur
F035 Ambukhaireni Gorkha Fl12 Janakpur(H06) - Manara - Bathanaha F189 Gadhimai - Kawahigoth
F036 Durne - Besisahar - Chame F113 Janakpur - Kurtha - Samsi Fl90 Dumkibas (MRM) - Tribeni
Code Road Name Code Road Name Code Road Name
F037 Bharatpur Bypass road Fl14 Bardibas – Jaleswor Fl91 Kathawa -Tribeni
F038 Fikkal Pashupatinagar Fl15 Maithan (MRM) - Gashala - Samsi Fl92 Rajapur-Daulatpur-Sati (Junction to Postalrd)
F039 Biratnagar Rangeli Fl16 Phuljor (MRM) -Bayalbas Fl93 Chaurjahari - Bas Khola - Devisthal
- Tribhuwannagar
F040 Hile Basantapur Tearthum Fl17 Nayaroad (MRM) - Barhathwa Fl94 Saljhandi - Satyawati - Badahare River
- Madhubani
 List of SRN Roads
Code Road Name Code Road Name Code Road Name
F041 Pokhara Sarangkot Fl18 Tamagadhi (MRM) - Simraungadh Fl95 Tikapur - Muda - Sanphe Bagar - Dandakot
-Gothalkhet - Chainpur - Saipal - Urai Bha
F042 Pokhara - Baglung - Beni - Jomsom- Fl19 Manmat (MRM) - Kalaiya - Matiarwa F196 Beni Ghat - Aru Ghat Larke Bhanjyang
Ghoktang
F043 Bartung - Tanghas - Warmi Taksar F120 Hetauda - Tikabhairab (Kanti Rajpath) F197 Aryabhanjyang-Rampur
F044 Bhairahawa - Lumbini - Kakrahawa F121 Pharping – Kulckhani F198 Birgunj Bypass
F045 Lumbini Taulihawa F122 Bhimphedi – Kulekhani Fl99 Gandhi Manamohan Marga
F046 Nepalgunj Guleriya F123 Dhadingbesi - Arughat - Gorkha F200 MRM(Kharindpur)-Shitalpur-Vilmi
F047 Chhinchu - Jajarkot - Dunai F124 Tandi (MRM) – Sauraha F201 Jiri-Salleri Road
F048 Birendranagar Dailekha F125 Bharatpur - Meghauli Airport - Dhruwa F202 Jiri-Those-Barnti Road
F049 Khodpe Chainpur F126 Aanptari (HO5) - Debghat F203 Guleria-Jabdhighat-Ramvapur

66
FO50 Satbhanj Jhulaghat F127 Dumre (PRM) - Bandipur F204 Khutiya-B.P. Nagar-Dipayal
FO51 Silgadhi Sanfebagar F128 Damauli (PRM) - Neupanebesi - Bhorletar F205 Nijgadh-Pataura-Bankul-Gaur
FO52 Mirchaiya - Katari - Okhaldhunga Fl29 Talchok (PRM) - Khudimuhan (Beganas F206 Gaur-Pipara-Samanpur-Santapur-Nunthar Road
– Salleri Lake)
F053 Basantapur - Chainpur - Khandbari F130 Bhunahi - Parasi - Bhairahawa F207 Parsa-Bara-Rautahat-Gandaknahar Road
- Kitnathanka
FO54 Duhabi – Inerwa Fl31 Malunga (SRM) - Mirmi (Kaligandaki- F208 Triveni-Sanahi-Gandak Nahar Sadak-Nawalparasi
Kushma)-Gupteswor
F055 Lahan - Bhagwanpur -Thadi F132 Ridi - Rudrabeni- Wami Taksar
ANNEX 4: CHECKLISTS
ANNEX 4A: SUBPROJECT APPRAISAL CHECKLIST
I: UPGRADING OFROADS

District:
Name of Project:
Name of the Proposed Road:
Total length of the Road: Start Point: End Point:
Proposed length: (km), from (chainage), to (chainage)

No. Particulars Status Remarks

A Planning
A.1. Is the DTMP up-to-date? If yes, year of updated
If no , reasons for not updating
A.2 Is the proposed road under SRN or LRN?
If SRN, mention its classification and code
If LRN, mention whether it is under DRCN or non-
DRCN
A.3 Is the road under the DoR?
If yes, will DoR handover this road to the DDC
Has DDC asked DoR to handover this LRN Road? Yes/No

A.4 Is the budget for this road with other implementing agency
(DoR, DDC, others)? Yes/No
A.5 Is the road previously intervened by RAIDP or other
resources?
If yes, mention the length and types of works completed
If no, reasons for no intervention
A.6 DTMP ranking number/ DTMP code number
A.7 Is the road proposed in order of priority?
If no, reasons for skipping priority
A.8 Proposed types & length of intervention
A.9 Is the proposed road under routine maintenance? If yes,
(a) Year started
(b) Sources of funding
(c) Sufficiency of resources
A.10 Is the proposed road all-weather?
If yes, length of all-weather connectivity If no, reasons
for not being all weather
A.11 Is the proposed road included in ARMP/ MYRMP? If yes,
(a) Date of preparation
(b) Date of approval by DDC
(c) Sufficiency of budget to meet ARMP/MYRMP:
Yes /No
(d) Compliance with ARMP: Yes/No
If no,
(a) Reasons for not preparing
(b) Basis for routine maintenance implementation
(c) Process for budget allocation for maintenance

67
No. Particulars Status Remarks
B Technical
B.1 Has a feasibility study been done? If Yes,
(a) Date of feasibility study
(b) Feasibility done by DTO's team or Consultant
(c) Length of the feasibility study done
(d) Name of the Consultant

B.2 Types of works likely to be included for the proposed sub- project:
(a) Types of surfacing
(b) Types of structures

B.3 Traffic flow of vehicles in VPD

(a) Minimum of seven days count
(b) Count of more than seven days

B.4 No of bridges
(a) Total no. of bridges required
(b) No. of existing bridges (including span)
(c) Location of the existing bridges (chainage and latitude +
longitude)
(d) No. of required new bridges (including span)
(e) Location of the required new bridges (chainage, latitude +
longitude)

B.5 No. of river crossing structures other than bridges

(a) Total no. of culverts (box/pipe/slab) and causeways required
(b) No. of existing culverts and causeways
(c) No. of required new culvers and causeways

B.6 DPR preparation of proposed road

(a) Estimated cost of DPR preparation
(b) Agency for DPR preparation: DTO team or Consultant
(c) Expected date of submission of DPR to PMU
(d) Expected date of submission of DPR to CPCU
(e)

B.7 Sources a v a i l a b l e other than SNRTP for implementation of

proposed subproject
C Safeguard
C.1 Environmental safeguards
(a) Probable environmental risks
(b) Presence of protected area (national parks/conservation area/
wildlife and hunting reserves and buffer zone), heritage site
and physically and culturally significant area
(c) Possible environmental measures
(d) Mitigation measures

68
 No. Particulars Status Remarks

C.2 Social safeguards

(a) Estimated beneficiary population
(b) No of VDCs/Municipality affected
(c) ROW maintained: Yes/No
(d) CoI fixed: Yes/No
if yes
VDIMP required: Yes/No
VCDP required: Yes/No
GAP required: Yes/No
(e) Estimated number of PAFs and SPAFs
(f) Estimated amount for financial assistance distribution

D Procurement and contract

D.1 Procurement packaging and slicing

(a) No. of packages under consideration
(b) No. of slices under one package
(c) Availability of the sufficient natural construction
materials (gravel, bolder aggregate, sand etc.)
(d) Availability of the local contractors (Approximate
Numbers)

Note: i) PMU will approve the above subproject appraisal checklist if the proposed
road is considered appropriate for intervention.
ii) After approval the proposed road will be included in the procurement plan
with contract identification.

69
ANNEX 4A: SUBPROJECT APPRAISAL CHECKLIST
II: CONSTRUCTION OF RIVER CROSSING STRUCTURES/BRIDGES
District:
Name of Project:
Name of the Road:
Name of the River:
Type of the River: i) Perennial ii) Seasonal
Proposed length: No.of span: Length of one span:
Location of the bridges: a) Latitude/ Longitude: b) at chainage:
No. Particulars Status Remarks
A Planning
A.1 Is the proposed Bridge on LRN/DRCN Road
If No why it is proposed under this project?
Is the road where the bridge is proposed; in DTMP?
If yes, DTMP code no. and priority ranking
A.2 If No, Reasons for proposing of this project
A.3 Is the proposed bridge on the RAIDP Roads? Yes/No

Will this proposed bridges make the roads all weather?

A.4 If No, How many other Bridges will be required to make this Road all
weather?
B Planning
B.1 Has feasibility study been done?
If Yes,
a) Date of feasibility study
b) Feasibility done by DTO’s team or Consultant
c) Name of the Consultant
Expected Foundation types for the proposed bridge?
B.2
Does this bridge project need river training structures?
B.3 If yes, what types and estimated cost?
DPR preparation of proposed bridges
B.4 a) Estimated cost of DPR preparation
b) Agency for DPR preparation: DTO team or Consultant
c) Expected date of submission of DPR to CPCU

C Safeguard
C.1 Environmental safeguards

a) Probable environmental risks

b) Presence of protected area (national parks/conservation area/

wildlife and hunting reserves and buffer zone), heritage site
and physically and culturally significant area
c) Possible environmental measures
d) Mitigation measures

70
 No. Particulars Status Remarks
C.2 Social safeguards
a) Estimated beneficiary population
b) No of VDCs/Municipality affected
c) Estimated number of PAFs and SPAFs
d) Estimated amount for financial assistance distribution

D Procurement and contract

D.1 Procurement packaging and slicing

a) No. of packages under consideration

b) No. of slices under one package
c) Availability of the sufficient natural construction materials
(gravel, bolder aggregate, sand etc.)
d) Availability of the local contractors
(Approximate Numbers)

Note: i) PMU will approve the above subproject appraisal checklist if the proposed
bridge is considered appropriate for intervention.
ii) After approval the proposed road will be included in the procurement plan
with contract identification.

