Land Acquisition and Ethnic Group Due Diligence Report

September 2020

LAO: Water Supply Sector Project

Hom Subproject Xaisomboun Province

DRAFT

Prepared by the Department of Water Supply, Ministry of Public Works and Transport for the Asian Development Bank.

ABBREVIATIONS

ADB - Asian Development Bank AH - affected household AP - affected person COI - corridor of impact DC - district committee DCO - district coordination office DDR - due diligence report DED - detailed engineering design DMS - detailed measurement survey (at detailed design stage) DONRE - Department of Natural Resources and Environment DPWT - District Department of Public Works and Transport DRC - district resettlement committee DWS - Department of Water Supply EA - executing agency EMP - environmental management plan FS - feasibility study FSD - feasibility study design GOL - Government of the Lao PDR GRM - grievance redress mechanism IA - implementing agency IEE - initial environmental examination IP - indigenous peoples IR - involuntary resettlement Lao PDR - Lao People's Democratic Republic LAC - land acquisition and compensation LACF - land acquisition and compensation framework LAEGP - and acquisition and ethnic group plan LARC - and acquisition, resettlement, and compensation MPWT - Ministry of Public Works and Transport OPWT - District Office of Public Works and Transport PPWT - Provincial Department of Public Works and Transport PIU - project implementation unit PMO - project management office PNP - provincial nam papa (provincial water utility) PPSC - provincial project steering committee PRC - provincial resettlement committee ROW - right of way SES - socio-economic survey SPS - Safeguards Policy Statement VAU - village arbitration unit VDC - village development committee WSSP - Water Supply Sector Project

UNITS

ha - hectare km - kilometer km2 - square kilometer l/s - liter per second

This land acquisition and ethnic group due diligence report is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature. Your attention is directed to the “terms of use” section on ADB’s website.

In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

CONTENTS

EXECUTIVE SUMMARY 1 I. PROJECT DESCRIPTION 1 A. The Water Supply Sector Project 1 B. Hom Subproject 1 II. SUBPROJECT IMPACTS 5 A. Scope of Land Acquisition 5 1. Land Requirements 5 2. Permanent Land Acquisition 5 3. Temporary Land Acquisition 5 4. Temporary Disturbance 6 5. Affected Private Ownership 6 B. Benefiting Communities 7 1. Core Villages 7 2. Ethnicity 7 3. Equal Participation and Benefits for all Villagers 8 III. INFORMATION DISCLOSURE, CONSULTATION AND PARTICIPATION 9 IV. GRIEVANCE REDRESS MECHANISMS 11 V. IMPLEMENTATION SCHEDULE 12 VI. MONITORING AND REPORTING 12 VII. CONCLUSION 13

APPENDIXES

Appendix 1A: Fact-Finding: IR and IP Screening and Subproject Category 15

Appendix 1B: LARC Fact-Finding: Subproject Technical Features 18 Appendix 1C: LARC Fact-Finding: Aerial Images and Superimposed Layout and

Locations of Components 21 Appendix 1D: LARC Fact-Finding: Aerial Images and Superimposed Location

of Subproject Components 22

Appendix 1E: LARC Fact-Finding: Selected Pictured Impressions 23

Appendix 1F: Subproject Grievance Mechanisms 24

Appendix 1G: Subproject Implementation Schedule 26

Appendix 2A: LARC District and Village Consultation Meetings – Records 27

Appendix 2B: LARC Joint Consultation Meeting – Attendance Lists 31

Appendix 2C: Baseline Social, Economic, and Gender Consultation Meetings – Records 33

Appendix 2D: Social, Economic, and Gender Consultation Meetings – Attendance Lists 36

Appendix 3: Complementary Documentation – Land Use Certificates 39

List of Tables

Table 1: Area of Land Requirements and Disturbances 5 Table 2: Subproject Core Villages with Latest and Projected Population 7 Table 3: Population and Ethnicity 8 Table 4: Household Size by Ethnic Group 8 Table 5: Ethnic Population in the District Town 8 Table 6: Summary of Consultation 10

List of Figures

Figure 1: Conceptual Design of Hom Water Supply Scheme 3 Figure 2: Block Diagram of Hom Water Supply Scheme 4

EXECUTIVE SUMMARY

ES-1. This feasibility study related draft land acquisition and ethnic group due diligence (LAEG-DDR) serves for preparatory steps and elaboration on involuntary resettlement (IR) and Ethnic Groups aspects to verify any need for land acquisition and compensation of the Hom water supply subproject.

ES-2. The due diligence indicates that the works under this subproject include new intake, water treatment plant, clear water storage reservoir, intake pump station, office of water supply operator, and distribution network. For the site related land requirement public land will be made available. This land is not privately utilized. The alignments of pipes for the distribution of treated water follows alignments along public roads.

ES-3. Therefore, the subproject’s corridor of impact concerns public land. There will be no acquisition of private assets required (land, structures, others), and no loss of income is expected. Subsequently, this subproject can be classified under Asian Development Bank Safeguard Policy Statement (ADB SPS) Category C for IR impacts, meaning the subproject has no involuntary resettlement.

ES-4. The due diligence confirms that the subproject will result in the provision of a reliable supply of treated water to the citizens of the subproject villages without affecting any private land and livelihood of households. The Project is classified as category B for indigenous peoples impact because it will positively affect local population, where ethnic groups make the overwhelming majority. IPP elements are integrated in the overall project design.

I. PROJECT DESCRIPTION

A. The Water Supply Sector Project

1. The Water Supply Sector Project (WSSP) is in line with the GOL’s approved Urban Water Supply and Sanitation Strategy and the Water Supply Investment Plan 2020–2030, which prioritizes investments based on sector objectives within the national socioeconomic development plan and the approved urban development strategy to 2030. The water sector investment plan focuses on ensuring equitable development. WSSP will contribute to the Government’s urban sector targets as prescribed in the Strategy of the Urban Water Supply and Sanitation Sector (2013–2030).1 The thematic areas of the Project’s outputs include:

• Regulatory Environment Improved • Urban Infrastructure Improved • Institutional Effectiveness Improved

2. The impact of the proposed Project will be increased service coverage and provision of safe, reliable, and affordable water supply for the urban population in the Lao PDR. The outcome will be improved access to safe piped water supply services in participating towns.

3. The Project covers at PPTA stage the Xaisomboun Province with the representative subprojects in Longxan and Hom, as well as the Vientiane Province with the two subprojects in Vangviang and Med. The subproject towns have been assigned a high priority based on the following criteria (i) current performance; (ii) government development priority; (iii) projected population and growth rate; (iv) development potential; (v) poverty status; (vi) previous investment in water supply and sanitation in the province; and (vii) previous inclusion on the Water Supply Sector Investment Plan.

4. WSSP will improve the performance of provincial Nam Papas2 and expand access to safe piped water supply and sanitation for urban residents. It will build on the ADB’s current work in the sector, by: (a) strengthening PNP capacity in corporate planning, business and financial management and operation and maintenance; (b) rehabilitating, expanding or developing piped water supplies, and; (iii) improving environmental sanitation in the priority small towns.

5. The WSSP will continue to improve financial sustainability of PNP through support for financial management and by linking disbursement to PNP performance and tariff adjustments. In parallel with the capital investments, the key elements of sector and policy reform will be addressed at strategic points during the implementation process.

B. Hom Subproject

6. For Hom subproject, the proposed water supply development plan includes a new intake, water treatment plant (WTP), clear water storage reservoir, and distribution network.

7. The proposed new infrastructure will include: (i) weir intake on the Khien River; (ii) 4.6km raw water transmission main to the WTP via a pump station approximately half way along the

1 Government of the Lao PDR, Ministry of Public Works and Transport. 2013. Strategy of the Urban water Supply and Sanitation Sector (2013–2030). Vientiane. 2 Provincial nam papas (PNPs) are state enterprises in the Lao PDR, which oversee the development, operation, and regulation of 'commercial' piped water supply systems in the provinces. In other words, nam papas are water utilities.

