SOUTH EAST ASIA DISASTER RISK MANAGEMENT (SEA DRM) PROJECT FOR LAO PDR Project ID No: P170945

Component 1: Integrated Urban Flood Risk Management In , Oudomxay (ODX) Province

Final Environmental and Social Management Plan

Volume 1 Main Report

Prepared by: DEPARTMENT OF WATERWAYS MINISTRY OF PUBLIC WORKS AND TRANSPORT LANXANG AVENUE, VIENTIANE, LAO PDR

07 August 2020

Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province

TABLE OF CONTENTS

1 INTRODUCTION ...... 8 1.1 Background ...... 8 1.2 Objective and Scope of this ESMP...... 8 1.3 Project Location ...... 9 2 PROJECT DESCRIPTION ...... 11 2.1 Project Works ...... 11 2.1.1 Riverworks...... 14 2.1.2 Riverside Park...... 16 2.1.3 Weirs ...... 17 2.1.4 Urban Drainage Improvement ...... 18 2.2 Non-structural Measures ...... 20 2.3 Construction Materials ...... 21 2.4 Construction Plan and Schedule ...... 21 3 LEGAL AND INSTITUTIONAL SETTING ...... 23 3.1 National Laws and Regulation Related to Safeguards...... 23 3.2 Regional and International Regulatory Framework ...... 28 3.3 Applicable Bank Safeguard Policies Triggered by the Project ...... 30 4 ENVIRONMENT AND SOCIAL CONDITIONS ...... 31 4.1 General Environment Profile ...... 31 4.2 Provincial Social and Economic Profile ...... 33 4.3 Ethnic Groups in the Project Areas ...... 34 4.4 Historical Flood ...... 36 5 POTENTIAL RISKS, IMPACTS AND PROPOSED MITIGATION MEASURES ..... 38 5.1 Overall and Positive Impacts ...... 38 5.2 Negative Impacts and Proposed Mitigation Measures ...... 38 5.3 Impacts and Proposed Mitigation Measures during Detailed Design and Preconstruction .. 42 5.4 Impacts and Proposed Mitigation Measures during Construction ...... 45 5.5 Impacts and Mitigation Measures during Operations Phase ...... 50 5.6 Ethnic Group and Gender Considerations ...... 51 5.7 Implementation and Management of Contractor ...... 52 5.7.1 Labour Management, Worker Camp and Storage Area ...... 56 5.7.2 Preparation of Contractor ESMP (C-ESMP) ...... 57 5.7.3 Non-Compliance Reporting Procedures ...... 58 5.7.4 Community Relations ...... 58 5.7.5 Site Management, Monitoring, and Reporting ...... 59 6 CONSULTATION AND INFORMATION DISCLOSURE ...... 61 7 GRIEVANCE REDRESS MECHANISM ...... 67

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8 ESMP IMPLEMENTATION AND BUDGET ...... 69 8.1 ESMP Implementation Arrangement ...... 69 8.2 Implementation Matrix ...... 71 8.3 Monitoring and Reporting ...... 77 8.4 Capacity Building and Training Plan ...... 78 8.5 ESMP Implementation Budget ...... 79

Attachment 1: Details on Project Description Attachment 2: Excavation and Construction Materials Attachment 3: Summary of Historical Floods and the Present Condition, Problems and Needs Attachment 4: Environment and Social Background in ODX Provinces Attachment 5A: Results from Safeguard Screening Attachment 5B: Key Issues and Mitigation Measures for C-ESMP Attachment 6: Project Environmental Code of Practice (ECOP) Attachment 7: Project Code of Conduct (COC) on Gender-based Violence (GBV) and Violence Against Children (VAC) Attachment 8: Sample Forms of GRM Monitoring and Accident Report Attachment 9: Contingency Planning for Response to COVID-19 Attachment 10: Notes from Consultation Meetings with Provincial Officials and List of Participants

List of Tables

TABLE 2-1 SCOPE OF WORKS TO ADDRESS FLOODING IN MUANG XAY ...... 11

TABLE 2-2 SECTION FOR THE DIKE AND RIVERBANK-PROTECTION ...... 16 TABLE 2-3 DESIGN CONCEPT OF RIVERSIDE PARKS ...... 17 TABLE 2-4 INDICATIVE CONSTRUCTION TIME AND SCHEDULE FOR COMPONENT 1 ...... 21 TABLE 2-5 PROJECT IMPLEMENTATION SCHEDULE (PACKAGE 1) ...... 22 TABLE 4-1 ECONOMIC INDICATOR 2017 ...... 34 TABLE 4-2 BASIC INFRASTRUCTURE INDICATORS 2017 ...... 34 TABLE 5-1 POTENTIAL ENVIRONMENTAL AND SOCIAL NEGATIVE IMPACTS OF THE ODX PROJECT ...... 39 TABLE 5-2 OVERVIEW OF RESETTLEMENT IMPACTS BY PROJECT ACTIVITIES (PACKAGE 1) ...... 43 TABLE 7-1 SUMMARY OF CONSULTATION RESULTS ...... 63 TABLE 7-2 LOCATIONS AND PARTICIPANTS OF CONSULTATION MEETINGS ...... 64 TABLE 7-3 TABLE RESULTS OF THE MEETING ...... 64 TABLE 7-4 NUMBER OF PARTICIPANTS ...... 66 TABLE 9-1 KEY RESPONSIBILITIES FOR ESMP IMPLEMENTATION ...... 70 TABLE 9-2 ESMP IMPLEMENTATION MATR IX ...... 72 TABLE 9-3 TRAINING PLAN ...... 78 TABLE 9-4 INDICATIVE BUDGET ALLOCATION FOR ESMP ...... 80

LIST OF FIGURES

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FIGURE 1-1 PROJECT LOCATIO N ...... 10 FIGURE 2-1 LOCATION MAP OF THE PACKAGE 1 LOT 1 (9 MILLION US$) ...... 13 FIGURE 2-2 GENERAL PLAN FOR THE TOTAL WORKS (PACKAGE 1 LOT 1 AND LOT 2) VALUED ABOUT US$16 MILLION...... 14 FIGURE 2-3 LOCATION OF DRAINAGES TO BE IMPROVED (PACKAGE 2) ...... 18 FIGURE 2-4 LOCATION OF DRAINAGES TO BE IMPROVED (PACKAGE 1) ...... 19

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ACRONYMS AND ABBREVIATIONS AAO The Administration Arbitration Organization AF Additional Financing AHs Affected Households ARAP Abbreviated Resettlement Action Plan ASEAN Association of Southeast Asian Nations BD Bidding Document CD Contract Document CBO Community Based Organizations CERD International Convention on the Elimination of All Forms of Racial Discrimination COC Code of Conduct on GBA and VAC COI Corridor of Impacts C&R Compensation and Resettlement CSC Construction Supervision Consultant CSO Civil Society Organizations DAFO District Agriculture and Forestry Office. DDMC District Disaster Management Committee DCC Department of Climate Change DMS Detail Measurement Survey

DOE Department of Environment DONRE Department of Natural Resources and Environment DOF Department of Forest DOP Department of Planning DOW Department of Waterways DPC Department of Planning and Cooperation DPWT Department of Public Works and Transport DRM Disaster Risk Management DRO District Resettlement Office DRR Disaster Risk Reduction DUPH Department of Urban Planning and Housing EIA Environmental Impacts Assessment ECC Environmental Compliance Certificate ECOP Environment Code of Practice EDPD Environmental Research and Disaster Prevention Division (of PTRI) EG Ethnic Group EGEF Ethnic Group Engagement Framework EGEP Ethnic Group Engagement Plan EMC Environmental Management Consultant EPL Environmental Protection Law ESHS Environmental, Social, Health, and Safety

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ESIA Environmental and Social Impact Assessment ESMF Environmental and Social Management Framework ESMP Environmental and Social Management Plan FE Field Engineer FPIC Free, Prior and Informed Consent GAP Gender Action Plan GBV Gender-Based Violence GDP Gross Domestic Products GIS Geographical Information System GCLS Grievance and Complaints Logging System’ GOL Government of Lao PDR GRC Grievance Redress Committee GRM Grievance Redress Mechanism GRS Grievance Redress Service GRID Gender Resource Information and Development Center ICT Information and Communications Technologies IEE Initial Environmental Examination Lao PDR Lao People’s Democratic Republic LDRM-AF Lao Disaster Risk Management Additional Financing LFND Lao Front for National Development LWU Lao Women’s Union M&E Monitoring and Evaluation MOF Ministry of Finance MONRE Ministry of Natural Resources and Environment MPI Ministry of Planning and Investment MPWT Ministry of Public Works and Transport NPA National Protected Areas NSEDP National Socio-economic Development Plan ODX O&M Operation and Maintenance OP/BP World Bank Operational Policies PA Protected Areas PAH Project Affected Households PAP Project Affected People PDNA Post Disaster Needs Assessment PDO Project Development Objective PDR People's Democratic Public PFA Protected Forest Area PIU Project Implementation Unit PMU Project Management Unit PRO Project Resettlement Office PTRI Public works and Transport Institute

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RAP Resettlement Action Plan ROW Right of Way RPF Resettlement Policy Framework SEA Sexual Exploitation and Abuse SC Sub-component SDS Social Development Specialist TA Technical Assistance TOR Terms of Reference UXO Unexploded Ordinance VAC Violence against children VAWG Violence against Women and Girls WB World Bank WBG World Bank Group

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1 INTRODUCTION 1.1 Background

1. The South East Asia Disaster Risk Management Project for Lao PDR and its additional financing (LDRM-AF) is being implemented with financing from the World Bank (WB) with an aim to reduce the risk of flooding and enhance disaster risk financing capacity of Lao PDR1. The Project consists of 5 components: (1) Integrated Urban Flood Risk Management being implemented by the Department of Waterways (DOW) of the Ministry of Public Works and Transport (MPWT); (2) Hydromet Modernization and Early Warning Systems being implemented by the Department of Meteorology and Hydrology (DMH) of the Ministry of Natural Resources and Environment (MONRE); (3) Financing Planning for Disaster Resilience being implemented by the State Reserve Department in the Ministry of Finance (MOF); (4) Knowledge and Coordination being implemented by the Department of Planning of Ministry of Planning and Investment (MPI); and (5) Contingent Emergency Response Component. In late 2019, additional fund of about $25 million has been provided to increase scope of the Component 1 implementation to cover priority investment in Loung Phabang and Borikhamxay while additional fund has also been provided for investment in Oudomxay (ODX) Province.

2. During the approval of the LDRM-AF, a set of environmental and social (E&S) safeguard instruments namely the Environmental and Social Management Framework (ESMF), the Resettlement Policy Framework (RPF), and the Ethnic Group Engagement Framework (EGEF) were prepared and they will be applied to all the Project activities and subprojects.

3. This document is the Environmental and Social Management Plan (ESMP) of the Oudomxay project (ODX project or the Project) which has been prepared in accordance with the ESMF of the LDRM-AF. The ODX project is part of the Component 1 which has been designed to reduce the impacts of flooding in Muang Xay, ODX Province, and to enhance the Government’s capacity for disaster risk management. Scope of the ODX project is described in Chapter 2.

1.2 Objective and Scope of this ESMP

4. The ESMP aims to manage and mitigate potential environmental and social impacts and risks associated with the Project works as required by the ESMF, RPF, and EGEF of the LDRM-AF. The ESMP describes (1) project background; (2) brief description of the Project; (3) the GOL legal requirements and the application of WB safeguard policies;

1 The parent project (LDRM) was approved on July 6, 2017 and became effective on 11 October, 2017, with a commitment amount of US$30 million. The Project Development Objective (PDO) is to reduce the impacts of flooding in Muang Xay of Oudomxay (ODX) Province and enhance capacity of the Government of Lao PDR (GOL) to provide hydro-meteorological services and disaster response.

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(4) the general environment and social conditions of the province; (5) the potential negative impacts and mitigation measures; (6) consultation and information disclosure; (7) grievance redress mechanism (GRM); (8) monitoring and reporting; and (9) ESMP implementation and budget. The ESMP also includes 10 attachments as follows:

o Attachment 1: Details on Project Description o Attachment 2: Excavation and Construction Materials o Attachment 3: Summary of Historical Floods and the Present Condition, Problems and Needs o Attachment 4: Environment and Social Background in Oudomxay Province. o Attachment 5A: Safeguard Screening Results o Attachment 5B: Key Issues and Mitigation Measures for C-ESMP o Attachment 6: Project Environmental Code of Practice (ECOP) o Attachment 7: Project Code of Conduct (COC) on Gender-Based Violence (GBV) and Violence Against Children (VAC) o Attachment 8: Sample Forms on GRM Monitoring and Accident Report o Attachment 9: Contingency Planning for Response to COVID-19 o Attachment 10: Notes from Consultation Meetings with Provincial Officials and List of Participants

1.3 Project Location

5. The Oudomxay (ODX) Province is located in the Northwest of Lao PDR and is bordered with to the North as well as with five other Lao provinces, the to the Northeast, the Province to the East and Southeast, the Xayabouly Province to the South and Southwest, the to the West, and the Province to the Northwest. The Oudomxay Province consists of seven districts and 471 villages and covers an area of 15,370 square kilometer (㎢).

6. The Muang Xay City, provincial capital, is situated in the north part of the province and covers an official area of 399 ㎢ although the majority of the population live within an area of 72.5 ㎢. The Muang Xay City is surrounded by scenic mountains in the Nam Kor River Basin. The town lies in the Xay District which borders the Namo District to the Northwest, the to the Northeast, the Nambak District of the to the East and the Beng, Nga and Nalae Districts of the to the West. The proposed investment aiming to address urban flood risks in Muang Xay covers both structural investment and non-structural investment and more details are provided in Chapter 2.

7. The ODX project area covers the Nam Kor River basin and its tributaries in ODX Province (see Attachment 4). Figure 1-1 shows location of the Project area. It is important to note that the ODX investment activities will include both structural measures as well as non-structural measures. A feasibility study (FS) and detailed

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design and bidding documents for the structural measures are being conducted by a consulting firm (ISAN).

Figure 1-1 Project Location

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2 PROJECT DESCRIPTION 2.1 Project Works

8. Based on the preliminary design, the Project works will include (i) River works for river profile improvement comprising excavation/dredging and construction of dike and river bank-protection, (ii) Construction and/or rehabilitation of two Riverside Parks including improvement of existing access roads, (iii) Demolition of 1 existing weir and construction of a movable weir in Nam Kor downstream of Park 2, and (iv) Construction and/or rehabilitation of small flap gates for urban drainage improvement. The feasibility study recommended for a total investment of about US$44 million for addressing the flood issues in Muang Xay. However, given limited fund available, only Package 1 (valued about US$16 million) will be implemented (2 Lots) under the LDRM-AF project which is established to mitigate flood damage of T-20-year return period flood. The section of Lot 1 is from Nam Kor Br. 2 to Nam Kor Br. 4 in the right side of the Nam Kor River as figure below. Details are provided in Table 2-1 below.

