Technical Assistance Consultant s Report Project Number: 40563-013 June 2010 PAKISTAN: Capacity Building for Institutions Related to Earthquake Reconstruction and Rehabilitation Financed by Pakistan Earthquake Fund Prepared by Ayaz Asif Islamabad, Pakistan For Earthquake Rehabilitation and Reconstruction Authority This consultant s report does not necessarily reflect the views of ADB or the Government concerned, and ADB and the Government cannot be held liable for its contents. (For project preparatory technical assistance: All the views expressed herein may not be incorporated into the proposed project s design.
TA-4943 (PAK): Capacity Building for Institutions Related to Earthquake Reconstruction and Rehabilitation Assignment Completion Report June 2010 By Ayaz Asif Consultant Capacity Building
TA-4943 (PAK): Capacity Building for Institutions Related to Earthquake Reconstruction and Rehabilitation ADB AJK APs DDP DRU EA EARP EEAP EIA EMP EPA ERRA ESP GoP IA IEE IMA LARF LARP NWFP PDNA PERRA PRM R&R SERRA SRP TNA Abbreviations Asian Development Bank Azad Jammu and Kashmir Affected Persons Due Diligence Plan District Reconstruction Unit Executing Agency Environmental Assessment and Review Process Earthquake Emergency Assistance Project Environmental Impact Assessment Environmental Management Plan Environmental Protection Agency Earthquake Rehabilitation and Reconstruction Authority Environmental Safeguard Policy Government of Pakistan Implementing Agency Initial Environmental Examination Independent Monitoring Agency Land Acquisition and Resettlement Framework Land Acquisition and Resettlement Plan North West Frontier Province Preliminary Damage Needs Assessment Provincial Earthquake Reconstruction and Rehabilitation Agency Pakistan Resident Mission Rehabilitation and Reconstruction State Earthquake Reconstruction and Rehabilitation Agency Short Resettlement Plan Training Needs Assessment Assignment Completion Report Page 3
Table of Contents 1. INTRODUCTION 5 2. CAPACITY BUILDING SERVICES 5 3. METHODOLOGY 5 3.1 Review of ADB Safeguard Polices 6 3.2 Review of progress and monitoring reports 6 3.3 Discussions with ADB EEAP project team 6 3.4 Module Development 6 3.4.1 Session planning and finalization 6 3.4.2 Training team 6 3.4.3 Training delivery 6 4. ACTIVITIES 7 4.1 Training Needs Assessment 7 4.2 Orientation workshop on environmental and social safeguards 7 4.3 Training Workshop on Environmental Audit 8 4.4 Mock Environmental Audit 8 4.5 Field Manual for Implementing Agencies 9 5. RESULTS AND CONCLUSION 10 5.1 Knowledge Products Developed 11 6. WAY FORWARD: 12 List of figures: Figure 1: Capacity assessment ADB Safeguards pre and post assignment Figure 2: Capacity assessment ADB Social Safeguards Appendix I: Detailed TORs of Capacity Building Assignment Appendix II: Training Needs Assessment report. Appendix III: Training on ADB Environmental and Social Safeguards; Report Appendix IV: Training on Environmental Audit; Report Appendix V: Report on Mock Environmental Audit Appendix VI: Field Manual for Implementing Agencies.
