Resettlement Plan

February 2019

Lao People’s Democratic Republic: Northern Rural Infrastructure Development Sector Project – Additional Financing

Prepared by the Ministry of Agriculture and Forestry for the Asian Development Bank.

This resettlement plan 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 of this 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.

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Annex-9 Land Acquisition and Compensation Report

Northern Rural Infrastructure Development Sector Project – Additional Financing Annex 9 Feasibility Study on Houay Bong PRI Subproject

TABLE OF CONTENTS EXECUTIVE SUMMARY 1 A. Project and PRI Subprojects 1 B. Land Acquisition and Mitigation Requirements 1 C. Affected Assets of Households 2 D. Consultation, Participation and Grievance Mechanisms 2 E. Planning, Implementing and Monitoring 3 F. Conclusions 4 G. Reporting Notes 4 1. PROJECT DESCRIPTION 5 1.1 Northern Rural Infrastructure Development Sector Project – Additional Financing 5 1.2 Houay Bong Productive Rural Infrastructure Subproject 5 2. SCOPE OF LAND ACQUISITION AND RESETTLEMENT 9 3. SOCIO-ECONOMIC INFORMATION AND PROFILE 10 3.1 Socio-Economic Baseline 10 3.2 Social Impacts 11 3.3 Socio-Economic Survey of Affected Households 12 3.4 Ethnic Groups of Affected Households 12 3.5 Severely Affected Persons 12 4. INFORMATION DISCLOSURE, CONSULTATION AND PARTICIPATION 13 4.1 Requirements 13 4.2 Achievements 13 5. COMPLAINTS AND GRIEVANCE REDRESS MECHANISMS 15 5.1 Requirements 15 5.2 Grievance Approach 15 6. LEGAL FRAMEWORK 17 6.1 Lao Requirements 17 6.2 ADB Regulations 17 6.3 Agreed Key Principles 17 7. ENTITLEMENT, ASSISTANCE AND BENEFITS 20 7.1 Entitled Affected Persons 20 7.2 Loss of Assets and Resources 20 7.2.1 Loss of Land 21 7.2.2 Loss of Houses and Other Structures 22 7.2.3 Loss of Crops and Trees 22 7.2.4 Loss of Common Property Resources 22 8. RELOCATION OF HOUSING AND RESETTLEMENT 22 9. INCOME RESTORATION AND REHABILITATION 22 9.1 Allowances 22 9.2 Special Assistance 22 10. RESETTLEMENT BUDGET AND FINANCING PLAN 23 10.1 Planned Land Acquisition and Compensation Cost Estimate 23 10.2 Compensation or Contribution 23 11. INSTITUTIONAL ARRANGEMENT 26 12. IMPLEMENTATION SCHEDULE 27 13. MONITORING AND REPORTING 28 13.1 Internal M&E 28 13.2 External M&E 28

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LIST OF TABLES Table A9-1: PRI Subproject’s Summary of Affected Assets, Households and Impacts ...... 9 Table A9-2: PRI Subproject’s Feedback from Village Consultation Meetings on LARC ...... 14 Table A9-3: NRI-AF Main Steps of Grievance Mechanisms ...... 16 Table A9-4: NRI-AF Key LARC Objectives ...... 18 Table A9-5: NRI-AF Main Components of Compensation Approaches ...... 19 Table A9-6: NRI-AF Categories of Entitled Affected People ...... 20 Table A9-7: Subproject’s Entitlement Matrix ...... 21 Table A9-8: Subproject’s Land Acquisition and Compensation Budget ...... 25 Table A9-9: Phase II PRI Subprojects Performed and Scheduled LAC Activities...... 27

LIST OF FIGURES Figure A9-1: Locations of PRI Subprojects ...... 7 Figure A9-2: Layout Map of Houay Bong PRI Subproject ...... 8

ATTACHMENT Attachment A9-1 LARC Fact Finding and Screening Attachment A9-2 LARC Consultation and Coordination

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WEIGHTS AND MEASURES ha - hectare kg - kilogram km - kilometer l - liter m - meter m2 or sqm - square meter m3 - cubic meter

CURRENCY EQUIVALENTS (as of 13 August 2018 – kick-off meeting for tendering related additional work)

Currency unit - LAK is the Lao currency kip $1.00 = LAK8,501

SELECTED ACRONYMS

ADB Asian Development Bank AH Affected Household AP Affected Person CEF Compensation and Entitlement Form DAFO District Agriculture and Forestry Office DCO District Coordination Office DD Detailed Design DDR Due Diligence Report DMF Design and Monitoring Framework DLMA District Land Management Authority DMS Detailed Measurement Survey DOI Department of Irrigation DoNRE District Office of Natural Resources and Environment DOP Department of Planning of the Ministry of Agriculture and Forestry DPWT Provincial Department of Public Works and Transport DRC District Resettlement Committee EA Executing Agency EMO External Monitoring Organization FHH Female Headed Household FPG Farmers Production Group FS Feasibility Study GIC Grant Implementation Consultants GOL Government of Lao PDR HH Households IA Implementing Agency IOL Inventory of Loss Lao PDR Lao People's Democratic Republic LAC Land Acquisition and Compensation LACDDR Land Acquisition and Compensation Due Diligence Report LACR Land Acquisition and Compensation Report

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SELECTED ACRONYMS

LARC Land Acquisition, Resettlement and Compensation LFNC Lao Front for National Construction LMA Land Management Authority MAF Ministry of Agriculture and Forestry M&E Monitoring and Evaluation MoNRE Ministry of Natural Resources and Environment MPWT Ministry of Public Works and Transport NLMA National Land Management Authority NPMO National Project Management Office NRIDSP Northern Rural Infrastructure Development Sector Project NRI Northern Rural Infrastructure NRI-AF Northern Rural Infrastructure Additional Financing (the “Project”) NSC National Steering Committee OPWT Office of Public Works and Transport O&M Operation and Maintenance PAFO Provincial Agriculture and Forestry Office PAM Project Administration Manual PBME Project Benefit Monitoring and Evaluation PIU Project Implementation Unit PPME Project Performance Monitoring and Evaluation PPO Provincial Project Office PPSC Provincial Project Steering Committee PPTA Project Preparatory Technical Assistance PRI Productive Rural Infrastructure RCS Replacement Cost Survey RF Resettlement Framework ROW Right of Way RP Resettlement Plan SEBS Socio-Economic Baseline Survey SES Socio-Economic Survey SESAH Socio-Economic Survey of Affected Households SIR Subproject Investment Report TA Technical Assistance TOR Terms of Reference VLD Voluntary Land Donation VRC Village Resettlement Committee WUA Water Users Association WUG Water Users Group

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DEFINITIONS OF LAND ACQUISITION, RESETTLEMENT AND COMPENSATION RELATED TERMS Affected An affected person indicates any juridical person being as it may an individual, Person (AP) a household, a firm or a private or public institution who, on account of the execution of the Program and its subprojects or parts thereof would have their: (i) Right, title or interest in any house, land (including residential, agricultural and grazing land), water resources or any other fixed or moveable asset acquired, possessed, restricted or otherwise adversely affected in full or in part, permanently or temporarily; and/or (ii) Business, occupation, place of work or residence or habitat adversely affected, with or without physical displacement; or, (iii) Standard of living adversely affected. Cut-off date This refers to the date that establishes the eligibility of affected persons. To be consistent with previous projects under the Ministry of Agriculture and Forestry, the cut-off date for this project coincides with the completion of the census of affected persons after the Provincial Coordination Unit officially informs the public about the Project and its locations. Anyone who occupies or encroaches into the defined boundaries of the Project area after the cut-off date will not be compensated for affected assets and incomes. Compensation Payment made in cash or in kind to APs at replacement cost for assets, resources and/or sources of livelihood and income acquired or adversely affected by the project. Indigenous A distinct, vulnerable, social and cultural group possessing the following Peoples characteristics in varying degrees: (i) self-identification as members of a distinct indigenous cultural group and recognition of this identity by others; (ii) collective attachment to geographically distinct habitats or ancestral territories in the project area and to the natural resources in these habitats and territories; (iii) customary cultural, economic, social, or political institutions that are separate from those of the dominant society and culture; and (iv) a distinct language, often different from the official language of the country or region. For the Lao context, the term Ethnic Group is used rather than IP. Involuntary The SPS (2009) considers resettlement involuntary when the displaced Resettlement persons have no right to refuse the land acquisition by the state that result in their displacement. This occurs when land is acquired through (i) expropriation by invoking the eminent domain power of the state, or (ii) land is acquired through negotiated settlement when the pricing is negotiated in a process where expropriation will be the consequence of a failure in the negotiation. Land The process whereby an individual, household, firm or private institution is Acquisition compelled to alienate all or part of the land s/he/it owns or is in the process of getting ownership of in favor of the government for the Project in return for compensation at replacement cost. Rehabilitation The process to restore income earning capacity, production levels and living standards in a longer term. Rehabilitation measures are provided in the entitlement matrix as an integral part of the entitlements. Relocation The physical displacement of an AP from her/his pre-project place of residence and/or business Replacement The amount in cash or in kind needed to replace lost assets at the time of Cost payment of compensation, including cost of transactions. If land, it means the cost of buying a replacement land near the lost land with equal productive potential and same or better legal status, including transaction costs. If structures, the replacement cost is the current fair market price of building materials and required labor cost without depreciation or deductions for salvaged building material or other transaction cost. Market prices will be used for crops, trees and other commodities.

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DEFINITIONS OF LAND ACQUISITION, RESETTLEMENT AND COMPENSATION RELATED TERMS Resettlement Resettlement Plans (RPs) are time-bound action plans with budget setting out Plans resettlement strategy, objectives, entitlement, actions, responsibilities, monitoring and evaluation. Resettlement Refers to all physical and socioeconomic displacements and various measures provided to DPs or AHHs to mitigate all adverse impacts of the project, including compensation, relocation, and rehabilitation as needed. Severely This refers to Affected (a) AHHs adversely impacted by the project, who will (i) lose 10% or more of Households their total productive assets (generating income); and/or (ii) have to relocate. (b) AHHs non-adversely affected who will lose over 30% of total irrigated land holding (in command area) as less than this level of impact is still comfortably within the modelled financial benefit of irrigation where net farm incomes increase on average by over 70%. Voluntary Land Voluntary Land Contribution refers to households voluntarily giving part of Contribution their land for the use of the project in exchange for direct and significant benefits for their household income and livelihoods. The important principles in the process are informed consent and power of choice. Informed consent means that the person involved is fully knowledgeable about the project and its implications and consequences and freely agree to participate. Power of choice means that the person involved has the option to agree or disagree with the land contribution, without adverse consequences being imposed formally or informally by the state. The HH is prepared to provide the land in exchange for securing project benefits without requesting any compensation for loss of land, or any other support/assistance. Voluntary Land Voluntary Land Donation refers to voluntary contribution to the Project Donation through donation of lost land of AH without requesting any (i) compensation for loss of land; and (ii) support/assistance for which they would be entitled. Voluntary donation of land shall be allowed under the following criteria: (i) The impacts are marginal (based on percentage of loss and minimum size of remaining assets); (ii) Impacts do not result in displacement of households or cause loss of household’s incomes and livelihood; (iii) The households making voluntary donations are direct beneficiaries of the project; (iv) Land donated is free from any dispute on ownership or any other encumbrances; (v) Consultations with the affected households is conducted in a free and transparent manner; (vi) Land transactions are supported by transfer of titles; and, (vii) Proper documentation of consultation meetings, grievances and actions taken to address such grievances is maintained. For sub-projects with voluntary land donation, an independent external party will be engaged to verify that land acquisition follows the principles and procedures set for the Project. Vulnerable These are distinct groups of people who might suffer disproportionately or Groups face the risk of being further marginalized due to the project and specifically include: (i) female-headed households with dependents; (ii) household heads with disabilities; (iii) households falling under the national poverty households; (iv) elderly headed households who have no other means of support; and (v) landless.