Table 2-1 Scope of works to address flooding in Muang Xay

Package Scope of Works Budget (USD) Lot 1 consists of 5 works as follows: Package 1 i) Riverworks: Dike, Riverbank-protection, dredging US$16M (with Lot 1 on the river bed: an additional - Nam Kor River: L=1.3km, right side (calculated budget of US$7 along the centerline of the river channel) million from ii) Riverside Parks (1 Areas): Rehabilitation and WB fund in upgrading of Park 2 March 2020). iii) Riverside Road (L=950m): Road improvement near the Riverside Park 2 iv) Nam Kor Movable Weir (1 weir): Located in Nam Kor downstream of the Riverside Park 2 v) Drainage and Flap Gate (1 gate): Construction of one small flap gates to improve effectiveness of urban drainage. Package 1 Lot 2 consists of 4 works as follows: Lot 2 i) Riverworks: Dike, Riverbank-protection, dredging on the river bed: - Nam Mao River (upstream): L=4.0 km (calculated along the east side riverbank) - Nam Kor River (upstream): L=1.3 km (calculated along the east side riverbank) - Nam Kor River: L=1.75 km, left side (calculated along the centerline of the river channel)

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Package Scope of Works Budget (USD) ii) Riverside Parks (1 Areas): Construction of River Park 1 iii) Drainage and Flap Gate (13 gates): Construction of 13 small flap gates to improve effectiveness of urban drainage. iv) Resettlement Area (4.9 ha): Development of a new resettlement area near Phu That Pagoda at the Nam Mao River (see Figure 2-2 below). According to the Inventory of Loss (IOL) conducted in seven villages, there are 248 households will be directly impacted by the project with a total population of 1,377 people including 681 females. The loss includes about 11 ha (241 plots) of residential land (3.5ha or 141 plots) and agriculture land (7.6ha or 100 plots) will be completely or partially acquired by the project. The data also shows that there are 283 structures will be affected by the project of which 107 accounts for housing structure, 13 for shops and 163 for secondary structures. In additional to land and structure, 2077 crops and trees will also be affected by the Project. Details on the affected household and peoples as well as the new resettlement area are provided in RAP. Total According to the Feasibility Study report, there have been Investment recommendations for the structural measures necessary to US$ 44.2 mitigate flood damage in the Nam Kor river basin against million design flood of 20-year return period. The (This cost recommendations also include the structure to be includes implemented under Package 1 above. Package 1) Recommended structural measures for this package are as below; . i) Riverworks: Dike, Bank-protection, dredging on the river bed . – Dike: 20.0 km (Nam Kor and Nam Mao river) . – Bank-protection: 6.1 km (Nam Kor and Nam Mao river) . – Dredging: 8.0km (Nam Kor and Nam Mao river) . ii) Nam Mao Retention Pond and 2 Lateral Weirs: 1.63 million m2 . iii) 26 Drainages and Flap Gates . iv) Improvement of Existing Weir and Construction of 1 Movable Weir . v) 2 Bridges and 2 Riverside Parks

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Package Scope of Works Budget (USD) However, two reservoirs in the upstream of the basin have been recommended for long-term measure to mitigate flood damage in the Oudomxay province.

9. The preliminary design provides information on the detailed facility alignment and the layout plans provides information on the major construction methods and an estimated cost taking into account the feasibility study and GOL’s opinion on priorities, and more details can be found in the project preliminary design report. However, this information is being adjusted and reconsidered taking into account the needs to avoid and minimize potential impacts due to land acquisition and relocation of affected peoples. Below briefly describes scope of the Project while more details on locations and existing conditions of the proposed Project sites are provided in Attachment 1.

Figure 2-1 Location Map of the Package 1 Lot 1

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Figure 2-2 General Plan for the total works (Package 1 Lot 1 and Lot 2) valued about US$16 million.

2.1.1 Riverworks

10. The riverworks design includes river profile improvement comprising widening, excavation/dredging, diking, and river bank-protection in selected sections. These activities have been planned for implementation in a way that minimizes the potential impacts on local transport and local residents as much as possible.

(a) River Profile Improvement

11. River profile improvement has been designed for improvement of river channel capacity through excavation and/or dredging on the river bed and for channel widening based on profile and cross-sectional plan. Dredged and excavated soil will go through soil investigation and laboratory test to check if it is suitable for construction of the dike/embankment and/or for filling up in selected low land area. Unsuitable soils (spoil) will be transferred to the disposal area that have been identified and showed in Attachment 2.

(b) Dike

12. The existing riverbank along the Project area will be elevated, and the design standards of similar project have been mainly employed for the flood embankment because there is no existing design standard for dike in Lao PDR. Details are as follows:

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• The dimension of dike for this proposed project is determined in response to the probable flood with 20-year frequency, which the design discharge is 1,440 m3/s, and the range of the design water level high is from EL. 634.36 m to EL. 644.81 m in the Nam Kor River and from EL. 639.95 m to EL. 650.01 m in the Nam Mao River.

• The width of bank crest is planned from 5.0 m including 3.0 m walk path, and the freeboard of 0.5 m is employed with consideration of compensation, social impact, economic feasibility and surrounding conditions.

• Slope of the dike has been designed 1:1.5, 1:2.0 and 1:3.0 at the riverside and 1:2.0 at the landside of the dike, and the sodding has been planned for the slope at landside to prevent soil erosion from rainfall during the rainy season.

• Meanwhile, the dike crest without walk path plan is to be sprayed by small rubble stone to prevent the surface from possible damages caused by the rainfall in the rainy season. In section of the walk path, brick pavement with good permeability was recommended; however, it should be reviewed in aspects of the project cost and maintenance in the next stage.

(c) Riverbank-protection

13. The riverbank-protection consists of slope protection and toe protection aiming to protect the bottom part of the riverbank from scouring and erosion due to tractive force of flow. The length and location of the riverbank-protection have been decided considering hydraulic characteristics and the present status of bank erosion of the project site. At this stage, the Nam Kor River and Nam Mao River have been divided into semi- rapid flow section and meander section considering the hydraulic characteristics such as river morphology, flow velocity and tractive force. The riverbank-protection was also designed with consideration on these factors. Key design principles are as follow:

• For the riverbank-protection design, the rip-rap, environmental block and masonry structure have been proposed as the main methods taking into account the stability of the riverbank, flow capacity, economic feasibility, maintenance, social impact and eco-friendly.

• To be cost-effective and minimize potential impacts on local communities, specific methods will be selected for specific sites during the detailed design stage. However, main activities would comprise of the dumping rip-rap, masonry structure, environmental concrete block and gabion box (see sample in Attachment 1a).

14. Considering the current conditions of the existing riverbank, social impact, living conditions, and adjustment and supplement between project components, the diking and riverbank-protection section with a total length of 16.6 km length and divides into 2 Packages (Package 1 is 8.65 km and Package 2 is 7.95). Table 2-2 below summarizes

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key information on locations and scope of works for each section while the construction arrangement and schedule are discussed in Section 2.4 below.

Table 2-2 Section for the Dike and Riverbank-protection

Section River Location Length Package (by riverside) (Upstream ~ Downstream) (km) NK-A Nam Kor (Left Side) B.Luksy KM4 ~ B. Thin 3.00 2

NK-A Nam Kor (Left Side) B. Thin ~ Junction of 3 rivers 1.20 1

NK-B Nam Kor (Both Side) Junction of 3 rivers ~ Intake Tower 0.50 1

NK-C Nam Kor (Both Side) Intake Tower ~ Market 0.30 1

NK-D Nam Kor (Both Side) Market ~ Before Park 2 1.55 1

NK-E Nam Kor (Both Side) Before Park 2 ~ End of Park 2 0.40 1

NK-F Nam Kor (Left Side) End of Park 2 ~ Nam Kor Bridge 4 0.30 1

NK-B Nam Kor (partially) Nam Kor Bridge 4 ~ B.Viengsa 4.95 2

NM-A Nam Mao (partially) De Yin Bridge ~ Nam Mao Bridge 1.05 1

NM-A Nam Mao (Right Nam Mao Bridge ~ B. Na-Me 1.15 1 Side)

NM-B Nam Mao (Right B. Na-Me ~ Junction of 3 rivers 2.20 1 Side)

Total 16.60

2.1.2 Riverside Park

15. The main objectives of river parks are as follows:

• To promote the tourism business based on development of the riverside park and to improve life quality of local resident. Lao people may need an open space to improve the physical and emotional well-being and heath. Therefore, it is important to set and develop appropriate riverine park areas to make provision for enough recreation.

• To secure water control stability as well as to promote tourism industry and to upgrade life quality of local resident by riverside park construction.

• To make an eco-friendly riverside park, this can inspire the city with energy. Ecological capacity was taken seriously to construct the park for connection of organic network of river and greens with open space and to construct diverse and energetic water friendly riverside space.

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16. The location, design concept, spatial planning and master plan of river parks are summarized below while more details are provided in Attachment 1.

• Park 1: RIVERSIDE PARK: Right side of the Nam Kor River near by Na-Warnoy Village; • Park 2: RIVERTERRACE PARK: Right side of the Nam Kor River nearby Jeng Village. Table 2-3 Design Concept of Riverside Parks Park Design Concept • The riverside park will provide a natural environment for urban people to rest. This concept design will be implemented for preventing the ecosystem from the Park 1: NAM environmental damage; KOR • The Space composition of the Riverside Park is based on five themes: culture, RIVERSIDE leisure, pleasure, mature and nature; PARK • This will be the water-friendly area or place for riverside events such as relaxation, prospect and activity; • It will be the key attraction of tourism industry in Oudomxay Province. • This will be the open space with the terrace land in which small events and water friendly activity could be held; Park 2: • We consider the continuity, diversity and vitality, and try to promote NAM KOR environmental working process; RIVER • The Space composition of the River terrace Park is based on three themes: TERRACE culture, landscape, and nature; PARK • The practical plan is set up in consideration of characteristic and environment of target place.

2.1.3 Weirs Movable Weir (1)

17. Due to the limited budget, improvement of the concrete weir at the Nam Mao River proposed by the province is not included in the Project. However, installation of a new movable weir in Nam Kor downstream of the River Park 2 has been included in the Package 1 in connection with river profile improvement and dike construction. Details on the proposed Nam Mao weir and Nam Kor weir are provided below.

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Nam Mao Weir Nam Kor Movable Weir • Located in upstream of the De Yin bridge • To be installed in the Nam Kor River • Concrete fixed type weir (H=1.5m, located in near new stadium, Nam Kor L=30.0m) as shown in figure below movable weir included in Package 1 • Water supply to the irrigation area • To secure water level for water friendly • Proposed to be changed into movable weir to zone and leisure space for residents and reduce flood level during flood for future people in connection with Riverside implementation. Park 2 • Lay down to drain flood in safety during • Lay down to drain flood in safety during flood season flood season • Steel plate hydraulic type movable weir (2@ • Steel plate hydraulic type movable weir H=1.5m, L=30.0m) (2@H=1.0m, L=40.0m)

2.1.4 Urban Drainage Improvement

18. It is expected that a total of about 26 drainages in the Muang Xay City will be constructed and/or improved depending on the GOL’s survey to identify the best option to prevent impacts from fluvial flood in the city. These outlets of the drainage will be improved with flap gates to prevent urban area from backwater of the main river during flood. The location of 26 outlets of the drainage proposed by GOL and the selected 14 drainages for Package 1 (16 million US$) are provided in Box 2.1. Detailed Design for culverts and flap gates of the 14 drainages will be carried out in detailed design stage for construction with the standards (see Box 2.1).

Box 2.1 Design standard and locations of culvert and flap gates Design standards for culvert and flap gates • Culvert Type: Box and Pipe Culvert type made of concrete and bench flume • Size: Pipe culvert (D=800mm, 1,000mm, 1,200mm) Box Culvert ([email protected], [email protected]) • Flap Gate: F.R.P body and stainless steel frame

Figure 2-3 Location of Drainages to be Improved (Package 2)

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Figure 2-4 Location of Drainages to be Improved (Package 1)

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2.2 Non-structural Measures

19. Based on the TOR for the consulting services, it is expected that the non-structural investment will include, but not limited to, recommendations including bidding document, for the water-sensitive urban design and landscape architecture interventions to complement the proposed structural investments for flood risk management in Muang Xay, with an aim to maximize opportunities for generating environmental and socio-economic co-benefits. It is expected that key outputs from this TA will include:

• A qualitative assessment of Muang Xay’s urban elements and opportunities for sustainable/green urban planning, and increasing socio-economic opportunities (leveraging tourism sites, cultural heritage sites, etc.), using past reports and/or government plans, site observations, consultation (workshops, interviews) with relevant government counterparts and community stakeholders (including women’s organizations, special interest community groups, and ethnic groups if present). This rapid assessment should cover urban elements that are important to Muang Xay, such as aesthetics, cultural heritage, tourism development potential, and accessibility (including universal access);

• A Landscape Concept Design for Muang Xay aiming to beautify the city through landscape design interventions that are context-specific, evidence- based, and developed in consultation with stakeholders. The proposed design interventions may be related to comfort/livability aspects (e.g. shade, seating, refuge), greenery and water features (e.g. water play areas), public recreational and economic activities (markets with key facilities, sports & recreation facilities, outdoor playground, urban furniture), programming, safety (lighting, informal surveillance), urban form, and way finding. • Designs that promote an active lifestyle are preferred. In particular, the following outputs should be incorporated in the landscape concept design: (i) landscaping and public space designs are to be developed for the embankments, to be constructed under the project, and their adjacent areas; (ii) locations for at least two multi-functional parks should be identified and complemented by recreational features and amenities that are relevant to the integrated urban flood management strategy. Where there are deficiencies or improvements to be made in the location, size or design of riverside parks identified by the provincial government or past studies, the TA will propose suitable alternatives; (iii) locations for key community activity nodes should be identified and complemented by programs and facilities for place making. (iv) The design concept should be in line with local culture; (v) The design concept should explore integration of small smart-city elements facilitates by modern information communication technologies; and demonstrate that a balancing of ‘gray’ (i.e. hard engineering) and ‘green and blue’ (i.e. nature-based and water- sensitive designs), socio-economic benefits, gender-specific needs/interest/

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equity, flood risk reduction, disaster resilience, etc. have been adequately addressed. • A number of communications materials are also expected to be produced.