TA-4943 (PAK): Capacity Building for Institutions Related to Earthquake Reconstruction and Rehabilitation I. INTRODUCTION The Capacity Building services for Earthquake Emergency Assistance Project (EEAP), funded by Asian Development Bank (ADB) emerged from the need to build the capacity of individuals and institutions involved in execution and implementation of EEAP projects with special focus on the management of social and environmental safeguard requirements of ADB and similar requirements under the laws and acts that govern project related social and environmental management in Pakistan. This report presents the process and findings of the assignment. EEAP Project Background Pakistan witnessed the most debilitating natural disaster in its history when on 8 October 2005 a massive earthquake jolted the country, smashing towns and cities in Azad Jammu and Kashmir (AJK) and North Western Frontier Province (NWFP) of Pakistan. According to figures provided by the Government of Pakistan (GoP), approximately 73,000 people died and more than 70,000 were severely injured or disabled. Over 2.8 million people were left shelter less and 2.3 million persons were without adequate food. In response to the October 08 th earthquake, ADB designed a project Earthquake Emergency Assistance Project (EEAP) based on the preliminary damage needs assessment (PDNA), prepared for the Government by a multi-donor mission led by the Asian Development Bank (ADB) and World Bank. Major Objectives The EEAP project aims to rehabilitate and restore the earthquake damaged infrastructure in the areas of AJK and NWFP, and restoring the livelihoods of people severely affected by the earthquake. The expected impact of the Project is to contribute to reversing the devastating impact of the earthquake, to revive economic activity and enable people to resume their livelihoods and return to normal life. This will be achieved primarily through rehabilitating and reconstructing damaged and destroyed infrastructure as quickly as possible, which will particularly assist the poor and other vulnerable people. II. CAPACITY BUILDING SERVICES Under the EEAP project ADB remained committed to build capacities of their implementation partners in the areas of environmental and social safeguards. Based on this rationale ADB hired the services of a capacity building (CB) consultant to provide various inputs for enhancing the departmental capacity to address environmental and social concerns related to project cycle management across the areas of transport sector including Roads and Bridges, Health, Education, and Energy sectors in five districts of NWFP and four districts of AJK. The intended target audiences of the CB services were the Government line departments, Environmental Protection Agencies (EPAs), EEAP project staff, Consultants and contractors of AJK and NWFP involved in the design and implementation of EEAP projects, including all safeguard requirements embedded in the project cycle operations. A step wise process of capacity building was designed (Detailed TORs attached as Appendix I) under which Training Needs Assessment (TNA) was the first step of the project. Based on the outcome of TNA exercise a customized training module was developed on Environmental and Social Safeguard policies of the ADB. In addition training sessions were also planned on environmental audit, conducting a mock environmental audit and development of an Implementation Manual for the field staff. The sections below give the details of methodology and activities carried out under the assignment. III. METHODOLOGY The sections below give a step wise description of the methodology for delivering the capacity building assignment. Assignment Completion Report Page 5
Review of ADB Safeguard Polices ADB safeguard policies on Involuntary Resettlement, Environment and Indigenous people were reviewed in order to develop a better understanding about the ADB policies and their implementation requirements. Review of progress and monitoring reports Relevant progress and monitoring reports were reviewed. The objectives of the review process were to get an understating of the issues occurring in the implementation of project activities. Some of the reports that were reviewed were the progress reports, monitoring reports and project documents. Discussions with ADB EEAP project team A series of consultative meetings were held with the ADB EEAP project team, sector specialists and safeguard specialists. The objective of the meetings was to get a firsthand knowledge of the implementation process, gaps in the implementation of project activities and the expectations of the project team from the orientation training workshop. ADB EEAP team was very helpful in providing information and guidance throughout the assignment. Module Development Customized training modules were developed in order to address the capacity gaps identified through TNA exercise. Subject specialists, ADB safeguard unit, EEAP team and capacity building experts were consulted in giving the final shape to the modules. Some of the specific steps in the module development are as follows: Session planning and finalization After deciding the topics of the training module, session planning of the workshop was conducted. It was decided by mutual consultations with the ADB EEAP team that a workshop should not be a very lengthy exercise and therefore limited to one day only. Based on this requirement detailed session plans were developed for all the trainings. Representatives of ERRA, PERRA, SERRA, EEAP, DRUs, EPA, Contractors, Consultants and government line departments involved in the implementation of the project activities were invited to the workshops. The methodology adopted to deliver the workshop consisted of power point presentations and group work exercises. Interactive discussion and feedback from the participants was encouraged to involve the participation of the targeted audience. Field visits were also conducted for training on mock environmental audit. Training team The training team varied for each training session depending upon the topic and nature of the training. Main resource persons for training on social safeguards constituted of Dr. Ruwani Jayewardene, Mr. Ashfaq Khokhar from ADB PRM safeguard unit, environmental safeguards was covered by Ayaz Asif. Ali Ahmed Jan delivered the sessions on Monitoring and Evaluation and Roma Sabir, Touqir Abassi and Ahmed Wali assisted the core faculty in the delivery of these trainings. Training delivery The training was delivered for NWFP and AJK participants separately. The training sessions were planned in consultation with EEAP project team and the availability of the implementing staff.