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EXECUTIVE SUMMARY A. Project and PRI Subprojects 1. Considering satisfactory Project implementation progress for 26 subprojects under project years 1, 2 and 3 in the provinces of Bokeo, Luang Namtha, and Phongsaly, the Government of Lao PDR requested and has received though a Small-PPTA additional financing for additional 22 productive rural infrastructure (PRI) subprojects from ADB of $35.6 million which became effective on 26 July 2017. The government of Lao PDR will contribute $2.0 million equivalent towards the project’s estimated total cost of $37.6 million The Northern Rural Infrastructure Development Sector Project Additional Financing (NRI-AF) has been grouped into phases I to IV (i) to increase the total number of public rural infrastructure subprojects to be implemented, and (ii) to extend the productive rural infrastructure activities into Oudomxay Province which originally was provided only with agricultural extension activities. The NRI-AF main aim is to provide the rural community with access to and participation in the market economy. This is to be realized through the increase in incremental production of saleable commodities and promotion of agricultural productivity. The NRI-AF has four main outputs:

(i) Production and productivity enhancing rural infrastructure constructed and/or rehabilitated. (ii) Productivity and impact enhancing initiatives adopted. (iii) Capacities of national, provincial and district agencies strengthened to enable a sector development approach. (iv) Project managed and PRI subprojects delivered efficiently and effectively.

2. The Houay Bong PRI Subproject is located in Pha Oudom District, Bokeo Province. The Subproject is expected to benefit twelve (12) villages: (i) Nam Gnao; ii) Houay Bong; (iii) Sidonechai; (iv) Haad Lee; (v) Houay Sang, (vi) Hangdoi, (vii) Phonxay; (viii) Phounglath; (ix) Homsouk; (x) Xaysavang; (xi) Nahom; and (xii) Pangthong. The villages are located at the range of 2 to 35 km from Pha Oudom District center and 66 to 85 km from Houaysay District, the provincial capital of Bokeo. The 12 beneficiary villages have a total of 1,445 households (HHs) composed of 6 different ethnic groups; Lao-Tai 580 HHs (40%) (Tai Lue, Tai Dam and Lao Loum), Mon-Khmer 798 HHs (55%) (Khmou and Lamet), and Hmong- Mien 67 HHs (5%) (100% Hmong). From these villages’ population, there will be 495 HH directly benefiting from this PRI subproject.

3. The Houay Bong PRI Subproject aims to increase the effective irrigated crop area from 260 ha to 310 ha. The cropping system that will be introduced to maximize the use of irrigation water will be rice during the wet season and rice and other commercial crops during the dry season.

4. The Houay Bong PRI Subproject is composed of 5 irrigation sub-schemes of i) Houay Mouak, ii) Houay Kin, iii) Houay Khong 1, iv) Houay Khong 2, and v) Houay Neuam. These 5 irrigation sub-schemes are located scattered by each other within a straight distance of 16 km to the north, 6 km to the south, and 11 km to the west from Pha Oudom district center. All the sub-schemes are accessible via laterite road by all types of vehicle only during the dry season. It will construct new and rehabilitated weirs and canals to provide reliable irrigation infrastructure to the farming communities.

B. Land Acquisition and Mitigation Requirements 5. This PRI subproject will involve physical changes through rehabilitation of existing and construction of new irrigation infrastructure. For all 5 irrigation sub-schemes, viz. Houay Mouak, Houay Kin, Houay Khong 1 and 2, and Houay Neuam, this infrastructure will not require land acquisition for weir and canal rehabilitation, as they are in the river management lines and following canal alignments respectively. But probably O&M roads all 5 irrigation sub-schemes could have requirements of private land, which, however could not be identified at FS stage

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(Note: the currently ongoing DD design is in a clarifying and not yet final stage on O&M road corridors (alignments)). Thus this is subject of review through LARC field work during DD stage.

6. The rehabilitation and construction works of the irrigation sub-schemes can lead to requirements for acquisition of private assets or other adverse impacts on people: (i) Expected loss of agricultural land. (ii) No loss of residential land. (iii) No loss of primary structures and thus no relocation of houses. (iv) No loss of secondary structures. (v) No loss of common property. (vi) No loss of trees and crops. (vii) No cases of economic displacement. (viii) Potential cases of vulnerable people. C. Affected Assets of Households 7. The mitigation approach of this PRI Subproject (i) has been embedded in the entitlement, assistance and benefits approach as defined in the Project Resettlement Framework (RF), (ii) is compliant with ADB’s Safeguard Policy Statement (2009), and (iii) has been orientated in the Lao legal context.

8. For the preparation of the Final FS, complementary collaboration on land acquisition and compensation (LAC) requirements took place in September/October 2018 between GIC resettlement and engineering teams and verification with PPO/DCO about technical features and affected households (AHs) in order to provide a verified overview on land acquisition and compensation requirements and AHs as required by Lao Resident Mission of ADB.

9. Although the FS design did not define the Operation & Maintenance roads’ corridor of impact it is expected that this to be rehabilitated or new infrastructure component will require some land acquisition, so that AH cases can be expected, but cannot yet be estimated. Therefore, AH related surveys will be conducted during detailed design stage and results presented in the Draft Updated LACR. Independent from specific impacts, these AHs will have priority to participate in the PRI subproject’s associated initiatives aiming at the support to the farming households including AHs, and will obtain priority for temporary job opportunities through contractor as defined in the contract specifications.

10. Temporary land requirements for access and site installations will be designed by the contractor and approved during the construction phase by the resident site engineer. Any land acquisition requirements shall follow the same principles as set out in the Resettlement Framework (RF).

11. Consequently, no resettlement budget has been prepared at the FS stage, but will be calculated in case the above indicated expected loss of private land would be confirmed at DD stage. The PRI subproject’s associated initiatives are covered through a separate budget of the Project. In addition, the costs for land acquisition, resettlement and compensation (LARC) and safeguards implementations are borne also by separate budgets.

D. Consultation, Participation and Grievance Mechanisms

12. The consultation took place through public meetings and individual discussions during surveys (measurements surveys, socio-economic survey of AHs, and/or transect walks) ensuring that (i) the views and needs of Project beneficiaries are taken into account by the design, (ii) key information relating to the PRI Subproject, including objectives, scope, implementation arrangements and support to user groups is clearly communicated, and (iii) any concerns can be heard and addressed. This Land Acquisition and Compensation Report (LACR) has been based on a consultative and participative approach with authorities and villagers: A9 - 2 Northern Rural Infrastructure Development Sector Project – Additional Financing Annex 9 Feasibility Study on Houay Bong PRI Subproject

(i) Five public Project introduction village meetings in May and July 2017 at village meeting places with 72 female and 214 male participants adding to 286 participants composed of 283 Lao-Tai, 1 Mon Khmer, and 2 Hmong Mien. (ii) Five public LARC meetings in November and December 2017 with 39 female and 212 male participants leading to a total of 251 participants composed of 176 Lao-Tai, 51 Mon Khmer, 2 Tibetian–Chinese and 22 Hmong Mien. They cover topics, such as, but not limited to, status of the PRI Subproject, asset measurements surveys, socio-economic surveys of affected households, joint field transect walks, entitlement, compensation, grievance redress mechanism, construction/rehabilitation work, environmental construction supervision including health and safety. (iii) Preliminary Measurements Survey (PMS) in November and December 2017 during joint transect walks with villagers, village representatives, Provincial Project Office (PPO) and District Coordination Office (DCO) staff and Grant Implementation Consultants (GIC) with focus on specific reviews of potential acquisition requirements of the concerned strips of land along the main canal alignment. (iv) As there are no affected households (AHs) no socio-economic surveys of affected households (SESAH) were conducted.

13. The defined grievance approach aims at having complaints ideally passed through four stages before they could be elevated to a court of law as a last resort. The Grievance Redress Mechanism’s (GRM) objective is to handle and solve any complaints in four stages before a complainant would approach a court. Affected persons are entitled to lodge complaints regarding any aspect of the preparation and implementation of land acquisition and compensation without prejudice to their right to file complaints with the court of law at any point in the process. The villagers understand that there are no costs for them, as they can make any verbal or written complaint for free at any stage of the PRI Subproject.

14. During the fieldwork GIC received frequently feedback from the contacted households indicating their high satisfaction of the PRI Subproject bringing them a range of advantages, such as better irrigated agricultural conditions for their irrigation sub-schemes, and improvements including a higher living standard. Therefore, they expressed their hope for a very soon start of construction works.

E. Planning, Implementing and Monitoring

15. The FS related planning of compensation and mitigation measures has been based on the preliminary measurement survey (PMS) carried out in November 2017 combined with joint transect walks clarifying with owners of land, villagers and/or and village representatives ownership of land and existing right-of way (RoW).The final DD related planning of compensation and mitigation measures will have to be based on a DMS combined with a joint transect walk clarifying with owners of land and village representatives the ownership of land and existing right-of way (RoW). In case of confirmed impacts on privately owned land, an inventory of loss (IOL) and a SESAH will be required. This will be documented in an Updated LACR.

16. The Ministry of Agriculture and Forestry (MAF) is the executing agency (EA) for the Project with the responsibility for overall project coordination and management transferred to its Department of Planning which has established the National Project Management Office (NPMO) for day-to-day coordination and management of the Project. The implementing agencies at the provincial level are the Provincial Agriculture and Forestry Offices (PAFO). Provincial Project Offices (PPOs) have been established within each PAFO to be responsible for PRI subprojects related financial management at provincial level, and coordination and management of implementation of PRI subprojects. To assist implementation of the subproject at the district level, District Coordination Offices (DCOs)

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have been established within District Agriculture and Forestry Offices (DAFOs) mainly to coordinate and supervise subproject activities.

17. This PRI Subproject has the same schedule as all seven Phase II subprojects to commence construction work by April 2019 with expected completion after 15 months in June 2020 including a 3 months suspension period of work between July and September because of the rainy season.

18. During implementation the external and internal Monitoring and Evaluation (M&E) is required, but for the operation phase the internal M&E should also take place. In the event that unexpected adverse impacts on assets of AHs and/or Affected Peoples (APs) would occur, suitable requirements and arrangements will be made for mitigation measures and compensation actions as for Category B PRI subprojects. Also in such a case, its technical approach has to be transparent, and any data or information made available to involved stakeholders either in Lao and/or English language, whichever is more comprehendible for a given stakeholder group.

F. Conclusions

19. This Land Acquisition and Compensation Report (LACR) indicates based on the expected impacts at feasibility study level that this subproject is to be grouped under ADB category B of the ADB’s Safeguard Policy Statement.

20. The updated land acquisition planning during detailed design stage will aim at reviewing, planning, preparing and implementing the formal acquisition and compensation of assets.

G. Reporting Notes

21. This LACR has chosen only relevant chapters from preparation requirements for Resettlement Plans as outlined in the “ADB’s Safeguards Policy Statement (2009).