71
ANNEX 4B: SUBPROJECT SCREENING CHECKLIST
B1: ENVIRONMENTAL SAFEGUARDS
I. Environmental Screening Checklist for Upgrading of Roads
A. SUB PROJECT BRIEF INTRODUCTION
1. District
2. Name of the Sub Project
3. Length (Proposed length/ Total length) / Proposed Chainage
4. DTMP/DRCN Code
5. Contract ID:
6. Type of Work
7. Route (name of VDCs, main settlements and other identifying features)
8. Proposed Work / Activities:
9. Approximate Investment Required
10. Implementation approach and institutions involved (labor-based, user groups,
contractor – DDC/DTO, community)

B. ENVIRONMENTAL SETTING OF THE PROJECT LOCALITY

B1 Protected Areas (PA)
Are there any Protected Areas along impact corridor? (Tick) Yes No
If Yes, please provide following information
Name of PA Location in relation to road Existing conditions, :
(chainage, distance, from
road direction)
1.
problem, and causes of problem

B2 Forest Area
Are there any Forest along impact corridor? (Tick) Yes No
If Yes, please provide following information
Name of Forestwith Location in relation to Existing conditions (including
Management type road (chainage, distance type,tentative size, dominant
from road centerline and species, flora and fauna):
side)
1.
Problem, and causes of problem

72
B3 Protected Species
Are there any Protected Species along impact corridor? (Tick) Yes No
If Yes, please provide following information
Protected Species Species Name (Common and Protection Category
Scientific name)
GoN CITES IUCN
Flora
1.
Fauna
1.
Problem, and causes of problem:

B4 Landslides / Erosion Prone Areas

Are there any Landslides Erosion Prone areasalong impact Yes No
corridor? (Tick)
If Yes, please provide following information
Name of Areas Location in relation to road Existing conditions( including
(chainage, distance from type,tentative size, relative
the road centerline and stability) problem, and causes of
side) problem

Potential problem from the road

B5 Flood Prone/ River Cutting/ Low lying Areas

Are there any Flood Prone/ River Cutting/ Low lying areas Yes No
along impact corridor? (Tick)
If Yes, please provide following information
Name of Site/ Location in relation Existing conditions (type, including
Place to road (chainage, purpose of use, number of users,
distance from the road area served) problem, and causes of
centerline and side) problem

Potential problem from the road

B6 Water Sources/ Water Bodies

Are there any Water Sources/ Water bodies (pond, lakes, Yes No
streams, rivers, springs etc.) along impact corridor? (Tick)
If Yes, please provide following information
Name of Site/ Location in relation to Existing conditions (type, including
Place road (chainage, distance purpose of use, number of users,
from the road centerline area served) problem, and causes
and side) of problem

Potential problem from the road

73
B7 Quality of Air, Water Sources, Soil, Noise
Is there any problem with Air, Water, Soil and Noise Yes No
quality
If Yes, please provide following information
Components Existing conditions problem, and Potential problem from the
causes of problem road
Air
Water
Soil
Noise

B8 Historical /Religious/Cultural/Archeological Sites

Are there any Historical /Religious/Cultural/Archeological Yes No
Sites (such as temple, mosque, Church, palaces etc) along
impact corridor? (Tick)
If Yes, please provide following information
Name of Site/ Location in relation to road Existing condition
Place/ Type (chainage, distance from the ValueandSignificance
road centerline and side)

Potential problem from the road

B9 Open Public Place

Are there any Open Public Spaces along impact corridor Yes No
(Tick)
If Yes, please provide following information
Name of Site/ Location in relation to road Existing conditions(including
Place (chainage, distance from the type, tentative size, use)
road centerline and side)

Potential problem from the road

B10 Relocation of Community Infrastructures

Are there any Community Infrastructure ((Irrigation canal, Yes No
water supply, foot trails, trials bridges, chautara, electricity
poles, telephone poles etc.) to be relocated along impact
corridor? (Tick)
If Yes, please provide following information
Name of Site/ Location in relation to road Existing condition, Service and
Place (chainage, distance from the command area,
road centerline and side)

Potential problem from the

works

74
B11 Rehabiliation of Community Infrastructures
Are there any Community Infrastructure ((Irrigation canal, water Yes No
supply, foot trails, trials bridges, chautara, electricity poles,
telephone poles etc.) to be relocate along impact corridor? (Tick)
If Yes, please provide following information
Name of Site/ Location in relation to road Existing condition, Service and
Place (chainage, distance from the command area
road centerline and side)

Potential problem from the works

B12 Main Settlement and Trade Centre:Bazzar areas, major settlements, settlement
of special groups
Name of settlement and Description (approximate Potential problem to these
Trade Centre, location in no. of HH and population settlements due to proposed
relation to road and significant features/) road works

B 13 Area or site of Significant Tourism development , Recreational and Aesthetic value

Place Potential benefit or problem from purposed road

B 14 Area or site of Significant Development of(fertile land, horticulture and Silviculture etc.)
Place Potential benefit or problem from purposed road

B 15 Area or site of Significant Development Potential for Natural Resource

(eg. Minerals deposits)
Place Potential benefit or problem from purposed road

B16 Induced Impacts (road site settlements, encroachment of forest/ marginal lands,
common property, quarrying, heath impact, change in agricultural practices, girl
trafficking etc.)
Place Induced Impacts

Summary of Findings of Screening and Recommendations

Findings Recommendations

75
II. Environmental Screening Checklist for Construction of river crossing structures/
Bridges

A. SUB PROJECT BRIEF INTRODUCTION

1. District
Name of the Sub Project along the Road and its Chainage/
2.
Location (GPS)
3. DTMP/DRCN Code
4. Contract ID:
5. Type of Bridge
6. Total Length and Width
7. Number of Span with length
8. Length of Approach Road
9. Foundation type
10. Benefited VDCs and settlements / Population
11. Approximate Investment Required
Implementation approach and institutions involved (labor-based,
12.
user groups, contractor – DDC/DTO, community)

B. ENVIRONMENTAL SETTING OF THE PROJECT LOCALITY

B1 Protected Areas (PA)
Are there any Protected Areas in influence Zone? (Tick) Yes No
If Yes, please provide following information
Name of PA Distance in relation to Existing conditions:
Centre point and direction

Problem, and causes of problem

B2 Forest Area
Are there any Forests in influence Zone? (Tick) Yes No
If Yes, please provide following information
Name of Forest with Distance in relation Existing conditions (including type,
Management type to Centre point and tentative size, dominant species,
direction flora and fauna):

problem, and causes of problem

76
B3 Protected Species
Are there any Protected Species in influence Zone? (Tick) Yes No
If Yes, please provide following information
Protected Species Species Name (Common Protection Category
and Scientific name) GoN CITES IUCN
Flora
1.
Fauna
1.
Problem, and causes of problem

B4 Landslides / Erosion Prone Areas

Are there any Landslides / Erosion Prone areas in influence Zone? (Tick) Yes No
If Yes, please provide following information
Name of Areas Distance in relation Existing conditions(including
to Centre point and type,tentative size, relative stability)
direction problem, and causes of problem

Potential problem from the road

B5 Flood Prone/ River Cutting/ Low lying Areas

Are there any Flood Prone/ River Cutting/ Low lying areas in Yes No
influence Zone? (Tick)
If Yes, please provide following information
Name of Site/Place Distance in Existing conditions (type, including
relation to purpose of use, number of users,
Centre point and area served) problem, and causes of
direction problem

Potential problem from the road

B6 Water Sources/ Water Bodies

Are there any Water Sources/ Water bodies (pond, lakes, streams, Yes No
rivers, springs etc.) in influence Zone? (Tick)
If Yes, please provide following information
Name of Site/Place Distance in relation Existing conditions (type, including
to Centre point and purpose of use, number of users,
direction area served) problem, and causes of
problem

Potential problem from the road

77
B7 Quality of Air, Water Sources, Soil, Noise
Is there any problem with Air, Water, Soil and Yes No
Noise quality in influence zone? (Tick)
If Yes, please provide following information
Components Existing conditions problem, and Potential problem from the road
causes of problem
Air
Water
Soil
Noise

B8 Historical /Religious/Cultural/Archeological Sites

Are there any Historical /Religious/Cultural/Archeological Sites (such as Yes No
temple, mosque, Church, palaces etc.)in influence zone? (Tick)
If Yes, please provide following information
Name of Site/Place/Type Distance in relation Existing condition
to Centre point and ValueandSignificance
direction

Potential problem from the road

B9 Open Public Place

Are there any Open Public Spaces in influence zone (Tick) Yes No
If Yes, please provide following information
Name of Site/Place Distance in relation Existing conditions(including
to Centre point and type, tentative size, use)
direction

Potential problem from the road

B10 Relocation of Community Infrastructures

Are there any Community Infrastructure ((Irrigation canal, water Yes No
supply, foot trails, trials bridges, chautara, electricity poles, telephone
poles etc.) to be relocate along impact corridor? (Tick)
If Yes, please provide following information
Name of Site/ Distance in relation to Existing condition, Service and
Place Centre point and direction command area

Potential problem from the works

78
B11 Rehabilitation of Community Infrastructures
Are there any Community Infrastructure ((Irrigation canal, water Yes No
supply, foot trails, trials bridges, Chautara, electricity poles, telephone
poles etc.) to be relocate along impact corridor? (Tick)
If Yes, please provide following information
Name of Site/ Distance in relation to Existing condition, Service and
Place Centre point and direction command area

Potential problem from the works

B12 Main Settlement and Trade Centre

Mention the Bazaar areas, major settlements, settlement of special groups in
influence zone?
Name of settlement and Description (approximate Potential problem to
Trade Centre, location in no. of HH and population these settlements due to
relation to bridge and significant features) proposed construction

B13 Area or site of Significant Tourism development , Recreational and Aesthetic

value along zone of influence of road
Place Potential benefit or problem from purposed road

B14 Area or site of Significant Development of (Fertile land, horticulture and

Silviculture etc.)
Place Potential benefit or problem from purposed road

B 15 Area or site of Significant Development Potential for Natural Resource (like

Minerals deposits)
Place Potential benefit or problem from purposed road

B16 Induced Impacts

Mention the road site settlements, encroachment of forest/ marginal lands,
common property, quarrying, heath impact, change in agricultural practices, girl
trafficking etc.
Place Induced Impacts

Summary of Findings of Screening and Recommendations

Findings Recommendations

79
III. Environmental Screening Checklist for Maintenance of Roads and Bridges
A. Sub Project Introduction
1 District
2 Name of sub project
3 Length (Proposed length/Total length)
4 DTMP/DRCN Code
5 Contract ID
6 Covered VDCs
7 Type of maintenance work
8 Implementation approach and institutions involved
9 Name/no of RMG with no of individuals in each
10 Approximate investment