TA-4943 (PAK): Capacity Building for Institutions Related to Earthquake Reconstruction and Rehabilitation IV. ACTIVITIES Under the assignment various training sessions were planned and delivered. The sections below give a step wise description of the activities undertaken under the capacity building initiative of ADB EEAP project. Training Needs Assessment Training needs assessment was the first step of the assignment and was carried out in October 2008. TNA was conducted for the representatives of Implementing agencies, government line departments involved in the implementation of the EEAP projects, staff of contractors and consultants. The main objectives of the TNA were as follows: Identify the various stakeholders involved in reconstruction and rehabilitation (R&R) activities. Gauge the existing level of understanding of the workshop participants about environmental and social dimensions of R&R activities and respective roles and responsibilities in implementation. Explore the expectations of the participants and stakeholders from EEAP project in general and the capacity building initiative in particular. Assess the existing level of understanding regarding the policies (National, Donor, ERRA i.e. safeguard policies) that govern the project activities. Understand the problems faced by the participants in the implementation of project activities Some of the main gaps identified trough the TNA were: 1) Lack of understanding about the ADB environmental and social safeguard policies 2) Lack of understanding about the specific roles and responsibilities of EAs/ IAs. 3) Lack of ability to review the safeguard documents by EAS/ IAs. 4) Lack of understanding about the reporting and monitoring requirements. Considering the above findings an orientation workshop was designed for Environmental and Social Safeguards. The objective of the workshop was to address the gaps identified in the TNA exercise through a hands-on training workshop in which the participants were able to orient themselves with the ADB safeguard policies and practice reviewing the safeguard documents. The complete TNA report along with the findings is attached as Appendix II. Orientation workshop on environmental and social safeguards The workshop on ADB Environmental and Social Safeguards was delivered in March 2009. The objective of the workshop was to orient the participants on ADB Environmental and Social safeguard policy and its implementation mechanisms. The training also highlighted safeguard requirements of ADB in general and EEAP projects in particular. The workshop was of one day each for Environmental and Social safeguards and was delivered for the NWFP and AJK participants in Mansehra and Muzaffarabad respectively. Some of the main topics covered during the training on environmental safeguards are mentioned below: Defining policy Difference between policy and procedures. ADB Environmental Safeguard Policy (ESP). Tools for the implementation of ESP Roles and responsibility in the implementation of safeguard policy Assignment Completion Report Page 7
Reviewing policy and safeguard documents Monitoring and Evaluation Project specific issues and their solutions. Similarly the workshop on Social safeguards covered the following topics: What is Social Assessment? How to carry out social Assessments ADBs policy on involuntary resettlement and indigenous people Operational content of the policy Potential social impacts during development project. Roles and responsibilities in implementation of social safeguards Risk management and minimization at various stages of the project. Monitoring and Evaluation The detailed report on the training workshop is attached as Appendix III. Training Workshop on Environmental Audit A one day workshop on Environmental Audit for NWFP and AJK participants was designed and delivered in Abbottabad and Rawalakot respectively. The training was conceived on a premise that the IAs should be aware of the environmental audit process and should be able to facilitate the external auditors who might be engaged at some later stage to conduct the audit of their program implementation activities. The specific objectives of the training workshop are as follows: To develop an understanding about an environmental audit. How to plan an environmental audit. Define the scope of an environmental audit. Understand the tools, techniques, forms and checklists used in an environmental audit. Practice the use of these tools, forms and checklists through group work exercises. Understand the roles and responsibilities in conducting an environmental audit. At the completion of the workshop a mock environmental audit was planned in order to get a hands on training on the tools and techniques of conducting an audit and understanding the roles and responsibilities of the auditor and the auditee. The mock audit however was planned to be conducted at a later stage because of the time constraint of the participants. Detailed report on the training work shop of environmental audit is attached as Appendix IV. Mock Environmental Audit Following the training on environmental audit a mock environmental audit was planned for AJK and NWFP. The methodology of the exercise consisted of the following: Recap session: The participants recapped the contents of the training session conducted on environmental audit. Objective setting: The participants set the objectives of the audit and defined its scope. Tools finalization: The participants finalized the data collection tools to be used in conducting the audit. Field visit: Field visit was conducted to give a hands-on training to the participants in conducting the environmental audit. Group Presentations: The participants presented their findings through group presentations.