22. The Lao PDR Decree 2432 (dated 11/11/2005 on “Regulations for Implementing Decree 192 dated 07/07/2005 on Compensation and Resettlement of People Affected by Development Project”) has been replaced by the Decree No. 84/PM “Compensation and Resettlement Management in Development Projects” of the Prime Minister dated 04 May 2016. In accordance with this document a resettlement planning document is called “Land Acquisition and Compensation Report” if impacts of the project are not serious, which is the case for this PRI Subproject.

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1. PROJECT DESCRIPTION

1.1 Northern Rural Infrastructure Development Sector Project – Additional Financing

23. The Northern Rural Infrastructure Development Sector Project - Additional Financing (NRI-AF) main aim is to provide the rural community with access to and participation in the market economy. This is to be realized through the increase in incremental production in saleable commodities and promotion of agricultural productivity. NRI-AF has four main outputs:

(i) Production and productivity enhancing rural infrastructure constructed and/or rehabilitated. (ii) Productivity and impact enhancing initiatives adopted. (iii) Capacities of national, provincial and district agencies strengthened to enable a sector development approach. (iv) Project managed and subprojects delivered efficiently and effectively.

24. Considering satisfactory project implementation progress, the Government requested for additional financing. This was investigated during the project midterm review in April 2014 and in more detail during the ADB review mission in November 2014. The additional financing was approved by the ADB on 31 May 2017 for $35.6 million and became effective on 26 July 2017. The government of Lao PDR will contribute $2.0 million equivalent towards the project’s estimated total cost of $37.6 million. It will cover construction, rehabilitation and/or improvement of rural roads and irrigation systems intended to bring socio-economic benefits to rural communities. It will entail: (i) an increase in the total number of productive rural infrastructure (PRI) subprojects to be implemented; and (ii) extension of rural infrastructure activities into Oudomxay Province which originally was provided only with agricultural extension activities. The indicative number of additional PRI subprojects totals 22 with four in Oudomxay Province and six each in the other three provinces Bokeo, Luang Namtha, and Phongsaly. Although it is expected that 22 PRI subprojects will be implemented, a list of 30 PRI subprojects will be identified in case a proposed PRI Subproject will be found not feasible during the feasibility study process. The map in Figure A9-1 shows the 4 project provinces with its PRI subproject districts.

1.2 Houay Bong Productive Rural Infrastructure Subproject

25. The Houay Bong PRI Subproject aims to increase the effective irrigated crop area from 260 ha to 310 ha. The cropping system that will be introduced to maximize the use of irrigation water will be rice during the wet season and rice and other commercial crops during the dry season. It focuses on the above listed outputs (i) and (ii).

26. The PRI subproject development plan (see Attachment A9-1.3) was examined in view of i) beneficiary needs, ii) economical and technical viability, and iii) climate resilience. The proposed Houay Bong PRI subproject development plan for the 5 irrigation sub- schemes includes i) replacement of the existing wooden weir with concrete weir, ii) upstream and downstream erosion protection of the weir, iii) construction of fish pass at the weir, iv) concrete lining of main and secondary canal, and v) rehabilitation of rural access road for farm to market and O&M of irrigation facilities, etc.

27. The total PRI subproject command area is 310 ha, out of which, 50 ha for Houay Mouak, 70 ha for Houay Kin, 68 ha for Houay Khong 1, 67 ha for Houay Khong 2, and 55 ha for Houay Neuam irrigation sub-scheme. The cropping system that will be introduced to maximize the use of irrigation water will be rice during the wet season and rice and other commercial crops during the dry season.

28. Houay Bong PRI Subproject is composed of 5 irrigation sub-schemes of i) Houay Mouak, ii) Houay Kin, iii) Houay Khong 1, iv) Houay Khong 2, and Houay Neuam. These 5

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irrigation sub-schemes are located scattered by each other within a straight distance of 16 km to the north, 6 km to the south, and 11 km to the west from Pha Oudom district center. All the sub-schemes are accessible via laterite road by all types of vehicle only during the dry season

29. Besides the irrigation improvement, productivity and impact enhancement initiatives will be delivered by the Project. These initiatives will comprise of compulsory and optional initiatives. The compulsory initiatives will include (i) support for Water Users’ Groups (WUGs) established to operate and maintain the rehabilitated irrigation facilities; and (ii) water catchments identification and zoning. Establishment of a WUG includes formulation of WUG rules, roles and regulations (RRR), WUG registration and WUG capability development. The WUG capacity building will focus on WUG management, WUG financial management and irrigation system O&M training, further strengthening to be a WUGA, an active association for enabling sustainable marketing of agricultural products. Consultation with the district office will be further conducted to develop Catchment Management Plan for the area upstream of the river. Optional initiatives will need to be further discussed with the beneficiaries during detailed design stage and could be selected from production, post- harvest handling, processing and the development of market linkage initiatives.

30. Figure A9-2 contains a map showing the layout of the PRI subproject’s infrastructure.

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Figure A9-1: Locations of PRI Subprojects

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Figure A9-2: Layout Map of Houay Bong PRI Subproject

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2. SCOPE OF LAND ACQUISITION AND RESETTLEMENT

31. A Preliminary Measurement Survey (PMS) has been conducted in November and December 2017 combined with joint transect walks of farmers, village representatives, PPO/DCO staff and consultant along the corridor of impacts to indicate potential loss of private assets and quantifying it directly at the affected location. This has been revised in November/December 2017 followed by final verification in September/October 2018. A LARC screening including photos has been prepared in Attachment A9-1 summarizing no requirements for acquisition of private land and other assets.

32. This PRI Subproject involves physical changes through rehabilitation and construction works of irrigation infrastructure. For the 5 irrigation sub-schemes land requirements are expected for O&M roads, but could not be identified at FS stage, as alignment related corridors of impacts were not yet designed, so that it will be subject of LARC review during DD stage. Concerning main canals the design has followed existing alignments to avoid any land acquisition. Technical features and number of AHs have prepared under Attachment A9-1.4.

33. There are no expected impacts on private trees, houses and other structures, community resources, livelihoods and economic activities. However, some private land potentially can be affected by the Project’s land requirements. There are no impacts on crops and income, as farmers informed in public meetings, that they do not practice dry season cultivation. Furthermore, there is no impact on community resources, and no economic displacement expected, as well as no requirement for physical relocation of households. Thus, the construction work will not lead to adverse impacts for farming households.

34. For any temporary site installation and access roads the contractor will have to propose a site installation and access plan and obtain approval by the resident site engineer. Where possible, public land will be used. Through a transparent and contractual approach, the Employer will provide the contractor with the Project’s land acquisition and compensation principles 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, (vi) and other items specified. The Employer will have to monitor this. The item temporary site installation and access roads are covered in the General Conditions of Contract under item 69.

Table A9-1: PRI Subproject’s Summary of Affected Assets, Households and Impacts Affected Households Type Affectedness Sex Severity of of Irrigation Sub-schemes: Affected Residential of Head of Asset Houay Mouak ; Houay Kin Persons Village Impact Affected Houay Khong 1&2 ; Houay Neuam Household At FS stage not confirmed. Prod. Land Expected for all sub-schemes To be determined at DD stage Trees Res. Land None 0 Prim. Structures Sec. Structures R E S U L T  This will be subject of review during detailed design stage.  There will also be no impact through construction works on dry season agriculture, as all irrigation sub- schemes (i) have no dry season rice cultivations.

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3. SOCIO-ECONOMIC INFORMATION AND PROFILE

3.1 Socio-Economic Baseline

35. The information of this Chapter 3.1 has been extracted from the Social Impact Assessment (chapter 3.1 socio-economic conditions) of the feasibility study.

36. The Houay Bong PRI Subproject is located in Pha Oudom District, Bokeo Province. The Subproject is expected to benefit twelve (12) villages: (i) Nam Gnao; ii) Houay Bong; (iii) Sidonechai; (iv) Haad Lee; (v) Houay Sang, (vi) Hangdoi, (vii) Phonxay; (viii) Phounglath; (ix) Homsouk; (x) Xaysavang; (xi) Nahom; and (xii) Pangthong. The villages are located at the range of 2 to 35 km from Pha Oudom District center and 66 to 85 km from Houaysay District, the provincial capital of Bokeo. Their features can be summarized as follows:

(i) The twelve beneficiary villages have a total of 1,445 households (HHs) composed of 6 different ethnic groups; Lao-Tai 580 HHs (40%) (Tai Lue, Tai Dam and Lao Loum), Mon-Khmer 798 HHs (55%) (Khmou and Lamet), and Hmong-Mien 67 HHs (5%) (100% Hmong). Tai Lue ethnic group, firstly, came to settle in small valleys along the Mekong River and its tributaries from 19th to mid- 20th century. Tai Lue villages such as Xaysavang (1893), Haad Lee (1912) and Sidonechai (1943) were established during the period. Tai Dam people, which also belong to Lao-Tai ethno-linguistic group, set up Phounglath village in 1945. At the end of the 2nd Indochina War, non-Lao-Tai ethno-linguistic groups living along the mountain slopes in Pha Oudom started to move down to the lowland area following the government’s promotion to settle in the lowland area. Khmou villages such as Homsouk, Phonxay and Houay Sang were created from 1975 to 1980. Pangthong, Haad Mouak and Nahom, which are composed of Lamet, Khmou and Lue ethnic groups, were established from 1988 to 1999. Hangdoi, a new Hmong village, was set up in 2006 (ii) Although the different ethnic groups have their own language/dialect, more than 95% of the population of the twelve villages can speak Lao National Language. Among the non-Lao-Tai Ethno-Linguistic Group in the twelve villages, more than 99% of both male and female Lamet people (Mon-Khmer Ethno- Linguistic Group), 93% of male and 92% of female Khmou people (Mon- Khmer Ethno-Linguistic Group), and 88% of male and 86% of female Hmong people (Hmong-Mien Ethno-Linguistic Group) can communicate in the Lao National Language. The different ethnic groups had been living in the area for quite some time and according to interviews, there had been no differences or conflicts among or between ethnic groups. There are existing village Lao Front for National Construction (LFNC) who are very active in representing ethnic groups and are functioning as the grievance and mediation groups for the villages in coordination with village authorities. The LFNC represents the interests of all ethnic groups in village meetings and community development activities. (iii) This PRI Subproject is expected not to affect any of the culture, traditions, beliefs and existing production system in the area. (iv) The leaderships of village organizations are dominated by men, although there are women in the memberships. Women are burdened with household responsibilities, work alongside men in agriculture/production activities and share decision-making responsibilities with men. The representation, involvement and participation of women besides the community development activities, should be promoted in the PRI Subproject activities including the associated initiatives. (v) On work distribution for agriculture production works, men are seen to be responsible of many of the activities, especially those that are considered

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“muscle” or masculine works such as land preparation, irrigation, fertilizer application, hauling/transport and milling. Women are seen to be responsible of planting/transplanting. Most of the agriculture production works are seen to be shared responsibilities such as seed sowing/nursery, pulling seedlings, harvesting, threshing, fish pond management and business (store, buy and sell, trading, etc.). Decision-making responsibilities are considered to be dominated by men or shared by both gender. Decision-making responsibilities such as, budget allocation/utilization, education of children, crops to plant, livestock to raise, equipment to buy, and home appliances to buy are recognized to share by both genders in the subproject area. (vi) Regarding the labor requirement for subproject implementation, the total available labor in the 12 villages is 4,514 persons. The available labor in the villages is substantial to support the labor requirement of the PRI subproject. (vii) Rice sufficiency situation based on the Village Household Masterlist shows that 30% of the total 1,445 HHs are insufficient with rice more than one month, while 70% are either rice sufficient or surplus with rice. Village Agro-Socio- Economic Survey reveals that the total rice production in the 12 villages for the last 3 years (2014, 2015, 2016) had been sufficient for the rice requirement of the population in the beneficiary villages. However, 4 villages of Vangpom, Haad Lee, Houay Sang and Pangthong could not produce enough rice for the requirement of the each village. This is due to the limited irrigated and rainfed lowlands in the villages compared to the other villages. In addition, the population density is relatively high as the PRI subproject area is located nearby the district center. (viii) Based the Village Household Masterlist, 1,075 HHs (or 74%) in the area are classified to be at medium income level, 320 HHs (or 22%) are reported to be poor and 50 HHs (or 3%) are high income category. For the distribution on type of houses, 26% are modern houses made of concrete and iron/tile roofing, 52% are medium houses made of combination of local materials, concrete and iron roofing, and 22% of houses are small ordinary houses made of local materials such as bamboo, wood and grass.