2.3 Construction Materials

20. The major construction materials on embankment for dike and bank protection are soil; concrete and rip-rap to be provided from adjacent borrow pits, quarry sites and concrete plant. The laboratories tests have been performed to check the suitability of the materials from selected borrow pits, excavated soils, and quarry sites. Furthermore, unsuitable material confirmed by the test result shall be dumped into the disposal area after drying in the stock yard in the riverside park 1 and near DPWT in Oudomxay Province. 21. Ready-mixed concrete (concrete) will be provided from the batch plant 1 km apart from the Muang Xay center through suitable mix design. 22. The rip-rap to be mainly used for the foundation of bank protection, and toe protection will be provided from quarry sites and will be tested to see if the major material properties such as unit weight, uniaxial compressive strength, and etc. are suitable for the construction materials. 23. Borrow pits, quarry sites and batch plant are located within 17 km distance. In addition to them, quarry site in the Phou Keal Village is located 2.8 km distance from the site and available volume of this site is around 400,000 m3 (refer to the attached Soil Investigation Report). More details of construction materials are shown in Attachment 2.

2.4 Construction Plan and Schedule

24. It is expected that indicative construction time and schedule is presented in Table 2-4, Table 2-5 and 2-6 below. However, the final plan and schedule will be updated in line with the RAP implementation and completion of the payment. It is also expected that MONRE approval of the ESIA and ESMMP reports will be obtained before construction begin.

Table 2-4 Indicative Construction Time and Schedule for Component 1

Package No. Scope of Works Start Construction Date Package 1 Nam Kor and Nam Mao river Lot 1 Nam Kor River: November 2020 • Dike, Bank-protection, Dredging, (10 months) Riverside Park 2, 1 Drainage and Flap Gate, Nam Kor Movable Weir, Riverside Road and Resettlement Area

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Lot 2 Nam Kor and Nam Mao River: February 2021 • Dike, Bank-protection, Dredging, (20 months) Riverside Park 1, 13 Drainages and Flap Gates Package 2 Nam Kor, Nam Mao and Nam Hin River Nam Mao Retention Area, Dike, Bank- 4 years protection, Dredging, 12 Drainages and Depends on the budget Flap Gates, Nam Mao Weir of the Package 2

Table 2-5 Project Implementation Schedule (Package 1)

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3 LEGAL AND INSTITUTIONAL SETTING 3.1 National Laws and Regulation Related to Safeguards

25. In Lao PDR, there are many laws and regulations govern the utilization and management of natural resources management (land, forest, water, aquatic and wildlife, etc.) established in late 1990’s and many have been updated and/or revised. The Environmental Protection Law (EPL) established in 1999 and revised in 2012, describes the principles, regulations and measures for managing, monitoring, restoring, and protecting the environment including the pollution control, environmental impact assessment processes and natural disaster. The EPL assigns the Ministry of Natural Resources and Environment (MONRE) to be the lead ministry responsible for establishment and ensure effective implementation of follow-up regulations and guidelines as needed. MONRE is responsible for review of an Environmental Impact Assessment (EIA) and issuance of an Environmental Compliance Certificate (ECC) while the Provincial Office on Natural Resources and Environment (PONRE) is responsible for review of an Initial Environmental Evaluation (IEE) process and issuance of the ECC.

26. On EIA/IEE process, in late 2013, two regulations on the Environment and Social Impact Assessment (ESIA) and an Initial Environmental Examination (IEE) were established. However, they have been upgraded to a decree level and the decree has been approved by the Prime Minister (EIA decree No 21, date January 31, 2019) in early 2019. Similarly, the compensation and resettlement decree established in 2005 (Decree 192/PM) was also revised and approved in 2016 (Decree 84/PM) and it being reviewed in light of the WB’s comment and the promulgation of several related laws during 2017- 2018. A number of decrees, regulations, and guidelines established and applied during 2000’s is being reviewed and revised.

27. MONRE has specific regulations in place to monitor infrastructure investments which may result in environment and social impacts. MONRE issues an Environmental Compliance Certificate (ECC) for projects that trigger environmental and social safeguards for ESIA compliance and can also withdraw a project ECC in the case of non-compliance. MONRE Ministerial Decision (No. 8056/MONRE) provides a list of investment projects and activities which require an IEE or, as necessary, an ESIA to prevent or mitigate potential impacts that may occur during all phases of an investment project.

28. As the proposed ODX project is anticipated to have a linear length greater than 1km and is comprised of several sub-projects, the Remark 1 of the Ministerial Decision (No. 8056/MONRE) has been considered during the initial discussion with MONRE on scope of the assessment and the reporting requirements. An Environmental and Social Impact Assessment (ESIA) covering all activities of the ODX project will be required. These supporting standalone documents would normally include, at a minimum, an Environmental and Social Management and Monitoring Plan (ESMP), and other

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safeguard documents to be required by the project such as the Resettlement Action Plan (RAP), and the Ethnic Group Engagement Plan (EGEP) being prepared and approved by the WB as well as other safeguards plans and procedures. Additionally, the Remark 4 of the Ministerial Decision (No. 8056/MONRE) stipulates that if the investment project [likely] requires compensation and resettlement according to the Decree on Compensation and Resettlement (No. 84/GOL, 2016), an ESIA is required regardless of the project type or size.

29. Key environmental and social safeguard policies, regulations and conventions which are applicable to the project include, but not limited to, the followings:

EIA/IEE Process including Compensation and Resettlement. • Decree on Environmental Impact Assessment (EIA), No. 21/GOL, dated 31 January 2019. This revised Decree provides rules, regulations and measures on management and monitoring implementation of environmental impact assessment activities to make sure that such activities are proceeded correctly with transparency and in concerted form with purpose to protect [environment], mitigate [and] remedy impacts on environment, ensuring that the compensation is reasonable, relocation and occupational resumption and restoration of livelihood of the affected people is improved more than before, making management and use of the natural resources is efficient, securing the rights and interests of the nation and the people, contributing to the implementation of the National Social and Economic Development Plan in the direction of green and sustainability; • Decree on Compensation and Resettlement of People Affected by Development Projects (No. 84/GoL, 5 April 2016). This revised Compensation and Resettlement (C&R) decree describes the principles, regulations and standards to mitigate adverse social impacts and to compensate for damages that result from involuntary land acquisition or repossession of land and fixed or movable assets; including changes in land use, restriction of access to community or natural resources affecting community livelihood and income sources. The decree aims to ensure that project affected people (PAP) are compensated and assisted to improve or, at least, maintain their pre-project incomes and living standards, and are not made worse off than they would have been without the project. The decree describes the stringent compensation principles, particularly for those PAPS who do not have legal land title, land use certificate or other acceptable documentation indicating their land use right. Unlike the previous Decree (No. 192, 2005) which gave the right to this group of PAP to claim compensation not only for their lost assets but also for their lost rights and/or privileges to use of the land, the revised Decree only provides the right to claim for their lost assets such as house/structures, trees and/or crops. It is noted that the Decree (84/PM) is largely consistent with the main principles of the Bank’s Involuntary Resettlement Policy (OP/BP 4.12) which are discussed in the

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LDRM-AF ESMF. Any discrepancies that may be found in the provisions of the revised C&R Decree shall be governed by the WB policy (OP/BP 4.12). • Law on Resettlement and Occupation (2018) applies for both government and private sector development projects. This law aims to define, regulate, manage and monitor resettlement and livelihood for Lao population of all ethnic groups to ensure that those who are in areas identified for resettlement and livelihood are provided with stabilized residential and production land and occupation with ultimate goals to address illegal relocation, eliminate poverty, improve livelihood, security and social order, develop small villages into rural small towns contributing to national socio-economic development and national security. Article 22.1also states that people affected by settlement and livelihood program (governed under this law) will be provided with compensation for land and assets lost at a replacement cost, providing that she/he has official land (use or title) documents. The Article 22.4 recognizes customary land use that if certified by the local authority and concerned sector, the affected person is eligible for compensation as specified in the above Article. Article 22.5 discusses that in event if person affected by settlement and livelihood program does not have official land (use or title) document, she/he will not be provided with compensation for the land lost (acquired) but assets (structures, trees and crops) located on the land parcel acquired.

Pollution Control

30. Since 2015, MONRE also issued a number of decree and regulations regarding pollution control and construction and the key ones are:

• Decree on National Environmental Standards for Lao PDR. The Decree on National Environmental Standards for Lao PDR was first developed in 2009 to minimise impacts to human health, animal life, and the environment from development activities in the country. Revised and updated in 2017, the National Environmental Standards apply to any relevant person, enterprise or organization and provide a common platform for both ambient environmental standards and common pollution control standards. The Standards determine parameters, indicators and levels of pollutant concentrations as scientific reference, in the monitoring of environmental quality and control of pollution emitted to air, or discharges to soil and water including disturbance that may have impact on human and animal life, health and environment.

• The Ministerial Instruction on Pollution Control (No. 0745/MONRE, 2015). The main objectives and principles of this Instruction aim to avoid, manage and mitigate residual pollution generated by development projects and activities through releases of harmful substances, hazardous emissions and/or discharges that are required to meet the National Environmental Standards. The Instruction

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focuses on three aspects of pollution control in association with air, soil, and water.

Ethnic Groups and Gender Considerations • Ethnic groups. Ethnic groups are recognized in the 1991 Constitution Article 8 which states “all ethnic groups have the right to preserve their own traditions and culture, and those of the Nation. Discrimination between ethnic groups is forbidden”. • In 2012, the Lao Front for National Development (LFND) established a national guideline on consultation with ethnic groups in line with the National Guideline on Public Involvement (2012) established by MONRE. The guideline aims to ensure that all ethnic groups who benefit from or are adversely affected by a development project, without regard to the source of funding, are fully engaged in a meaningful consultation process at all stages from preparation into implementation. The guideline also aims to ensure that the potentially affected ethnic groups are fully informed of project objectives, as well as their potential positive and adverse impacts on their livelihood and their environment, and provided with opportunities to articulate their concerns. The guidelines provide principles and processes to carry out meaningful consultations with, and obtain free, prior and informed consent of, all ethnic groups affected by developments projects in a culturally sensitive manner. The guidelines consist of: a) objectives and scope of the guidelines, b) consultation processes with ethnic groups at respective stages of development projects, c) consultation approaches and methods for different ethnic groups in a culturally sensitive manner, d) expected outcomes of consultation at each stage, and e) implementation arrangement and responsibility; • The GOL has recently approved the Decree on Ethnicity (No. 207/GOL, 2020). The Decree sets a series of policies to promote nation-wide ethnic groups’ unity, equality in accordance with the national laws as well as protection and enhancement of unique traditional and cultural practices. Key principles and procedures for consultation with ethnic groups in this guideline will be adopted into the safeguard instruments of the project, including the ESMF, RPF and Ethnic Group Engagement Framework (EGEF); • Gender considerations. Gender mainstreaming has received priority attention with gender issues integrated into national policy and plans. The Seventh Five- Year National Socio-economic Development Plan 2011-2015 (NSEDP) speaks to gender in terms of population policy, human capital development and elimination of all forms of violence against women and children. The NSEDP gender targets include governance, sector development, labour and social protection, and human resource development. A National Commission for the Advancement of Women and Children (NCAWC) was established in 2003 to drive national policy, promote gender equality and empower women. The 8th NSEDP aims to achieve ‘reduced effects from natural shocks’ as one of its three main priorities. A Climate Change and Disaster Management Law are currently

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being developed and are expected to be approved in 2017 together with a new five-year National Strategic Plan on PDR (2016-2020). Since 2010, Lao PDR has promulgated and applied a National Strategy on Climate Change.

Water Resources • The Law on Water and Water Resources (No.23/NA) dates May 11, 2017. This Law on Water and Water Resources defines principles, regulations, and measures relating to the protection, administration, exploitation, use and development of water and water resources, protection damage to water or water resources, rehabilitation of the effect areas to assure the quality, quantity of water and sustainable water resources, to respond for the people's living requirements, to promote agriculture and industry, to ensure that natural environment, social environment are protection, to develop the nation sustainable and to the socio-economic development.

Labor Management, Occupational Health, and Safety • The Lao PDR Labour Law (2018) stipulates that employment should be promoted for the poor, disadvantaged, disabled, unemployed and for those members of society with social problems to ensure they receive skills development. The law also states that working conditions must be safe, that salaries or wages must be paid in full and social insurance benefits must be implemented and that forced labor of any form is not permitted. The law further states the number of hours that can be worked in a week and the provision of breaks as well as compensation for overtime. • Various Laws and regulations are in force to manage and address public health, occupational and environmental health, communicable diseases and the prevention of violence against women and children. These include Hygiene, Disease Prevention and Health Promotion (amended in 2011), Management of Chemical Substances (2017), HIV/AIDS Prevention and Protection (2010), Roads (amended in 2016), Land Traffic (2012), Preventing and Combating Violence against Women and Children (2014), Anti-Human Trafficking (2015), Crime (amended in 2018) and Public Security (amended in 2017). • NCAWMC and Lao Women Union are the main government entities responsible for addressing GBV together with violence against children and sexual exploitation and abuse.

UXO

• The National UXO/Mine Action Standards (2012) provides the minimum standards and requirements for all UXO/mine action conducted in Lao PDR. The purpose of this standard is to ensure safety, efficiency and effectiveness in UXO/mine action. It applies to all organizations to use this standard as the basis for the development of their projects and standard operating procedures. In late 2016, GOL also issued an order requiring all investment projects to take actions

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to reduce UXO risk before commencing the project activities. The Project may require to consult with the NRA for conducting UXO risk assessment in the project area. If the project development areas are identified as low priority/low UXO impact threat, the project would not undertake area clearance. However, if the initial assessment identifies medium to high risks, the project will need to involve a certified UXO clearance organization.

Institutional Setting

31. The Ministry of Natural Resources and Environment (MONRE) is the lead ministry responsible for implementation of the EPL and its regulations and/or guidelines. MONRE is also responsible for management of water, land, and environmental management while the Ministry of Agriculture and Forest (MAF) is responsible for management of protected area (PA) and protection forest area (PFA)2. In late 2017, as part of MONRE internal organization, the Department of Environment and Social Impact Assessment (DESIA) was separated into the Department of Natural Resources and Environment (DNEP) responsible for EIA review and the Natural Resources and Environmental Inspection Office (NEIO) responsible for technical inspection of compliance. In March 2020, MONRE completed another internal reorganization and the Department of Environment (DOE) is established by merging DNEP and the Department of Environmental Quality Promotion (DEQP). DOE is responsible for EIA review and approval. Department of Pollution Control and Inspection (DPCI) is responsible on the implementation and application of policies, strategies, laws, regulations (including international treaties that Lao PDR rectifies) on pollution controls, hazardous chemical controls, waste disposals as well as conducting compliance monitoring with environmental and social obligations for investment projects in accordance with the ECC issued for the ESIA and ESMMP reports.