B. Baseline information and impacts of Sub project (within CoI)

SN Major Features Yes/No Description Potential Impact Description of
(if Yes) (Yes/No) impact (if Yes)
1 Protected/buffer zone area
(name/location with flora and
Fauna
2 Forest area (name/location
with flora and Fauna
3 Major Water sources-streams/
rivers/ponds/lakes/
springs (name/location with
aquatic animal)
4 Landslides (location) with
current condition
5 Settlement (name/location
with major caste/ethnicity
6 Trade centers (name /types
and nature of trade)
7 Public utility (name and
number)
8 Historical / Religious /
Cultural Sites such as temple,
mosque, palace
9 Open Public Spaces
10 Significant Development
Potential (tourism/
construction materials/highly
fertile land/ horticulture etc)

80
SN Major Features Yes/No Description Potential Impact Description of
(if Yes) (Yes/No) impact (if Yes)
11 Land use type
12 Quarry site
13 Tipping site
14 Labor camp and construction
Yard
15 Waste management including
16 Occupational Safety and
Health
17 Pollution (Air/Water/Soil and
Noise)
18 Any other Environmentally
Significance features

C. Summary of Environmental Screening

Finding Recommendation

81
B2: SOCIAL SAFEGUARDS

Social Screening Checklist for Road Upgrading Subproject

A. BACKGROUND INFORMATION:

1. Name of the proposed road :......................................................................... road

2. Location of the road (Route): From ......................................to ..................................
Chainage: From ............................... to ...............................
Road initially Constructed By: ...................................
3. DTMP Priority number: .............................
4. Present condition of road: ...................................
5. Proposed works under SNRTP: ..........................................
6. Name of key informants: (Attached in Appendix...........)
7. When and how many people have forwarded the road demand letter to DDC:
…………………………………………………………………………………………..
(Demand letter attached in Appendix...........)
8. When and how was the road corridor fixed (specially the breadth of the road):
………………………………………………………………………………………………
(Meeting Minutes attached in Appendix...........)
9. Location and physical characteristics of the Sub-project: (brief description below, and
Social Map attached in Appendix ………….)

………………………………………………………………………………………………………
………………………………….…………………………………………………………………
……………………………………………………………………….……………………………
………………………………………………………………………………………………………
…….………………………………………………………………………………………………
………………………………………….…………………………………………………………
……………………………………………………………………………….

B. SOCIO-ECONOMIC INFORMATION:

10. Please fill the form if the road passes through villages/settlements

The road passes through the following settlements.

82
 SN Name of the Name of Major caste/ Population Population by Occupation (%)
VDC and Settlements ethnic groups
Ward/ Agriculture Service Business Other
Municipality

Total

11. Does the road need to acquire land, house or other private property?

Yes No
If yes, please provide the following information:
Total Land Total Total number of
Total Houses Remarks
(m2) Structures SPAF

For further details on affected private properties (land, houses or structures), please complete
the following table and attach as Appendix …..)
a. Land related information
Name of VDC Chainage Land for Total land Percentage of land Main
household & donation ownership donated/affected* source of
head ward (sqm) (sqm) livelihood

*Please mention percentage of land affected as:

• Up to 10% of the total land owned,
• Above 10% of land owned but remaining land owned is more than 1693 m2,
• Above 10% of land owned but remaining land owned is between 850 m2 and 1693
m2 , or
• Above 10% of land owned but remaining land owned is less than 850 m2

83
b. Structural damage/loss
HH VDC & Chainage Type of % of damage Total land Main source
name ward structure or loss* ownership (sqm) of livelihood

* Percentage of damage must be categorized as up to 10%, 10% to 50% and 50% to 100%.

c. Loss of Livelihood/Income Sources of land-donating households

Name of VDC, ward Chainage Type of affected Land donation Alternative source of
household head and village income source area (m2) livelihood, if any

12. Does the road disturb any public or community structure (e.g. irrigation, water
supply, trail bridge, community hall, resting platform (Chautara), etc.)?

Yes No
If yes, please provide the following information
Type of Chainage % of damage or Number of people dependent Remarks
structure* loss* on the resources

* Please mention the name including number of the damaged property/resource/structure.

** Percentage of damage must be categorized as up to 10%, 10% to 50% and 50% to 100%.

13. Are people willing to voluntarily donate the affected land/structure ?

Yes.............. No.................
Explanation:
14. Are there any Dalit/Marginalized/Indegenous group of people along the road
alignment within the Z0?
Yes...........No...................
Summarized Information:

15. Is any private asset or livelihood of the Dalit/Marginalized/Indegenous group of

people affected by the road sub-project ?
Yes.................No...................
If yes, please provide the following information

84
 Name of the Total number Address (VDC/ Type of Percentage of
affected household of family Municipality, Ward and effect effect
Head members settlement)

16. In case of Seriously Project Affected People, what can be the mitigation options/
measures? Tick the applicable ones from the list below:
a) Cash Assistance
b) Inclusion in VCDP/GAP/ICDP Schemes
c) Employment Opportunity
d) Appreciation Letter
e) Others (please specify):

85
C. DEMOGRAPHIC INFORMATION

17. Please provide the following demographic information for the 3 ZoIs (Z0 to Z3)
Households Population
Name of Major
Address ZoI Male Female Total Male Female Total
Settlement Ethnicity
Headed Headed

D. ACCESS ENHANCEMENT

19. Does the road provide better access to health, education and communication
facilities?
Yes............No...........
Brief Description:
………………………………………………………………………………………………
………………………………………………………………………………………………
………………………………………………………………………………………………
20. How would the poor, disadvantaged and minority groups benefit from SNRTP ?
………………………………………………………………………………………………
………………………………………………………………………………………………
………………………………………………………………………………………………
………………………………....……………………………………………………………
………………………………………………………………………………………………
21. Would women, children and elderly people be benefited from SNRTP ? How ?
………………………………………………………………………………………………
………………………………………………………………………………………………
………………………………....……………………………………………………………
22. What are the potential income generating activities in the area covered by this
sub-project?
………………………………………………………………………………………………
………………………………………………………………………………………………
………………………………………………………………………………………………
………………………………………………………………………………………………
………………………………………………………………………………………………

86
23. Does the proposed sub-project promote marketing opportunities of the local
products?
Yes.................No.....................
Please elaborate:
………………………………………………………………………………………………
………………………………………………………………………………………………
………………………………………………………………………………………………
………………………………………………………………………………………………
………………………………………………………………………………………………
24. Are there disputes which might hinder/delay the successful accomplishment of the
proposed SNRTP works?
a. Yes b. No
Brief Explaination:
………………………………………………………………………………………………
………………………………………………………………………………………………
………………………………………………………………………………………………
………………………………………………………………………………………………
………………………………………………………………………………………………
E. LOCAL COMMUNITY MOBILIZATION

25. Are there any groups similar to Local Road Users’ Committee (LRUC) or Village
Road Users’ Committee (VRCC)?

26. What are the other needs that can enhance livelihood of local people? (Please
specify five major needs only)
………………………………………………………………………………………………
………………………………………………………………………………………………
………………………………………………………………………………………………
………………………………………………………………………………………………
………………………………………………………………………………………………
F. WAGE RATE

27. Please provide the daily rate fixed by government and prevalent local rate.
Government Rate Local Rate Remarks
Types of labor
Male Female Male Female
Skilled
Semi-skilled
Unskilled

87
28. Please assess the local production system
Agricultural Products (Cereals, lentils, etc.)
Horticultural
Products (fruits and vegatables)
Cash crops
Livestock Products
Others

29. Trace out your own observation on socio-economic and physical betterment of
the local people.

88
Social Screening Checklist for construction of river crossing structures / Bridges

A. BACKGROUND INFORMATION:

1. Name of the proposed Bridge :.........................................

2. Location of the bridge at Ch ...............in ................ Road (Name of
Place......)
3. Present condition of bridge : ...................................
4. Proposed works under SNRTP : ..........................................
5. Name of key information's : (Attach in Annex...........)
6. When and how many people have forwarded the demand letter of bridge to DDC:
(Attach Demand letter in Annex...........)
7. Location and physical characteristics of bridge: Attach Social Map in annex
8. Does the bridge affect any private property?
Yes.
If yes, please provide the following information
a. Land related information (approximate)
S.N. Full name of VDC/Munici- Land for Total Land Percentage Main
Land Donors pality & Ward donation Ownership of Land Source of
(Sqm) (Sqm) Donated %) livelihood
1.

2.

Total

b. Structural damage /loss

Name of HHs Head VDC/Municipality Type of % of Land Main
and ward structure damage Ownership Source of
Livelihood

c. Loss of Livelihood/Income Sources

SN Name of VDC/Municipality, Type of affected income Alternative source of
HHs Head Ward sources livelihood, if any

89
9. Are people willing to voluntarily donate the effected land/structure ?

Yes.............. No.................

10. Does the bridge disturb any community structure? (E.g. irrigation, water supply,
trail bridge, Chautara, etc)

Yes...........No............
If yes, please provide the following information
Types of structure % of loss & Number of people dependent on the Remarks
damage resources

11. Is there any marginalized group of people on the road alignment and within the
Z0 population?

Yes...........No...................

12. Is any private asset or livelihood of the marginalized group or individual affected
by the road sub-project?
Yes.................No...................
If yes, please provide the following information
Name of the Total Family VDC/ Type of effect Percentage of
affected hh Head number Municipality and effect
Ward
No Impact

13. In case of Seriously Project Affected People, what can be the mitigation options /
measures?

Following can be the mitigation measures

a) Assistance
b) VCDP/GAP
c) Employment Opportunity
d) Appreciation Letter
B. DEMOGRAPHIC INFORMATION

14. Please provide the following demographic information.

Name of settlement Z0 population
HHs M F T

Total

90
15. What are the major settlements and caste / ethnicity in Z0 population ?
ZO Population
Caste / Ethnicity VDC/Municipality Male headed HHs Female headed Total HHs
& ward HHs

Total

C. ACCESS ENHANCEMENT

16. Does the road provide better access to health, education and communication
facilities?
Yes............No...........
If Yes, How and in what way? Please specify
17. How would the poor, disadvantaged and minority groups benefit from Bridge sub
project?

18. Would women, children and elderly people be benefited from SNRTP ? How ?

19. Does the proposed sub-project promote marketing opportunities of the local
products?

Yes.................No.....................
If yes, how would that happen? Please elaborate.
20. Are there disputes which might hinder/delay for successful accomplishment of
proposed SNRTP works in this bridge?