3.2 Social Impacts

37. This PRI Subproject has the following potential main impacts:

(i) Increase household income and hence, reduce poverty. (ii) Improvement of the economic conditions of beneficiary households due to: (a) improved irrigation water availability in irrigated areas; (b) increase in irrigated area in both seasons; (c) increase rice yield and production; (d) and promote production of high value for other crops during the dry season. (iii) Generate additional demand for hired labour due to increase in crop production activities in the area for two seasons. (iv) Promote a more active economy for the villages due to increased production of rice and other crops, increased household income, potential commercialization of rice surplus and high value crops, and demand for production inputs. (v) Savings on labor, time and local materials for the beneficiary households from any repair of the existing irrigation infrastructure particular during wet seasons.

38. It will enable intensification (increased frequency) of cropping in the irrigation sub- scheme areas through increased reliability of water supply.

39. During its fieldwork the Grant Implementation Consultants (GIC) could notice a widespread support for the irrigation sub-schemes both amongst those with irrigated land and those without as there is an expectation that intensification of cropping will provide increased demand for farm labor.

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40. In addition some residents expect an opportunity for temporary employment through a contractor for construction works.

3.3 Socio-Economic Survey of Affected Households

41. No cases of AHs at FS stage confirmed, only indicated the probability of AHs along O&M roads, which will require detailed review and LAC field work for updating this LACR.

42. However it was notable, that in general households talking with GIC during field work stressed their expectation of an improvement of their livelihoods through an improved irrigation scheme as their incomes depend heavily on agricultural and farming activities.

3.4 Ethnic Groups of Affected Households

43. No cases of AHs at FS stage to report, but expected because of final land requirements to be based on the DD.

3.5 Severely Affected Persons

44. No cases of severely APs expected.

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4. INFORMATION DISCLOSURE, CONSULTATION AND PARTICIPATION

4.1 Requirements

45. In general a meaningful consultation is a process that (i) begins early in the project preparation stage and is carried out on an ongoing basis throughout the project cycle; (ii) provides timely disclosure of relevant and adequate information that is understandable and readily accessible to affected people; (iii) is undertaken in an atmosphere free of intimidation or coercion; (iv) is gender inclusive; (v) enables the incorporation of all relevant views of affected people and other stakeholders into project design and implementation; and (vi) ensures the participation of AHs in planning, implementation, and monitoring and evaluation of resettlement programs.

46. The Feasibility Study design related PMS indicated that this PRI Subproject will cause resettlement impacts. However, as the FS could not specify yet specific affected areas, no inventory of loss and no census survey through a SESAH were performed. These steps are embedded in a transparent consultation process with public village meetings as defined by the resettlement planning section of the Resettlement Framework (RF). The villagers participated throughout the various stages of LARC planning of the irrigation sub- schemes, and were properly informed of all related activities. The information includes among others the specific activities, schedules, and potential impacts and mitigation measures. The information exchange was in form of public meetings hold by the respective PPO, DPO and village committees or representatives as required in the consultation and participation section of the RF.

4.2 Achievements

47. The Project’s continuous disclosure of information, consultation and participation of residents has already a history. It started in 2010 with the PPTA for 3 representative subprojects, and continued under the NRI between 2011 and 2015 during the implementation of 26 subprojects of project years 1 to 3. In 2015 and 2016 a Small PPTA for 2 representative PRI subprojects under project year 4 (phase I) was undertaken. In 2017 the implementation under NRIAF for 22 PRI subprojects started for project years 4 to 7 (phase I to IV) scheduled to be completed in 2022. Attachment 9-2.1 provides a summary of general project and specific social safeguard consultation both related to project phase II. The consulted residents have a fair idea about this PRI Subproject, and show an open attitude and a very supportive behavior towards the irrigation sub-schemes in their villages, as irrigation is a topic of high interest. They did not raise concerns or issues.

48. Provincial and district officials, as well as village representatives, households and families have been provided with an overview of the PRI Subproject in general and LARC aspects in particular. The PRI subproject ensured that potential affected persons and other stakeholders have villagers and other stakeholders have (a) obtained information at various design stages, and (b) opportunities to participate in the land acquisition process. An overview about LARC related governmental coordination and community consultation has been prepared in Attachment A9-2.3

49. 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) village meeting/s and (b) individual clarifications, in addition to (c) joint transect walks. During PMS fieldwork, GIC initially explained to both staff from implementing agencies and consulted farming residents general aspects about participation of affected people in land acquisition activities, the involvement of district and village leaders in the overall process, type of compensation and mitigation measures.

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50. The feedback of contacted people given to GIC concerned mainly their opinion and support to the irrigation sub-schemes, some design items such as existing or new alignments, and possible impacts and benefits for the villages. As part of the LAC related fieldwork measurement surveys were carried out, as well as consultation and discussions undertaken with villagers, so that their findings have been considered by the preparation of this LACR. Table A9-2: PRI Subproject’s Feedback from Village Consultation Meetings on LARC Indicative Totals of Responses by Gender Item All Majority Average Minority None Do not No. Question Applic- 100% ca. 75% ca. 50% ca.25% 0% know Content ation F M F M F M F M F M F M

Irrigation sub-schemes: Irrigation Abbreviations Houay Mouak = ISbS-HM; Houay Kin = ISbS-HK ; Houay Khong 1 = ISbS-HK1; Houay Sub- Khong 2 = ISbS-HK2; Houay Nauam = ISbS-HN; scheme LAC requirements No irrigation sub-scheme has requirements for private land acquisition and compensation

Q-1 Do you support the Project? Yes All ISbS

Q-2 Do you support the canal scheme? Yes All ISbS

Would you agree in permanent canal/road No Q-3 alignments on your land? cases

Would you agree in temporary construction Q-4 Possibly All ISbS access on your land?

If land or other Contribution to PRI assets will be Subproject No This will become clear in case there would land acquired, what is Land for land con- Q-5 affected households and the AP/s will take their your preferred compensation firmed decision in this matter during DD stage. compensation Cash compensation for cases option? land

What is your Village committee All ISbS preferred District committee Q-6 Yes conflict resolution Provincial committee option? Civil court

If land or other Education of children assets will be Building new houses No The observation was made, that this might be more acquired, what is con- Q-7 Small business realistically answered when decision will have been your preferred use firmed Deposit in bank taken by AHs. of compensation Consumption cases fees? Others

If you lose majority Work outside of land, what are Open shops No Q-8 your preferred Run restaurants/hotels cases options for future Have small business livelihoods? Training, etc.

Totals 4 4 4 0 0 0 0 0 0 0 0 0 0

Comments from Participants C-1 This table summarises the feedback obtained from all irrigation sub-schemes. C-2 Villagers confirmed their willingness to cooperate with the PRI Subproject.

Notes from Consultant N-1 Main facilitators for public meetings: PPO, DCO, GIC. Main items discussed: (i) Introduction and status of the PRI Subproject; (ii) Briefing on LARC aspects; (iii) Land requirements and impacts; (iv) Agreeing on joint transect walks; (v) Clarifying survey requirements; (vi) Formal N-2 land acquisition procedures; (viii) Construction schedule; (viii) Others; (ix) Open discussion with interest of participants only in (a) irrigation sub-scheme areas; (b) voluntary contribution, and/or (c) construction. Abbreviations F:= Female; M:= Male; PPO:= Provincial Project Office; DCO:= District Coordination Office; GIC:= Grant Implementation Consultant; P/MS:= Preliminary Measurement Survey; DMS:= Detailed Measurement Survey; SESAH:= Socio-Economic Survey (SES) of Affected Household (AH); ISbS:= Irrigation Sub-Scheme.

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5. COMPLAINTS AND GRIEVANCE REDRESS MECHANISMS

5.1 Requirements

51. These mechanisms are defined in the Project’s RF aiming at the participation of APs throughout the various stages of LARC planning and implementation of PRI subprojects. The information for APs about entitlements, compensation and supportive mitigation options and grievance mechanisms shall be provided by the Project’s relevant agencies and committees. Extensive meetings with APs also allow the implementing agencies to identify the needs and preferences of APs pertaining to compensation and rehabilitation assistance and to reduce any negative potential impacts caused by the proposed PRI subprojects.

52. In terms of grievance redresses, the villagers have been briefed about rights to grievance and the procedures during feasibility study in case LARC items would become a PRI subprojects related issue. This shall be repeated combined with further consultation at the start of construction work. Villagers present their complaints to the 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 complainants 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.

5.2 Grievance Approach

53. The main steps outlined below serve as an orientation for the grievance main approach. For each step details shall be described, agreed and explained to both resettlement responsible committees and the residents of affected villages.

54. APs are entitled to lodge complaints regarding any aspect of the preparation and implementation of this LACR without prejudice to their right to file complaints with the court of law at any point in the process. The implementing agencies will shoulder all administrative and legal fees that will be incurred in the resolution of grievances and complaints.

55. It is recognized that members of AHs might not have writing skills or ability to articulate their grievances verbally, however, then AHs are encouraged to seek assistance from the PRI subprojects and/or nominated local non-governmental organizations and/or other family members, village heads to have their grievances recorded in writing and to have access to the LARC documentation, and to any survey or valuation of assets, to ensure that where disputes do occur all the details have been recorded accurately enabling all parties to be treated fairly.

56. All complaints and resolutions will be properly documented by the PPO/DCO and be available for (i) the public and (ii) any monitoring purposes.

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Table A9-3: NRI-AF Main Steps of Grievance Mechanisms

Serial No. Procedural Steps In each village existing mediation committees would be the first contact for APs to address their concerns. It is recommended that in agreement with villages either this committee would 1 be responsible for LARC issues or the village would establish a sub-project related LARC committee. The village shall decide about its community internal approach.

▼ APs would address their complaints to committee/s that would have to react within a defined 2 time (5 days to be defined by village) after submission of the complaint.

▼ In case provided responses are not satisfying to affected people the grievance applications 3 would be forwarded to the district council for resolution within a defined time (5 days) from the date of filing the complaint with this court.

▼ In case APs are still not satisfied next steps could involve provincial authorities that would have 4 to issue a final decision within a defined time (10 days).

▼ If irrigation sub-scheme APs are still not satisfied with the response given or decisions made, the complaint can be elevated at national level either to the national court, if legal decision at 5 provincial level will require this, or to the NPMO which is to be established by the DOP through which the MAF will be responsible for the overall project management for final clarification in this matter within 15 days.