3.2 Regional and International Regulatory Framework

32. In addition to the national statutes and regulations discussed above, Lao PDR is also a signatory to the following international conventions related to natural resources conservation, cultural heritages, labors, and ethnic groups that may have a bearing on infrastructure development projects, including:

• ASEAN Agreement on the Conservation of Nature and Natural Resources (1985). As a signatory to this agreement, the GOL commits to development planning, the sustainable use of species, conservation of genetic diversity, endangered species, forest resources, soil, water, air and addressing environmental degradation and pollution. The focal point for this convention is the MONRE;

2In mid-2016 the department of Forest Resources Management (DFRM) was moved to from MONRE to MAF.

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• Convention Concerning the Protection of the World Cultural and Natural Heritage (1972). The GOL agrees to take the appropriate legal, scientific, technical, administrative and financial measures necessary for identification, protection, conservation, presentation and rehabilitation of designated heritage sites in Lao PDR. The focal point for this convention in Lao PDR is the Ministry of Information, Culture and Tourism; • UN Convention on Biological Diversity (1996). As a signatory to this Convention, the GOL is committed to: o Develop a national biodiversity conservation and sustainable use strategy; o Develop legislation for protecting species and populations that are threatened; o Integrate conservation and sustainable use of biological resources into national decision-making; o Conduct environmental assessments (EA) of proposed development projects with a view to minimizing negative impacts; and o Take measures for an equitable sharing of the results of research and development in genetic resources. o Convention on International Trade in the Endangered Species of Fauna and Flora (2004) provides an international guideline for management and control of trade in endangered fauna and flora; and o Ramsar Convention (1982). The GOL officially joined the Convention in 2010. The Convention defines basic principles and measures on sustainable management, preservation, development, and utilization of wetland. In particular, two wetlands in Lao PDR which have international importance are the Xe Champhone Wetlands in and the Beung Kiat Ngong Wetlands in . • Lao PDR is also a signatory to a number of international labour conventions that complement the Lao PDR Labor Law (2013) and these conventions include: o C029 – Forced Labour Convention, 1930 (No. 29). As a signatory, Lao PDR commits to suppress the use of forced or compulsory labour for the benefit of private individuals, companies or associations. The Conventions does, however, include distinct conditions for when forced or compulsory labour may be exacted as a tax or for carrying out public works; o C100 – Equal Remuneration Convention. 1951 (No. 100). This Convention stipulates that men and women shall receive equal remuneration for work of equal value; o C111 – Discrimination (Employment and Occupation) Convention, 1958 (No. 111). The Convention defines the conditions that result in discrimination in a place of employment or at an occupation. As a signatory, Lao PDR has committed to pursue a national policy designed to promote, by methods appropriate to national conditions and practice, equality of opportunity and treatment in respect of employment and occupation, with a view to eliminating any discrimination; o C137 – Minimum Age Convention, 1973 (No. 138). The country has committed to a national policy designed to ensure the effective abolition of child labour and to

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progressively raise the minimum age for admission to employment or work to a level consistent with the fullest physical and mental development of young persons. The Convention stipulates that the minimum age shall not be less than 18 years; and o C182 – Worst Forms of Child Labour Convention, 1999 (No. 182). Under this Convention, Lao PDR committed to take immediate and effective measures to secure the prohibition and elimination of the worst forms of child labour which includes, but is not limited to, all forms of slavery such as debt bondage, forced or compulsory labour, and trafficking, prostitution, and the production or trafficking of drugs. • Lao PDR is also a signatory to a number of international instruments that protect the rights of ethnic groups. This includes the International Convention on Economic, Social and Cultural Rights (ICESCR), International Convention on Civil and Political Rights (ICCPR), and the International Convention on the Elimination of All Forms of Racial Discrimination (CERD).

3.3 Applicable Bank Safeguard Policies Triggered by the Project

33. Similar to the original LDRM project, the LDRM-AF is classified as EA category B and six safeguard policies are triggered while the ESMF, RPF, and EGEF of the LDRM-AF have been prepared and approved by WB. In line with the ESMF requirement, a safeguard screening of the ODX project has been conducted and the results (see Attachment 5A) confirmed the scope of the EA category B and application of the 6 safeguard policies: i.e. Environmental Assessment (OP/BP 4.01), Natural Habitats (OP/BP 4.04), Physical Cultural Resources (OP/BP 4.11), Indigenous Peoples (OP/BP 4.10), Involuntary Resettlement (OP/BP 4.12), and Projects on International Waterways (OP/BP 7.50). The ESMF stated that although there are some gaps between the WB safeguard policies and the Government regulations, when gaps exist, the WB safeguard policies will be applied.

34. This ESMP is prepared in line with the ESMF while RAP and EGEP have been prepared as a stand alone document in line with the RPF and EGEF respectively.

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4 ENVIRONMENT AND SOCIAL CONDITIONS 4.1 General Environment Profile a) Topography, Geo, climate, river/stream, land use, geological and mineral

35. Oudomxay Province is in the heart of Northern . It borders China to the North, Phongsaly Province to the Northeast, Luang Prabang Province to the East and Southeast, Xayabouly Province to the South and Southwest, Bokeo Province to the West, and Luang Namtha Province to the Northwest. Covering an area of 15,370 km2 (5,930 sq. miles), the province’s topography is mountainous, between 300 and 1,800 metres (980- 5,910 feet.) above sea level. The rugged mountainous landscape has peaks up to 1,850 meters covered in varying forest types and wider fields.

36. Annual rainfall ranges from 1,900 to 2,600 millimetres (75-102 inches). Approximately 60 rivers flow through Oudomxay Province, as for example Nam Phak, Nam Sae, Nam Beng, Nam Kor and Nam Nga. The Nam Kor flows through the province capital Muang Xay. Main Rivers in Oudomxay are , Nam Park, Nam Beng and Nam Kor.

37. Oudomxay Province has a moderate monsoon climate. The yearly amount of rain is about 1,900–2,600 millimetres (75–102 inches). The average winter temperature is 18°C, while during summer months the temperature can climb above 30°C. Temperatures in February and March average between 18°C and 19°C, from April to May temperatures climb over 31°C. Due to high altitudes there are more variations in temperature during the year and a colder dry season in northern Laos as in the rest of the country.

38. Oudomxay has total land area 15,370 km2 (1,637,000 ha) covered 14% of total land area of northern region. Out of which mountainous area covers 1,30,400 ha (85%)’ and low land area of 230,600 ha (16%). This includes forest land area of 1,158,900 ha (94.8%). According to land survey conducted by Land Management Department of Oudomxay province in 2010, the province has forest land covers more than 80% (54,739.32 ha), including degrade land 155,117.84 ha; agricultural land 376,999.07 ha; construction land 3 17,824.23 ha; wetland 10,729.48 ha; sand 418.18 ha. Attachment 4 provides more information on key environment and social background in Lao PDR such as topography, locations of protected area, key river basins as well as point of interests in ODX and connection between Nam Kor and Nam Pak before discharging into the central part of which in turn flows into the Mekong upstream of Loung Phrabang.

b) Forest, Biodiversity and Protected Areas

39. The Upper Lao Mekong Important Bird Area is 10,980 hectares in size. It spans the provinces of Oudomxay, Bokeo, and Saiyabouli. The altitude is 300–400 metres (980–

3 MONRE (2015), Summary of Natural Resources and Environment of Lao PDR for the Development of Vision to 2030 and its 10-year Strategy (2016-2025), and MONRE’s 5-year Strategy.

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1,310 ft) above sea level. Noted topography includes river channel, exposed beds, sandbars, sand and gravel bars, islands, rock outcrops, bush land, and braided streams. Black-bellied Tern Sterna acuticauda, Great Cormorant Phalacrocorax carbo, Grey- headed Lapwing V. cinereus, Jerdon'sBushchat Saxicola jerdoni, Plain Martin Ripariapaludicola, River Lapwing Vanellusduvaucelii, Small Pratincole Glareolalactea, and Swan Goose Ansercygnoides are some of the recorded avifauna.

40. There is a total area of 468,628 ha, accounting for 46.32% of the forest area throughout the province. There are about 296,170 hectares of national protected areas, approximately 152,829 hectares of protected areas and 19,639 ha of protected areas.

41. Other key characteristics can be highlighted as follows:

• Vegetation in Oudomxay is rich by virtue of the monsoon climate. Several kinds of bamboo and a broad range of plants (for example orchids) are found in the region. Also, hardwoods like teak and mahogany trees grow in Oudomxay and are important sources of income for the population.

• Approximately 60 rivers flow through its territory, offering great potential for hydropower development.

• According to estimations of the IUCN, approximately 12% of Oudomxay forests are primary forests, 48% to naturally regeneration/re-grow forests4.

c) Point of Interests and Landscape

42. Oudomxay is the center of all Northern provinces. People always pass through and the province is going to be one of the most attractive places for people in the future. There are quite many tourist destinations in the province. For instance, Chom Ong Cave “the Land of Caves”, Tadnamkat Waterfall – Namkat Yolapa Resort, the Sacred Phachao Singkham Temple, Nam Hin Lake, the 600-year-old Phouthat Stupa in the center of the town “the symbol of Oudomxay” and many more (see location in Attachment 4).

43. Pakbeng, located at the confluence of the Beng and Mekong Rivers is set on a scenic curve of the Mekong shrouded in green mountains. Explore Pha Ho-Pha Hong Cave in , or experience the shared Lao and Chinese heritage at Ban Theio or Ban Nam Xeng.

44. Creep around Chom Ong Cave: Hundreds of grottoes dot Laos’ mountains, but few compare to the Chom Ong Cave system located some 45 kilometres from Xay Town. It was investigated 13.5 kilometre of the roomy underground maze with overlaying halls, which run along a 4 kilometres long mountain ridge. Several side corridors remain unexplored, though one that was rediscovered ends in an 18-metre drop to the Nam

4 https://en.wikipedia.org/wiki/Oudomxay_Province

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Kaang River, which flows through the lower areas of the cave system. An hour-plus hike leads to the stream inlet in the north, and a full exploration with equipment can take eight hours before exiting at the river’s southern end.

45. Happening Handicraft in Ban Yor: Handicraft hounds heading to Oudomxay can strike the mother road 57 kilometres south of Xay Town in the ethnic Tai Lue and Khmu Village of Ban Yor. A hands-on pottery workshop shows you where villagers find the clay, how they gather and prepare it, and how to distinguish various types of clay and the different styles of pottery and bowls. The course culminates in throwing and decorating your own pot. Those curious about cotton can participate in three separate workshops, where eager weavers learn to yearn, dye, and weave cotton. The end result is a piece of handmade cotton cloth you can call your own.

46. Buddha’s Protective Shield: Those stopping overnight at Pakbeng on a Mekong cruise have a great reason to spend a full trekking to Khamtan Buddha Cave. Half and full-day tours take you to the hidden haven for locals during the Indochina War. Prayers to Buddha asking for protection from the bombings led to its name, “Phachao (Buddha) Khamtan (Valuable Protective Shield)”. The tour departs from Pakbeng by tuk-tuk to Pak Ngeuy and its two temples before a short boat ride and walk along the Mekong to Phachao Khamtan Cave. The full-day tour follows the same itinerary before trekkers embark on a 5-6 hours march through nature.

47. Hike to Hidden Nam Kat Waterfall: people can follow to local guide on the high or low path from Faen Village, but both one-day treks lead to Nam Kat Waterfall buried in old- growth jungle in the limestone outcrops east of Oudomxay Town. Massive boulders surround Nam Kat’s 20 metres cascade, and create a series of smaller cataracts. The easier 13 kilometres path follows the stream, along which you can see a large variety of colourful small fish. The rough 13,5 kilometres route, with a 500 metres ascent over Phou PhaDaeng Mountain, presents far-reaching views before descending to the falls and a dip in its pool. Back in Ban Faen, shop for quality bamboo handicraft.

48. Muang La, 28 kilometres from Xay Town, offers four tour packages with English- speaking guides that take you into the district’s mountains and cultural diversity. A one- day tour visits ethnic villages and Singkham Temple with its 400 years-old Buddha images, hot springs, Nam Kai Waterfall, and Phachao Singkham Buddha Cave. Other day tours head to Phavi Village and a Khmu ethnic experience before trekking to Houay Kai Waterfall, and No village to uncover the ethnic Akha’s way of life. A two-night, community-based tour focuses on the ethnic Khmu with overnight stays in two villages and treks to Phachao Singkham Buddha Cave and Houay Kai Waterfall.

4.2 Provincial Social and Economic Profile

49. Oudomxay Province is divided into 7 districts: Xay, Lar, Namor, Nga, Bang, Houn, and Pakbang Districts. Total population is 79,535 people; out of which 17,173 people in Lar;

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38,826 people in Namor; 30,938 people in Nga; 37,491 people in Bang; 74,254 people in Houn and 29,405 people in Pakbang District.