D. LOCAL COMMUNITY MOBILIZATION

21. Are there any groups similar to Local Road User Committee (LRUC/VRCC)?

E. WAGE RATE

22. Please provide the daily rate fixed by government and prevalent local rate.
Government Rate Local Rate Remarks
Types of labor
Male Female Male Female

23. Please assess the local production system (agriculture, horticulture and so on).
SN Main agricultural SN Horticulture SN Cash crop SN Veterinary product
Product Product

91
24. Trace out your own observation about socio-economic, physical betterment of
local people.

I. Social Screening Checklist for Maintenance of Roads & Bridges

1. Name of the proposed road:

2. Location of the road: From……………………………To………………………
Ch……………….to……………………………………..
3. DTMP Priority No:…………………
4. Present condition of road: ……………………………………………………………
5. Proposed work under SNRTP:
6. Coverage:
VDCs/Municipality: …………………………………………………………
Settlements: …………………………………………………………………
7. Since how many years has this road been publicly used and by whom the road
was constructed? (write year and the name of the constructing agency) ………
………………………………………………………………………………………
8. Are the maintenance works going to be carried out within the existing CoI?
Yes……………. No………………………….
If No,…………………………………………………
9. Does the road affect land, house or other private property under maintenance?
Yes………………… No……………………
If Yes,
A. Land related information
Full name VDC/Municipality, Land for Total land in his/ Main source of
of hh ward donation her Livelihood
& village (Sqm) name (Sqm)

B. Structural damage /loss

Full name VDC/Municipality Type of % of damage Main source Land
of hh and Ward structure / loss* of livelihood ownership

92
10. Does the road maintenance work affect any community structure? (e.g. irrigation,
water supply, trail bridge, Chautara etc)

Yes……………….. No……………………
Types of structure % of loss & Number of dependent people Remarks
damage on the resources

11. Does the proposed maintenance work affect any livelihoods?

Yes…………….. No……………………
If YES, please mention the type of livelihood and number of people affected:
Note: Additional Checklists on safeguards as included in the ESMF shall be administered
wherever applicable.

ANNEX 4C: DPR REVIEW CHECKLIST

I. Road Design Review Checklist
General Information
District
Road Name
Contract ID
Chainage to Length (km)
Total Cost (NRs.) Cost/Km (NRs.)
Is the road in DTMP? DTMP Ranking
Road selection basis Is the road in PP?

1 Comments on Design Road Surfacing

S.N. Sub-component Yes/No
1.1 Earthwork
1.2 Capping Layer
1.3 Gravel Sub-base
1.4 CRM Sub-base
1.5 Otta Seal
1.6 DBST
1.7 Road Edge Block
1.8 Retaining Structures
1.9 Longitudinal Drainage
1.10 X-drainage
1.11 Other comments (if any):

2 Comments on Estimate
2.1 Do the Bill of Quantity agree with the design?
2.2 Do the unit rates appear appropriate?
2.3 Does the per km cost seem reasonable?
2.4 Is the BoQ description, referenced specification and unit appropriate?
2.5 Status of higher ranked DTMP roads:
2.6 Is the EMP cost included in BoQ

93
 2.7 Other comments (if any):
3 Comments on safeguard Compliance
3.1 Environmental safeguard
I Is the Environmental Screening conducted?
II Is the EMP report prepared as per the recommendation of screening?
III Is the Narrative summary section included the information regarding environmental safeguard in
the separate sub section?
IV Has the section “summary of cost” been mentioned the cost of EMP?
V Has the section “Abstract of cost” been mentioned all the item of work with allocated cost?
3.2 Social safeguard
I Is the social Screening conducted?
II Is the VDIMP report prepared as per the recommendation of screening?
III Is the VCDP report prepared as per the recommendation of screening?
IV Is the GAP report prepared as per the recommendation of screening?
V Is the Narrative summary section included the information regarding social safeguard in the
separate sub section?
VI Has the section “summary of cost” been mentioned the cost of SMP?

4 Recommendation:
Checked & Verified by: Recommended by: Approved by:
Name: Name: Name:
Designation: Designation: Designation:
Date: Date: Date:

II. Bridge Design Review Checklist

Items Information
Basic Information
Procurement plan no:
Name of the bridge
Name of the river
Name of the road
Name of DDC
Technical Information (General)
Type of Bridge
Foundation type
No. of span
Total length of bridge (m)
Width of carriage way
Width of Footpath
Total width of bridge
Standard loading followed (design)
Earthquake consideration
Others, if any
Technical Information (Design)
Detail survey carried out (date)
Soil investigation method / bore holes used

94
 Items Information
Hydrological analysis and or return period
Design of structures or Typical design used
Other’s, if any
Costs Information
Estimated cost (in ‘000 NPR)
Cost per m (in in ‘000 NPR)
Design and Approval

Comments on safeguard Compliance

Environmental safeguard
Is the Environmental Screening conducted?
Is the EMP report prepared as per the recommendation of screening?
Is the Narrative summary section included the information regarding
environmental safeguard in the separate sub section?
Has the section “summary of cost” been mentioned the cost of EMP?
Has the section “Abstract of cost” been mentioned all the item of work with
allocated cost?
Social safeguard
Is the social Screening conducted?
Is the VDIMP report prepared as per the recommendation of screening?
Is the VCDP report prepared as per the recommendation of screening?
Is the GAP report prepared as per the recommendation of screening?
Is the Narrative summary section included the information regarding social
safeguard in the separate sub section?
Has the section “summary of cost” been mentioned the cost of SMP?
Consulting firm's name
Designer's name
Design reviewed /checked by DTO
Design reviewed /checked by CPCU
Review and Approval of Design from DoLIDAR Bridge Project
(LRBP)
Overall Comments / Remarks (if any):

95
 ANNEX 5: Annual Average Daily Traffic (AADT) and Travel Time along the Project Roads
Government of Nepal
Ministry of Federal Affairs and Local Development
Office of District Development Committee / DTO…………..
Strengthening the National Rural Transport Programme (SNRTP)
Annual Average Daily Traffic (AADT) and Travel Time along the Project Roads
District :
Name of Proposed Road :
Total Population of District : Population within zone of influence of Road:
(A) Annual Average Daily Traffic (AADT)

S.N. Truck 3 Truck 2 Mini- Micro- Car Jeep Tractor Pedestrain Porter Animal Freight Motorbike Rickshaw Bicycle Total
Axle Axle Bus bus (Bullock Cart etc)
Day-1 0

96
Day-2 0
Day-3 0
Day-4 0
Day-5 0
Day-6 0
Day-7 0
Total 0 0 0 - - 0 0 0 5 0 24 0 0 0
AADT 0.00

Seasonal Correction Factor (SCF)

Month July Aug. Oct. Nov Dec Jan Feb March April May June Total
SCF
ADTxSCF 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00
AADT AADT 0.00
ANNEX 6: PROCUREMENT PLAN

Procurement Plan for Works

Project Name & ID: Project for Strengthening Executing Agency: Department of Local
National Rural Transport Program (SN- RTP) - Infrastructure Development and Agricultural
P132750 Roads (DoLIDAR)
Loan/Credit/Grant No.: Credit Number 5336-NP, Implementing Agency: 33 District Technical
Grant Number H899-NP Ofices / District Development Commit- tees

From: [Enter date] To: [Enter date]

Description of Works

Public Opening of Bids

BER & Award Recom-

Procurement location
WB NOL to Bid Doc-
& Contract ID No.

Bid document to WB
Cost Estimate (NPR

Procurement proce-
Procurement Status

Method of Procure-

WB NOL to Award
dure (GON or WB)
Prior/ Post Review

Completion of the

(centre or district)
mendation to WB

Recommendation
Contract signing
Bid Invitation
No.

Remarks
contract
District

Million)

ument
ment

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17

97
 Procurement Plan for Consulting Services
Project Name & ID: Project for Strengthening National Rural Transport Executing Agency: Department of Local Infrastructure Development and Agricultural
Program (SNRTP) - P132750 Roads (DoLIDAR)
Loan/Credit/Grant No.: Credit Number 5336-NP, Grant Number H899-NP Implementing Agency: 33 District Technical Offices / District Development
Committees
From: [Enter date] To: [Enter date]

Description of
No Services &
Contract ID No.

& RFP to WB
WB NOLto TP
Evaluation Report

Cost Estimate, Short list

Prior/ Post Review

Procurement Status
Cost Estimate (NPR
Million)
Method of Selection
Procurement procedure
(GON or WB)
Advertising for EOI
WB NOL to SL & RFP
RFP Issued
Proposals Submission
TP Evaluation Report
to WB
Public Opening of FP
FER&AwardRecommenda-
tiontoWBfor information
Negotiated Contract to
WB
WB NOL to Negotiated
Contract
Contract Signing
Completion date of the
contract
Procurement location
(centre or district)
Remarks

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22

98
 Procurement Plan for Goods / Non-Consulting Services
Project Name & ID: Project for Strengthening National Rural Transport Executing Agency: Department of Local Infrastructure Development and Agricultural
Program (SNRTP) - P132750 Roads (DoLIDAR)
Loan/Credit/Grant No.: Credit Number 5336-NP, Grant Number H899-NP Implementing Agency: 33 District Technical Offices / District Development
Committees
From: [Enter date] To: [Enter date]

Description of Goods
No.
& Contract ID No.

Prior/ Post Review

Procurement Status
Cost Estimate (NPR
Million)
Method of Procurement
Procurement proce- dure
(GoN or WB)
Bid document to WB
WB NOL to Bid
Document
Bid Invitation
Public Opening of Bids
BER & Award Recom-
mendation to WB
WB NOL to Award
Recommendation
Contract signing
Completion of the
contract
Procurement location
(centre or district)
Remarks

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17

99
ANNEX 7: CHECKLIST FOR BID EVALUATION SUBMISSION TO PMU
Subject: Bid Evaluation Report of­­­­­­­­­­­­­­­______________________________________District
SNRTP (IDA Grant No.: H 899-NP and Credit No.: 5336): __________________Works:
Contract No: _________________________________, _____________________road
Procurement Plan reference number
Date of NOL for IFB from the PMU
Bid Invitation Date
Bid Opening date
Number of bids purchased
Number of bids submitted
Number of bids withdrawn
Number of bids opened
Number of non-responsive bids
Lowest evaluated substantially responsive Bidder
Engineer’s estimate NPR .................................................................
including P.S. NPR ..........................................
& VAT @ 13 % = NPR ...................................
Lowest evaluated substantially responsive NPR .................................................................
bidder’s bid amount including P.S. NPR ..........................................
& VAT @ 13 % = NPR ...................................
Bidder’s bid amount percentage above or less
than engineer’s estimate
Required Bid Security as per IFB
Bid Security Amount of the Bidder
Name of Bank issuing Bid Security
Guarantee & Date of Issuance
Validity of Bid Security Guarantee
Bid Validity period as per IFB
Bid Validity period of the bidder

Brief Explanation by Procurement Entity (DTO):

Contract No. .............................................................................................................................................