2

route; (iii) 1,800m3/day capacity WTP with new facilities for flocculation, sedimentation (including lamella technology), rapid gravity filtration, air scour and backwash, chlorine dosing facilities, laboratory and PAC dosing facilities, and detention ponds; (iv) 600m3 total storage capacity in the clear water ground reservoir at the proposed WTP; (v) new distribution pipeline through the 3 core villages and new HDPE DN63 rider mains; and (vii) a new BNP office.

8. The proposed distribution network will operate as one primary distribution system from the ground clear water reservoir at the WTP. The distribution network will include approximately 19.6km of new main distribution pipeline and 40km of rider mains. Appurtenances such as gate valves, DMA water meters, air valves, and wash-out valves will be provided to facilitate the efficient operation and maintenance of the system.

9. Households that apply to connect during the construction period will not be required to pay any up-front connection charges, connections or meters, but the cost of these items will form part of the subproject capital cost and will be recovered through the water tariff. The construction contractor will (i) install distribution pipelines and small-bore reticulation pipework (rider mains) to cover the entire service area in locations where roads and houses exist; and (ii) install service connections and meters free of charge for all households in the service area that apply for connection during the designated construction period. The contractor will purchase sufficient materials for service connections to all customers that apply to connect to the piped water supply system during the construction stage. Surplus materials will be stored for later installation by the PNP when required. This policy is expected to motivate customers to connect during the construction period, boost PNP revenue and enhance sustainability, and will particularly assist the poor. Marketing and awareness campaigns will inform communities about the Project’s connections policies. Approximately 1,100 domestic connections are projected for the commissioning year in 2023, with all new connections to be installed as part of the free-connection program.

3

Figure 1: Conceptual Design of Hom Water Supply Scheme

Source: FS Main Report. See also Attachment 1.2-2: LARC fact finding: Aerial images & superimposed layout and locations of components.

4

Figure 2: Block Diagram of Hom Water Supply Scheme

Source: FS Main Report.

5

II. SUBPROJECT IMPACTS

A. Scope of Land Acquisition

1. Land Requirements

10. The feasibility study design (FSD) for Hom subproject considered components of a water supply scheme, which does not require private land acquisition for proposed intake, WTP, reservoir, pump station, BNP office and access roads. For the main and distribution networks only existing Right of Way have been selected for alignments of pipes.

11. The subproject will involve physical changes through the earth moving, but also in constructing the water supply infrastructure. The FSD has considered governmental land for the site-specific infrastructure and follows for the linear land requirements existing roads, so that there is no need for acquisition of private land. This will be confirmed through the detailed engineering design (DED). Table 1 contains the relevant details. This is the optimized technical approach based on the engineering concept for this subproject. It also leads to minimized construction impacts.

Table 1: Area of Land Requirements and Disturbances

12. The subproject have been verified in February and May 2020 at FS stage through joint transect walks of participating village representatives, PNP, PIU and PIA and it was confirmed that it does not require acquisition of privately owned land or assets. The screening exercise confirms that there is no illegal or permitted encroachment on the required governmental land, nor has there any ongoing private utilization been noticed.

2. Permanent Land Acquisition

13. The land acquisition concerns components as listed in Table 1 with a total required area of 1.4 ha. A transect walk indicates that there is no loss of private land. For all land requirement of the subproject governmental land was allocated by the Hom District as governmental contribution to the subproject.

3. Temporary Land Acquisition

6

14. Any temporary site installation and construction roads the contractor will have to propose in a site installation and access plan and obtain approval by the resident site engineer. Where possible, public land will be used for temporary land use. Through a transparent and contractual approach, the Executing Agency will provide the contractor with the project’s land acquisition and compensation principles, and will closely monitor to ensure that (i) official compensation rates are applied, (ii) re-instatement of affected assets contractually defined, (iii) consultation taking place, (iv) grievance mechanism followed, (v) EMP applied, and (vi) other items specified. Safeguards monitoring reports and quarterly progress reports for the project will reflect on each case, and include the supporting documents to confirm any compensation, reinstatement, consultations as well as compliance with the mitigation measures specified in the EMPs.

4. Temporary Disturbance

15. Installation of mains and distributors with a rounded total length of 49.7 km will be along roads with both urban and rural features and concerns a trench related area of about 3.8 ha. It is expected that the proposed FDS and scope of work installation of pipes (max 1m wide trenches) will not cause closure of business or stop of provision of public services. In this context the following aspects and steps are taken into consideration:

• The installation of distribution main and riders will be carried out in construction sequences. It is limited to 1 to 3 days within parallel operating business activities. In case business activity is disrupted by closure due to subproject construction contractor will pay a cash allowance equal to provincial daily wage or average daily revenue as relevant. This topic has also been presented and discussed in public village meetings and agreed with business owners. The progress of civil works will be closely monitored and reported through quarterly progress reports and semi-annual social safeguards monitoring reports, and any cases of disruptions and allowances paid will be tracked with supporting documents attached to the reports. • Excavation work will mainly be done by machine for easily accessible and not disturbing construction conditions. Where necessary and applicable manual trench excavation should be applied, meaning on small sites or in confined spaces, excavation should use tools such as picks, shovels and wheelbarrows to avoid or limit unnecessary disturbance to people or damage to structures. Construction methods also includes provision of temporary driveways/planks, direct backfilling of trenches. The respective specifications are to be included in bidding documents / work contracts and are in line with the EMP. • The period and schedule of construction of the water distribution net will be published at village level in advance so that the villagers know about the planned construction work. • The bidding documents will include reinstatement price for any damaged structures/assets caused by contractor during construction in pipe laying rate. Reinstatement work is the full responsibility of the contractor and payment for pipe laying is made conditional completion of reinstatement work.

5. Affected Private Ownership

16. There are no AHs caused by physical or economic displacement. The acquisition requirements does (a) not concern private land, and (b) relates only to temporary disruption to private, communal and/or public premises, but also (c) does not cause restriction of

7

community/public services, and (d) will not lead to loss of assets, access to assets, income sources, or means of livelihoods. There are also (e) no requirements for relocation.

17. There is no cost estimate for loss of permanent assets, as there are no cases of private households affected through loss of land and other assets. In case contractor nevertheless damages trees or secondary structures (fences, floors) he has to compensate affected trees in cash and replace secondary structures in kind to same or better quality. The same provision will be included in the works contract. The progress of civil works will be closely monitored and reported through quarterly progress reports and semi-annual social safeguards monitoring reports, and any such cases will be tracked with evidences of payment or replacement of assets, including supporting documents attached to the reports.

B. Benefiting Communities

1. Core Villages

18. There are 3 benefitting core villages as shown in Table 2.

19. The subproject will provide water supply infrastructure of the subproject villages. It might include village environmental improvement activities, where village infrastructure has been selected for design and construction or rehabilitation, as discussed between village representative, District Coordination Office (DCO) and PIA.

20. In addition, there are other benefits, such as but not limited to, health improvement, educational awareness on WS, assumed increase in households’ income activities, because of reduced or no time and budget required for family members concerning water collection.

Table 2: Subproject Core Villages with Latest and Projected Population

2. Ethnicity

21. In Xaisomboun Province more than half of the population is composed of Hmong (54.6%), followed by nearly a quarter of the population being Laoloum (23.5%), and with Khmou representing about 14.7% of the provincial population. Another 5 groups add up to about 7.2%.

22. The below details have been extracted from the Feasibility Study’s Appendix D “Socio- Economic Survey Report Based” (Chapter 2.4).

23. The three villages of Hom have a dominant Hmong population with a tiny minority of Laoloum and other ethnic groups. The sample survey indicated that although nearly 97% of the population had a language other than Lao as their first language, almost all (93%) of the heads

8

of households spoke and understood Lao as well. Only 4% of households could have difficulty with spoken Lao.

Table 3: Population and Ethnicity Lao/Tai Hmong Mon-Khmer Lu-Mien Criteria [in % by main ethno-linguistic group] By household 3.3 95.6 1.1 - Source: Data from district and village authorities.