Table 4-1 Economic Indicator 2017

Descriptions Numbers Unit GDP growth n/a % GDP per capital 583 US$ Agriculture sector 56 % Industry sector 15.20 % Service sector 24.15 % Price index n/a % Inflation n/a % Table 4-2 Basic infrastructure indicators 2017

Descriptions Numbers Unit Total land area 15,370 km2 District 7 District Villages 564 Village Urban area with access road n/a Village Rural area with access road n/a Village Rural area without access road n/a Village Electricity 269 (2013) Village Market n/a Village Health center 44 (2005) Unit Primary school 470 (2005) Unit Poor village n/a Village Poor family n/a Family Source: http://vientiane.thaiembassy.org/th/about/provinces.php?ID=267

4.3 Ethnic Groups in the Project Areas

50. In Oudomxay Province, there are approximately 12 different ethnic groups, of which the largest is the Khmu Ethnic Group. According to the provincial administration, the Khmu, who are part of the Mon-Khmer linguistic family and include Khmu Lue, Khmu Khong, Khmu Ou, Khmu Bit, constitute approximately 60% of the population. The Hmong Khao ethnic group, the second largest ethnic group, is part of the Hmong Mie and comprises 14% of the ethnic groups. The Tai-Dam ethnic group, the smallest ethnic group, is part of the Tai-Kadai family and comprises 2% of the ethnic groups. Other ethnic groups living in the province include Akha, Phouthai (Thai Dam and Thai Khao), Phou Noi (Phou Xang, Phou Kongsat, and Phou Nhot), Lao Houy (also “Lenten”), Phouan, Ly, Yang, Ikho and Ho (Oudomxay Provincial Information, Culture and

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Tourism Department). Each of the twelve ethnic minorities has its own languages, cultural heritage and traditions. 51. The geographical spread of ethnic groups across the project villages including: Ethnic Groups of Lao Tai ethno linguistic family (or Lao Tai Groups), Khum/Khmou, Phounoi, Hor, Leu, Tai Dam, and Hmong. The population of the villages is dominant by Lao Tai group, which covers about 40% (9,757 people; 4998 females) of total population in all villages following by Khum and Hor. For more information about number of ethnic groups presents in the EGEP. 52. is the main language using by Lao Tai. It has recognized as an official language of the country. Lao Tai group live in the low land area of the province and believe in Buddhism. Khmu (often referred to as Lao Theung) traditionally live in the middle hill areas, are animist, tend to practice Swidden agriculture, utilize forest products and are relatively isolated from the dominant low land culture - although there has been assimilation and integration for centuries. This linguistic family includes 32 ethnic groups and related sub-groups. Their language links them to the Mon and the Khmer. 53. Khmu are said to be the oldest inhabitants of northern Lao PDR, and are now settled throughout all Northern provinces and as far as Bolikhamxay Province. Next to the Lao Loum, they are numerically the largest ethnic group in the country. They have several sub-groups which co-reside, including Rok, Luu, Ou, and Khrong. Khmu are strongly governed by spirits, both benevolent and dangerous, which influence foundations of customary law. The world of the spirits consistently influences gender relations, land use and property rights, and change disturbs the relationship between the Khmu and the external world. Different levels of spirits govern different choices made by men and women – some spirits are territorial, associated with particular places or locations, others are associated with the village and under the authority of the territorial spirit. The belief in spirits can influence the choices made by men and women in their daily routine, seasonal activities, property rights and relationships between the sexes. Other spirits govern the structure of the household and are normally ancestral who continue to protect the well-being of families. Lastly, there are individual spirits, linked to the household. 54. Each sub-group may be composed of several patrilineal clans called “ta”. Ta names are totemic, meaning they are taken from a natural object, or animal, or bird, to which the clan considers itself closely related and usually has prohibitions associated with the totem. Among Khmu Lue in Oudomxay, ta may include Teu Mong (a kind of civet cat), Teu va (a kind of fern), Teu Kok (a species of bird), etc. The totem is the household spirit, and membership of a ta depends in which house a child is born. Ta membership determines marriage choices and by association, property rights. 55. Hmong Khao (“White” Hmong) is one of five Hmong sub-groups present in Lao PDR. After Khmu, Hmong has the largest population of all ethnic groups in the country. The Hmong trace their origins in Lao PDR to waves of migration from China in the early years of the 19th century. Causes for this migration attributed by both Hmong respondents and research sources include historical conflict between Hmong and Han

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Chinese, population growth, unacceptable burden of taxation and refusal to integrate with Han Chinese. Migrated Hmong are now found throughout the Northern Provinces of Lao PDR, Southern , Northern Viet Nam and Northern . 56. Typically, Hmong have settled in the highest areas of the upland, even preferring to be buried on mountain tops. They have a reputation of being both hard working and more recently, assertive in Oudomxay Province over acquiring land and property. Hmong Khao are also structured by clans, or seng (e.g., Toe, Veu, Tsiong, Moa, Lee, Va, Ya, Ha, Ja, and Keu). The seng determines the boundaries of land and property rights, and protects the role of men as transmitters of those rights by constraining women’s choices, particularly as to who and when a woman may marry. 57. All above listed ethnic groups under Mone-Khmer, Hmong Iew Mien and Chino-Tibetan ethno-linguistic families are considered to be indigenous people including Khmu group who constitutes majority of the population in the project as they meet the World Bank definition of Indigenous People Policy (OP 4.10) and the following characteristics in varying degrees: a. self-identification as members of a distinct indigenous cultural group and recognition of this identity by others; b. collective attachment to geographically distinct habitats or ancestral territories in the project area and to the natural resources in these habitats and territories; c. customary cultural, economic, social, or political institutions that are separated from those of the dominant society and culture; and d. an indigenous language, often different from the official language of the country or region.

58. An Ethnic Group Engagement Plan (EGEP) is prepared to be applied under the subproject in Muang Xay to address and mitigate potential adverse impacts on the ethnic groups and ensure they receive benefits and support from the project in a culturally sensitive manner.

4.4 Historical Flood

59. Oudomxay Province occurred flash floods with serious damaged properties and loss of life in the Muang Xay, in 1945, 1985, 2008, 2013 and 2017. From semi-structured interviews and focus groups with stakeholders it was confirmed that:

• From 1985 onwards 4 major flood events have occurred (1985, 1992, 2008 and 2017) due to river flooding while the alluvial floodplains occur every year at various times in the city.

• The most recent flood event in August 2017, one person died in Xay District and value of property lost due to the flood was approximately 3.9 billion kip (400,000 US$) in Xay and La Districts. Public infrastructure damaged included 22 electricity

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poles and one bridge and one school building while private infrastructure affected included at least 16 houses and two petrol stations.

60. Lessons learned in the previous flood events suggested that there is lack of infrastructures for flood risk mitigation and robust early warning system. These kinds of flood event impacted serious damage to economic losses in agriculture, public and private assets, and to economic growth in tourism and industry in Muang Xay. Information on historical floods in Muang Xay is provided in Attachment 3.

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5 POTENTIAL RISKS, IMPACTS AND PROPOSED MITIGATION MEASURES

5.1 Overall and Positive Impacts

61. It is expected that the proposed investments on urban flood risk management in Muang Xay will have both positive and negative impacts; however, the overall impact will be positive both from environment and social aspects. As mentioned, Oudomxay Province experienced flash floods with devastating effect to infrastructure and loss of life in the provincial capital, Muang Xay, in 1945, 1985, 2008 and 2013. During the most recent flash flood, 93.6 mm of rainfall occurred in one day inflicting heavy damage to infrastructure and loss of life to seventeen persons. Flood damage in the provincial capital was largely caused by inundation of excess water from the Nam Kor River and its tributaries, including the Nam Mao, Nam Sin and Nam Hin.

62. Implementation of the proposed structural measures (riverbank protection, drainage canal reparation, dike and flood gates, and the urban flood risk management activities including the two public parks) will be beneficial for the majority of Muang Xay residents whose properties and livelihoods will be largely uninterrupted during flood period. It is expected that construction and installation of urban flood risk management infrastructure investment will bring socioeconomic, health and ecological benefits, such as, protecting the river from siltation and sedimentation as a result of runoff and riverbank erosion, and reducing the loss of lives and/or livelihoods caused by flooding. The ODX project will help creating an environment of safety, health and well-being for the majority of people who have suffered from the effects of flash flood events in the past. Implementation of the non-structural measures will further strengthen the positive impacts of the ODX project, especially during operations of the structural investments.

63. As part of the LDRM-AF, direct project beneficiaries will include communities in the urban area of Muang Xay, which has a population of 98,000, with 50 percent estimated to be female. National- and local-level project stakeholders will benefit from capacity and institution-building activities. Indirect project beneficiaries include (a) travelers passing through Muang Xay, as the most important traffic junction in northern Lao PDR; (b) the country’s population benefitting from more reliable, actionable, and better communicated weather, climate, hydrological, and early warning information; and (c) the wider population of Lao PDR benefitting from improved institutional capacities for disaster risk finance and integration of DRM into sector strategies.

5.2 Negative Impacts and Proposed Mitigation Measures

64. Safeguards Screening and Risks: Despite the expected positive impacts mentioned above, implementation of the structural measures will also create negative impacts on local environment and specific group of local people during preconstruction, construction, and operations of the proposed structural facilities. However, the potential

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impacts and risks will differ markedly depending upon the type and scope of the particular activities and its locations as well as effectiveness of the mitigation measures to be carried out. Nonetheless, it is expected that the potential negative impacts will be small to moderate, mostly temporary and localized, and most of them can be mitigated during Project implementation.

65. In line with the ESMF, a safeguard screening for ODX project was conducted and the results (shown in Attachment 5A) confirmed that the proposed ODX project activities are classified as EA category B and preparation of an ESMP, RAP/ARAP, and EGEP will be required. Table 5.1 provides a summary of the impact assessment of the proposed structural measures (Component 1.1 in ODX) during construction and operations and those expected for the non-structural measures (Component 1.2). Potential impacts due to resettlement are also provided in Table 5.1.

Table 5-1 Potential environmental and social negative impacts of the ODX project

Expected No. Projects Activities Potential Environmental and Social Impact Issues Significance Component 1.1: Construction phase Moderate 1 River Improvement Air and noise pollution Minor (Dredging, Widening, Water pollution Moderate Diking, Riverbank Soil erosion Moderate protection works, Rehabilitation and/or Sediment transport demolition of existing Alteration of hydrological regime Minor bridge and/or Destruction of flora and fauna habitat Moderate installation of removable weirs, flood Involuntary resettlement Moderate gates, slope protection, Land take Moderate etc. Spread of diseases Minor Potential dike/weir failure Moderate Waste management Minor 2 Access roads Dust and noise pollution Moderate Water pollution Moderate Solid waste disposal Moderate Waste oil/fuel disposal Moderate Public health and safety Major Land take Moderate Waste management Moderate 3 Riverside parks Water pollution Moderate Soil erosion Minor Sediment transport Flooding Minor Alteration of hydrological regime Major

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Expected No. Projects Activities Potential Environmental and Social Impact Issues Significance Involuntary resettlement (specific to riverside park one) Major Land acquisition (specific to riverside park one) Major

5 Specific social issues Livelihood disruption Moderate Community disruption Moderate Cultural heritage site destruction Moderate Increased marginalization of landless people Moderate Loss of access to biodiversity resources (for food, economic Minor activities or medicine) Increased HIV/AIDS infection rate due to increased and Moderate itinerant working population 6 Specific gender issues Increased work burdens of women and children Minor Low access to natural resources including land and NTFPs for Minor women Exclusion from decision-making for planning and Minor implementation Employment opportunity for local women as compare to men Major Opportunity for women to help mitigate potential impacts on Major the ground 7 Community Health and Potential issues on Gender-based Violence (GBV), Violence Moderate or Safety Issues and Risk Against Children (VAC), Sexual Harassment and Sexual Substantial associated with Exploitation an Abuse depending on potential labor influx labors to be hired by the contractors Component 1.1: During operations Moderate 1 Installation and Need effective operations of flap gates/facilities. Garbage in Moderate operations of flap gates drainage will block effectiveness of drainage system. Efforts and/or removable weir should be made to establish a water user group (WUG) to may increase water enhance effective communication and facilitate discussion pollution, cause water among various concerns. uses conflict between Water pollution and potential water use conflict between Moderate water users upstream upstream and downstream. Operation of WUG will also be and downstream, and if important for ensure effective management of garbage and large amount of water other wastes. The WUG can be expanded to address other is release rapidly in issues and ODX should move towards Green, Clean, and case of emergency, Beautiful (GCB) agenda. adverse impacts may Potential adverse impacts due to quick release of water on Moderate occur in downstream downstream areas will create adverse impacts downstream of area, especially in Nam Kor. Muang La is located at the confluence of Nam Kor Muang La which is and Nam Pak and is important for tourism activities. It is located at the necessary to prepare an emergency action plan for Muang La. confluence between Nam Kor and Nam Pak

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Expected No. Projects Activities Potential Environmental and Social Impact Issues Significance and is being used for ecotourism activities. 2 Impacts due to Increase dust, noise, waste, etc. in the area during construction Minor operations of the new Increase wastes in the area during operations. Effort should be Minor Resettlement Area and made to establish community conservation network on waste water facilities management (GCB should be promoted) 3 Impacts due to The impact will be positive. Positive implementation of Small works impacts will be mitigated through the application Minor Component 1.2 which of ECOP will focus on update urban design and green concept approach.

66. To mitigate the potential negative impacts of the proposed structural investment facilities during construction, the contractor will be required to prepare the site-specific ESMP (called Contractor-ESMP or C-ESMP) for approval by the Construction Supervision Consultant (CSC or the ISWS for ODX project) and/or the PIU of ODX-DPWT as well as GOL approval for construction. As part of the C-ESMP, it is expected that a number of site-specific plans to mitigate potential risk due to excavation, dredging, diking, riverbank protection, labor management procedures, etc. will be required. These mitigation measures will be implemented during construction by the contractor. The EGEP and RAP/ARAP are also being prepared separately and they will be implemented and monitored after WB clearance of the plans.

67. It will also be important to ensure that during detailed design, efforts will be made to (a) avoid and minimize the need for land acquisition and resettlement, (b) review and prepare a dam safety report for the movable weir to be constructed, and (c) incorporate the final ECOP and COC in the bidding and contract documents and ensure that the bidders are aware of this commitment and understand that the mitigation measures and costs is part of the contract cost. Before works can begin, the payment for compensation will be completed and the GOL issuance of the ECC will also be required.

68. This Chapter (Sections 5.3 to 5.5) describes the potential negative impacts and proposed mitigation measures to be carried out during preconstruction, construction, and operations of the proposed structural facilities of the ODX project while Sections 5.6 to 5.10 provide more details discussion on specific issues and mitigations to be considered during the implementation of the Project, especially during the preparation of detailed design, bidding documents, and the preparation and approval of the C-ESMP. After WB clearance of the ESMP, the proposed mitigation measures will be implemented and monitored closely. More details are provided in Attachments 5A, 5B, 6, 7, 8, and 9.

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5.3 Impacts and Proposed Mitigation Measures during Detailed Design and Preconstruction

69. The potential impacts and proposed mitigation measures during detailed design will address the potential impacts due to the movable weir during construction and operations and the preconstruction impacts related to land acquisition and resettlement as well as those actions to be considered and/or carried out during the detailed design and bidding documents to mitigate potential negative impacts during construction and operations. Key activities can be highlighted below.

(a) Preparation of a Dam Safety Report

70. In line with WB safeguard policy on dam safety and a dam safety report will be prepared in line with the guideline provided in Attachment 5B. A dam safety specialist will be required to review the design of the proposed movable weir as well as to prepare an operations manual and an emergency preparedness plan to avoid adverse impacts downstream of Nam Kor.

71. As the review of the “Regulatory Frameworks for Dam Safety – A Comparative Study”, ISAN will prepare the Dam Safety Report during Stage 4 Detailed Design which is consisted of some related factors e.g. description, numerical modelling for weir safety assessment when weir break, emergency action plan, and etc. The Dam Safety will be implemented by Dam Specialist of ISAN.

72. Additionally, proposed movable weir shall be operated as follows; i) lie-down: normal and flood season, and ii) stand-up: to exercise boat racing of local team for 2 – 3 months per year. Therefore, water quality will be good because of water flushing frequently.

(b) Land Acquisition and Resettlement.