Status of Social and Environmental Safeguard:
• EMP status and implementation modality proposed: ....................................................
• VDIMP status:
- Conduction of cadastral survey and preparation of VDIMP .......................................
- Distribution of Assistance to PAFs and SPAFs status: .................................................
- Preparation of VCDP and GAP . ........................................................................................
• Certified by DTO’s safeguard consultant
............____________________________................................ ______________________
.......... Environmental Safeguard Consultant..............................Social Safeguard Consultant

100
Recommendation by Procurement Entity (DTO):
...............................................................................................................................................
...............................................................................................................................................
...............................................................................................................................................
...............................................................................................................................................
...............................................................................................................................................
...............................................................................................................................................
...............................................................................................................................................
Review by PMU
...............................................................................................................................................
...............................................................................................................................................
Status of Social and Environmental Safeguard:
• EMP status and implementation modality proposed: . ...........................................
• VDIMP status:
- Conduction of cadastral survey and preparation of VDIMP …….. ……………
.......................……………………………………………………………………..
- Distribution of Assistance to PAFs and SPAFs status: ...........................................
- Preparation of VCDP and GAP ..............................................................................
• Verified by PMU safeguard consultant

...........___________________...................................................________________________
.Environmental Safeguard Specialist......................................... Social Development Specialist
Review & Recommendation by PMU’s Procurement Consultant:
...............................................................................................................................................
...............................................................................................................................................
...............................................................................................................................................
...............................................................................................................................................
Recommendation by PMU Chief:
...............................................................................................................................................
...............................................................................................................................................
...............................................................................................................................................
...............................................................................................................................................

101
ANNEX 8: BID OPENING CHECKLIST & MINUTES

Name of the Sub-project: (Insert the name of the Roads and works)
Contract Reference: ----------------------------
Bid Opening Date: Time:
Name of Bidder:- …………………………………………………….
(a) Bid registration number and date?
(b) Is the outer envelope of the bid sealed?
(c) Is the bid form completed and signed?
(d) Bid validity period:-
(e) Bid Amount Quoted in Bid Forms?
(f) Is the documentary authority for signing enclosed?
(g) Bid security amount in form of Cash Voucher or Guarantee:-
(h) Amount of bid security: -
(i) Bid security validity period:-
(j) Bid Security guarantee Issuing Bank’s Name and Date:-
(k) Describe any “Substitution,” “Withdrawal,” or “Modification” submitted:
(l) Describe any alternative bid made:-
(m) Describe any discounts or modifications offered:-
(n) Provide any additional comments:-
(o) Name of the bidder or representative present:-
(p) Total bid price in BOQ:

Name of the Representative from other Bidders

Bidders Name Firms/ Suppliers Mobile No. Signature

M/S

Name of the Representative:-

Signature of bidder/ Representative:-

Contac No.:-
E-mail:-
Date:-

Signature of responsible official:

Name:- Date:

102
 ANNEX 9: STANDARD BID EVALUATION FORMS

( BID EVALUATION REPORT IS STANDARIZED SEPARETELY )

103
 STANDARD COVER

Bid Evaluation Report and

Recommendation for Award of Contract

Name of Project:

IBRD Loan or IDA Credit No.:

Contract Name:

Identification Number:

Date of Submission:

92

104
Table 1: Identification
1.1 Name of Borrower

1.2 Loan/Credit number

1.3 Date of effectiveness

1.4 Closing date

(a) original

(b) revised

1.5 Name of project

1.6 Purchaser (or Employer)

(a) name

(b) address

1.7 Contract number (identification)

1.8 Contract description

1.9 Cost estimate1

1.10 Method of procurement (check one) ICB LIB Other

1.11 Prior review required2 Yes No

1.12 Domestic preference allowed Yes No

1.13 Fixed price contract Yes No

1.14 Co-financing, if any:

(a) agency name
(b) percent financed by agency

1Cite source and date if other than Staff Appraisal Report.

2If response is “no,” items 2.2(b), 2.4(b), and 2.6(b) in Table 2 may be left blank, unless the
Bank’s prior review
was specifically requested.

105
Table 2: Bidding Process
2.1 General Procurement Notice

(a) first issue date

(b) latest update

2.2 Prequalification, if required

(a) number of firms prequalified

(b) date of Bank’s no-objection

2.3 Specific procurement notice

(a) name of national newspaper

(b) issue date

(c) name of international publication

(d) issue date

(e) number of firms notified

2.4 Standard Bidding Document

(a) title, publication date

(b) date of Bank’s no-objection

(c) date of issue to bidders

2.5 Number of firms issued documents

2.6 Amendments to documents, if any

(a) list all issue dates

1. 2. 3.
(b) date(s) of Bank’s no-objection 1. 2. 3.

2.7 Date of pre-bid conference, if any

2.8 Date minutes of conference sent to

bidders and Bank

106
Table 3: Bid Submission and Opening
3.1 Bid submission deadline

(a) original date, time

(b) extensions, if any

3.2 Bid opening date, time
3.3 Record of bid opening, date sent to Bank
3.4 Number of bids submitted
3.5 Bid validity period (days or weeks)
(a) originally specified
(b) extensions, if any
(c) date of Bank’s no-objection, if required1

Note: C
 ontracts under two-stage bidding will require the information requested for each
stage to be filled out. Refer to Guidelines, para. 2.6, and SBD for Supply and
Installation of Plant and Equipment.
1Refer to Annex I, para. 3 herein.

Table 4: Bid Prices (as Read Out)

Bidder Identification 1 Modifications or

Read-out Bid Price(s)
Name City/State or Province Country Currency(ies) Amount(s) or 2 Comments
%
(a) (b) (c) (d) (e) (f)

etc.

1For single currency option (see Annex I, para. 6(d) (ii)), secondary currencies are expressed
in column e as a percentage of the total bid price.
2Describe any modifications to the read-out bid, such as discounts offered, withdrawals,
and alternative bids.
Note also the absence of any required bid security or other critical items. Refer also to
Annex I, para. 2 herein.

107
Table 5: Preliminary Examination
Acceptance
Bid Completeness Substantial
Bidder Verification Eligibility for Detailed
Security of Bid Responsiveness
Examination
(a) (b) (c) (d) (e) (f) (g)

etc.

Note: F
 or explanations of headings, see Annex I, para. 5 herein. Additional columns may
be needed, such as for responsiveness to technical conditions. See example in
Annex IV.

108
 Table 6: Corrections and Unconditional Discounts
Bidder Read-out Bid Price(s) Corrections Corrected Bid 2 Corrected/
Price(s) Unconditional Discounts Discounted Bid
Price(s)
Currency (ies) Amount (s) Computational Provisional Percent Amount(s)
1
Sums
Errors
(a) (b) (c) (d) (e) (f) = (c) + (d) (g) (h) (i) = (f) – (h)
- (e)

109
etc.

Note: Only bids accepted for preliminary examination (Table 5, column g) should be included in this and subsequent tables. Columns a, b, and c are from Table 4 (columns
a, d, and e, respectively).
1
Corrections in column d may be positive or negative.
2
If the discount is offered as a percent, column h is normally the product of the amounts in columns f and g. Refer to para. 6(c). If the discount is provided as an amount, it is
entered directly in column h. A price increase is a negative discount.
Table 7: Proposed Contract Award
1. Lowest evaluated responsive bidder
(proposed for contract award).

(a) name

(b) address

2. If bid submitted by agent, list actual

supplier.

(a) name

(b) address

3. If bid from joint venture, list all partners,

nationalities, and estimated shares of
contract.
4. Principle country(ies) of origin of goods/
materials.

5. Estimated date (month, year) of contract

signing.

6. Estimated delivery to project site/com-

pletion period.

1 Currency(ies) Amount(s) or %
7. Bid Price(s) (Read-out)
2
8. Corrections for Errors
3
9. Discounts
4
10. Other Adjustments
5
11. Proposed Award
6
12. Disbursement Category

1From Table 6, columns b and c.

2From Table 6, column d.
3From Table 6, column h. Include any cross-discounts. See Annex I, para. 7(b).
4All adjustments should be explained in detail.
5Sum of the prices in Items 7–10. For single currency bids, express secondary currency
amounts as percentages.
6From the Loan Agreement.

110
 ANNEX 10: STANDARD TEMPLATE OF PROJECT INFORMATION BOARD

I. 1:IB For Contract of PM, Upgrading of Roads and Bridges (In Nepali)

g]kfn ;/sf/
;+3Lo dfldnf tyf :yfgLo ljsf; dGqfno
lhNnf ljsf; ;ldltsf] sfof{no , ===================
lhNnf k|fljlws sfof{no , ===================
/fli6«o u|fdL0f oftfoft ;'b[l9s/0f sfo{qmd (SNRTP)

;8ssf] gfd M ===============================================

7]Ssf gDa/ M ================== lgdf{0f sfo{ x'g] r]g]h M ============ b]lv =============;Dd
sfof{Gjog ug]{ lgsfo M ====================================
;fO{6 OlGhlgo/sf] gfd M ===========================
7]s]bf/sf] gfd M ===============================
7]s]bf/sf] ;fO{6 OGrfh{sf] gfd ======================M=================================
7]Ssf /sd -Eof6 ;lxt_ M ? M======================================
7]Ssf ;Demf}tf ldlt M ================================= 7]Ssf ;DkGg x'g'kg]{ ldlt M =========================
7]Ssfdf ;dfj]z ePsf d'Vo–d'Vo sfdx? M
====================================================== M========================================================================
====================================================== M========================================================================

yk hfgsf/L, ;'emfj jf u'gf;f]sf] nflu ;Dks{ JolQmsf] M

cfof]hgf k|d'vsf] gfd M=================================================
;Dks{ gDa/ -sfof{no_ M ==========================================
df]jfO{n gDa/ M ==========================================
O{d]n (Email) M

111
 I. 2: Information Board For Contract of PM, Upgrading of Roads and Bridges
(In English)

Government of Nepal
Ministry of Federal Affairs and Local Development
Office of the District Development Committee..............................
District Technical Office..............................
Project for Strengthening National Rural Transport (SNRTP)

Name of the Road: ......................................................................