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6. LEGAL FRAMEWORK

6.1 Lao Requirements

57. The Project’s RF describes the legal framework. Each subproject has to follow relevant Lao PDR laws, decrees and regulations including but not limited to the:

(i) Lao PDR Constitution, dated 1991, describing very generally among others the (a) socio-economic system, (b) fundamental rights and duties of citizens, (c) local administrations, (d) judicial organs. (ii) Lao National Land Law, dated 2003, including among others (a) defining land use and land ownership, (b) describing land tenure system, (c) providing the regulation framework for compensation of land but also including relocation of people that are affected by development schemes. (iii) Lao National Forestry Law, dated 1999, including among others (a) defining policies on forest and watershed management, and (b) promoting conservation and rehabilitation of forest resources. (iv) Lao National Water and Water Resources Law, dated 1996, including among others (a) principles/rules defining exploitation of the water and water resources, (b) management regulations for protection and preservation of the water and water resources, (c) outlining water resources classification systems. (v) Lao National Road Law dated 1999, including among other (a) describing public roads and road activities, (b) defining management and land use for roads, (c) explanations to construction of roads and monitoring of roads’ conditions. (vi) Decree No.192/PM of the Prime Minister, dated 7 July 2005, concerning the compensation and resettlement of people affected by development projects. This decree has been replaced by a new improved Decree No. 699/PMO of the Prime Minister Office 12 March 2010 on Compensation and Resettlement of Development Projects. This decree has been replaced by the Decree No. 84/PM “Compensation and Resettlement Management in Development Projects” of the Prime Minister dated 04 May 2016. (vii) Regulations for implementing the Prime Minister on Compensation and Resettlement of People Affected by Development Projects (No.2432/STEA, dated 11 November 2005), are assumed remaining valid and to be applied. (viii) Reduction of Poverty Fund’s Social and Environmental Guidelines dated 2008.

6.2 ADB Regulations

58. In general, the national Lao policies on land acquisition, compensation, assistance and resettlement are aligned with the ADB’s key guidelines for involuntary resettlement such as:

(i) Safeguard Policy Statement, dated June, 2009. (ii) Operational Manual Section F1/OP, dated March, 2010.

6.3 Agreed Key Principles

59. Based on these key references the Project has defined the following key principles aiming at LARC objectives the subprojects shall achieve, as shown in Table A9-4.

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Table A9-4: NRI-AF Key LARC Objectives

No. Key Principles If possible, involuntary resettlement and loss of land, structures and other assets and 1 incomes shall be avoided and minimized by exploring all viable options Project affected people shall be provided with compensation for their lost assets, incomes and businesses. The provision with rehabilitation measures shall be sufficient 2 to assist project affected people in improving or at least maintaining their pre-project living standards, income levels and productive capacity. Lack of legal rights to the assets lost will not bar the project affected people from 3 entitlement to such compensation and rehabilitation measures. Replacement of affected assets shall be provided following the principle of replacement 4 costs, without deduction for the value of salvaged materials, taxes, transaction costs and depreciation. Preparation of resettlement plans and their implementation shall be carried out with 5 participation and consultation of project affected people. Schedule of budget for resettlement planning (including socio-economic surveys and/or 6 census) and implementation shall be incorporated in project planning and financing. Payment of compensation or replacement of affected assets and any relocation of all project affected people shall be completed before issuing the notice to commence work 7 in a given subproject. Rehabilitation measures must also be in place prior to issuing the notice. Compensation and rehabilitation assistance for ethnic minorities, and socially disadvantaged such as households headed by women, the disabled and elderly, the 8 landless and poor will be carried out with respect for their cultural values and specific needs.

60. These all support the guiding principle of ADB that “...project affected people compensated and assisted so that their economic and social future will generally be at least as favorable with the project as without it”. This policy intends to ensure that the absence of formal and legal titles to land by affected grouped or individual users should be formal or legal reasons for non-compensation, and that “particular attention should be paid to the needs of the poorest affected persons including those without legal title to assets, female- headed households, and other vulnerable groups, such as indigenous people, and appropriate assistance provided to help them improve their status”. Currently, both ADB guidelines and policies, and Lao PDR national laws and regulations entitle subproject affected persons to compensation of private assets including land at replacement costs.

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Table A9-5: NRI-AF Main Components of Compensation Approaches Internationally Applied Lao PDR Key Item NRIDS Project Best Practice Legislation Shall include all affected persons in Include all affected residential, agricultural and commercial persons including those areas that are: Scope of impact affected by construction (i) Permanently /temporarily and operational acquired, sites/facilities (ii) Construction and O&M related, (iii) Private and/or public areas. All Shall define all assets: (iv) Legally acknowledged, Definition of All fixed and movable (v) As identified during PMS/DMS assets assets and SESAH regardless of land tenure/legal status. Shall be offered and provided to eligible: Compensation to Compensation legally (vi) Private users, formal owners / required Listed (vii) Private organizations (WUG, users of assets etc.), (viii) Public users. Shall be applied to eligible households Compensation to Compensation to be or individuals: informal / provide to users of (ix) Whose user rights are proven unregistered assets and resources by tax or other formal payments, owners / users of based on traditional (x) Socio-economically surveyed as assets rights Key users of affected assets. Special support to Shall be for households or individuals: ethnic groups (xi) Formally known or using assets acknowledged at community Special mitigation level as related to one of these measures throughout groups, the project cycle Special support to (xii) During pre-construction, vulnerable groups Items construct-ion and post- construction phases. Compensation to be Shall include, among others: Livelihood provided in addition to (xiii) Income rehabilitation measures, restoration loss of assets, crops etc. (xiv) Others to be defined. Shall be applied and shown through: (xv) Technical optimized design of proposed infrastructure, Avoiding physical (xvi) If not avoidable, relocated Relocation displacement Are house-holds shall receive (for no costs or payments) issued land titles for their new compounds. Before start of construction: (xvii) Funds made available and Timing of Before construction start proven to be accessible compensation of any infrastructure conditional to release of and support Mandatory subproject construction funds, measures (xviii) Paid and/or provided to affected individuals / households. Note 1: International best practices as applied by ADB. Note 2: Final resettlement planning shall provide details of these and other items

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7. ENTITLEMENT, ASSISTANCE AND BENEFITS

7.1 Entitled Affected Persons

61. In general a PRI subproject defines eligibility as “those people residing, cultivating and/or making a living within the area to be acquired for the project as of the formally recognized cut-off date should be considered as project affected persons for the purposes of entitlements to compensation, resettlement and rehabilitation assistance in accordance with the provisions of laws and regulations. Lack of legal land use certificate or any acceptable proof indicating land use right to the land or structure affected by the project should not bar any person from such entitlement/assistance.” In accordance with this definition for the purpose of resettlement planning NRI-AF includes affected people as shown in Table A9-6.

Table A9-6: NRI-AF Categories of Entitled Affected People No. Categorized APs Persons/ households whose agricultural, residential, or commercial land is in part or in total 1 affected (temporarily or permanently) by the PRI-subproject. Persons/households whose houses and other structures are in part or in total affected 2 (temporarily or permanently) by the PRI subproject. Persons/ households whose businesses or source of income (i.e. employment) are affected 3 (temporarily or permanently) by the PRI subproject. Persons/households whose crops (annual/perennial) and trees are affected by the PRI 4 subproject. Persons or households who stand to lose access to common property resources and 5 community assets (temporarily or permanently) due to the PRI subproject.

62. Entitlements for each AH are based on types and levels of losses. General orientation was provided by the Project’s RF. The defined entitlements have been followed and complementary details provided by explanations are given below.

63. AHs can also decide to contribute those portions of their assets which are affected by the PRI subproject. This would be regarded as their voluntary contribution by which they also agree in not requesting compensation and related support, for which they would be entitled.

64. Regardless their decision on type of compensation or contribution, livelihood related support for AHs shall be taken into consideration. Such support can include priorities for AHs concerning construction related employment and jobs which is part of contract negotiations with contractors who have to consider these AHs for rehabilitation and construction work related job opportunities. In addition, AHs should have prioritized access to the PRI subproject’s associated initiatives (see Chapter 9.2).

7.2 Loss of Assets and Resources

65. The entitlements are summarized in the subproject’s matrix in Table A9-7.

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Table A9-7: Subproject’s Entitlement Matrix Type of Entitled Compensation and Implementation Loss Persons Rehabilitation Measures Issues  Loss of land concerns all irrigation sub-schemes I. LOSS OF LAND A Temporarily Affected A-1 Agricultural Land A-2 Residential Land 0 A-3 Commercial Land B Permanently Affected  Land owners will decide about their compensation  Subject of confirmation; requests and/or contributions during formal land  Loss to be measured and acquisition. B-1 Agricultural Land Expected cases valued;  District would contribute affected governmental  Depending on AH decision. unused land.  Subject of review during detailed design stage. B-2 Residential Land 0 B-3 Commercial Land II. LOSS OF HOUSES & OTHER STRUCTURES C Temporarily Affected C-1 Houses C-2 Shelter/Dwelling 0 C-3 Fence C-4 Others D Permanently Affected D-1 Houses D-2 Shelter/Dwelling 0 D-3 Fence D-4 Others: 2 fish ponds III. LOSS OF CROPS & TREES E Temporary Loss of E-1 Crops 0 E-2 Trees E Permanent Loss of E-1 Crops 0 E-2 Trees IV. LOSS OF COMMON PROPERTY RESOURCES F Temporary Loss of Services F-1 Administration F-2 Water and Sanitation F-3 Health 0 F-4 Education F-5 Transport F-6 Others G Permanent Loss of Services G-1 Administration G-2 Water and Sanitation G-3 Health 0 G-4 Education G-5 Transport G-6 Others V. INCOME RESTORATION H-1 Material Transport Allowance H-2 Housing Transition Allowance 0 H-3 Business Transition Allowance H-4 Special Assistance for Socially and/or Economically  AHs can participate in the PRI subproject’s associated initiatives. Vulnerable Households Depending on B-1  AHs to obtain priority for temporary job opportunities through contractor as defined in the contract specifications. H-5 Other Support Measures

7.2.1 Loss of Land 66. Only indication at FS stage about expected cases of loss of private productive land. This will be subject of LAC review and fieldwork based on the final detailed design.

67. No cases of loss of residential land to report.

68. For loss of private land private, compensation in land-for-land has not been considered by the affected land users and PPO/DCO.

69. It has been assumed that temporary land requirements for establishing construction installation areas and camps would concern public land, and therefore does not require compensation costs. Furthermore, there is a need of confirmation that there are no current

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users on this public land, as otherwise compensation would be required for those users. In case contractor/s would damage property the contractor/s will be obliged to pay compensation at replacement costs immediately to affected families, groups, communities or government agencies. Damaged property will be restored immediately to its former condition. The same approach concerns also one expected temporary disturbance through construction to gravel production area and its related access, which will be crossed by the diversion canal either as buried pipe or covered canal.

70. Standard contractual obligations with contractor/s are to be applied as a precaution in contracts (i) to pay compensation immediately, and/or (ii) restore property to its former condition in case contractor/s would damage such property.

7.2.2 Loss of Houses and Other Structures 71. No such cases to report.

7.2.3 Loss of Crops and Trees 72. No such cases to report.

73. There will be no damage of crops because of construction works that would be scheduled in accordance with the harvesting period.

74. Contacted individual farmers, but also representatives of WUGs and other village organizations confirmed to PPO, DCO and GIC, that there is no dry season cultivation in the command area. Thus, there will be no adverse impact through the construction for the farming community.

7.2.4 Loss of Common Property Resources 75. No cases of PRI subproject affected communal services or resources to report. In the vicinity of the gravel company’s area, there is a communal graveyard for which the village feels not disturbed in their use. The proposed buried pipe in the area used by the company area will not change this conditions so that the current situation remains unchanged.