24. The different ethnic groups have different sized households – the largest being Hmong and the smallest the Lao/tai. The table below, with data from the sample survey and the village records, shows ethnicity, gender and household size

Table 4: Household Size by Ethnic Group HH size from Ethnic Group Males per HH Females/HH Total M/F ratio village records Lao/tai 1.67 2 3.7 0.84 Hmong 3.7 3.2 6.9 1.16 1.21 Khmu Insufficient data Lu-Mien None

25. The data in the table below is sourced from the District Government and shows the ethnic breakup of the whole of district per villages that form the town. People who might not have Lao as their first language include the Hmong, Khmu and Lu-mien, which together make up 77% of the total population. The data are from the district government and are very close to the village authority data.

Table 5: Ethnic Population in the District Town Ethnic Groups [% of total] Villages in district town Lao/tai Hmong Khmu Lu-mien 1 Namkhieng 2.1% 97.8% 0.01% 2 Phalavaek 2.4% 97.2% - 0.03% 3 Homthat 1.4% 98.6% - Total-District Town 2.0% 98.0% <0.01 0.01 Source: Data from District government.

26. Other features of ethnic groups can be summarized as follows:

• The poverty rate as found by the sample survey is with rounded 25% high for the Hmong population. The other ethnic groups did not have any poor household. • No specific information about differences on employment/occupation by ethnicity.

3. Equal Participation and Benefits for all Villagers

27. All villagers actively participate in subproject activities. All villagers of the present ethic groups in the subproject area are also equally treated by the subproject and have same access to provision of water supply connections. No constraints on active participation in public meetings and transect walks have been observed. In addition, there:

9

• Are no geographically distinct habitats or ancestral territories of importance for them in the subproject villages. • Is free access to any cultural, economic, social and political institution. • No differences made between households with regard to access and use of natural resources, as well as provision of and connection to existing or new public water supply through the subproject as direct beneficiaries of the subproject. • Are same water user behaviour patterns within and between ethnic groups.

28. This reflects the situation in the core villages, that no distinction is made between villagers in their communities with regard to social status including their ethnic groups, which would lead to constraints for villagers because of their ethnicity. No limitation and distinctions have been observed and were confirmed by villagers themselves in their communal behaviour or access to improved public services, such as water supply.

29. Based on the findings from both SES and LAC related field work a joint LAC&EG screening has been prepared under Appendix 1. It concludes that the Hom subproject can be categorized as a Category C project for the safeguard requirements involuntary resettlement and category B for indigenous peoples impact. It is not expected that the subproject will have any negative impact on ethnic people.

30. The social impacts are overwhelmingly positive as the villagers will experience a better and reliable water supply leading to an increase of their living quality. There are no negative impacts on physical assets and economic situations of these benefitting households.

III. INFORMATION DISCLOSURE, CONSULTATION AND PARTICIPATION

31. The disclosure of LAC information, consultation and participation of residents in the subproject took place in March 2020 at FS stage, however in the context of COVID-19 leading to initial limitation in travelling and gatherings/meetings. The consultation will be continued at DED stage and/or construction stage. The contacted residents have a good understanding about the subproject and its land acquisition related aspects. The contacted villagers (i) show repeatedly an open attitude and a confirmed very supportive behaviour towards the subproject as water supply and sanitation are topics of high interest, and (ii) did not raise serious concerns or issues.

32. Provincial and district officials, as well as village representatives, households and families have been informed about the subproject in general and LARC aspects in particular. The subproject ensured that residents and other stakeholders have (a) obtained information about LARC aspects, and (b) opportunities to participate in the LARC process. In addition, local communities were consulted with during the socio-economic survey (SES). The joint district and village coordination meeting and the 3 public village meetings were attended by 197 participants (including 74 females) all belonging to Hmong Mien. An overview about related governmental coordination and community consultation has been prepared in Appendix 2. A summary of the consultation meeting is given in Table 6. During public village meetings GRM procedures and project information booklet were handed over to village heads for use and distribution.

33. The dissemination and consultation activities are performed as an integral part of the resettlement planning process to inform the concerned villages about LARC items through (a) meeting/s and (b) individual clarifications, in addition to (c) joint transect walks. Staff of EA and IA, as well as the PIA consultants initially provided information about participation of affected

10

persons in land acquisition activities, the involvement of district and village leaders in the overall process, and other LAC topics. The dissemination of information ensured the villagers’ access and knowledge about the GRM (Chapter 4). An updated PIB related to the DED stage will be prepared and distributed to local offices and village heads. Updated information about the subproject will be disseminated during the mobilization of the contractor.

34. The feedback of consulted people given to EA, IAs and PIA in public meetings as well as findings from further consultation and discussion during LAC related fieldwork with villagers have been considered by the preparation of this LAEG-DDR. On-site consultation will have to be completed during DED stage and/or during mobilization of contractors.

Table 6: Summary of Consultation Concerns raised Subproject response No. questions asked consideration for design and mitigation measures GENERAL TOPICS (NOTE: ARE ASKED IN SAME/SIMILAR WAY IN ALL SUBPROJECTS) 1 Land Which / whose land is ▪ Describing the layout of the water scheme. needed? ▪ Subproject will use gov. / communal land for intakes, water treatment plant, reservoirs, office, access road, others. ▪ Private land would only be acquired if engineering design requires such locations. 2 Compensation Will there be Loss of ▪ Would have been paid in cash or through land-for- Land? land. Will there be damage ▪ The policy of the WSSP is that in case of damage to private belongings, on private structure (fence, floor) the construction such as fence, company will replace it in kind at same or better entrance area to quality. Damages will be measured/quantified. compound, others? ▪ There are temporary disturbances between 1 and 3 days expected for installation of main and distributor pipes. However, businesses will remain operational and accesses to houses and driveways will be provided. If businesses are disrupted during construction and/or disturbance extends for more than 3 days, contractor be responsible to compensate for business disruption. ▪ As required / necessary temporary access would be provided to these compounds. 3 Construction What is the planning ▪ Construction phase is 1.5 years. situation of the project ▪ Current schedule: end-2021 to mid-2023. and the construction and duration? 4 Costs How are the conditions ▪ Free connections during implementation of for house connections? subproject meaning construction phase. ▪ After operation of subproject provided water supply, then fees for installation must be paid. What are the water ▪ Yes, all connected households have to pay prices? otherwise the supply with potable water to households will be cut. ▪ The expected price will be the same/similar to other towns with PNP provided water: for household 4,000 KIP/m3 meaning 1000 litter for 4,000 Kip.

11

Concerns raised Subproject response No. questions asked consideration for design and mitigation measures ▪ Payment of water fees each month. If you do not use water, you also pay as fees also include operation and maintenance of water meter SUBPROJECT SPECIFIC TOPICS 5 What are the sizes of areas of the ▪ A first survey indicated about 1ha for the water selected plots chosen for the water treatment plant including intake and raw water supply components? transmission; 1,500 sqm for the BNP office; and a smaller area for elevated reservoir however not decided yet, but sufficient space at the proposed location available. MEETINGS Number 7 One combined district and 6 village meetings at district meeting hall taking into Venue consideration COVID-19 limited national restriction so gatherings in form of public events. Participants 197 (74females) Dates January to March 2020 BNP = branch nam papa (water utility), COVID-19 = coronavirus disease, m3 = cubic meter, PNP = provincial nam papa (water utility), WSSP = Water Supply and Sanitation Project.

IV. GRIEVANCE REDRESS MECHANISMS

35. In terms of grievance redresses, the consulted villagers have been briefed about rights to grievance and the procedures in case LARC items would become a subproject related issue. This shall be repeated through pre-construction meeting in villages near the site. This will be public meetings organized through the PIU. Local stakeholders, the contractor and construction supervision consultants will be present. The work program including review of the subproject’s infrastructure layout will be presented. The safeguards including LARC, environment and gender aspects will be explained as will the GRM.

36. The main steps as outlined (Appendix 1.3) were presented and explained. In addition, A0 poster with the GRM steps and contact details were handed over to the village heads for their offices. For each step details are described, agreed and explained to both resettlement responsible committees and the AHs. In case unanticipated impacts may occur and if the mitigation measures are not properly implemented, or unforeseen issues occur, the outlined procedure will be followed for the GRM by the subproject. The objective of the grievance redress mechanism is to resolve complaints as quickly as possible at the local level through a process of conciliation, and if that is not possible, to provide clear and transparent procedures for appeal.