73. The potential impacts due to resettlement and/or the loss of riverine land will focus on the land and assets located along the Nam Kor and Nam Mao rivers that flowing through Muang Xay City and the proposed subproject sites for the 2 bridges (Nam Kor 1 and De Yin Bridge), the two removable weirs, the two riverside parks, and the proposed small culverts and flap gates. Table 5.2 provides an overview of the impacts and the mitigation measures are described in the Abbreviated Resettlement Action Plan 1(ARAP1) which has been prepared as a standalone document to comply with RPF.

74. Key impacts and actions can be highlighted as follows:

• Some project affected peoples (PAP) or project affected households (PAH) are likely to be required to vacate lands that they presently occupy and relocate elsewhere, either on a temporary or permanent basis. Other impacts may occur including relocation of temporary buildings and houses, and damage to crops and commercial-value trees.

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• A more detailed measurement survey (DMS) will be conducted following the finalization of the detailed design. As part of the project’s resettlement strategy, affected households (AHs) will be provided sufficient time to rebuild their homes and shops prior to the commencement of civil works, aside from being able to continue with their present livelihood activities even during project implementation.

• The affected households (PAHs) have been informed and the project resettlement committee (PRC) has been established. Through the consultation process, the compensation criteria are being established and the payment plan will be developed.

Table 5-2 Overview of Resettlement Impacts by Project Activities (Package 1)

Project Resettlement Impacts Remark Activities Riverside • Riverside Park 1 is located near Nam Kor Br. 1 and Lot 2 Park 1 • For the riverside park construction, some losses of road, crops, trees and fixed asset are expected and some buildings would be resettled. • The Inventory of Loss (IOL) data, conducted in May 2020, indicates that about 78 PAH (465 PAP) and VEG is present. Riverside • Riverside Park 2 is located near the new stadium. Lot 1 to be Park 2 • The riverside Park 2 will use existing park, stadium, covered road and some facilities in public area, therefore under compensation is not required in the right side; ARAP1 • The right side consists of existing state land with low impact on ecosystem and the environment. Minimal compensation would require for crops and croplands on the right bank. • ARAP1 indicates that about 8 PAHs (46 PAP) and VEG is present. Riverworks: • Nam Mao River (upstream): L=4.0 km (calculated Only 3.05 km of Dike, along the east side riverbank): Lot 2 Nam Kor River Riverbank- • Nam Kor River (upstream): L=1.3 km (calculated was completely protection, along the east side riverbank): Lot 2 surveyed (May, 2020) in 7 dredging on • Nam Kor River: L=3.05 km (calculated along the villages. the river centerline of the river channel) (Lot 1 and Lot 2) • channel Nam Kor Movable Weir (1 weir): Located in Nam Kor downstream of the Riverside Park 2. Lot 1 and Lot 2

Lot 1

• Some form of land acquisition is inevitable as a lot of buildings are partially within 10 m from the river. Some fixed assets, small garden plots, crops and trees are found along the Nam Kor River, and these

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Project Resettlement Impacts Remark Activities will be removed during the Project. • Inventory of Loss (IOL) has been conducted for a section of Nam Kor River: L=3.05 km and the IOL data indicates that about 128 PAHs (712 PAP) and VEG is present. This data will be updated once IOL of Lot 2 is conducted. Drainage and • Construction of 14 small flap gates to improve Flap Gates effectiveness of urban drainage. Lot 1 = 1 small • Small land acquisition is expected to happen. flap gates Details will be available after the design is Lot 2= 13 small completed. flap gates • The number of the PAH is included in the 128 PAHs (712 PAP) given above and will be updated after IOL of all project area is completed. Riverside • Road improvement is near the Riverside Park 2 with Lot 1 Road a total distance of 950m. • Most of land is state land with low impact on ecosystem and the environment. Minimal compensation would require for crops and croplands on the right bank. • ARAP1 indicates that one PAH (5PAP) and VEG is present. New • The area is located near Phu That Pagoda at the Nam Lot 2 Resettlement Mao River with a total area of 4.9ha Not yet surveyed Area • Most of land is agriculture land (paddy field/garden) and some residential land. • IOL has not been conducted due to the COI has been confirmed.

(c) Site Clearance and UXO risk

75. Lao PDR has high risk due to unexploded ordnance (UXO). However, for Muang Xay, compared to other areas of Lao PDR, or other districts within Oudomxay Province, there is a low risk of encountering any UXO, particularly in the proposed subproject sites. However, ODX of DPWT should be required to discuss with the responsible agencies and local authorities and provide confirmation on the UXO safety and/or the required actions to ensure UXO safety of any sites where major construction activities are planned. A survey and risk assessment for UXO in the construction area will need to be carried out as part of the project preparation. If the report identifies that there is a risk of encountering UXOs, the construction contractor should prepare an UXO Survey and Clearance Plan and implement this plan for relevant sub-project construction sites. The plan should include: (i) detailed procedures for identifying, securing and disposing of UXOs; and (ii) clear instruction to all staff on how to behave if an UXO is found.

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5.4 Impacts and Proposed Mitigation Measures during Construction

5.4.1 Impacts on local environment and mitigation measures

76. Issues, impacts, and mitigation will differ markedly depending upon the type and scope of the activities and its location as well as the construction methods. It is expected that for the proposed flood control structural measures such as riverbank protection, dikes, drainage canals and flood gates, weir and riverside parks related works in a largely urban setting, potential adverse impacts will be moderate, localized, and most of them are temporary and can be mitigated through effective management of construction and contractor. Most of the potential impacts may be considered as typical impacts due to civil works which can be mitigated through the application of good construction practices and housekeeping and close monitoring of contractor performance. However, there may be some specific sites (such as schools, hospitals, temples, old cultural sites, temples, etc.) that require special attention on the mitigation measures and close monitoring.

77. Key issues and potential impacts on local environment of the ODX project, will include, but not limited to, the followings:

• Extraction and transportation of construction materials will damage local resources and environment as well as increase local traffic and damage local road conditions. Project implementation will require large amount of natural resources (stone, sand, laterite, soil, etc.) extraction and transportation and these will create moderate impacts on local resources as well as on road traffic since the Project use of the road infrastructure and may increase local traffic congestion and also degradation of road structures during construction. Mitigation measures may include restriction on work load on the vehicles and on movement of contractor’s vehicles on designation routes; deploy traffic man at the village to control the traffic as needed and ensure that the access tracks, which are prone to dust emissions and disturbance to local resident are managed by water spraying daily and the areas sensitive to noise and vibration are managed through enforcement of speed limit control. After completion of construction work all the damaged roads / tracks will have to be restored by the contractor, as it is contractor’s obligations. Ensure that surface run-off controls are installed and maintained to minimize erosion. It is important to ensure that the natural resources use and/or extraction are legally permitted by GOL and that as part of the C-ESMP, a sub plan on transportation of construction materials and transportation route will be prepared. If new quarry sites are opened a rehabilitation plan should also be prepared. Attachment 2 provides specific locations of the main quarry sites, borrow pits, and spoil disposal site. The Contractor will be required to take all measures to reduce noise, dust, safety risks, and other impacts to local residents.

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• Noise, vibration, and air quality (mostly dust). The impacts will occur as a result of construction activities as well as transportation of construction materials and/or demolition of building, bridges, and/or other structures. These impacts can be mitigated using well established mitigation measures when construction is undertaken nearby residential urban areas and other socially sensitive areas. Some examples of mitigation measures include: (i) watering of active construction work areas and/or transportation routes to minimize dust emissions, regular and effective maintenance of equipment will mitigate emissions and noise; covering of construction materials, re-vegetation of disturbed areas immediately following construction also assists in reducing dust emissions; and (ii) during construction, the use of noise barriers in sensitive areas and controlling of vehicle speed and hours of work are effective noise and vibration mitigation measures. It is important to note that noise, vibration, dust, and other air quality emissions are temporary and short-term that can be mitigated through effective management of construction activities, equipment, and contractor/workers/drivers. It is expected that as part of the C-ESMP, a sub plan to control emission of dust, air quality, noise, and vibration during construction and transportation of construction materials should be prepared.

• Sedimentation and runoff from construction areas: Erosion and sediment transport down the Nam Kor River can also be a major impact during Project construction. The removal of vegetation and earthworks on the river banks and in-stream works will detach sand, silt, and clay which will be suspended in the water column for eventual deposition downstream in areas where water velocity slows with the finer fraction likely flowing the length of the lower Nam Kor River and discharged to downstream areas during the rainy season. Nam Kor River will be turbid throughout the construction phase downstream of the Project areas until river improvement works completed and following vegetation has re-established river banks and the river bed substrate has stabilized. Observation suggested that during dry season, the water in Nam Kor and Nam Moa River in Muang Xay is very shallow with high turbidity and with waste (solid and liquid) discharge from urban sources, and there are local water plants and river garden in some areas. Pipe water is available for all residents. It is expected that during the preparation of C-ESMP, preparation of a sub plan on sedimentation control will be prepared. • Construction wastes, garbage and refuse: generated during construction including waste oil and chemicals should be contained on site and ultimately disposed of off-site in an environmentally acceptable manner. Procedures for on-site management and off-site disposal need to be addressed in the C-ESMP. A source of fill (borrow) materials as well as spoil disposal area will need to be established in the area where the civil works will be implemented. If available, an established borrow pit should be employed. If a new borrow pit is needed, safeguards procedures will need to be established in the C-ESMP. It is expected that in area where dredging and diking will be conducted site-specific sub plan

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on the construction materials and dredge material disposal plan should be prepared as part of the C-ESMP. A sub plan on construction waste management and/or recycles as well as a sub plan for management of hazardous waste to be generated should also be prepared. • Environmental, Social, Health, and Safety (ESHS): In line with WB safeguard policy, the contractor is required to comply with the EHS guidelines as required by GOL and/or those being applied to the project investment with financial support from the WB group (WBG). The ESHS provides general guidance on the pollution prevention and abatement measures and workplace and community health and safety. This is closely connected to the OHS discussed below.

• Physical Cultural Properties and Sensitive Areas: The ODX project is not expected to create any impacts on any local and national archaeological, paleontological or cultural significance. However, there is a possibility for (as yet undiscovered) sites of local cultural significance (i.e., artifacts, sacred sites, cemeteries) in subproject areas during construction. This will be confirmed during the preparation of the C-ESMP. Nonetheless, a “Chance Finds Procedure” describing the process to be followed when any artifacts are found (see Box 5.1) has been incorporated into the generic ECOP and it will be applied to all contracts of the ODX project.

Box 5.1 Chance Finds Procedures (that has been incorporated in the ECOP) • stop construction activities in the area of the chance find; • delineate the discovered site or area; secure the site to prevent any damage or loss of removable objects; • notify the supervisory Engineer who, in turn, will notify the responsible local authorities; • responsible local authorities would conduct a preliminary evaluation of the findings to be performed by archaeologists who will assess the significance and importance of the findings according to various criteria, including aesthetic, historic, scientific or research, social and economic values; • decisions on how to handle the finding shall be taken by the responsible authorities which could result in changes in layout, conservation, preservation, restoration and salvage; • implementation for the management of the finding communicated in writing; and • Construction work could resume only after permission is given from the responsible local authority concerning safeguard of the heritage.

5.4.2 Impacts on local community and mitigation measures

78. During construction, potential risks and issues on occupation health and safety (OHS), community health and safety (CHS), labor influx and possible impacts associated with labor influx including gender-based violence (GBV), violence against children (VAC), and other social impacts. Key impacts will include, but not limited to, the following:

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• Occupational and community health and safety. This aspect has become mandatory to all projects with WB financing. It is closely connected to those related to construction material extraction and transportation mentioned under section above. Project construction poses occupational health and safety (OHS) risks to workers and project staff while community health and safety (CHS) has received attention in several respects, ranging from potential for serious injury / death to nuisance level impacts.

• In summary key risks for communities include:

o Traffic and road safety: Haul truck drivers and other staff driving to and from the Project sites may be exposed to traffic conditions, unsafe drivers, poor quality road conditions, pedestrians and other obstacles, etc. that may lead to accidents and injury; o Noise and dust pose risks for impacts ranging from nuisance level to serious health impacts; o Injury / death to local people, road user, pedestrians or bicycle rider in settlements, project sites and between settlements along the hauling route for construction materials / disposal of construction wastes; o Potential for introduction or increased incidences of communicable and infectious diseases resulting from the influx of construction workers into the region.

• Training, routine maintenance, monitoring, and implementation of all aspects of the contractor’s Emergency Preparedness and Response Plan are required to minimise the residual impacts to an acceptable level. With robust management, OHS risks and anticipated residual impacts remain moderate – high, particularly for vehicular accidents. The most significant potential impact requiring diligent management is the potential for company / contractor vehicle strike of a pedestrian or other vehicle. With a well-developed driver training program, and staff adherence to local traffic regulations, the risks for impact to pedestrians / occupants of other vehicles in urban area may be considered substantial if not effectively managed. The risk for accident in Muang Xay is significant, as other drivers may be at fault and community activity near roads is often considerable. Design controls, induction and routine training, and consistent management to provide for a culture of occupational health and safety will be paramount for contractor staff throughout project construction.

• Labour Working Conditions: The project contractors must follow the required national Labor Law (amended in 2018) with regards to treating their workers. The employment of project workers, such as women will be based on the principle of equal opportunity and fair treatment, and there will be no discrimination such as recruitment and hiring, compensation (including wages and benefits), working conditions. A child over the minimum age and under the

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age of 18 will not be employed or engaged in connection with the project in a manner that is likely to be hazardous or interfere with the child’s education or be harmful to the child’s health or physical, mental, spiritual, moral or social development. • Worker Camps. Because of the urban location, separate worker’s camps are not anticipated. However, in case of worker’s camp is required, contractor is required to prepare a worker camp management plan during the preparation of C-ESMP (see also Section 5.4.2 below).

• Labour Influx. Because this project involves civil works it is likely that it will require a portion of the labour force to be brought in from outside the area. The likely overall size of the labour force to be deployed during project implementation is anticipated to be less than 50 people. The number of workers from outside of the community will depend upon the location of the contractor’s main office. It is anticipated that the outside workforce will be recruited nationally, as such will have a similar socio-economic and cultural background to that of the local community. The potential impact of this outside workforce will be mitigated by the fact that most of the work is taking place in an urban area, which will facilitate local recruitment of workers (including skilled workers), and provide sufficient accommodation and recreational facilities.

• Provision of a list of Contractor’s key staff, engineers, and worker to be working on site. The information will be included, but not limited to, personal data, criminal check and health data to ensure that all employees are free of the following diseases: liver cancer and STDs of the following information: names and surnames, ages, address (village, district, province, contact details, status (single, married), health (good), family information (number of children, name of wife, address and contact details) and among others. The list of employees will need to be attached in C-ESMP and distribute to all project affected communities/villages.