8. RELOCATION OF HOUSING AND RESETTLEMENT

76. No relocation of houses or settlement through this PRI subproject to report.

9. INCOME RESTORATION AND REHABILITATION

9.1 Allowances

77. This is subject of review at DD stage and depends on cases under Section 7.2.1.

9.2 Special Assistance

78. This is subject of review at DD stage and depends on cases under Section 7.2.1. No cases of severely AHs are expected by losing more than 10% of their cultivated area and/or of their income.

79. However, taking into consideration support for such cases as defined in the Project’s RF, the GIC will initiate to agree in an approach with contractors that:

(i) Members of any vulnerable affected household shall receive a first priority for job opportunities, and (ii) Members of other affected households shall receive a second priority for job opportunities, before or in parallel with (iii) Contacting non-affected villagers.

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80. The main reasons for this approach is that AHs are losing different portions of their cultivated land and trees, whereas the farmers of the irrigation scheme will only benefit from an improved irrigated agriculture without being affected at all. This shall be discussed during contract negotiations with contractor concerning General Conditions of Contract, Item 65 Employment and related detail under Section F of the Particular Conditions of Contract. It can be related to the bidding document’s section 7 and 8, where requirements about conditions of employment and local labor are defined.

81. The AHs shall receive priority consideration for a set of support measures. This will include the priority for (i) possible job opportunities with the contractor, but also for the PRI subproject’s associated initiatives during construction and/or operation phases which can include (ii) technical support/services (extension, demonstration plots, etc.), (iii) group strengthening (WUG, WUA, FPG), (iv) marketing and processing equipment, (v) land use planning, and/or (vi) land titling.

10. RESETTLEMENT BUDGET AND FINANCING PLAN

10.1 Planned Land Acquisition and Compensation Cost Estimate

82. A cost estimate has not been planned under Table A9-8

83. In general, this budget does not include costs for resources related to safeguard implementing and M&E both at national (resettlement committee and specialist/s), provincial (resettlement committee and provincial project office), and district levels (resettlement committee, community development and safeguard officer/s). The Government of Lao PDR has to cover compensation and mitigation costs for any resettlement impact on AHs.

84. Concerning External M&E, the Executing Agency has a separate budget to contract an independent external monitoring organization (EMO).

85. Operating costs of executing and implementing agencies concerning planning and implementing social safeguards are borne by the governmental budget.

86. The final review of the LAC budget for the ongoing implementation phase will be prepared during the detailed design stage as part of LARC updating.

10.2 Compensation or Contribution

87. This is subject of review during DD stage. AHs will take the decision about preferred compensation and/or contribution during the official land acquisition stage.

88. The villagers underlined their willingness to cooperate with the PRI subproject as through the improved irrigation schemes their income situation for irrigated farming will boost. For this subproject the net farm income has been estimated by the Present Agriculture and Agricultural Development Plan (see Annex 3 of FS) to increase from 3,603,788 LAK/ha to 22,533,006 LAK/ha. In addition the villagers have a sense of community related participative support for any improvement and development offered for their villages.

89. The villagers repeatedly mentioned in individual talks and public meetings, but also during surveys and transect walks their willingness to cooperate with the PRI subproject. In case this will be confirmed during detailed design stage, this attitude will be formalized through a village related Contribution and Coordination Statements to be signed by village organizations, residents, and staff of IA and EA.

10.3 Actual LAC Budget

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90. The final LAC related compensation of private assets will be prepared during the detailed design stage, when final land requirements will have been confirmed.

91. The PRI subproject’s associated initiatives, however, are covered by separate budgets of the Project. Costs for LARC and safeguards implementations are also borne by separate budgets.

92. Costs for LARC and safeguards implementations are also borne by separate budgets.

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Table A9-8: Subproject’s Land Acquisition and Compensation Budget

Item Description Amounts [LAK] Comments  Loss of land will concern all 5 subprojects. For canals and weir, no cases found. Concerning O&M roads AHs could Indication of potent for Not be found at DD stage, but no Loss of land occurring cases estimated sufficient alignment of these roads known at FS stage. No costs for gov. owned land. Loss of houses No cases and structures There is no dry season cultivation in No damage of crops by the command area. Harvesting is Loss of crops construction works. considered in the construction schedule. Loss of trees No cases No costs Loss of common The PRI subproject does not property cause any relocation of resources common properties. The PRI subproject does not Income cause effects which would

restoration require the provision of allowances. Special Severely AH. Depend on type and number of cases assistance Vulnerable AHs. Not LAC fieldwork will confirm during DD Complementary estimated stage measures Planned Sub-Total 1: Mitigation N.A. LARC Administrative matters Costs are separately budgeted of GoL implementation Project associated initiatives Costs are separately covered by Project budget Safeguard External M&E Costs are separately budgeted of GoL implementation Internal M&E Costs are separately covered by PIA budget Planned Sub-Total 2: Implementation 0 Contingencies (10% of subtotal 1)

Contingencies (10% of subtotal 2) Planned Sub-Total 3: Contingencies 0 Planned TOTAL N.A. This is subject of review during Applied exchange rate: 1 US$ = 8.501 LAK detailed design stage. Actual Required TOTAL Not known yet

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11. INSTITUTIONAL ARRANGEMENT

93. To ensure inter-agency cooperation at the national level, a National Steering Committee (NSC) was established. The NSC will meet annually or as required to review overall implementation progress, approve annual work plans and budgets, and provide overall policy guidance. The National Project Management Office (NPMO) under the guidance of its National Project Coordinator will provide secretariat services to NSC. Provincial Steering Committees (PSCs) was established to ensure inter-agency coordination at the provincial level. The PSCs are chaired by provincial vice governors with equivalent representation to that for the NSC, including governors from the participating districts. The PSC will meet bi-annually or as required to review implementation progress and to ensure adequate levels of coordination between key agencies for project coordination. Subproject Investment Reports shall be approved by PSCs after obtaining the necessary concurrence of ADB for social and environmental safeguards. The PPO will provide secretariat services to PSCs.

94. The Ministry of Agriculture and Forestry (MAF) is the Executing Agency for the Project with the responsibility for overall project coordination and management transferred to its Department of Planning (DOP) who has established the NPMO for day-to-day coordination and management of the Project. The implementing agencies at the provincial level are the Provincial Agriculture and Forestry Offices (PAFOs). PPOs have been established in each PAFO to be responsible for financial management at provincial level, and coordination and management of implementation of subprojects. To assist implementation of the Project at the district level, District Coordination Offices (DCOs) have been established within District Agriculture and Forestry Offices to mainly coordinate and supervise subproject activities.

95. At provincial and district levels staff has been nominated for committees responsible for LARC matters. They were among the 105 provincial and district staff attending the NRI orientation workshops between 24 and 29 October 2011 organized and conducted by GIC for all four Project provinces including among other topics: (i) General introduction into LARC planning. (ii) Specific explanations about country safeguard standards and Lao legal context. (iii) Briefing about ADB involuntary resettlement and social safeguards standards. (iv) Description of compensation approach for subproject conditions. 96. Relevant LARC related legal documents were distributed to the attendants of this workshop. The same staff has been involved in the consultation process, LARC-DMS screening socio-economic surveys and IOLs during the subproject’s feasibility and detailed design stages. In addition a NRI related LARC follow-up training took place between 24 and 27 December 2012. 97. For NRI-AF, there was one Project Inception Workshop in October in Vientiane and four Inception Training Session in the four provinces in November to introduce the governmental provincial and district staff into the Project and provide technical introduction on selected topics. Some of the staff had been involved in NRI and will continue in NRI-AF, other will start with the NRI-AF their involvement.

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12. IMPLEMENTATION SCHEDULE

98. In general, there are 7 PRI subprojects with 22 irrigation sub-schemes grouped under Project Phase II.

99. Concerning these 7 PRI subprojects, an overview about performed and scheduled activities of feasibility study, detailed design and construction works, together with related LARC activities has been prepared in Table A9-9. In general, this tentatively schedule is subject of continuous review during the implementation phase.

Table A9-9: Phase II PRI Subprojects Performed and Scheduled LAC Activities

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13. MONITORING AND REPORTING

100. The LAC monitoring is embedded in the overall M&E approach of PRI subprojects. The M&E distinguish between internal and external components. The technical approach of the LAC related M&E will have to be transparent, and any data or information made available to involved stakeholders in Lao and/or English language, whichever is more comprehendible to a given stakeholder group.

101. In case impacts will be identified during detailed design stage, monitoring of LAC preparation and implementation will be carried out as required through the RF. In case unexpected impacts would occur during construction on AHs’ assets and/or on APs, the PPO and DCO will have to report on this in order to allow decision-making whether (i) mitigation measures can be satisfactorily provided, or otherwise (ii) there would be a need for suitable requirements and arrangements concerning affected assets and compensation actions.

13.1 Internal M&E

102. The PPO within PAFO in cooperation with DCO within DAFO is responsible for internal monitoring of LAC implementation. The monitoring strategy will have to be defined and agreed upon on a participative approach involving different stakeholders, such as communities, organizations, individuals, representatives and others, but certainly subproject affected people. A resettlement related internal monitoring concerns mainly LAC- performance in terms of whether the overall PRI subproject and resettlement objectives are being met mainly with focus on (i) assessing if mitigation measures and compensation are sufficient, (ii) identifying methods of responding immediately to mitigate problems through remedial actions, (iii) smooth transition between LARC activities and civil works, and (iv) others, as regarded necessary. Provincial monthly monitoring report from PPO will provide the achievements and progress. The PMO will verify and consolidate these reports in its quarterly M&E reports to be forwarded to ADB.

13.2 External M&E

103. An external monitoring organization (EMO) will undertake independent monitoring on behalf of NPMO. This organization has carried out post-resettlement impact evaluation to assess whether impacts of the proposed Project have been mitigated adequately and the pre-project standard of living of APs have been restored as a result of resettlement and project activities. The same organization will be invited to continue to provide these services for the PRI subprojects to be funded through additional financing, and review of contribution procedures will be added to their Terms of Reference. The EMO will include impact and effects monitoring including but not limited to the following: (i) voluntary contribution, (ii) involuntary land acquisition and compensation, (iii) socio-economic effects, particularly changes in living standards and livelihoods, (iv) need for additional mitigation measures, as required, and (v) compliance of contractor with land acquisition, compensation and mitigation measures, where applicable. Once the land acquisition and LACR have been completed, this monitoring will evaluate post-land acquisition impacts to assess whether impacts of the PRI subproject have been mitigated. Half-yearly M&E reports would be prepared.