37. As it was discussed in public meetings the villagers indicated to solve issues through their existing village arbitration units (VAU) that have already been established in the core villages. They are integrated into the GRM. The Village Development Committee (VDC) generally consists of the village chief, deputy chief, village secretary, and village representative of the Lao Women’s Union, Lao Front for National Construction, village elders, youth, and village land taxation unit. The VDC is responsible for settling disputes between villagers through conciliation and negotiation. In the absence of these units, the members of the village committee (if formed) or the villager leaders will act as grievance officers. The APs may present their complaints to the

12

concerned local administrative officials and resettlement committees. The complaint can be filed first at the village level and can be elevated to the highest or provincial level if the APs are not satisfied with the decisions made by the village and district levels/committees. APs will be exempted from all taxes, administrative and legal fees associated with their claims and grievance redress.

38. All complaints and resolutions will be properly documented and be available for (a) the public and (b) review for monitoring purposes. At each stage of the grievance redress mechanisms (GRM), careful written records will be maintained. The VDC/VAU will submit reports to the District Committee (DC) documenting (i) the complaints received; (ii) the names and other pertinent information about complainants; (iii) the dates of the original complaint, meetings and any other actions; and (iv) the outcomes and/or resolution. The PRC and DWS will each maintain similar records for appeals that are submitted to them. The records of grievances will be included in regular progress reporting on the subproject. In addition, the safeguard monitoring reports will also regularly reflect the GRM status for each subproject.

V. IMPLEMENTATION SCHEDULE

39. The subproject’s schedule of considers a construction period of 18 months in reference to contractor mobilization (effectiveness or contract award) starting in 4th quarter 2021. The commencement of operation of the WS infrastructure is scheduled for 2nd quarter 2023. A general overview about the Project phases has been prepared for the project phases in Appendix 1.4 indicating performed and scheduled activities of design and construction works, together with performed preparation work of the LAEG-DDRs.

40. The construction work can start after ADB gives its “no objection” based on the cleared final LAEG-DDR or any safeguard planning document (depending on IR category) prepared following completion of the DED. As the due diligence confirmed (i) no cases of private land acquisition or (ii) impacts on other assets, and (iii) temporary measures (access over trenches, immediate backfilling and others related to the installation of main and distributor pipes), so that the construction disturbances of 1 to 3 days will not lead to loss of income.

VI. MONITORING AND REPORTING

41. The PIU in cooperation with DCO and with support from PIA is responsible for internal monitoring of compliance with ADB’s safeguard requirement 2 (SR2) on involuntary resettlement and SR 3 on indigenous peoples.

42. The monitoring strategy will be based on a participatory approach involving different stakeholders, such as communities, organizations, individuals, representatives and others, and certainly subproject affected people.

43. The internal monitoring covers also the work of contractor/s in ensuring that no damage occurred to property/land during constructions and/or are reinstated as part of the contractually required rehabilitation and construction works.

44. The internal monitoring has to orientate it methodology and apply key indicators as defined in the Land Acquisition and Compensation Framework and Ethnic Group Planning Framework of the WSSP. Quarterly monitoring report from PIU will provide the achievements, progress and

13

define remedial actions required. The PCU will verify and consolidate these reports in its quarterly progress reports to be submitted to ADB.

45. PMU will submit semi-annual social safeguards monitoring reports to ADB for review and disclosure on its website. In addition, the Semi-annual environmental monitoring reports will reflect the results of monitoring compliance with the approved environmental management plan, including mitigation measures contained herein.

VII. CONCLUSION

46. This due diligence review and this report, prepared based on the feasibility study design served to confirming the involuntary resettlement and indigenous people safeguards3 screening results, to verify any need for land acquisition and compensation, or complementary mitigation measures as required.

47. The FS related safeguard fieldwork included meaningful consultation with the communities of the core villages. Meaningful consultation and its documentation will continue throughout the project cycle. This will include public/communities’ meetings at village and/or district level, consultations with vulnerable groups etc. as needed.

48. Based on the FS stage due diligence, the proposed water supply infrastructure is not expected to cause adverse impacts through land acquisition. No acquisition of private assets is required (land, structures, others), and no loss of income or access to income sources is expected. The public land which will be used for sites to construct water supply infrastructure, are not utilized by private persons. There will be no adverse impact on ethnic groups; various ethnic groups present in the subproject area will equally benefit from the improved access to reliable safe water supply services.

49. All villagers, including the three ethnic groups representing an overwhelming majority in the subproject area are equally treated by the subproject and will have equal access to provision of safe water supply connections. The anticipated impacts are only positive for all villagers getting water supply provided through the subproject.

50. Therefore, based on the feasibility study design, this subproject is classified as Category C for the involuntary resettlement impact, and Category B for indigenous peoples impact. The Hmong, ethnic group is with rounded 96% the overwhelming majority in the subproject area, are direct project beneficiaries, and the subproject is expected to have only positive impact on them by enabling access to safe and reliable potable water. In addition, IPP elements are integrated in the overall project design4 in lieu of preparing a separate IPP.

51. These results are subject of review during the DED stage. This draft LAEG-DDR will be updated upon completion of the DED and disclosed on ADB website upon clearance. In case the DED reveals the need for acquisition of private land and/or other assets, or would cause loss of income a combined Land Acquisition and Ethnic Group Plan (LAEGP) will have to be prepared, approved by the Government of Laos, cleared by ADB, disclosed before the civil works contract is awarded, and implemented before commencement of civil construction work on affected

3 Detailed socio-economic survey and social impact assessment were conducted at FS stage and the results presented in the separate supplementary documents. 4 Project DMF and Gender and Social Inclusion Action Plan provides greater details.

14

locations. The final LAEG-DDR will be included as a supplementary document in the bidding documents.

52. In case private land is acquired temporarily, contractor will sign a lease agreement/contract with landowner. The contractor will be required to inform (through commune and village heads) local residents and businesses well in advance before start of construction works, about the nature and duration of work. Construction methods will include manual excavation in the respective sections, provision of temporary driveways/planks, metal sheets where vehicle access is required, direct backfilling of trenches. The respective specifications will be included in the bidding documents/work contracts as part of the environmental management plan (EMP). PMU will closely monitor and report on implementation of such mitigation measures through semi-annual monitoring reports submitted to ADB for review and disclosure.

Appendix 1A 15

Appendix 1A: Fact-Finding: IR and IP Screening and Subproject Category TECHNICAL DESCRIPTION FEATURES YES NO CASES 1. Upgrading or rehabilitation x New water supply scheme. 2. Construction of new physical facilities x 3. Residential subproject area x Both cases apply. 4. Non-residential subproject area x MAIN COMPONENTS YES NO DESCRIPTION 5. Access x 6. In-take x 7. Pump x 8. Raw water pipeline x

9. Water Treatment Plant x 10. Water Tank / Water Reservoir x 11. Main for treated / potable water x 12. Distributors for treated / potable water x 13. Drains and access roads (VEI) x New components and/or existing ones to rehabilitate 14. Gov./ Public Service (offices, toilets) (VEI) x as part of the WS construction work contract. IMPACTS ON LAND AND OTHER ASSETS AND RELATED FACILITIES/SERVICES GENERAL ASPECTS YES NO EXPLANATIONS 15. Requirement of land acquisition x All governmental land for main infrastructure. 16. Sites of land acquisition x 17. Easement utilized within existing RoW x Raw water transmission main and distribution net. 18. Permanent land acquisition x 19. Temporary land acquisition x If required by contractor during construction. 20. Change of ownership of land x

21. Change of usage of land x LOSS OF ASSETS YES NO DESCRIPTION Disturbances of 1 to 3 days of pipe installation to be 22. Loss of residential (res. cum commercial land) x managed through EMP with parallel business operation 23. Loss of productive land x At FS stage: 24. Loss of residential structures x No such cases for specific sites and within RoW. 25. Loss of productive structures x At DED stage: 26. Loss of trees /crops x To be reviewed and confirmed EFFECTS ON COMMUNAL/PUBLIC FACILITIES YES NO DESCRIPTION 27. Loss of access to facilities x 28. Loss of access to services x