• Potential impacts on GBV/VAC. To mitigate the potential social impacts during construction, Code of Conduct (COC) on Sexual Exploitation and Abuse (SEA), Gender-based Violence (GBV) or Violence Against Children (VAC) is provided in Attachment 7. This will be required for all civil works contracts. During pre-qualification, contractors should be required to declare whether any contracts have been suspended, or cancelled, or bid bonds called, for incidents related to GBV/VAC. Worker Codes of Conduct are now mandatory for all projects with WB financing, and it should include specific prohibitions against SEA, including a prohibition of sexual activities with children, defined as anyone who is under the age of 18. This standard must hold even when national standards, laws and policies have a different age of consent. All contracts should set explicit expectations for monitoring contractor performance of its SEA obligations, with a protocol in place for immediate, timely mandatory and

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confidential reporting to the Government and to the World Bank in cases of egregious (for example, sexual assault) allegations. • Contractors are required to assign a focal staff to monitor and report on implementation of occupation health and safety and labor management plans. She/he will serve as first and focal point to receive and deal with grievances that may be raised by the contractor’s workers and the local community or victims. These include, but should not be limited to employment contracts, working conditions, compliance with COC by workers, GBV, VAC and SEA. • Contingency Planning for Response to COVID-19. a situation when there is a spread of COVID-19, contractor has to apply or comply with the government guidelines launched in line with WHO. Additional suggestions which are adapted from WBG Response to COVID-19 Advisory note on Contingency Planning for Existing Operations dated March 16, 2020 are provided in Attachment 9. It is worth noting that the WBG Response to COVID-19 Advisory note may be updated from time to time. Where there is a conflict with government or WHO guideline, the government or WHO guideline prevail.

5.5 Impacts and Mitigation Measures during Operations Phase

79. Given location of Muang Xay, the nature of floods and the proposed activities to be carried out under the ODX project (structure and non-structural measures), it is anticipated that the Project will not create negative impacts during operation phase of the proposed structural measure in Muang Xay given the current approach for the design. Impacts to local residences are expected to be mitigated through a fair compensation mechanism and therefore, the improved infrastructure will enhance local socio- economic conditions of Muang Xay. There is a possibility of increased income and more livelihood resilience due to lower risk to annual floods. However, depending on DPWT capacity and resources to ensure effective operations and maintenance of the Project infrastructure and effective engagement with local communities, the key Project related impacts for hydrology occur during the operations phase and include the ease of water flow in Nam Kor River significantly as a result from river profile improvement. This may affect the erosion and/or sedimentation pattern of the river bank upstream and downstream of the Project sites. Sediment transport is expected to be managed through flap gate construction and operations although the trapping of coarse bed load may pose a residual minor risk.

80. However, operations of low dike or embankment may affect the local flooding in areas that are not protected and/or increase negative impacts and/or unexpected loss and thus this potential impact should be considered during the detailed planning and design of the investment and the technical analysis should be conducted to identify the best options (location and height of the dike, etc.) to avoid/minimize the potential negative impacts while consultation with affected households/communities should also been made. The modelling conducted for this Project indicated that the Park development would have little impact on hydrological management as a flood mitigation measure. The green

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infrastructure; however, will promote formation of core spaces with high ecological touches such as landscapes, nature and habitats.

81. Another risk associated with the Project operation on community health and safety is the operation of flap gates, operations of the movable weir, and rapid release of upstream flow. This may change water hydrology pattern and water quality between the upstream and downstream area which can affect water quality, create water uses conflicts among water users, and in emergency case, create adverse impacts downstream of Nam Kor, especially in Muang La which is located at the confluence of Nam Kor and Nam Pak. The local authorities are required to maintain close consultation with water users upstream and downstream of the flap gates operations, operations of movable weir, and emergency release of water. To mitigate these impacts, it is necessary for DPWT to build their technical capacity to ensure effective operations of these facilities as well as to work with local authorities and local community to establish a water user group (WUG) and objective of the WUG should be extended to cover waste management, so that garbage will not be discharged into the drainage while green, clean, and beautiful (GCB) agenda should be promoted. Although, it is not expected that the Project will create any adverse impacts to downstream area of Nam Kor due to rapid release of large amount of water in case of emergency, an emergency preparedness plan will be prepared for Muang La. The plan will be prepared in close consultation with local authorities and local communities.

82. Implementation of the new resettlement area near Nam Mao will create some negative impacts during construction and operations phases. Measures identified in ECOP will be applied during construction while appropriate arrangement will be made to reduce waste generation and management solid wastes in the area.

83. Implementation of the non-structural measures to be conducted under the ODX project can also enhance the positive impacts of the Project during operations. Potential impacts during construction are expected to be small and can be mitigated through the application of ECOP. The potential cumulative negative impacts5 are not expected.

5.6 Ethnic Group and Gender Considerations

84. Ethnic Groups. As the proposed works will have an impact on minority ethnic group (EG) such as Khmu and Hmong. An EGEP has been prepared as a standalone to comply with EGEF. EGEP provides procedures, process, implementation and monitoring arrangements and budget to ensure that mitigation measures to address and minimize negative impacts on ethnic groups. EGEP also ensures that they receive necessary support to engage in and benefit from the project investments in an inclusive and culturally appropriate manner.

5 Cumulative impacts are defined as are those that result from the incremental impact of the proposed Project when added to other past, present and reasonably foreseeable future actions.

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85. The geographical spread of ethnic groups across the 16 project villages including: Lao Tai group, Khmu, Phounoi, Hor, Leu, Tai Dam, and Hmong. The population of the villages is dominant by Lao Tai group, which covers about 40% (9,757 people; 4998 females) of total population in all villages following by Khmu and Hor.

86. Lao Language is the main language used by majority ethnic groups of Lao Tai ethno- linguistic family (or Lao Tai groups). It has recognized as an official language of the country. Lao Tai group live in the lowland area of the province and believe in Buddhism. Khmu (often referred to as Lao Theung) traditionally live in the middle hill areas, are animist, tend to practice Swidden agriculture, utilize forest products and are relatively isolated from the dominant lowland culture - although there has been assimilation and integration for centuries. This linguistic family includes 32 ethnic groups and related sub-groups. Their language links them to the Mon and the Khmer.

87. Further consultation meeting to be conducted with affected people/ethnic group will be based on the design of focus group discussion and in-depth discussion guideline.

88. Gender consideration. A gender-responsive social assessment has been considered during consultation of the ESMP, RAP, and EGEP to identify potential impacts for different populations (ethnic peoples and vulnerable groups – women and female/male youth and children, the elderly and disabled, landless, and poor, etc.) in relation to their health and safety concerns.

89. Gender mainstreaming and integration will be promoted into the planning, implementation, and M&E. At subproject level, effort is being made in Muang Xay, Oudomxay Province to encourage active participation of women in the planning and implementation of environment and social safeguard measures on the ground. Under ODX project, an effort will be made to strengthen the planning, implementation, and monitoring of pilot activities that can be carried out by local authorities with active engagement of local communities on the use of nature-based/green infrastructure solutions and waste (solid and liquid) management to reduce pollution along the waterways. A gender specialist will be mobilized (as needed) while training and capacity building will be conducted during the project construction and operation.

5.7 Implementation and Management of Contractor

90. As mentioned above, to ensure effective implementation of the mitigation measures during construction, it is important to ensure that the PIU and key agencies can control and manage performance of contractor starting from bidding and throughout contraction and closure of construction site. To be practical and in line with the ESMF, the generic ECOP has been adjusted and finalized and it will be applied to all contracts to be conducted for the Project. This section describes specific requirements regarding (i) key actions to be conducted by the responsible agencies before commencement of construction, during construction, and completion of construction phase; (ii) Labor Management, Worker Camp and Storage Area; (iii)

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Guidance for the Preparation of C-ESMP; (iv) Non-Compliance Reporting Procedures; (v) Community Relations; and (vi) Supervision, Monitoring, and Reporting.

5.7.1 Key Actions to be Conducted (a) ESS Requirements before commencement of construction

91. Before construction begins at each Project site, all the following requirements will be completed, checked and approved by PIU/DWPT, PMU/DOW, PONRE and EDPD/PTRI:

• Submission and approval of Contractor Environmental and Social Management Plan (C-ESMP) with adequate measures to mitigate potential negative impacts due to the rehabilitation/maintenance activities including those related to environmental, social, health, and safety including those related to occupational and community health and safety and worker behaviors. The C-ESMP will be prepared in line with the site-specific ESMP developed for the Project (see Attachment 4) and Guidelines for a Dam-Like Structure (Dike/Weir) Safety Assessment (Attachment 4) by the Contractor within 28 days after contract awarded and it will be reviewed and approved by DPWT and/or the supervision consultant and/or Field Engineers. The approved C-ESMP will be submitted to EDPD/PTRI. • Recruitment of key ESS staff of the contractor to be responsible for environmental, social and safety aspects. Specifically, contractors are required to recruit a) a full time environmental and social specialist to ensure effective implementation of C- ESMP and full time Community Relation or Community Health and Safety (CHS) Specialist to deal with CHS related issues (including GBV and VAC) and complaints that may be raised by the local community. • Establishment of worker camps with quality health services and sanitary equipment and all required supporting facilities and workshop/material storage area in comply with section on Labour Management, Worker Camp and Storage Area below (Section 5.6.2). Worker camps and storage areas will be checked and approved by DPWT and PONRE before moving or utilization of the area. Worker camp management plan may be included in Labour Management Plan. • Development of Code of Conducts (COC) and Company Project Rules regarding health and safety of workers and local communities to prevent and address potential risks and issues associated with possible labour influx including SEA, GBV and VAC, Development. The contractor will provide training to all contractor project staffs and workers. Code of Conducts and Company Project Rules will be signed and stamped by company management team and all staffs and workers. Attachments 6 and 7 provide guidance on ECOP and COC on GBV/VAC. COC and Company Project Rules may form part of the Labour Management Plan.

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• Consultation with affected communities/villages on project activities, risks/impacts, prevention and mitigation measures and other community health and safety information. Submission of consultation report to DWPT and EDPD/PTRI with list of participation and minutes of consultation.

92. The Contractor will also install signaling of works, safety signs and fences, ensure no blockage of access to households during construction and/or provide alternative access, provide footbridges and access of neighbors and endure construction of proper drainage on the site.

93. The Contractor will also be required to prepare a plan on occupational and community health and safety (C-OCHSP) and complete at least one training for all contractor staff and workers working for the Project with records of any training and induction. Periodic and follow-up training will be conducted at least 1 time in every 3 months.

(b) ESS Requirements during Construction Phase:

94. The Contractor will be required to implement all measures identified in the C-ESMP, including any sub plans as required in this ESMP, requested by GOL, and/or suggested by EDPD/PTRI, and approved by the CSC. The Contractor will also manage all activities in compliance with laws, rules and other permits related to site construction regulations (what is allowed and not allowed on work sites) and will protect public properties. Degradation and demolition of private properties will be avoided. Paying compensation to damage to the public facilities and/or private property will be required. The Contractor will inform PMU of the Project and DPWT on issue and/or damages that may unexpectedly occur.

95. As part of ECOP, the Contractor is responsible for protection of local environment against dust, air, noise, vibration, exhaust fuels and oils, and other solid wastes generated from the work sites. The Contractor will manage waste properly and do not burn them on site and will also provide proper storage for construction materials, organize parking and displacements of machines in the site. Used oil and construction waste materials must be appropriately disposed off and adequate waste disposal and sanitation services will be provided at the construction site next to the generated areas. In order to protect soil, surface and ground water the Contractor will avoid any wastewater discharge, oil spill and discharge of any type of pollutants on soils, in surface or ground waters, in sewers and drainage ditches. Compensation measures may be required.

96. The Contractor is required to comply with Occupational and Community Health and Safety Plan (OCHSP) as one of main part of overall ESHS requirements. The Contractor is encouraged to hire local labors including community and female workers to extent possible. Where local labors are not adequately available in the sub-project sites, labor or camp site management plan and is required to be prepared and implemented and monitored potential external labor influx and associated risks including SEA, GBV and VAC. Code of Conducts (COC) and Company Project Rules regarding health and safety

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of workers and local communities will be applied by the contractors and their sub- contractors and workers to be hired under the project to manage the risks anticipated.

97. The Contractor will also be responsible for maintaining good hygiene, safety, and social welfare security of the work sites, including protection of and health and safety of staff and workers. The Contractor will prevent standing water in open construction pits, quarries or fill areas to avoid potential contamination of the water table and the development of a habitat for disease-carrying vectors and insects. Safe and sustainable construction materials and construction method should be used.

98. The Contractor will use a quarry of materials according to the regulations and compensate by planting of trees in case of deforestation or tree felling. When possible, the Contractor should develop maintenance and reclamation plans, protect soil surfaces during construction and re-vegetate or physically stabilize eligible surfaces, preserve existing fauna and flora and preserve natural habitats along streams, steep slopes, and ecologically sensitive areas.

99. During construction, the Contractor will specifically take serious actions on the following:

• To control dust and noise emission, runoff and sediment transportation and construction waste, garbage and refuse in comply with ECOP; • To work with local authority and management local traffic effectively and ensure traffic access of road safety of local residents and road users during the works. Speed limit at work sites and community area will be applied to all vehicles and cars. All vehicles and their drivers must be identified and registered, and the drivers are properly trained; • To respect the cultural sites as well as cultural norm and traditional practice, ensure security and privacy of women and households in close proximity to the camps and the use of asbestos containing materials is not allowed; • To conduct daily monitoring and inspection of construction activities to ensure environmental and social impacts are managed and mitigated appropriately in local communities. These potential impacts include wastes, discharge, dust, community health and safety, OCHS, construction waste contaminated on private land, social issues and social security, etc.; • To implement and maintain a good community-relations in comply with requirements in the section on Community Relation below; and • To comply with Non-compliance Reporting Procedures as specified in the section below.

100. The Contractor will also be required to submit the Contractor ESS monitoring report to DPWT and PONRE (with a copy to EDPD/PTRI) on every 25th of each month. The report can be submitted electronically as agreed.

(c) ESS Requirements during Project-Site Closure

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101. Before each Project site is considered completed, the following actions will be undertaken:

• Clean up all wastes and disruption and removal of construction equipment, construction waste and general wastes from the Project ROW and all location used by the Project during construction such as worker camps, parking bays, and storage areas, borrow pits, quarries and ancillary facilities. • Stabilize all borrow pits or implement all agreed measures in accordance with agreements stipulated in minutes or documents signed between the Contractor and landowners. If needed, signing of a handover documents for borrow pits will be required. • Stabilize and/or rehabilitate all project sites to ensure community safety and erosion control. • Together with DPWT and PONRE, provide training on road safety to all affected community. All training shall be recorded and affected communities shall sign the training received sheet. • Submission of ESS Site Closure Report to DPWT and EDPD/PTRI one month before project completion inspection.