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ATTACHMENT A9-1.1: LARC FACT FINDING: PHOTO DOCUMENTATION PRI Subproject Houay Bong IRRIGATION SELECTED FEATURES SUB- ACCESS WEIR CANAL AREA SCHEME

Houay Mouak

PHOTO 1: PHOTO 2: PHOTO 3: PHOTO 4: WALKING TRACK TO LOCATION OF WEIR EARTH MAIN CANAL TYPICAL LANDSCAPE AND WEIR PRODUCTIVE LAND

Houay Kin

PHOTO 5: PHOTO 6: PHOTO 7: PHOTO 8: ACCESS CONDITIONS TO WEIR WOODEN WEIR EARTH MAIN CANAL TYPICAL LANDSCAPE AND PRODUCTIVE LAND

Houay Khong 1

PHOTO 9: PHOTO 10: PHOTO 11: PHOTO 12: ACCESS CONDITIONS TO WEIR CONCRETE WEIR TYPICAL CONDITIONS TYPICAL LANDSCAPE AND AND MAIN CANAL PRODUCTIVE LAND

Houay Khong 2

PHOTO 13: PHOTO 14: PHOTO 15: PHOTO 16: ACCESS CONDITIONS ALONG MAIN CONCRETE WEIR TYPICAL CONDITIONS TYPICAL LANDSCAPE AND CANAL PRODUCTIVE LAND

Houay Neuam

PHOTO 17: PHOTO18: PHOTO 19: PHOTO 20: ACCESS CONDITION IN SUB- CONCRETE WEIR TYPICAL CONDITIONS TYPICAL LANDSCAPE AND SCHEME PRODUCTIVE LAND

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ATTACHMENT A9-1.2: LARC FACT FINDING: SCREENING PRI Subproject Houay Bong

TECHNICAL DESCRIPTION

MAIN COMPONENTS YES NO DESCRIPTION Upgrading or rehabilitation x Rehabilitation Construction of new physical facilities x Some new facilities to be constructed In Houay Mouak irrigation sub-scheme, some part of main canal Residential area x passes through village Non-residential area x Nearly all land of irrigation sub-schemes concerns agricultural land

Access x There are existing access roads and tracks Weir x Rehabilitating and constructing new ones Main canal x Rehabilitation and new ones Other canal/s x ISbS-Houay Khong 1: Secondary canals Gates x They can include intake gate, sluice gate, sluice stop log gate, etc. They can include farm turnouts, divisions, crossings, drainage Canal structures x culverts, flumes, side spillways, and others. Drains x Road x O&M road

POTENTIAL LAND ACQUISITION, RESETTLEMENT AND COMPENSATION (LARC) RELATED IMPACTS

SELECTED KEY ITEMS YES NO DESCRIPTION Permanent land acquisition x Expected for O&M road Only in case contractor would have requirements for his Temporary land acquisition x construction approach Loss of houses/compounds x Loss of agricultural land x Same as under item permanent land acquisition Displacement of people x Change of land ownership and usage x

Loss of crops/trees x Loss of incomes and livelihoods x Loss of businesses/enterprises x Loss of access to facilities/services x Loss of community assets/ties x Loss of cultural/historical properties x Affected non-titled or vulnerable groups To be surveyed during DD depending on required land acquisition Affected socio-economic activities x

► FINDING: THERE ARE NO LARC RELATED IMPACTS EXPECTED FOR THIS PRI SUBPROJECT BY ITS IRRIGATION SUB-SCHEMES Category Stage A B - √ C D Feasibility Study - √ Detailed Design CATEGORY: Changed from Category C at Draft FS stage to Category B at Final FS stage NOTE: List of technical aspects and screening items is in accordance with checklists as defined by both Lao PDR guidelines and ADB regulations

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ATTACHMENT A9-1.3A: MAJOR WORKS OF PROPOSED IRRIGATION DEVELOPMENT PLAN PRI Subproject Houay Bong Irrigation Present situation Rehabilitation of the canals Rehabilitation of the weir sub-scheme of the weir and related structures 1. Houay Mouak Earth weir (W=24m)  Construction of KKU-Lao Type of  MC: Total MC=1,600m, Concrete RC weir (W=24m, H=1.55m, lining (proposed plan) =1,600m, L=12.5m) with 5 stop log type sluice Flume (2 nos.), Farm turnout (7 gates. nos.), Drop structure (3 nos.), Check  Installation of one steel intake structure (1 no.), End canal structure control gate. (1 no.).  Increase of height of earth dike  Total 1.5 km of O&M road along spillway by 1.0m (top W=4m, main canal. L=34m).  Cover of surface of dike with stone concrete for emergency spillway.  River bank protection upstream and downstream with gabion.  Downstream river bed erosion protection (6mx34m).  One fish pass (W=2.0m) with stone concrete. 2. Houay Kin Total five (5)  Construction of 5 nos. of KKU-Lao  MC1: Total MC1=450m, Concrete bamboo weirs Type of RC weir (W=8-10m, H=0.8- lining (proposed plan) =100m, Drop (Houay Kin 1 to 5) 2.0m, L=15m) with 3 stop log type structure (1 no.), Farm turnout (2 with earth open sluice gates (W=1.0m) for each nos.), Drainage inlet structure (1no.) intake for each weir weir.  MC2: Total MC2=817m, Concrete  Fish passes (W=2m) with stone lining (proposed plan) =200m, Drop concrete are provided for 4 weirs, structure (4 nos.), Farm turnout (6 the height of which is more than nos.), Check structure (1 no.), Drop 1.0m. structure (2 nos.), Farm turnout (4 nos.), Division structure (1 no.)  MC3: Total MC3=485m, Concrete lining (proposed plan) =200m, Drop structure (2 nos.), Farm turnout (4 nos.), Division structure (1 no.)  MC4: Total MC4=600m, Concrete lining (proposed plan) =200m, Drop structure (1 no.), Farm turnout (5 nos.), Drainage inlet structure (1 no.)  MC5: Total MC5=750m, Concrete lining (proposed plan) =200m, Drop structure (2 nos.), Farm turnout (5 nos.), Drainage inlet structure (1 no.)  Total 0.9 km of O&M road along main canal.

3. Houay Khong 1 Concrete weir  Desilting sediment from weir basin  MC: Total MC=250m, Concrete lining (W=18m, H=2m, (1.8mx21mx40m) (proposed plan) =250m, Division L=14m) with one  Install steel intake control gate structure (2 nos.), Farm turnout (2 stop log intake (right (0.8mx0.8m) nos.) bank) and 2 stop log  RSC: Total RSC=300m, Concrete sluice gates  Install steel sluice control gate (1.0mx1.0m) lining (proposed plan) =300m, Farm turnout (6 nos.)  Downstream protection of both sides of river bank with gabion  LSC: Total LSC=300m, Concrete lining (proposed plan) =300m, Farm  Fish pass (W=2m) with stone turnout (3 nos.), Drop structure (1 concrete block no.)  Total 0.25 km of O&M road along main canal.

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ATTACHMENT A9-1.3B: MAJOR WORKS OF PROPOSED IRRIGATION DEVELOPMENT PLAN PRI Subproject Houay Bong Irrigation Present situation Rehabilitation of the canals Rehabilitation of the weir sub-scheme of the weir and related structures 4. Houay Khong 2 Concrete weir  Install steel intake control gate  RMC: Total RMC=1,500m, Concrete (W=20m, H=1.8m, (0.7mx0.7m) lining (plan) =1,500m, Farm turnout L=14m) with one  Downstream protection both sides (6 nos.), Division box (1 no.) stop log intake (right river bank with gabion  LSC: Total LSC=200m, Concrete bank) and 2 stop log lining (proposed plan) = 200m, Farm sluice gates  Fish pass (W=2m) with stone concrete block turnout (1 no.)  Total 1.5 km of O&M road along main canal. 5. Houay Neuam Concrete weir  Increase weir crest by 20 cm and  MC1: Total MC1=1,000m, Concrete (W=20m, H=2.0m, additional cut-off lining (proposed plan)=1,000m and L=10m) with one  Construct new intake with steel concrete cover of the canal, Slope open intake (right control gate (0.8mx0.6m) protection by gabion and bio- bank) and 2 stop log engineering including grass/tree sluice gates  Fish pass (W=2m) with stone planting and bamboo frame (L=80m) concrete block  MC2: Total MC2=1,000m, Concrete lining (proposed plan)=1,000m  MC3: Total MC3=1,000m, Concrete lining (proposed plan) =1,000m, Drop structure (1 no.), Canal bridge (3 nos.), Farm turnout (15 nos.)  Total 3.0 km of O&M road along main canal.

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ATTACHMENT A9-1.4: TECHNICAL FEATURES AND RELATED AFFECTED HOUSEHOLDS

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ATTACHMENT 9-2.1: LARC CONSULTATION & COORDINATION: PHOTO DOCUMENTATION PRI Subproject Houay Bong Houay Mouak Irrigation Sub-scheme

PHOTO 1-3: PUBLIC VILLAGE MEETING HAAD MOUAK VILLAGE

Houay Kin Irrigation Sub-scheme

PHOTO 4-6: PUBLIC VILLAGE MEETING IN SIDONECHAI VILLAGE

Houay Khong 1 and 2 Irrigation Sub-schemes

PHOTO 7-9: PUBLIC VILLAGE MEETINGS IN THE VILLAGES HOUAY SANG AND HOMSOUK

Houay Neuam Irrigation Sub-scheme

PHOTO 10-12: PUBLIC VILLAGE MEETING NAHOM VILLAGE

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ATTACHMENT 9-2.2: LARC CONSULTATION & COORDINATION: EVENTS PRI Subproject Houay Bong SELECTIVE LAC RELATED ITINERARY DATE ACTION DESCRIPTION N R I

Inception workshop (i) Introduction to key stakeholders including 03 August representatives from MAF, MoF and Project staff from ------2011 Bokeo, Luang Namtha, Phongsaly and Oudomxay Vientiane City provinces.

Training Component Social Safeguard for Project Staff: Capacity Development Training 24-27 December (i) General M&E of LARC related items; ------2012 Oudomxay Town (ii) Specific criteria concerning pre-construction, con- struction and post-construction (operation) phases. S P P T A 23 February S-PPTA orientation meeting (i) S-PPTA introduction to key stakeholders of Oudomxay 2015 ------Province. Oudomxay Town

Assessment of proposed PRI For all four provinces and all potential PRI subprojects: Dec. subprojects for all provinces (i) Elaboration on irrigation facilities; 2015 ------(ii) Verification on irrigation requirements and potentials; All PRI subproject areas (iii) Preparing list of irrigation sub-schemes. N R I A F For the 7 PRI subprojects of Project Year 5: (i) Review of scheme layouts; Irrigation pre-design evaluation (ii) Verification of options for scheme development; Dec. ------(iii) Clarification with farming communities on their rainfed 2016 PY 5 Subproject areas and irrigated farming practices; (iv) Discussing technical issues and O&M aspects; (v) Others. Project orientation mission 23 May ------2017 Meeting and Prel. FS related LAC Houay Mouak assessment in village Haad Mouak Irrigation Total participants: 79 Sub-scheme (25 female and 54 male) Project orientation mission 24 May Topics presented to PPO, DCO, district/village authorities, ------2017 residents: Meeting and Prel. FS related LAC Houay Kin assessment in village Sidonechai (i) Background of Project; Irrigation Total participants: 72 (ii) Scope of rehabilitation/construction of irrigation Sub-scheme (37 female and 61 male) infrastructure; Project orientation mission (iii) Briefing on Project’s associated initiatives; 28 July ------2017 (iv) Introducing social and environmental safeguards Meeting and Prel. FS related LAC aspects (ADB regulations and Lao laws; Houay Khong 1 assessment in village Hangdoi Irrigation (v) Benefit Monitoring & Evaluation; Total participants: 30 Sub-scheme (vi) Other. (3 female and 27male) Project orientation mission 27 July ------2017 Meeting and Prel. FS related LAC Houay Khong 2 assessment in village Phouglath Irrigation Total participants: 35 Sub-scheme (3 female and 32 male)