TA-4943 (PAK): Capacity Building for Institutions Related to Earthquake Reconstruction and Rehabilitation Field visit was conducted to the selected sites in AJK and NWPF representing health and transport sector projects under EEAP project. Tehsil Headquarter Hospital Hattina Bala was the site selected in AJK and Manshera Oghi road was the site selected in NWFP. The participants developed the data collection tools and conducted the field visit in order to carry out a mock audit exercise. Upon completion of the field visit the participants gave a presentation on their findings along with the corrective actions to be taken against each non compliance area. The detailed report on the mock audit exercise is attached as Appendix V. Field Manual for Implementing Agencies Last but not the least a field manual was developed for the implementing agencies. The main purpose of this manual was to assist and guide the IAs in the planning, implementation, and monitoring and evaluation of safeguard plans; land acquisition and resettlement plans, short resettlement plans, due diligence plans (DDPs), environmental assessment and environmental mitigation plans (IEE/EIAs EMPs) and environmental assessment and review process (EARF), land acquisition and resettlement framework (LARF) and action plans for gender and vulnerable APs. The manual presented processes that are key to mainstreaming effective planning, designing and implementation of EEAP subprojects in order to ensure that all subprojects are properly screened for all potential social, resettlement and environmental impacts; leading to the preparation and implementation of safeguard plans containing sound impact mitigation measures and strategies to help affected communities improve or at least restore their living conditions by providing them adequate compensation for the lost land assets and assistance for livelihood restoration. The manual was divided into four sections and several annexes that deal with different stages of project cycle and safeguard requirements. Section I covered the introduction part which explains the background and context for the development of this manual, objectives and structure of document. Section 2 explained different stages of ADB s project cycle and safeguard requirements at each stage from loan processing to loan implementation. This section also discussed the steps involved in project preparation, appraisal of loans, its implementation, reporting and evaluation of project loans and interventions. Section 3 explained the steps involved in the processing of safeguard requirements and the preparation of safeguard documents covering the ADB safeguard policies of environment, involuntary resettlement and indigenous people. The processing focused mainly on loan/project planning and appraisal stage, which primarily involved a twostage safeguards review process (at first stage the review is carried out by executing and implementing agencies-ias/eas, and after the IAs/EAs complete the review process, the plans are submitted to ADB for review and approval). Depending upon the efficiency of project design and quality of safeguard plans, the plans may undergo several revisions until the plans sufficiently meet the quality requirements for approval by ADB. Section 4 contained several annexes and checklists which provided information on safeguard requirements and how the information required is documented and presented in a logical, understandable and implementable manner. These annexes are about different procedures and requirements of safeguard compliance and will serve as supporting resource material on relevant topics. In addition to the list of resources at the end of the document, the manual had references and web links throughout the document in order to enable the user to access any relevant information that might be required while using this document. Complete field manual is attached as Appendix VI. Assignment Completion Report Page 9
V. RESULTS AND CONCLUSION ADB under its EEAP project committed to build the capacity of its IAs and EAs through a well designed systematic capacity building process. Through its capacity-building efforts the EEAP project not only managed to improve its reputation and leave an impression on the earthquake affected areas of AJK and NWFP but also proved as a project capable of and willing to contribute to sustained development process in the region. The capacity-building efforts during the project had specific objectives which were to gauge the level of understanding of the participants regarding the applicable ADB s Safeguard Policies including Involuntary Resettlement Policy, Policy on Indigenous Peoples and Environmental Policy and review procedures, that govern the project activities, how these policies are implemented, roles and responsibilities of the implementing actors, the stakeholders of the project and the issues and problems faced at the field level in the implementation work. In order to gauge the level of understanding of the implementing staff specific questioners were designed. These questioners were filled out by the training participants during the TNA exercise at the onset of the assignment and then at the end of the assignment, detailed evaluations were shared at the end of each training event with the client, however, the overall evaluation is summarized below. The participants were evaluated against four broad areas which were: 1. Understanding regarding the ADB safeguard policies. 2. Roles and responsibilities in the implementation of project activities. 3. Review of safeguard documents 4. Grievance redress mechanism and community interaction 5. Monitoring and Evaluation during project implementation. Each of the above categories was further subdivided into 5 supporting questions. The categories were assigned a maximum of 10 points (2 points each for the supporting questions). The participants were given marks against their responses to the questions with 10 being the maximum and desired level. The graph below gives the post and pre project capacity level of the participants. Figure 1 The above fact can also be substantiated through the independent monitoring report on resettlement plan implementation of EEAP road sector projects in which a similar exercise was