29. Loss of community assets/ ties x 30. Loss of cultural / historical properties x IMPACTS OF PEOPLE PHYSICAL DISPLACEMENT YES NO EXPLANATIONS 31. Replacement of houses x

32. Relocation of households x ECONOMIC DISPLACEMENT YES NO EXPLANATIONS 33. Loss of incomes x Same as under item 22. 34. Loss of businesses/enterprises x 35. Loss of access to income sources x

36. Loss of access to natural resources x AFFECTED HOUSEHOLDS / PEOPLE YES NO CASES AND NUMBERS 37. Number of AH/AP x 38. Vulnerable AH/AP x

39. Severely AH/AP X 40. Non-owning AHs using land com./gov. land x ETHNIC PEOPLES

KEY CONCERNS YES NO DESCRIPTION

16 Appendix 1A

41. Socio-cultural groups present in or use the project area who may be considered as tribes, ✓ Hmong 96%, Mon-Khmer 1%, Lu-Mien 3% minorities, or indigenous communities 42. Laws, policies, anthropological studies that consider these groups as belonging to "ethnic ✓ GOL official categorization of ethnic groups minorities". 43. Self-identification of such group/s as part of a Separate features (language, religion) but equally ✓ distinct social and cultural group. accepted among population in communities.

Appendix 1A 17

Appendix 1A: Fact-Finding: IR and IP Screening and Subproject Category ETHNIC PEOPLES 44. Collective attachments of such groups to distinct habitats, ancestral territories and/or to ✓ No such attachments observed, shown or being told. natural resources in these habitats and territories 45. Distinct cultural, economic, social, political There are no such distinctive institutions. ✓ institutions from dominant society and culture? They follow gov. structures All groups speak their own language but understanding 46. Distinct language or dialect ✓ of Lao is high. 47. Historically, socially and economically marginalization, disempowerment, exclusion ✓ Not known, but no such cases observed or being told. and/or discrimination of such groups. 48. Representation of such people in formal ✓ Represented by Lao Front for National Development decision-making bodies in project area POTENTIAL BENEFITS FOR ETHNIC PEOPLES

KEY ITEMS YES NO DESCRIPTION 49. Directly and indirectly benefits for EGs ✓ Benefits of a clean water supply: improved water 50. Traditional socio-cultural practices ✓ availability, child / family health and welfare 51. Socio-economic activities ✓ Increased sustainability of related conditions. 52. Incomes and livelihoods ✓ Expected increase for some business or jobs during 53. Businesses ✓ construction and operation phases. 54. Commercial development of the cultural ✓ resources and knowledge of IPs. POTENTIAL IMPACTS ON PEOPLES

KEY ITEMS YES NO DESCRIPTION 55. Traditional socio-cultural beliefs ✓ Not affected. 56. Access to facilities/services ✓ 57. Community assets/ties ✓ No losses. 58. Cultural/historical properties ✓ 59. Natural resources ✓ 60. Affected non-titled or vulnerable groups ✓ No such cases expected. FINDINGS Safeguard ADB Category Document A Significant involuntary resettlement impacts. Involuntary resettlement impacts that are not deemed significant. B INVOLUNTARY RESETTLEMENT C ✓ No involuntary resettlement impacts. No further action required. Due diligence report

A Significant impacts on indigenous peoples. IPP elements INDIGENOUS B ✓ Limited/positive impacts on indigenous peoples. integrated in the PEOPLE project design C Not expected to have impacts on indigenous peoples.

Note 1: The listed items are in accordance with checklists as defined by the Lao PDR guidelines and ADB safeguard policy checklists for involuntary resettlement and indigenous peoples.

18 Appendix 1B

Appendix 1B: LARC Fact-Finding: Subproject Technical Features

The below description is based on the main report of the feasibility study and is subject of review during detailed engineering design.

In order to meet the 2038 MDD of 1,800m3/d, a WTP will be constructed at the southern end of Ban Homthat village, close to the boundaries of Ban Namkhian and Phalavaek.

A new intake will be constructed approximately 3.5km north (in a straight line) of the main WTP upstream of an irrigation weir, with a pump station along the route to lift raw water to the WTP. A new distribution system will serve the 3 core villages.

The new infrastructure will include: (i) weir and collection channel intake on the Khien River; (ii) 4.6km of HDPE DN160 raw water gravity transmission main to the WTP; (iii) 1,800m3/day capacity WTP with new facilities for flocculation, sedimentation (using lamella technology), rapid gravity filtration, air scour, backwash and chlorine dosing facilities, laboratory and PAC dosing facilities, and detention ponds; (iv) 600m3 storage capacity at the WTP; (v) new distribution pipeline through the 3 core villages and rider mains; and (vi) a new BNP office.

Proposed Raw Water Intake and Transmission on Khien River:

The proposed raw water intake will be an approximately 10m wide weir with inlet channel on the Khien River. The site is approximately 1km upstream of the irrigation weir. The intake delivers raw water to the WTP by gravity using approximately 1km of 150mm DCI and 3.5km of HDPE DN160 pipe.

From PNP reports, invasive aquatic plants and siltation are not a problem at the proposed intake site on the Khien River. Screens on the intake channel will provide protection against most invasive aquatic plants; with regular maintenance, aquatic plants will not be an issue in the treatment plant.

Proposed Water Treatment Plant:

The proposed new WTP is located in the south western corner of Hom village, on District- owned land. The size of the available area is large enough, and the proposed facilities can fit into the area, which is relatively flat. The proposed new WTP will be designed with conventional treatment processes. A pre-sedimentation tank will be provided, mainly for use during the wet season. In addition, to improve the clarification process during the rain seasons with high raw water turbidity, settling tubes are proposed to supplement the sedimentation process. The settling tubes will significantly improve the solids settling rate in the sedimentation tank, and ensure a constant quality of water even during turbidity peaks. The proposed WTP facilities will comprise:

• 1,800m3/d of raw water from the intake weir to pre-sedimentation tank at peak design year 2038. Initially upon commissioning in 2023 this will be 950m3/d. Two parallel pre- sedimentation tanks with loading rate of 96m3/m2/d (4m/hr) of dimensions 8.8mx2.2mx3m deep are proposed. • Flocculation tank: two chambers with five channels each, designed for a detention time of 15-30 minutes (27 minutes attained). Total estimated operational interior dimensions of each chamber are 4m wide x 4.2m long (to end of channel 5 wall) x average channel depth 1.4m. The first channel has water depth 1m and 5th channel

Appendix 1B 19

water depth 1.8m. The calculated design headloss across each flocc tank at peak flow is 0.44m. • Sedimentation tank: two chambers sized for a SLR of 24m2/m3/d (1m/hr) and detention time of 4 hours, with allowances for installation of lamella tubes. Estimated operational dimensions of each chamber are 12.5m x 3.125m by 4m deep, with tube settlers installed in the chamber • Filter tank: two new rapid sand filters with filter media depth (sand only) of 1m and area 7.5m2 each (3m x 2.5m), at a filtration rate of 5m3/m2/hr. • Air blower for new WTP and one chlorine dosing area. • Laboratory and PAC mixing house: estimated area of 56 m2. • Backwashing storage: designed for one cycle per day (of 2 filters) at 15 minutes per cycle with loading rate of 30m3/h/m2. Estimated volume is 40m3, to be pumped from the CWT to an elevated backwash tank, and gravity fed via a PRV to the filter. • Detention pond: sized for the largest cleaning/wash water requirement of the facilities (1 presedimentation tank). The effective capacity is 108m3. At 1.5m deep, the required area is 72m2.

The WTP will be designed to operate for 24 hours per day. All tanks and reservoirs will be constructed of reinforced concrete unless otherwise specified during the detailed design phase.

Water Storage:

The total operational volume of water storage was sized at eight hours of MDD with allowances for 12 l/s fire flow for two hours (Medium Town 20,000-50,000 people) and daily backwashing for half of the filters at 15 minutes per cycle with 30 m3/m2/h washing rate. The total required clear water storage volume is 600m3.