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PRI Subproject Houay Bong SELECTIVE LAC RELATED ITINERARY DATE ACTION DESCRIPTION Project orientation mission 26 July ------2017 Meeting and Prel. FS related LAC Houay Neuam assessment in village Nahom Irrigation Total participants: 44 Sub-scheme (4 female and 40 male) (i) Inception Phase related topics; Project Inception Workshop Oct. (ii) Revised Project Schedule; ------2017 (iii) Presenting safeguards, incl. ADB about LARC items; Vientiane (iv) Others. (i) Implementation steps; Provincial Inception Training Nov. (ii) Schedule of activities; ------2017 4 provincial capitals (iii) Methodologies; (iv) Others. 27 December PMS fact finding mission 2017 ------Houay Mouak LARC meeting in village Haad Mouak LAC topics presented and discussed: Irrigation Total participants: 36 (i) Phase of the Project, stage of the PRI subproject, and Sub-scheme (5 female and 31 male) status of irrigation sub-scheme; 13 November PMS fact finding mission (ii) Introduction into social and environmental safeguards; 2017 ------(iii) Briefing into ADB and Lao regulations and laws; Houay Kin LARC meeting in village Sidonechai (iv) Explaining Acquisition and Compensation; Irrigation Total participants: 63 Sub-scheme (11 female and 52 male) (v) Explaining type of ownership (title, certificates, tax payments); 15. November PMS fact finding mission 2017 ------(vi) Presenting GRM; Houay Khong 1 LARC meeting in village Houay Sang (vii) Presenting EMP aspects; Irrigation Total participants: 54 (viii) Discussion about dry season cultivation; Sub-scheme (6 female and 48 male) (ix) Open round for clarification and questions & answers; 14. November PMS fact finding mission 2017 ------(x) Other. Houay Khong 2 LARC meeting in village Homsouk Agreed actions: Irrigation Total participants: 43 (xi) Joint transect walks of villagers, IA/EA, and GIC in Sub-scheme (10 female and 33 male) irrigation sub-schemes with focus on locations and 11. November PMS fact finding mission alignments of existing and future irrigation infrastructure; 2017 ------Houay Neuam LARC meeting in village Nahom (xii) Verification of impacts on private assets through Irrigation Total participants: 55 Preliminary Measurement Survey. Sub-scheme (7 female 48 male)

Review of selection and technical aspects including among Final irrigation engineering others: 25 Nov – 05 Dec. verification site visit (i) Conditions of existing irrigation infrastructure; 2017 ------7 Subproject areas (ii) Existing and/or new canal alignments; (iii) Irrigation related requirements of villagers/WUAs.

 Review of LAC requirements; Next step Detailed Design stage  Preparation of Updated LACR.

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ATTACHMENT 9-2.3A: LARC CONSULTATION & COORDINATION: ATTENDANCE SHEETS

HOUAY MOUAK IRRIGATION SUB-SCHEME PUBLIC PROJECT ORIENTATION MEETING INCL. PREL. LAC BRIEFING IN HAAD MOUAK VILLAGE VENUE: VILLAGE MEETING HALL DATE: 23 MAY 2017 TIME: 9:15 – 11:35 PARTICIPANTS: TOTAL: 79 (FEMALE 25) ETHNICITY: Lao-Tai 79 (Female 25) FACILITATOR: PPO/DCO AND GIC SUPPORTED BY HEAD OF VILLAGE

Shown is one page out of 4 attendance sheets. The complete original set of attendance sheets is administered by GIC HOUAY KIN IRRIGATION SUB-SCHEME PUBLIC PROJECT ORIENTATION MEETING INCL. PREL. LAC BRIEFING IN SIDONECHAI VILLAGE VENUE: VILLAGE MEETING HALL DATE: 24 MAY 2017 TIME: 9:35 – 11:25 PARTICIPANTS: TOTAL: 98 (FEMALE 37) ETHNICITY: Lao-Tai 96 (Female 37), Hmong-Mien 2 (Female 0) FACILITATOR: PPO/DCO AND GIC SUPPORTED BY HEAD OF VILLAGE

Shown is one page out of 7 attendance sheets. The complete original set of attendance sheets is administered by GIC

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ATTACHMENT 9-2.3B: LARC CONSULTATION & COORDINATION: ATTENDANCE SHEETS

HOUAY KHONG 1 IRRIGATION SUB-SCHEME PUBLIC PROJECT ORIENTATION MEETING INCL. PREL. LAC BRIEFING IN HANGDOI VILLAGE VENUE: VILLAGE MEETING HALL DATE: 28 JULY 2017 TIME: 09:35 – 10:35 PARTICIPANTS: TOTAL: 30 (FEMALE 3) ETHNICITY: LAO-TAI 30 (FEMALE 3) FACILITATOR: PPO/DCO SUPPORTED BY HEAD OF VILLAGE

Shown is the first page out of 2 attendance sheets. The complete original set of attendance sheets is administered by GIC

HOUAY KHONG 2 IRRIGATION SUB-SCHEME PUBLIC PROJECT ORIENTATION MEETING INCL. PREL. LAC BRIEFING IN PHOUGLATH VILLAGE VENUE: VILLAGE MEETING HALL DATE: 27 JULY 2017 TIME: 08:45 – 11:25 PARTICIPANTS: TOTAL: 35 (FEMALE 3) ETHNICITY: Lao-Tai 35 (Female 3) FACILITATOR: PPO/DCO SUPPORTED BY HEAD OF VILLAGE

Shown is one page out of 2 attendance sheets. The complete original set of attendance sheets is administered by GIC

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ATTACHMENT 9-2.3C: LARC CONSULTATION & COORDINATION: ATTENDANCE SHEETS

HOUAY NEUAM IRRIGATION SUB-SCHEME PUBLIC PROJECT ORIENTATION MEETING INCL. PREL. LAC BRIEFING IN NAHOM VILLAGE VENUE: VILLAGE MEETING HALL DATE: 26 JULY 2017 TIME: 09:00 – 11:15 PARTICIPANTS: TOTAL: 44 (FEMALE 4) ETHNICITY: Lao-Tai 43 (Female 4), Mon Khmer 1 (Female 0) FACILITATOR: PPO/DCO SUPPORTED BY HEAD OF VILLAGE

Shown is the first page out of 3 attendance sheets. The complete original set of attendance sheets is administered by GIC HOUAY MOUAK IRRIGATION SUB-SCHEME PUBLIC LAC MEETING IN HAAD MOUAK VILLAGE DATE: 27 MAY 2017 TIME: 09:35 – 11:25 PARTICIPANTS: TOTAL: 36 (FEMALE 5) ETHNICITY: Lao-Tai 29 (Female 5); Mon Khmer 6 (Female 0) Hmong-Mien 1 (Female 0) FACILITATOR: PPO/DCO AND GIC SUPPORTED BY HEAD OF VILLAGE

Shown is the first page out of 4 attendance sheets. The complete original set of attendance sheets is administered by GIC

A 9- 39 Northern Rural Infrastructure Development Sector Project – Additional Financing Annex 9: Attachment A9-2 Feasibility Study on Houay Bong PRI Subproject

ATTACHMENT 9-2.3D: LARC CONSULTATION & COORDINATION: ATTENDANCE SHEETS

HOUAY KIN IRRIGATION SUB-SCHEME PUBLIC LAC MEETING IN SIDONECHAI VILLAGE VENUE: Village meeting hall DATE: 13 NOV 2017 TIME: 09:10 – 10:50 PARTICIPANTS: Total: 63 (Female 11) Ethnicity: Lao-Tai 62 (Female 11), Mon Khmer 1 (Female 0) FACILITATOR: DCO and GIC supported by head of village

Shown is one page out of 5 attendance sheets. The complete original set of attendance sheets is administered by GIC HOUAY KHONG 2 IRRIGATION SUB-SCHEME PUBLIC LAC MEETING IN HOMSOUK VILLAGE VENUE: Village meeting hall DATE: 14 NOV 2017 TIME: 09:35 – 11:05 PARTICIPANTS: Total: 43 (Female 10) Ethnicity: Lao-Tai 41 (Female 10); Tibet-Chinese 2 (Female 0) FACILITATOR: DCO and GIC supported by head of village

Shown is one page out of 3 attendance sheets. The complete original set of attendance sheets is administered by GIC

A 9- 40 Northern Rural Infrastructure Development Sector Project – Additional Financing Annex 9: Attachment A9-2 Feasibility Study on Houay Bong PRI Subproject

ATTACHMENT 9-2.3E: LARC CONSULTATION & COORDINATION: ATTENDANCE SHEETS

HOUAY KHONG 1 IRRIGATION SUB-SCHEME PUBLIC LAC MEETING IN HOUAY SANG VILLAGE VENUE: Village meeting hall DATE: 15 NOV 2017 TIME: 09:45 – 11:15 PARTICIPANTS: Total: 54 (Female 6) Ethnicity: Lao-Tai 11 (Female 1); Mon Khmer 22 (Female 1); Hmong-Mien 21 (Female 4) FACILITATOR: DCO and GIC supported by head of village

Shown is the first page out of 5 attendance sheets. The complete original set of attendance sheets is administered by GIC NEUAM IRRIGATION SUB-SCHEME PUBLIC LAC MEETING IN NAHOM VILLAGE VENUE: Village meeting hall DATE: 15 NOV 2017 TIME: 09:10 – 10:55 PARTICIPANTS: Total: 55 (Female 7) Ethnicity: Lao-Tai 33 (Female 7); Mon Khmer 22 (Female 0) FACILITATOR: DCO and GIC supported by head of village

Shown is the first page out of 5 attendance sheets. The complete original set of attendance sheets is administered by GIC

A 9- 41 Northern Rural Infrastructure Development Sector Project – Additional Financing Annex 9: Attachment A9-2 Feasibility Study on Nam Hao PRI Subproject

ATTACHMENT 9-2.4: LARC CONSULTATION & COORDINATION: CULTIVATION - PRACTICE PRI Subproject Nam Bong Irrigation Sub-scheme Information on Dry Season Cultivation Houay Mouak The head and representatives of the village Haad Mouak and Vangpom, and Irrigation attending residential villagers confirmed in the public village meeting, that there is Sub-scheme no dry season rice cultivation in this irrigation scheme, nor do they cultivate any other crops (vegetable, cash crops). Houay Kin The head and representatives of the villages Sidonechai and Haad Lee, and Irrigation attending residential villagers confirmed in the public village meeting, that there is Sub-scheme no dry season rice cultivation in this irrigation scheme, nor do they cultivate any other crops (vegetable, cash crops). Houay Khong 1 The head and representatives of the villages Houay Sang, Hangdoi and Phonxai, Irrigation and attending residential villagers confirmed in the public village meeting, that Sub-scheme there is no dry season rice cultivation in this irrigation scheme, nor do they cultivate any other crops (vegetable, cash crops). Houay Khong 2 The head and representatives of the villages Phouglath and Homsouk, and Irrigation attending residential villagers confirmed in the public village meeting, that there is Sub-scheme no dry season rice cultivation in this irrigation scheme, nor do they cultivate any other crops (vegetable, cash crops). Houay Neuam The head and representatives of the villages Xaysavang, Nahom and Pangthong, Irrigation and attending residential villagers confirmed in the public village meeting, that Sub-scheme there is no dry season rice cultivation in this irrigation scheme, nor do they cultivate any other crops (vegetable, cash crops).

Verification PPO, DCO and GIC have also been infiormed by farmres during transect walks during and preliminary measurement surveys, that there in no cultivation during dry Feasibility Study season in the irrigation sub-scheme areas. Final Review In case of no change of the irrigation sub-scheme layouts by the detailed design, during the no further actions. Detailed Design Stage Any design modification will request a final review.

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