TA-4943 (PAK): Capacity Building for Institutions Related to Earthquake Reconstruction and Rehabilitation conducted by the IMA with the implementing staff regarding their understanding on social safeguards. The overall result of the survey stood at 68% up from 23% at the start of the assignment. The result not only supports the above argument but also suggests an overall improvement of 45% in the understanding level of the participants who attended the training sessions. Figure 2 Source: 2 nd IMA report on implementation of resettlement plans by Shaukat Shahid, April 2010 Another important indicator of improvement of human resource capacity can be ascertained from the fact that the independent monitoring reports on environmental and social safeguards at the start of the assignment highlighted numerous and multiple non compliance issues, which over the course of time have declined considerably and are negligible towards the end of the project owing mainly to the improved level of understating of the implementing staff regarding the ADB safeguard requirements in project implementation activities. Keeping the above in mind it would be safe to say that the capacity building initiative has borne fruit and achieved its desired objectives. The capacity building initiative by ADB EEAP project was instrumental not only in building capacities of their IA/EA but also in producing knowledge products which have never been produced as part of any project in ADB. These tools are practical and serve as reference documents for the training participants. Detail of these knowledge products is given below: Knowledge Products Developed Four different knowledge products were developed that serve the purpose of how to plan and implement projects that have safeguard implications. These included capacity building reports, TNA reports and Project Implementation Manual that cover safeguard requirements and implementation of the same under ADB s project cycle management, training workshops on social and environmental safeguards and environmental audit and auditing process of environmental dimensions of projects. Purpose of knowledge products Implementation Manual Such an Implementation Manual never existed in Pakistan and therefore is a pioneering document developed under the ADB funded project in Pakistan. The manual based on the findings of the CB exercise in which the level of understanding of IA and EA on ADB policies and national laws were gauged. Gaps were indentified and it rationalized the need of developing a sort of manual that addresses all these concerns. The manual therefore serves as a ready reference and set of guidelines for IAs/EAs to follow while planning and implementing ADB funded projects. Primarily prepared for EEAP IAs/EAs, the manual can also be applied on all other infrastructural projects funded by ADB, as it covers ADB s safeguard policies and implementation requirements that are embedded in project cycle management and project loan documents. The manual is the biggest footprint of EEAP that is with all IAs/EAs who can always Assignment Completion Report Page 11
seek guidance from the manual whenever they plan and implement a project that has safeguard impacts. Capacity Building Training Needs Assessment (TNA) The EEAP Training Needs Assessment Reports also serve the purpose for IAs/EAs on how to identify capacity gaps and plan capacity building modules for IAs/EAs that require their capacity to be built. Such a Safeguards TNA probably is the first ever initiative done under the ADB funded infrastructure projects. Safeguard Training Workshops The training modules prepared based on the TNA exercises fully cover ADB s safeguard policies and fully expose the IAs/EAs to project implementation issues, requirements of safeguard documents and pan-how these are prepared, implemented and monitored. The workshop folders and reports including evaluations done by the participants are with the IAs/EAs and they can now design, plan and conduct safeguard training workshops which they can tailor according to their project specific safeguard training needs, Environmental Audit Environmental audit training conducted and practical examples of how to conduct an environmental audit of a project with all relevant material and resource have enabled the IAs and EAs in how to design, conduct and prepare audit reports. This resource is with EEAP IAs/EAs and other institutions involved in similar infrastructural projects can use the resource as they require. VI. WAY FORWARD: Training participants of the capacity building initiative on ADB safeguard policies involved in the implementation of ADB Earthquake Emergency Assistance Program highlighted some of the important aspects regarding the capacity building initiative and gave suggestions for the amelioration of such programs in future projects. These suggestions/ comments are summarized below: 1. The participants felt that the capacity building program was a very beneficial tool in addressing the capacity gaps; however, they suggested that this initiative should have started at the beginning of the program implementation activities rather than in the middle and towards the end of the project. The participants also felt that the modular training should be of longer duration including field visits in order to make the training program more effective. 2. Preparation of safeguard documents such as EIA, IEE, LARP, SRPs should be the responsibility of independent specialists. Mostly design consultants are responsible for the development of such plans which results in conflict of interest and quality compromise. 3. It should be ensured the contractor has qualified staff to address the environmental and social safeguard concerns at the project site. Most of the contractors have the expertise at head office level which does not adequately address the day to day safeguard concerns at the project sites. 4. The Land Acquisition Act in Pakistan is outdated and does not provide enough space to accommodate the emerging needs of Resettlement issues. Record is old and rarely updated. The laws governing land issues need to be reviewed and revisited to make amendments so that the grievances could be addressed effectively. Capacity of the revenue department has to be addressed. In most cases junior staff is deputed to deal with the project related land issues with minimal understanding, their capacity building is
TA-4943 (PAK): Capacity Building for Institutions Related to Earthquake Reconstruction and Rehabilitation vital. Moreover the language of the laws and governing rules is very difficult full of terminologies, communication is done in English. Applicable sections should be simplified and translated so that people are fully on board. 5. Another important aspect that was pointed out was the communication with the local communities. It was felt that since most of the communities are illiterate it is extremely difficult to carry out consultation with them. It was suggested that Social Mobilization as an approach should be adopted for effective communication and provision of Social Mobilization Skills training should be kept in the contract documents. 6. Consultations process is not systematic and is confined only to listening to the concerns of the APs, rather than making these concerns of project design and bringing appropriate changes in project design to minimize or avoid resettlement impacts and appropriately address the APs issues. Assignment Completion Report Page 13