From hydraulic analyses using Google Earth elevations, the service reservoir can provide sufficient pressure to all core villages without a balancing tank being required. The storage capacity is sized at eight hours of 2038 MDD, which is calculated at 600m3, all in a clear water ground reservoir at the WTP.

Pumping Station:

No pump station required.

Distribution network:

The main distribution network will be supplied by gravity flow from the proposed 600m3 service reservoir at the proposed elevated to provide adequate pressure to all villages.

The development plan requires an estimated 9.7km of new distribution pipeline (DN110 to DN225) and 40km of rider mains. Appurtenances such as gate valves, air valves, and wash- out valves will be provided to facilitate the efficient operation and maintenance of the system. District metering area (DMA) water meters and gate valves will be installed in appropriate locations; at the minimum DMA water meters will be located at the outlet of the sub-distribution areas. The number of DMA meters will be determined during the detailed design phase.

20 Appendix 1B

Access Roads:

An access road to the WTP already exists but will be improved (gravel road 4m in width and approximately 450m in length). A similar new access road of 150m in length and 5.5m in width from an existing road will be required for the intake.

Operation & Maintenance Equipment:

Equipment for O&M of the water supply systems will be procured for the Hom branch Nam Papa (BNP), including basic tools, laboratory equipment and office equipment to be installed at the new WTP.

Appendix 1C 21

Appendix 1C: LARC Fact-Finding: Aerial Images and Superimposed Layout and Locations of Components Intakes, WTP

22 Appendix 1D

Appendix 1D: LARC Fact-Finding: Aerial Images and Superimposed Location of Subproject Components LOCATION PROPOSED WTP LOCATION FOR INTAKE

TO BE INCLUDED IN UPDATED LAEG-DDR

NOTE: Identified areas of components will be indicated in coloured area on aerial images based on the DED in the Updated LACDD R

Appendix 1E 23

Appendix 1E: LARC Fact-Finding: Selected Pictured Impressions

PHOTO 1 PHOTO 2 PROPOSED LOCATION FOR WTP AND BNP OFFICE TYPICAL CONDITIONS OF MAIN ROAD IN HOM

PHOTOS 3 AND 4 DISCUSSED LOCATIONS FOR INTAKES

PHOTO 4 MEETING WITH PNP/PIU AND DISTRICT AND HOM DISTRICT OFFICE

24 Appendix 1F

Appendix 1F: Subproject Grievance Mechanisms Steps, Actions and Levels of Intervention Time V I L L A G E (S U B P R O J E C T A R E A) Address: Villages’ offices ▼ Contact Person: Head of villages (names provided) Phone: Known among villagers 1.1 In the first instance, complainants will raise complaints or grievances to the Village Development Committee (VDC) or another designated village arbitration unit (VAU). 1.2 The VDC / VAU will organize a meeting with the complainants to resolve the issue using its traditional methods of conciliation and negotiation. Max. 5 1 1.3 The meeting will be held in a public place and will be open to other members of the community to ensure transparency. days 1.4 The VDC / VAU aims at clarifications and amicable solution with the complainant. 1.5 This mediation aims at a village internal immediate solution agreed with the subproject. If the complaint cannot be solved at this stage, the next step is to apply. D I S T R I C T I M P L E M E N T I N G L E V E L Address: District office, DNP or PIU ▼ Contact Person: District Governor Mr. Mr. Khamlar Phakaphone Phone: 030 5437357 2.1 Complainant can bring the complaint to the District (Resettlement) Committee (DC). 2.2 Contribution of local administration. Max. 2.3 Participation of village representative/s. 2 10 2.4 DC will meet with the complainant and VDC /VAU to discuss the complaint. days 2.5 DC to provide its decision aiming at a mutual arrangement to solve the complaint. If the complaint cannot be solved at this stage, the next step is to apply. P R O V I N C I A L I M P L E M E N T I N G L E V E L Address: Xaisomboun Province and PIU ▼ Contact Person: Mr. Phoukhong PHOMMAXAYSY and Mr. Viengxay Phone: 0236 210018 and 026 210017 3.1 Complainant can appeal to the Provincial Resettlement Committee (PRC). 3.2 Contribution of authorities. Max. 3.3 Participation of village representative/s 3 10 3.4 PRC will meet with DC and the complainant to clarify the complaint. days 3.5 PRC to inform about its decision aiming to solve the complaint. If the complaint cannot be solved at this stage, the next step is to apply. M I N I S T E R I A L P R O J E C T E X E C U T I N G L E V E L Address: 1. DWS; 2. PCU ▼ Contact Person: Published/ Mr. Vansaveng Outhachack Phone: Published 021 416519 4.1 The complainant can submit his/her grievance to Department of Water Supply (DWS). 4.2 DWS acts on behalf of the MPWT. 4.3 DWS to verify with PRC and DC. Max. 4.4 DWS might consider an independent external opinion in this matter. 4 10 4.5 Ministerial decision about solution. days If the complaint cannot be solved at this stage, the next step is to apply. Before applying step 5, additional efforts should be made to find an agreement between Project and AH. ▼ C O U N T R Y 5.1 Final step to solve land acquisition, boundary and/or compensation issue. 5.2 The complainant may submit through DWS his/her case to the Court of Law. Max. 5 5.3 Court will take note and register the case. 10 5.4 Court to provide final juristic decision. days 5.5 In case of required actions, the complainant and/or Subproject proponent have to follow.

1-5 A S I A N D E V E L O P M E N T B A N K

Appendix 1F 25

Steps, Actions and Levels of Intervention Time Web page: https//www.adb.org/site/accountability-mechanism/how-file-complaint

26 Appendix 1G

Appendix 1G: Subproject Implementation Schedule

Appendix 2A 27

Appendix 2A: LARC District and Village Consultation Meetings – Records Summary on LAC during feasibility study stage. ▪ In March 2020, one district meeting was conducted at district level with 14 participants (3 females and 11 males) and three public meetings in village level took place with 114 participants (35 female and 79 male). In addition, 5 project staff facilitated all these meetings. ▪ The meetings took place in the villages of (1) Ban Namkhien, (2) Ban Phalavaek, (3) Ban Homthard, ▪ Major areas of topics: project description incl. distributed documents, entitlements, GRM, temporary disturbance and counter measures during construction works, others. ▪ In all meetings Mr. Viengxai, the head of PIU, spoke in the language of the Hmong ethnic group.

DATE TYPE OF MEETING AND LOCATION AGENCY PARTICIPANTS DISCUSSION / RESPONSES / OUTCOMES FOLLOW-UP ACTIONS WITH RESPONSIBILITY 2 Combined district and village ▪ PIU ▪ Agencies Total: 14 participants Presentation: March consultation meeting at ▪ Women ▪ Village By sex: • General introduction into topic and specific description on LAC; 2020 PWT Office meeting room Union authority - 3 Female • ADB requirements and Lao regulations on land acquisition, compensation and Time: 09:00 - 11:15 ▪ PNP ▪ Villagers - 11 Male reinstatement of affected assets; ▪ PWT ▪ PIA By Ethnic Group: • Introducing of Grievance Redress Mechanism including PIU, authorities and ▪ DRONE Lao-Tai: 05 chiefs in subproject core villages as addressees; ▪ ES - 02 Female • General introduction of project features and implementation status; ▪ Lao Front - 03 Male • Land requirements for WTP, intake, reservoir and PNP service office based on ▪ Health Mon-Khmer: 02 feasibility study design; office - 0 Female • Confirmation of no impacts on private asset based on feasibility study design; ▪ Village - 02 Male Chief Hmong-Mien: 07 • Category of subproject (ADB category C) relates to no permanent adverse ▪ PIA - 01 Female impacts on private assets, only disturbances during construction work; - 06 Male • The project had handout documents was concern to the content of WSP as (1). Step of grievance for people in core village’s area ;( 2). Decree No. 84 on

IA/PIA [1F + 4M] resettlement and compensation. • Others. Comments - Question - Answer session during village meeting: General: • Head of PIU - Mr. Viengxay: - Welcoming the participants from district and village chiefs. - Underlining motivation of authorities and villages for the project. - Explaining objective of the meeting. Specific: Q1: Mr. Shanghang - DONRE: - Where will be the locations of the WTP and intake? - At which river the intake for the raw water will be? A1: Mr. Viengxai - Head of PIU: - WTP, reservoir and PNP service office will be constructed on governmental land, so that there is no impact on private land. - PNP purposed Nam Hom river, because of location for the WTP of about 2km. It can provide sufficient water even during dry season.