Contract Number: ...........................................Chainage: from ...................... to
........................
Implementing Agency: ...........................
Name of the Site Engineer: ....................
Name of the Contractor: ...........................
Name of the Contractor's Site Incharge: ...........................
Contract Amount (inclusive of VAT): ...........................
Contract Agreement Date: ................. Intended Date of Completion: ..................................
Major Works included in the Contract:
………………………………………………………..……………………………………..
………………………………………………………………………………………………

Contact Details for More Information, Suggestions or Grievances:

Name of Project Manager: ...............................................................
Contact Number (Office): ..............................................................
Mobile Number: ..............................................................
Email ID:

112
 II. Information Board For Contract of Routine Maintenance of Roads and
Bridges (In Nepali)

/fli6«o u|fld0f oftfoft ;'b[l9s/0f sfo{qmd (SNRTP)

lhNnf ljsf; ;ldltsf] sfof{no, ==========================
;8s lgoldt dd{t ;+ef/ sfo{{

;8ssf] gfd M =============================================

;8ssf] nDafO{ M=========== ls=ld= ;8s sf]8 g+= M ================

;8ssf] ;tx cj:yf M w'n] jf u|fe]n jf sfnf]kq

of]hgf cjlw M ;fnj;fnL

of]hgf z'? ldlt M

cg'dflgt jflif{s nfut M ?= =====================

;8s dd{t ;+ef/ sfo{stf{ ;+Vof M =============== dlxnf M ============hgf k'?if M ============hgf

lgoldt dd{t ;+ef/sf cGtu{t d'Vo lqmofsnfkx?M

klx/f] tyf cj/f]w x6fpg], gfln ;kmf tyf dd{t ug]{, vfN8fv'N8L k'g]{, 9'Ëf ;f]ln+ª\ tyf u|fe]n eg]{,
k'n tyf vf]N;fvf]N;L ;kmf ug]{, emf/kft÷emf8L x6fpg], ;8s ;tx÷5]p÷;fO8sf] dd{t ug]{, ;;fgf
kvf{n dd{t ug]{, afof]OlGhgLol/ª\ cflb

yk hfgsf/L]{, ;'emfj jf u'gf;f]sf nfluM

;Dks{ JolSt M =====================================================

df]jfOnM=================================

lhNnf k|fljlws sfof{no, ====================== kmf]g g+=================================

O{d]n (Email Id):

113
 ANNEX 11: GAAP MATRIX
Verification
Issues Actions Responsible Agencies Timeline Indicator/s
mechanism
Integrity and Transparency in Bidding and Quality Assurance
A. Integrity and i. Continue using e-bidding in DoLIDAR/ E-bidding used for all
transparency all works and goods related Regular SNRTP NCB contracts Project Reports
in the bidding NCB contracts CPCU/PMUs/ DDCs
process
i. Set up Quality Assurance Approved QAP available for
Plans (QAPs) for all all upgrading /rehabilitation
upgrading, rehabilitation DDCs/DTOs Regular / periodic maintenance Project Reports
and periodic maintenance contracts
contracts
ii. Maintain material testing Regular Functional material Project Reports
laboratories in 30 existing districts testing laboratories in
each district
Within six Functional material testing

114
iii. Establish functional laboratories months of laboratories established in
Project Reports
in new SNRTP districts effectiveness new districts

iv. Appoint required personnel Within six One laboratory technician

for laboratories months of and one laboratory Project Reports
B. Quality assurance of
CPCU/PMUs/ effectiveness assistant appointed for each
all physical works
v. Technical audits carried out DTOs/ DDCs laboratory
by NVC and expand the use Twice
of private sector auditors’ per year
Technical audit reports
involvement in (target)
from NVC available NVC
technical audits: (a) all
technical
maintenance contracts (b) sample
Once in audit reports
of upgrading / rehabilitation
a year
contracts.
(minimum)
vi. Technical audits by private Within two Concept of the use of Private sector
sector auditors expanded years of project private sector auditors auditors’
effectiveness piloted report
 Verification
Issues Actions Responsible Agencies Timeline Indicator/s
mechanism
Accountability
i. Development and approval of
Within six months of GRM policy approved by
DoLIDAR Grievance Handling DoLIDAR/ MoFALD Project Reports
effectiveness MoFALD
Policy
C. Strengthen grievances
handling system in ii. Development of a ICT-based Within one and a half Functional GRM System
DoLIDAR/ CPCU Project Reports
DoLIDAR grievance redressal system year of effectiveness available for use
iii. Monitoring of grievance redressal Reports on the grievances
DoLIDAR Regular Project Reports
system handled available
i. Develop strategy for expanding Within Six months of
DoLIDAR/ CPCU Approved strategy available Project Reports
beneficiary monitoring project effectiveness
D. Beneficiary
monitoring ii. Implementation arrangements for
Numbers of roads under
beneficiary monitoring as per the CPCU/PMUs Regular Project Reports
beneficiary monitoring.
strategy recommendations

115
Transparency and Outreach

i. Design and install project Signboard design available

Within one year of Project Reports
information signboards and use for CPCU/PMUs/ DDCs with Project Information on
effectiveness Field visit reports
each subprojects signboards

ii. Create a project website and update Project website available

CPCU/DDCs Regular Project Reports
continually and accessible
E. Transparency and A template of transcript
beneficiary outreach iii. Use of community FM radio
available Project information
to disseminate project related CPCU/PMUs/ DDCs Twice per year Project Reports
disseminated through the
information
community FM radio
Information Officer
iv. Designation of an Information Within one year of designated and a list
DDCs Project Reports
Officer in each District effectiveness of information officers
available
 Gap / deficiency Description SNRTP Remedy
Technical frameworks
• DoLIDAR’s Rural Road Standards (2013) do
• CPCU to develop a rural road safety addendum and to propose it for
Technical standards not cover road safety / pedestrian safety issues
incorporation at mid-term review.
beyond signage.

• CPCU to revise RAIDP technical guidelines and propose them for

• DoLIDAR does not have detailed specifications DoLIDAR endorsement at mid-term review. Revisions will include basic
Detailed guidelines to assist districts with operationalizing the Rural specifications for maintenance and road safety works.
Road Standards. • CPCU to liaise with DoLIDAR’s Local Roads Bridge Program for all
SNRTP bridges and to apply relevant LRBP guidelines for designs.

• Road surfacing decisions lack a formal linkage • CPCU to develop a simple road surfacing decision tool (i.e. a
Surfacing selection to envisaged traffic demand, life cycle costs, spreadsheet) for guiding upgrading decisions under Window 2 of
or envisaged economic benefits. Component B.
Application of frameworks

116
• Component A to fund: (i) equipment upgrades; (ii) laboratory technician
• Laboratories have equipment and personnel and laboratory assistant positions; and (iii) laboratory skills training.
Laboratories gaps. Monitoring / documentation of tests and • District laboratories will report tests conducted and results to PMUs on
results is also deficient. quarterly basis.
• PMUs to include senior laboratory technician to mentor and oversee district labs.

• PMUs to monitor district supervision of contractors and to conduct field

visits throughout implementation.
• Few roads and bridges are actually constructed
• NVC technical audits to cover 100% of maintenance works. For routine
Contract management to designs and contract specifications. Field
maintenance works this will entail ‘spot checks’ during implementation of
supervision of works is generally weak.
length- person schemes.
• NVC technical audits to cover a sample (≈5% of Window 2 upgrading works).

• Districts often fail to complete works within • PMUs to guide districts into SNRTP’s maintenance programming cycle
Works programming envisaged timelines due the impact of Nepal’s that accommodates fiscal year milestones and annual rains. This cycle
rainy season and the annual budget cycles. includes two defined periods for physical verification in every year.
 ANNEX 12: SNRTP RESULTS FRAMEWORK AND MONITORING

Project Development Objective (PDO):

To enhance the availability and reliability of transport connectivity for rural communities in participating districts.
Cumulative Target Values** Data Responsibility Description
PDO Level Results
Unit of Measure Baseline Freq. Source/ for Data (indicator definition
Indicators* Y1 Y2 Y3 Y4 Y5 Method Collection etc.)

Core
Percentage of population within GIS
PDO 1: Increased 2 and 4 hours walking distance Mid-term Analysis Percentage increase
access to all weather in the participating terai and 0% 2% 4% and End- of data CPCU above Y0 baseline
transport connectivity hills districts respectively from project provided by provided by RAIDP
an all-weather road. the project
PDO 2: Improved Percentage of core road
Percentage increase
reliability of networks in participating Project
0% 10% 20% 30% 40% 50% Annual CPCU/ PMUs above Y0 baseline
rural transport districts rated in “good” or report

117
provided by RAIDP
infrastructure “fair” condition.
INTERMEDIATE RESULTS
Intermediate Result (Component A): Support to DoLIDAR and DDCs in institutional strengthening and beneficiary monitoring of physical works
Number
Intermediate
Number of participating of districts submitting
Result indicator Project
districts generating Annual 30 30 33 36 36 36 Yearly PMUs / CPCU ARMPs
One: Improved report
Road Maintenance Plan acceptable to
maintenance planning
DoLIDAR
Intermediate
Number of districts
Result indicator
with formal system,
Two: Improved Number of participating
Project acceptable to
transparency and districts using beneficiary 16 16 33 36 36 36 Yearly PMUs / CPCU
report DoLIDAR,
accountability in the monitoring mechanisms
in place for beneficiary
implementation of
monitoring
physical works
 Cumulative Target Values** Data Responsibility Description
PDO Level Results
Unit of Measure Baseline Freq. Source/ for Data (indicator
Indicators*
Y1 Y2 Y3 Y4 Y5 Method Collection definition etc.)

Core
Number of
laboratories rated
Number of participating
by CPCU/PMUs
Intermediate Result districts with material
Project as moderately
indicator Three: Improved testing laboratories 18 20 25 36 36 36 Yearly PMUs / CPCU
report satisfactory or
quality of civil works that meet DoLIDAR
better according
standards
to DoLIDAR
standards

Intermediate Results (Component B): Maintenance and upgrading of rural transport infrastructure.

Intermediate Result

118
Indicator One: km of roads
km of roads upgraded/
Rehabilitation and Project upgraded or
rehabilitated in 0 30 180 480 1000 1400 Yearly PMUs / CPCU
upgrading of district core report rehabilitated
participating districts
road network roads to all- under Window 2
weather standards

Intermediate Result
km of maintainable
Indicator Two: Improved
district road network Project Summation of
periodic maintenance of 0 50 150 550 1000 1500 Yearly PMUs / CPCU
roads undergoing report MPI-1
district core road network
periodic maintenance
roads

Intermediate Result km of maintainable

Annual
Indicator Three: Improved district road core network Project
80 300 1300 2800 4500 5500 Yearly PMUs / CPCU summation of
routine maintenance of roads undergoing routine reports
MPI-2
district road core network maintenance annually
 Cumulative Target Values** Data Responsibility Description
PDO Level Results
Unit of Measure Baseline Freq. Source/ for Data (indicator
Indicators*
Y1 Y2 Y3 Y4 Y5 Method Collection definition etc.)