28 Appendix 2A

Appendix 2A: LARC District and Village Consultation Meetings – Records DATE TYPE OF MEETING AND LOCATION AGENCY PARTICIPANTS DISCUSSION / RESPONSES / OUTCOMES FOLLOW-UP ACTIONS WITH RESPONSIBILITY Q2: Mr. Yangyaherbia - Village Chief of Homthard: - When and how long will be the construction time? A2: Mr. Viengxai - Head of PIU: - The timeline for the project includes this year only for feasibility study report and survey with collection of data. After that the technical team will conduct surveys for detail design. In previous projects it took about 2 years; that means by end 2022 construction could be completed or operation could start early 2023. Q3: Mr. Nitor - Deputy head of village: - During construction or installation pipe will there be impact on assets such as structures or trees? Who will compensate for this? A3: PIA: - The policy of the project is in case of impact on assets or structure during construction that the construction company will replace in kind or compensate in cash to owner of affected assets. - There will be disturbances temporally during construction phase, but no permanent impacts on private assets 2 March Consultation meeting ▪ PIU ▪ Agencies Total: 25 participants Presentation: 2020 Village Namkhien ▪ Women ▪ Village By sex: • General introduction into topic and specific description on LAC; Venue village meeting hall Union authority - 10 Female • Introduction into ADB requirements and Lao Decrees concerning land Time: 17:30 - 19:40 ▪ Text ▪ Villagers - 15 Male acquisition, compensation and reinstatement of affected assets; ▪ Text ▪ PIA By Ethnic Group: • Introducing of Grievance Redress Mechanism including PIU, authorities and Lao-Tai: 0 chiefs in subproject core villages as addressees; - 0 Female • General introduction of project features and implementation status; - 0 Male • Land requirements for water supply components based on feasibility study Mon-Khmer: 0 design; - 0 Female • Confirmation of no impacts on private asset based on feasibility study design; - 0 Male Hmong-Mien: 25 • Category of subproject (ADB category C) relates to no permanent adverse impacts on private assets, only disturbances during construction work; - 10 Female - 15 Male • The project distributed (1) step of grievance in A0 Format for people in core village’s area; and (2). Decree No. 84 on resettlement and compensation. IA/PIA [1F + 4M] • Disturbances and counter measures related to construction work; Comments - Question - Answer session during village meeting: General: • Mr. Bitao; Deputy village Chief: welcomed the project team. • Villagers: appreciated the project for their community. • Mr. Viengxai Head of PIU: explained objective of the meeting.

Appendix 2A 29

Appendix 2A: LARC District and Village Consultation Meetings – Records DATE TYPE OF MEETING AND LOCATION AGENCY PARTICIPANTS DISCUSSION / RESPONSES / OUTCOMES FOLLOW-UP ACTIONS WITH RESPONSIBILITY Specific: Q1: Mrs. Miayashong; villager: - I would like to know about connection to houses and whether we have to pay for? A1: PIU - Mr. Viengxay: - You can have 15m from free connection pipe. For longer connections you must buy the pipes. - For the meter or water connections to every house in the core area the policy of the project is to provide free connections during construction phase only. - For your water consumption you have to pay. Q2: Mrs. Miajashong – villager: - When will the project start construction and how long will it take? A2: PIU - Mr. Viengxay: - The timeline for the project includes this year only for feasibility study report and survey with collection of data. After that the technical team will conduct surveys for detail design. In previous projects it took about 2 years; that means by end 2022 construction could be completed or operation could start early 2023. Q3: Mrs. Yashongtor - villager: - During construction work or installation pipe, in case of impact on assets such as structures or trees, who would compensate for? A3: PIU - Mr. Viengxay: - The policy of the WSSP is that in case of impact/damage on structure (fence, floor) the construction company will replace in kind at same or better quality. Damaged trees would be compensated in cash. - There are temporary disturbances expected during construction phase 3 March Village consultation meeting at ▪ Same as ▪ Same as Total: 39 participants Presentation: 2020 Ban Phalavaek village above above By sex: • Same as above meeting hall - 15 Female Comments - Question - Answer session during village meeting: Time: 8:40 – 11:30 am - 24 Male General: By Ethnic Group: • Mr. Paotao - Village Chief: Welcoming the project team. He will ensure that the Hmong-Mien: 39 content of this meeting will be spread in the village as not all households can - 15 Female participate. - 24 Male • Villagers: Confirming their cooperation and support for the project as their village suffers from dependence on spring water supply and the problems in dry IA/PIA [01F + 4M] season.

30 Appendix 2A

Appendix 2A: LARC District and Village Consultation Meetings – Records DATE TYPE OF MEETING AND LOCATION AGENCY PARTICIPANTS DISCUSSION / RESPONSES / OUTCOMES FOLLOW-UP ACTIONS WITH RESPONSIBILITY Specific: Q1: Mr. Vatorlor – villager - Will the existing pipes of the spring water supply be used by the project or not? Would they be kept or taken away? A1: PIU - Mr. Viengxai. - The WSSP project is providing water through pressurized pipes, so that the spring water providing pipes will not be used. Q2: Mr. Yongtor - Villager. - Our spring water supply does not have sufficient clean water. The new project will not use this system, but can people continue to use it? A2: Mr. Viengxai - Head of PIU: - We will not demolish. You can continue using it under your responsibility. 3 March Village consultation meeting at ▪ Same as ▪ Same as Total: 50 participants Presentation: 2020 Ban Homthard village meeting above above By sex: • Same as above hall - 10 Female Comments - Question - Answer session during village meeting: Time: 13 : 50 – 16: 30 pm - 040Male General: By Ethnic Group: • Yongyaher - Village Chief: Welcomes the project team. Lao-Tai: 0 • Villagers: Agree and appreciate with the water supply project - 0 Female Specific: - 0 Male Q1: Mr. Nayerlor - Deputy Village Chief. Mon-Khmer: 0 - For water connection we can have two meter and free connections? - 0 Female - 0 Male A1: PIU: Mr. Viengxai - Head PIU. - One free meter per house or free water connections to every house in the Hmong-Mien: 50 core area, however only during construction phase. - 10 Female Q2: Mr Shongdator/ Villager. - 40 Male - After use of water, everyone has to pay. How much? A2: PNP - Mrs. Khammoung IA/PIA [01F + 4M] - Yes, you have to pay, if not your connection will be closed. The price is

same as in other districts, 4000 KIP for 1000 litres.

Q3: Mr. Kongyator - villager - If people will have an impact on their belongings will there be compensation? A.3: PIU - Mr, Viengxai; - The policy of the WSSP is that in case of impact/damage on structure (fence, floor) the construction company will replace in kind at same or better quality. Damaged trees would be compensated in cash. TOTAL PARTICIPANTS 114 (F:35 / M: 79) LAO-TAI AND MON-KHMER 0 HMONG-MIEN 114 (F: 35 / M: 79) IA/PIA [M(F)] 05 (F: 01 / M: 04)

Appendix 2B 31

Appendix 2B: LARC Joint Consultation Meeting – Attendance Lists VILLAGE: MEETING IN DISTRICT VILLAGE: MEETING IN BAN NAMKHIEN VILLAGE DATE: 2 MARCH 2020 DATE: 2 MARCH 2020 PARTICIPANTS: TOTAL 14 (FEMALE: 03 AND MALE: 11) PARTICIPANTS: TOTAL 25 (FEMALE: 10 AND MALE: 25) FACILITATOR: PIA, PIU AND OTHERS TOTAL 5 (FEMALE: 01 AND MALE:4) FACILITATOR: PIA, PIU AND OTHERS TOTAL 5 (FEMALE: 01 AND MALE:4)

SHOWN IS ONE REPRESENTATIVE PAGE 1 OF 2 ALL ATTENDANCE SHEETS, SHOWN IS ONE REPRESENTATIVE PAGE 1 OF 3 ALL ATTENDANCE SHEETS, WHICH ARE ADMINISTERED BY DWS AND PIA WHICH ARE ADMINISTERED BY DWS AND PIA

32 Appendix 2B

Appendix 2B: LARC Joint Consultation Meeting – Attendance Lists VILLAGE: MEETING IN BAN HOMTHARD VILLAGE DISTRICT: MEETING IN BAN PHALAVAEK VILLAGE DATE: 3 MARCH 2020 DATE: 3 MARCH 2020 PARTICIPANTS: TOTAL 50 (FEMALE: 10 AND MALE: 40) PARTICIPANTS: TOTAL 39 (FEMALE: 15 AND MALE: 24) FACILITATOR: PIA, PIU AND OTHERS TOTAL 4 (FEMALE: 0 AND MALE:4) FACILITATOR: PIA, PIU AND OTHERS TOTAL 5 (FEMALE: 01 AND MALE:4)

SHOWN IS ONE REPRESENTATIVE PAGE 1 OF 5 ALL ATTENDANCE SHEETS, SHOWN IS ONE REPRESENTATIVE PAGE 1 OF 4 ALL ATTENDANCE SHEETS, WHICH ARE ADMINISTERED BY DWS AND PIA WHICH ARE ADMINISTERED BY DWS AND PIA

Appendix 2C 33

Appendix 2C: Baseline Social, Economic, and Gender Consultation Meetings – Records Summary of Village data collection and consultation during feasibility study preparation phase. ▪ From 20th to 21st January 2020 consultation meetings took place in three villages with 83 participants (39 female) excluding PIC, PIU staff and enumerators. ▪ The meetings were conducted in each village of project core area: Phalavaek, Namkhieng and Homthat. ▪ Discussion included: project scope, timing, resettlement and environment issues, cut-off date, water supply system, connection policy, installation of meters, pipe laying, temporary impacts, intake sites, water quality, protection of forests and water sources.

Implementation Phase: Social economic related Consultation for Water Supply Component DISCUSSION / RESPONSES / OUTCOMES FOLLOW-UP ACTIONS WITH DATE TYPE OF MEETING AND LOCATION AGENCY PARTICIPANTS RESPONSIBILITY 20 Village consultation meeting at ▪ PIU ▪ PIU 56 participants Jan Phalavaek village, ▪ Village ▪ Village By sex: Presentation for all village consultation meeting: 2020 Time: 13.30-16.00 authority authority - 29 females • General introduction to the field trip objective and topic of village ▪ Villagers ▪ Villagers - 27 males consultation meeting. ▪ PIA ▪ PIA By Ethnic Group: • Explanation about project activity and project policy. All Hmong • Explaining project implementation, project benefit and involvement/ PIC/PIU contribution of community. [3 participants incl. 1 • Introduction to project implementation steps and ADB requirements female] 7 Enumerators • Explanation of data collection plan for preparation of the Social and Economic Analysis section of the FS at village/household level. • Specific description of social survey activities and methods.

o Enumerators will carry out the Household Survey in all 3 villages o The National specialist will carry out Focus Group Discussions (FGDs) with selected groups: women headed households, poor, ethnic minority groups, business groups etc. o Collect data for preparation of the Social and Economic Analysis section of the FS at village/household level.

Comments – Questions – Answers: General • Clarifying and agreeing on coordination and public consultation concerning dissemination of information and surveys.

34 Appendix 2C

Implementation Phase: Social economic related Consultation for Water Supply Component DISCUSSION / RESPONSES / OUTCOMES FOLLOW-UP ACTIONS WITH DATE TYPE OF MEETING AND LOCATION AGENCY PARTICIPANTS RESPONSIBILITY • Village authorities and villagers understand project policies and benefits. • Village authorities and villagers understand project implementation and schedule. • No problems have been mentioned by attending villagers. • Villagers expressed satisfaction for subproject bringing better living conditions, because water shortage is a big problem for people in this area • Villagers offered their collaboration with the Subproject.

The participants discussed these issues and asked questions about: 1. Does the free water connection policy only apply for households that were recorded by the community development expert during the village consultation, or can new residents and people who move out from their parents’ house also be included? 2. Is the free connection per house or per HH (HHs refer to the family book)? For example: 1 household may contain more than 1 family, and one family may own more than one house. 3. Does the free water connection policy also cover non-residents such as: Businesses, village office, temple etc.……? 21 Village consultation meeting at ▪ same ▪ same 13 participants 4. What standard of toilet will the project accept to be eligible for the January Namkhieng village By sex: free water connection? 2020 Time: 09.30-11.30 - 3 females 5. WTP built by the project can provide clean and treated water and it - 10 males can be drunk straight from the tap without boiling, is it true or not? By Ethnic Group: 6. Can we keep the gravity fed water system or do we have to All Hmong 13 female 3 abandon this system and use only water from new WTP constructed by the Project? PIC/PIU 7. For HHs who are affected by project construction such as: loss of [3 participants incl. 1 land, loss of structures – is there compensation and who will have female] responsibility for the compensation 7 Enumerators, 8. Do we have to pay for water meter charge, if we don’t have any water from the tap in a month? If yes, how much per month? 9. We would like to know about the water tariff.

Appendix 2C 35

Implementation Phase: Social economic related Consultation for Water Supply Component DISCUSSION / RESPONSES / OUTCOMES FOLLOW-UP ACTIONS WITH DATE TYPE OF MEETING AND LOCATION AGENCY PARTICIPANTS RESPONSIBILITY 10. Most people are concerned about monthly water bill, most villagers are farmers, rice provides their main income, a few get cash from selling vegetables from their gardens and farms but not much, and that money is usually saved for medicine and buying things they need that are not available in the village. Specific Points: During the meeting discussion Ms. Malayvanh Phommavanh project Social and gender consultant also explained project key points (project design, plan, implementation, policy and benefit) and answered

participants’ questions. Note that the PIU has not yet been established.

- Most villagers were interested in the project schedule (when the 21 Village consultation meeting at ▪ same ▪ same 14 participants project will be starting, how long will the construction work take and January Homthat village By sex: when will the new water system be able to be used). Some of them 2020 Time: 14:00-16:00 - 7 female ask about compensation for people who are affected by project - 7 male construction. “we explained to the villagers that the district governor By Ethnic Group: and the village authority will be responsible for all compensation All Hmong 14 female 7 arising from this Subproject. The governor’s compensation policy was also explained.” PIC/PIU - Mr. Xonghuavieun, staff of OWPT help to translated into Hmong [3 participants incl. 1 language as most village members don’t understand Lao language. female] Recommendation 7 Enumerators, One question needs to be explained more clearly by a technical specialist in

the next village consultation meeting: • WTP built by the project can provide clean and treated water and it can be drunk straight from the tap without boiling, is it true or not? • The villagers need to know about cost of pipe “How much per meter do I have to pay”, as around 50% of houses are far from the main road and will not be eligible for the free connection. • Does the project have any plan to provide promotional material to help villagers understand the water monthly bill payment, water tariff, how to save water and how to protect the system, because

this type of water system is new for them.

TOTAL PARTICIPANTS FEMALE/MALE 83 M-44, F-39 HMONG Hmong 83, M-44, F-39 LAO-TAI FEMALE/MALE

MON KHMER FEMALE/MALE [9(3)] [IA/PIA]

36 Appendix 2D

Appendix 2D: Social, Economic, and Gender Consultation Meetings – Attendance Lists

Appendix 2D 37

Appendix 2D: Social, Economic, and Gender Consultation Meetings – Attendance Lists

38 Appendix 2D

Appendix 2D: Social, Economic, and Gender Consultation Meetings – Attendance Lists

Appendix 3 39

Appendix 3: Complementary Documentation – Land Use Certificates

Under preparation.

Implementing Agency is following up ongoing status.

Will be included in the updated LAEG-DDR.