Core
Intermediate Result Meters of bridges
Meters of new /
Indicator Four: and causeways
rehabilitated crossing Project
New or rehabilitated crossing 0 100 500 100 1500 2000 Yearly PMUs / CPCU constructed or
structures in participating report
structures on district road core rehabilitated
districts
network under Window 2

Intermediate Result Indicator Meters of maintainable

Five: Improved periodic crossing structures on

119
Project Summation of
maintenance of crossing district road core network 0 100 400 800 1200 1500 Yearly PMUs / CPCU
report MPI-3 and MPI-4
structures on district road core roads undergoing
network roads periodic maintenance

Intermediate Result Indicator

Meters of maintainable
Six: Improved routine Annual
crossing structures Project
maintenance of crossing 0 500 1500 2500 3500 4000 Yearly PMUs / CPCU summation of
undergoing routine reports
structures on district road core MPI-5
maintenance annually
network
 ANNEX 13: LETTER OF OPERATING ACCOUNT
[Letterhead]
Ministry of Finance [Street address][City] [Country]
[DATE]
The World Bank
GPO Box 798, Katmandu, Nepal Attention: (Country Director):
Re: (project name)
I refer to the Financing Agreement (“Agreement”) between the International Development
Association (the “Association”) and [name of Recipient] (the “Recipient”), dated ,
providing
the above Financing. For the purposes of Section 2.03 of the General Conditions as
defined in the 1Agreement, any
[one] of the persons whose authenticated specimen signatures appear below is
authorized on behalf of the Recipient to sign applications for withdrawal [and applications
for a special commitment] under this Financing.
For the purpose of delivering Applications to the Association, 2 [each] of the persons
whose authenticated specimen signatures appears below is authorized on behalf of the
Recipient, acting 3 [individually]
4 [jointly], to deliver Applications, and evidence in support thereof on the terms and
conditions specified by the Association.
5 [This confirms that the Recipient is authorizing such persons to accept Secure
Identification
Credentials (SIDC) and to deliver the Applications and supporting documents to the
Association by electronic means. In full recognition that the Association shall rely upon
such representations and warranties, including without limitation, the representations
and warranties contained in the Terms and Conditions of Use of Secure Identification
Credentials in connection with Use of Electronic Means to Process Applications and
Supporting Documentation (“Terms and Conditions of Use of SIDC”), the Recipient
represents and warrants to the Association that it will cause such persons to abide by those
terms and conditions.]
This Authorization replaces and supersedes any Authorization currently in the
Association records with respect to this Agreement.
[Name], [position] Specimen Signature: [Name], [position]
Specimen Signature: [Name], [position] Specimen Signature:

Yours truly,
/ signed /

120
 [Position]
1 Instruction to the Recipient: Stipulate if more than one person needs to sign
Applications, and how many or which positions, and if any thresholds apply. Please
delete this footnote in final letter that is sent to the Association.
2 Instruction to the Recipient: Stipulate if more than one person needs to jointly sign
Applications, if so, please indicate the actual number.
Please delete this footnote in final letter that is sent to the Association.
3 Instruction to the Recipient: Use this bracket if any one of the authorized persons may
sign; if this is not applicable, please delete. Please delete this footnote in final letter
that is sent to the Association.
4 Instruction to the Recipient: Use this bracket only if several individuals must jointly
sign each Application; if this is not applicable, please delete. Please delete this
footnote in final letter that is sent to the Association.
5 Instruction to the Recipient: Add this paragraph if the Recipient wishes to authorize
the listed persons to accept Secure Identification Credentials and to deliver
Applications by electronic means; if this is not applicable, please delete the paragraph.
Please delete this footnote in final letter that is sent to the Association.
107

121
 ANNEX 14: Progress Report Format
A: Financial Progress Report

Project for Strengthening the National Rural Transport Program (SNRTP)

SOE Sheet
Cost Center:
SNRTP 501
Capital (3658424)
29611(Civil Works) (Construction of New 29711
29511 29621(Capital Formation)
29311 (Fur- 29411 Bridges) (Capital
29111 (Land Acqu.) (Machin. & Total of Capital
niture) (Vechicle) Re &
Date Vo.No Payment Detail Equipment) GoN IDA GoN IDA consul)
Rout. Peri. Up- Rout. Peri. Up-
Contin- DPR Construction Construction Contin- DPR
GoN IDA IDA IDA Maint. Maint. grading Maint. Maint. grading IDA GoN IDA Total
gencies Prep. (25%) (75%) gencies Prep.
(98%) (98%) (25%) (2%) (2%) (75%)
- - -

- - -

- - -

122
- - -

- - -

- - -

- - -

- - -

- - -

Till Kartik -
- - - - - - - - - - - - - - - - - - -

- - -

- - -

- - -

- - -
 Capital (3658424)
29611(Civil Works) (Construction of New 29711
29511 29621(Capital Formation)
29311 (Fur- 29411 Bridges) (Capital
29111 (Land Acqu.) (Machin. & Total of Capital
niture) (Vechicle) Re &
Date Vo.No Payment Detail Equipment) GoN IDA GoN IDA consul)
Rout. Peri. Up- Rout. Peri. Up-
Contin- DPR Construction Construction Contin- DPR
GoN IDA IDA IDA Maint. Maint. grading Maint. Maint. grading IDA GoN IDA Total
gencies Prep. (25%) (75%) gencies Prep.
(98%) (98%) (25%) (2%) (2%) (75%)

- - -

- - -

- - -

Till Falgun -
- - - - - - - - - - - - - - - - - - -

- - -

- - -

- - -

- - -

123
- - -

- - -

- - -

Till Ashad -
- - - - - - - - - - - - - - - - - - -

Expenditure Ratio GoN % IDA %

Civil Works for
29611 25 75
Constuction
29621 Capital Reform
Routine Maintenance 98 2
Periodic Maintenance 98 2
 Project for Strengthening the National Rural Transport Program (SNRTP)
SOE Sheet
Cost Center:
SNRTP 502
Recurrent (26312)
Pay-
Vo.
Date ment
No 22111(Water & Ele) 22112(Commu) 22121(H.Rent) 22211 (Fuel) 22212(O. & Mainte) 22311(Office Ex) 22412(Oth Serv) 22611(Mon.&Ev.) 22711(Misc.) Total of Recurrent
Detail
GoN IDA GoN IDA GoN IDA GoN IDA GoN IDA GoN IDA GoN IDA GoN IDA GoN IDA GoN IDA Total

-
- -

-
- -

-
- -

-
- -

-
- -

-
- -

124
- -
Till
- -
Kartik - - - - - - - - - - - - - - - - - - -

-
- -

-
- -

-
- -

-
- -

-
- -

-
- -

-
- -

-
- -

-
- -
 Recurrent (26312)
Pay-
Vo.
Date ment
No 22111(Water & Ele) 22112(Commu) 22121(H.Rent) 22211 (Fuel) 22212(O. & Mainte) 22311(Office Ex) 22412(Oth Serv) 22611(Mon.&Ev.) 22711(Misc.) Total of Recurrent
Detail
GoN IDA GoN IDA GoN IDA GoN IDA GoN IDA GoN IDA GoN IDA GoN IDA GoN IDA GoN IDA Total
Till
- -
Fagun - - - - - - - - - - - - - - - - - - -

-
- -

-
- -

-
- -

-
- -

-
- -

-
- -

-
- -

-
- -
Till

125
- -
Ashad - - - - - - - - - - - - - - - - - - -
 SNRTP 503
(Contract Ledger FM)

Project for Strengthening the National Rural Transport Program (SNRTP)

Sourcewise Expenditure Record for Civil Works (Road Upgrading/ Maintenance/ Motorable Bridge)
District:- Name of the Contractor:-
Contract No.:- Contract Amount:
Name of Project :- Original Contract Amount:- NPR -
Date of Contract:- Veriation Order:- NPR -
Types of Activity: Total Contract Amount:- NPR -

Deduction Remaning Con-

Total Amount Claim
Vo.N. Particulars F.Y. Bill Amount Total Amount Paid tract Amount to be
Mobilization Retention for Reimbursement

126
Paid
1 2 3 4 5 6=3-(4+5) 7=5+6 8
Mobilization 2071/072 - - -
Bill Payment - - -
Bill Payment - - -
Sub total - - - - - -
Bill Payment - - -
Bill Payment - - -
Sub total - - - - - -
Grand Total - - - - - -
 SNRTP 504
Project for Strengthening the National Rural Transport Program (SNRTP)
Consultancy Ledger

Name: District:
Designation: Contract Amt: -
Contract ID: Variation:
Date of Contract: Total: -

Date Vo. No. Invoice No./Month(s) Bill Amount Vat Total TDS Net Payment Balance Amount

- - - - - -

127
- - - - -

- - - - -

- - - - -

- - - - -

Total - - - - - -
 /fli6«o u|fld0f oftfoft ;'b[l9s/0f sfo{qmd
cf=a= ================ sf] k|yd÷bf];|f]÷t];|f] rf}dfl;s vr{ ljj/0f
SNRTP
lhNnf M 505
ut cf=a= ;Ddsf] xfn;Ddsf] vr{ rfn" cf=a= sf] ah]6 k|yd rf}dfl;s vr{ bf];|f] rf}dfl;s vr{ t];|f] rf}dfl;s vr{ rfn" cf=a= sf] vr{
qm=;+= sfo{qmd÷lqmofsnfk
GoN IDA hDdf GoN IDA hDdf GoN IDA hDdf GoN IDA hDdf GoN IDA hDdf GoN IDA hDdf GoN IDA hDdf

-s_ rfn" vr{

-
cGtu{tsf] hDdf - - - - - - - - - - - - - - - - - - - -
:yfgLo lgsfo ;zt{ rfn" cg'bfg
! -
-@^#!@_ - - - - - - - - - -
-v_ k+"lhut vr{
-
cGtu{tsf] hDdf - - - - - - - - - - - - - - - - - - - -

! lgoldt dd{t ;Def/ -

- - - - - - - - - - - - - - - - - - - -

–u|fld0f ;8s -@(^@!_ -

- - - - - - - - - -

128
–glb÷vf]nf kg]{ ;+/rgf -@(^@!_ -
- - - - - - - - - -

@ cfalws dd{t ;Def/ -

- - - - - - - - - - - - - - - - - - - -

–u|fld0f ;8s -@(^@!_ -

- - - - - - - - - -

–;8s k'n÷shj] -@(^@!_ -

- - - - - - - - - -
–lj:t[t kl/of]hgf k|lta]bg tof/ ug]
-
{ -@(^@!_ - - - - - - - - - -

# ;8s :t/f]GgtL÷k'g{:yfkgf sfo{ -

- - - - - - - - - - - - - - - - - - - -
–gof ;8s :t/f]GgtL tyf k'/fgf]
-
k'g{:yfkgf ug]{ sfo{ -@(^@!_ - - - - - - - - - -
–;8s :t/f]GgtLsf] lj:t[t kl/of]hgf
-
k|lta]bg tof/ ug]{ -@(^@!_ - - - - - - - - - -

–slG6h]G;L ;8s -@(^@!_ -

- - - - - - - - - -
 SNRTP
lhNnf M 505
ut cf=a= ;Ddsf] xfn;Ddsf] vr{ rfn" cf=a= sf] ah]6 k|yd rf}dfl;s vr{ bf];|f] rf}dfl;s vr{ t];|f] rf}dfl;s vr{ rfn" cf=a= sf] vr{
qm=;+= sfo{qmd÷lqmofsnfk
GoN IDA hDdf GoN IDA hDdf GoN IDA hDdf GoN IDA hDdf GoN IDA hDdf GoN IDA hDdf GoN IDA hDdf

$ k'n lgdf{0f tyf k'g{:yfkgf sfo{ -

- - - - - - - - - - - - - - - - - - - -

–gofF k'n lgdf{0f sfo{ -@(^!!_ -

- - - - - - - - - -

–k'/fgf] k'n k'g{:yfkgf sfo{ -@(^!!_ -

- - - - - - - - - -
–gof k'n lgdf{0fsf] lj:t[t kl/of]hgf
-
k|lta]bg tof/ ug]{ -@(^!!_ - - - - - - - - - -
–k'/fgf] k'n k'g{:yfkgfsf] lj:t[t kl/of]
-
hgf k|lta]bg tof/ ug]{ -@(^!!_ - - - - - - - - - -
–slG6h]G;L k'n lgdf{0f tkm{sf] vr{ -@
-
(^!!_ - - - - - - - - - -
cfof]hgf k|efljt kl/jf/nfO{ ;xof]
% -

129
u -@(!!!_ - - - - - - - - - -

^ kmlg{r/ P08 lkmS;/ -@(#!!_ -

- - - - - - - - - -

& ;jf/L ;fwg -@($!!_ -

- - - - - - - - - -

* d]lzg/L cf}hf/ -@(%!!_ -

- - - - - - - - - -

( k/fdz{bftfx?sf] e'QmfgL -@(&!!_ -

- - - - - - - - - -

s"n hDdf - - - - - - - - - - - - - - - - - - - - -
 B: Physical Progress Report
/fli6«o u|fld0f oftfoft ;'b[l9s/0f sfo{qmd
cf=a= ================ sf] dfl;s k|utL ljj/0f
SNRTP
lhNnf M 506

-s_ ef}lts k|utL

nIo k|yd rf}dfl;s k|utL bf];|f] rf}dfl;s k|utL t];|f] rf}dfl;s k|utL
qm=;+= sfo{qmd÷lqmofsnfk s'n hDdf
OsfO{ jflif{s >fj0f efb| cflZjg sflQs hDdf d+;L/ kf}if df3 kmfNu'0f hDdf r}q a}zfv h]i7 cfiff9 hDdf

1 lgoldt dd{t ;Def/

- - - - - - - - - - - - - - - -

1.1 –u|fld0f ;8s -@(^@!_ ls=dL=

- - - -

1.2 –glb÷vf]nf kg]{ ;+/rgf -@(^@!_ dL=

- - - -

2 cfalws dd{t ;Def/

- - - - - - - - - - - - - - - -

130
2.1 u|fld0f ;8s -@(^@!_
- - - - - - - - - - - - - - - -

2.1.1 – ;8sdf df6f]sf] sfo{ ls=dL=

- - -

2.1.2 – ;8sdf u|fe]nsf] sfo{ ls=dL=

- - -

2.1.3 – ;8sdf 8«]g tyf cGo :6«Sr/sf] sfo{ dL=

- - -

2.2 –;8s k'n -@(^@!_ dL=

- - - -

2.3 –;8s shj] -@(^@!_ dL=

- - - -

2.4 –lj:t[t kl/of]hgf k|lta]bg tof/ ug]{ -@(^@!_ ls=dL=

- - - -

3 ;8s :t/f]GgtL÷k'g{:yfkgf sfo{

- - - - - - - - - - - - - - - -
;8s :t/f]GgtL tyf k'/fgf] k'g{:yfkgf ug]{ sfo{
3.1
-@(^@!_ - - - - - - - - - - - - - - - -
 SNRTP
lhNnf M 506

3.1.1 – ;8sdf u|fe]n sfo{ ls=dL=

- - - -

3.1.2 – ;8sdf cf]6flzn sfo{ ls=dL=

- - - -

3.1.3 – ;8sdf l8laP;6L sfo{ ls=dL=

- - - -

3.1.4 – ;8sdf 8«]g lgdf{0f sfo{ dL=

- - - -

3.1.5 – ;8sdf 6]jf kvf{n tyf cGo ;+/rgf dL=

- - - -

3.1.6 – ;8sdf sNe6{ lgdf{0f sfo{ uf]6f

- - - -
–;8s :t/f]GgtLsf] lj:t[t kl/of]hgf k|lta]bg
3.2 ls=dL=
tof/ ug]{ -@(^@!_ - - - -

4 k'n lgdf{0f tyf k'g{:yfkgf sfo{

- - - - - - - - - - - - - - - -

131
4.1 –gofF k'n lgdf{0f sfo{ -@(^!!_
- - - - - - - - - - - - - - - -

4.1.1 – k"nsf] hu xfNg] sfo{ dL=

- - - -

4.1.2 – k"nsf] ;a:6«Sr/ lgdf{0f sfo{ dL=

- - - -

4.1.3 – k"nsf] ;'k/:6«Sr/ lgdf{0f sfo{ dL=

- - - -

4.2 –k'/fgf] k'n k'g{:yfkgf sfo{ -@(^!!_

- - - - - - - - - - - - - - - -

4.2.1 – k"nsf] hu xfNg] sfo{ dL=

- - - -

4.2.2 – k"nsf] ;a:6«Sr/ lgdf{0f sfo{ dL=

- - - -

4.2.3 – k"nsf] ;'k/:6«Sr/ lgdf{0f sfo{ dL=

- - - -
–gof k'n lgdf{0fsf] lj:t[t kl/of]hgf k|lta]bg
4.3 dL=
tof/ ug]{ -@(^!!_ - - - -
 SNRTP
lhNnf M 506
–k'/fgf] k'n k'g{:yfkgfsf] lj:t[t kl/of]hgf
4.4 dL=
k|lta]bg tof/ ug]{ -@(^!!_ - - - -

s"n k|utL - - - - - - - - - - - - - - - -

-v_ ljlQo k|utL

! rfn' vr{ -@^#!@_

- - - -

@ k'lhut vr{ -@(^!! / @(^@! DPR ;d]t_

- - - -

# slG6h]G;L ;8s tkm{ -@(^@!_

- - - -

$ slG6h]G;L k'n tkm{ -@(^!!_

- - - -

hDdf vr{ - - - - - - - - - - - - - - - -
-

132
 ANNEX 15: LEDGER
A: Bank Guarantee Monitoring Ledger
Contract
Name & Address Issuing
Contract Description/ Name Type of Bank Issued Guarantee Start End Extended Bank Guarantee
S. No. of Contractor / Amount Bank Name
ID of the subproject Guarantee Date No. Date Date Date if any Released Date
Suppliers and Address
(road/bridge)

Bid Security

Performance Security

Advance Payment
Guarantee

133
B: Contract Ledger

District Technical Office, ...............

Contract Ledger
Information as of ..............
Name of the Procurement :

Contract ID No.
DPR Completion Date:
DPR Approval Date:
Bid Document Preparation Date:
No Objection on Bid Document:
Approved Cost Estimate (in NRs)
Date of Bid Notice Publication:
Bid opening Date:
Bid evaluation Date:
No objection on Bid evaluation:
Contract Signing Date:
Contract Amount:
Contract Completion Date:
Extension of Time, if any, up to:
Payment Details:
Date Payment amount Remark

Total

Note: In case difference between contract amount and total payment amount, please
specify reason for difference

134
135
Project Background:
The SNRTP basically the continuation follow-on of the RAIDP is the third IDA operation to support Nepal's
rural transport sector the past 15 years. The design of this operation reflects lessons learned from a sustained
engagement. Without SNRTP's follow-up interventions, RAIDP beneficiaries might lose much of the access they
previously gained, insufficient and ineffective maintenance is the primary threat to the sustainability Of RAIDP
investments.

Project Strategy:
SNRTP aligns with the Interim Strategy Note (ISN) for Nepal and forthcoming World Bank Group Country
Partnership Strategy (CPS). The CPS specifically highlights improving connectivity throughout NEPAL as a key
consideration for inclusive economic growth and rural poverty reduction. SNRTP's strategic goals are to reduce
extreme poverty and increase shared prosperity amongst the bottom 40% through increase in agricultural incomes
for rural communities in participating districts.

Project Development Objectives (PDO):

The PDO is to enhance the availability and reliability of transport connectivity for rural communities and
participating districts.

Project's Important Dates:

1) Date of Appraisal : October 08, 2013 2) Date of Negotiation : November 11, 2013
3) WB Board Decision Date : December 23, 2013 4) Financing Agreement Date : March 24, 2014
5) Project Effectiveness Date : April 02, 2014 6) Project Closing Date : 15 July, 2019

PDO Level Results Indicator Summary:

PDO Level Results PDO Level Indicator

Increased Access to all weather
transport Connectivity
Improved reliability of rural transport
infrastructure
PDO-1: Percentage of Population within 2 and 4 hours walking distance in the
participating Terai and Mountain/ Hill districts respectively from an all weather
road.
PDO-2: Percentage of core road networks in participating districts rated in
"good" or "fair" condition.

About 25% of the people out of total population of 14.60 million in living these districts are poor, who are in fact
the beneficiaries of the SNRTP.

136