5.7.2 Labour Management, Worker Camp and Storage Area

102. On this aspect, the following, but not limited to, actions will be considered:

• The Worker Camp and workshop storage area will be located on areas far enough from water points, houses and sensitive areas in consultation with the community and the subproject owner. Worker camps shall not be located within 500 meters of any sensitive receptors, urban area and at least 200 meters from any surface water course and not within 2 kilometers of a protected area. • Worker camps, cooking facilities, and toilets will be provided with roofs, walls and wooden floors or paved with concrete while the camp yards and storage can be compacted or paved with gravels. If possible, the worker camps should be fenced and provided with entrance gates to prevent unauthorized entry. In addition, the worker camps will be provided with storm water drainage system around the camp facilities to prevent flooding, mud, erosion and sediment transport to natural environment. • Worker camps will be provided with basic facilities and utilities including but not limited to: office, notice boards and regulations of the company and about the Project, beds, mosquito nets, blankets, clean drinking water and safe portable water, sufficient waste bins, first aid kits and necessary medicines, fire extinguishers, etc. • For bathing and toilets, the Contractor will ensure that (1) separate toilets for males and females and sewage and wastewater will be retained in sediment pond(s); (2) Toilet chambers will be designed appropriately to be able to treat sludge and sewage

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prior to discharge to closed retention ponds without exposure to vectors and/or diseases; (3) building of toilet rooms, sewage chambers and retention ponds will be away from natural water bodies, streams, and wetland areas. The floor of retention chambers will be above the aquifer layer. • Material storage facilities and workshop will be in proximity or within work camp area with fences, compacted ground or paved with gravel and drainage system. • Hazardous material storage area will be provided with roof, walls and concrete floor and bunds, storm water drainage and oil traps. Engine oil change requires steel trays on the floor to prevent hydrocarbon spills on soils. If spill is found, immediate cleaning is required by collecting contaminated soil and to a temporary container and maintained in hazardous storage area.

5.7.3 Preparation of Contractor ESMP (C-ESMP)

103. Following the award of the contract and prior to construction commencing the Contractor will review the issues identified in the ESMP (Attachment 4) and develop detailed mitigation in the C-ESMP including identification of key persons who will be responsible for supervising the work within the Contractor’s team. Details can be presented in a series of site-specific plans covering specific site or the whole section during construction phase as agreed with the construction supervision consultant and/or field engineer (CSC/FE). Priority plans will include, but not limited to, the followings:

► Waste Management and Recycling Plan (recycling plan for construction waste)

► Site Clearance and Restoration Management Plan;

► General Construction Site Management Plan including spill and emergency response, chance find procedures, etc.;

► Labour Influx Management Plan which could cover Worker Camp Management Plan and linked with Occupational and Community Health and Safety Plan below;

► Quarry Site Management Plan;

► Borrow Pit Management Plan;

► Spoil/dredge Material Disposal plan

► Runoff/Erosion and Sedimentation Control Plan;

► Environmental Quality Management Plan including water, air, noise and vibration;

► Occupational and Community Health and Safety Plan including measures and Code of Conduct to be complied by contractor’staff and workers to address and prevent potential GBV, VAC and SEA issues;

► Traffic Management Plan;

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104. These plans will be submitted and approved by the construction supervision consultant (CSC) and/or Field Engineer (FE) prior to the Contractor taking possession of any work site. The approved C-ESMP and/or specific plans will be submitted to EDPD/PTRI for information. EDPD/PTRI will provide training to the CSC/FE and local authorities on the preparation of the C-ESMP and/or specific plans.

5.7.4 Non-Compliance Reporting Procedures

105. The Contractor and its subcontractors if any must comply with the ECOP and C-ESMP covering the specific instruments listed above. To ensure that necessary action has been undertaken and that steps to avoid adverse impacts and/or reoccurrence have been implemented, the CSC/FE and/or the Contractor shall immediately report to the Project Manager, the PIU/DPWT who will then report to PMU/DOW, EDPD/PTRI, and WB within 24 hours of any serious (severe) incidents associated with non-compliance with the ECOP and C-ESMP that may have serious consequence (see form in Attachment 8). In the event of working practices being deemed dangerous either by PMU/DOW, EDPD/PTRI, PIU/DPWT, the local authorities, or the other concerned agencies, immediate remedial action must be taken by the Contractors. The Contractor must keep records of any incidents and any ameliorative action taken. The records of non- compliance that could be practically addressed (not cause serious impacts) will be reported to PMU/DOW and PIU/DPWT with a copy to EDPD/PTRI on a monthly basis.

106. The Contractor will be responsible for responding and dealing with any work contract related grievances that may be raised by the local communities, project affected people and reports forwarded by the project owner, Police or other agencies (by following instruction from the project owner representative as appropriate) as soon as practicable, preferably within one hour but always within 24 hours of receipt by either the Contractor. The Project Manager will monitor and ensure that the Contractor has taken appropriate action. Where appropriate, approval remedial actions may require an agreement from the local authorities and/or other Government agencies. Procedures should be put in place to ensure, as far as is reasonably practical, that necessary actions can be undertaken to avoid recurrence and/or serious damage (see form in Attachment 8).

5.7.5 Community Relations

107. The Contractor will assign one community-relation personnel or Community Relation Officer, who will be focused on engaging with the community to provide appropriate information and to be the first line of response (focal point) to resolve grievances and issues of concern including GBV, VAC and SEA incidents. Contractor will take reasonable steps to engage with residents of ethnic backgrounds and residents with disabilities (or other priority groups as appropriate), who may be differentially affected by construction impacts. The Community Relation Officer (CRO) will work closely with project staff assigned by PIU/PDPW and PMU/DOW and consultants specialized on community health and safety to prevent and address potential GBV and VAC issues. CRO will monitor and report on GBV and VAC incidents if any and participate in the

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victim-centred process of investigation and resolution as required by the applicable national law. A representative from NCAWC, LWU and as required a specialized consultant will be engaged in the victim-centered process.

108. The Contractor will ensure that local residents and communities nearby the construction sites will be informed in advance of works taking place, including the estimated duration and any possible issues including communicable or infectious disease (including COVID-19) related cases that may be found and suspected. In the case of work required in response to an emergency, local residents shall be advised as soon as reasonably practicable that emergency work is taking place. Potentially affected residents will also be notified of the ‘Hotline’ number, which will operate during working hours. The “Hotline” will be maintained to handle enquiries regarding construction activities from the general public as well as to act as a first point of contact and information in the case of any emergency. All calls will be logged, together with the responses given and the callers' concerns action and a response provided promptly. The helpline will be widely advertised and displayed on site signboards.

109. The Contractor shall assign a full time personnel to respond quickly to emergencies, complaints or other contacts made via the ‘Hotline’ or any other recognized means and liaise closely with the emergency services, local authority officers and other agencies (based on established contacts) who may be involved in incidents or emergency situations.

110. The Contractor will manage the work sites, work camps, and monitor their workers conducts and compliance with COC workers in a way that is acceptable to local residents and will not create any social impacts due to workers. Any construction workers, office staff, Contractor’s employees, sub-contractors, suppliers and service providers or any other persons directly hired or associated with the Project found violating the “prohibitions” activities listed in Section below may be subject to disciplinary actions that can range from a simple reprimand to termination of his/her employment depending on the seriousness of the violation.

5.7.6 Site Management, Monitoring, and Reporting

111. Following approval of the C-ESMP, the Contractor will be required to attend a series of meetings with the CSC and/or Field Engineers to ensure that all compliance conditions and procedures are clearly understood and actions can be implemented on the ground. As part of the day-to-day supervision of works, the supervision consultant and CSC/FE are also responsible for day-to-day supervision and monitoring of compliance of the C- ESMP and report the results in the progress report. The provincial ESU implementation progress, The Contractor will be responsible for ensuring that all sub-contractors abide by the conditions of the C-ESMP.

112. Contractors Reporting - The Contractor will prepare two levels of environmental reports:

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• Weekly Environmental Checklists – These will be prepared weekly by the Contractor’s ESS management (ESSM) team and the checklist will be submitted to the CSC/FE on a weekly basis. EDPD/PTRI will provide a sample for the checklist.

• Monthly Summary Report - in respect of compliance with C-ESMP will be submitted to the PMU/DOW through the CSC/Engineer.

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6 CONSULTATION AND INFORMATION DISCLOSURE

113. In line with specific requirements on consultation and information disclosure identified in the ESMF, RPF, and EGEF of LDRM-AF, PAPs, and PAHs will participate throughout the development and implementation process of project preparation and implementation including impact assessment, preparation and contribution to impact mitigation instruments (ESMP, ARAP/RAP and EGEP). The draft ESMP, RAP, and EGEP was consulted with communities in May 2020.

114. PAP and PAH will be consulted by the relevant village, district and provincial authorities. During implementation of the ODX project, the PAP and PAH will be invited to participate in public meetings and consultation to be conducted during the implementation and monitoring while information on safeguard measures will be periodically disclosed.

115. For ODX project, the basic principles for consultation and information disclosure will be as follows:

• The PAP and PAH and different populations will be provided with opportunities to present their ideas and suggestions as inputs into the planning and implementation of the sub-projects. This will be accomplished through a series of participatory exercises and focus group discussion (FGD) with PAP and PAH, to ensure affected parties have a stake in the process.

• The PAP and PAH will also benefit from a dedicated consultation process during the preparation of the required ARAP/RAP. This will include consultation meetings at the beginning of the ARAP/RAP preparation process to discuss the potential impacts (both positive and adverse), obtain their feedback and suggestions on possible mitigation measures, and prior to the finalization of the ARAP/RAP to ensure the PAP and PAH are in agreement with the mitigation measures proposed. There will also be face to face meetings with individual PAPs throughout the process, as well as a meeting to finalize and sign the compensation agreement. Throughout, ARAP/RAP implementation, monthly meetings will be held with PAP and PAH to garner their feedback on how the RAP/ARAP implementation process can be improved.

• PAP and PAH will be involved in various committees, including the grievance redress committee (to be established built on the existing country system and structures)), which will ensure their participation in the decision-making and RAP/ARAP implementation process throughout various stages of the ARAP/RAP process, including preparation and implementation. Following sub- project completion, a survey could be undertaken by the MPWT DOW PMU amongst PAP and PAH to assess their level of satisfaction with the process and results of the ARAP/RAP.

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• Efforts will be made to promoted participatory and consultative approach involving meaningful engagement with different populations (ethnic peoples and vulnerable groups – women and female/male youth and children, men, the elderly and disabled, landless, and poor, etc.), CSOs (NPAs, CBOs) and other relevant stakeholders. The approach is intended to enhance ownership and general understanding of different populations through consultation and public access to information for the ESMF and safeguard management instruments (i.e., ESMP, EGEP, and ARAP), roles and responsibilities, and perceptions as a basis for improving coordination and achievement of the project objectives. The participatory and consultative approach should ensure effective communication and coordination with all stakeholders and different populations at national and local levels.

• Both English language and Lao language versions will be posted on the MPWT and DPWT official government website and otherwise, distributed to national and local governments, and villages. When needed key information in local language will be made as necessary.

116. In mid 2018, an initial consultation on the ODX project was conducted as part of the first safeguard training for ODX project aiming to inform about the initial scope of the project and the overall safeguard preparation process. Initial results suggested that most of local authorities and communities support the project however would like to know the details on project implementation plan and schedule as well as the criteria and level of compensation as soon as possible. In mid 2019, DPWT of ODX has established the cut-off date for the ODX project by issuing an administrative order and posting information on the area to be defined for the right of ways of the construction site. A series of consultations was also made in early 2020 and the results are summarized in Tables 6.1 and 6.2. It is expected that specific information on the cut-off dates for each sub-project, eligibility criteria and entitlements, modalities of compensation, complaints and grievance redress procedures will be provided and/or confirmed after the detailed design is finalized. Payment for the compensation will be completed before construction begins.

117. In May 2020, a number of consultation meetings with local authorities, PAP, and PAH to was conducted to confirm on scope and nature of the potential impacts and the proposed mitigation measures identified in this ESMP, RAP, and EGEP. Limited consultation and small meetings are required in light of GOL restriction on travelling and broad meetings during Covid-19 response. Results from the consultation on the ESMP are provided in Attachment 10 and they can be highlighted in Table 6-1 below. Most of these recommendations have been considered during the finalization of the ESMP. However, the final actions to be implemented by contractors will be finalized in the C-ESMP and/or any specific plans as required for specific activities. The C-ESMP and any specific plans will be approved and monitored by the CSC/FE (or ISWS for ODX project).

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Table 6-1 Summary of Consultation Results

Positive Impacts Negative Impacts Recommendations

- The Project will - Concern over taking - Livelihood restoration activities should have potential advantage of the contractor be provided to the affected households impacts across to take over all the land particularly those having only one plot of Muang Xay City. after being handed over to farmland/grazing land and is impacted by However, it will the project. the project. create economic - Some impacts on land, loss - The relevant project management benefits in the of agricultural land, and committees must allocate new land for future such as difficulties associated with land compensation for affected income generation relocation/resettlement. people/households. and better - Potential disturbance from - The project should carry out land and household construction activities such asset surveys and use the results as the economic as noise, dust, wastes and basis for calculation of compensation in conditions as the other health issues. an appropriate and fair approach. people can increase - The loss of land would - The project should have proper approach sales of their goods affect household income. for management of construction impacts. and services. The - Concern over difficulties in - Conduct awareness to affected people to local people can set association with comprehend the need for the project, up shops to provide relocation/resettlement, if construction works, and compensation services to visitors; applied. before the construction begins. - There will be better - Avoid or if not possible, - Provide explanation to local people to road networks minimize impacts on land understand about the project equipped with and/or houses of local requirements in general so that they drainage and flap people as much as possible. receive correct information in accordance gates which will - The new relocation area with relevant laws and regulations. then reduce would not be satisfied by - Avoid an approach that allows potential annual the affected people or it construction begins first and the then floods, as well as may be located far from the addresses compensation issues. reduce riverbank city. Consultations are required with local erosion; - - Some impacts on people and agreement is made with the - The city landscape agricultural land. land owner on its value and will be more Financial costs and time for compensation methods (e.g. land for land attractive with - relocation and/or new or cast). public parks and settlement. Identify key relevant regulations and recreational areas - - Potential social issues such policy on compensation and livelihood for outdoor as robbery. restoration so that people are better-off activities such as after the project. exercises. - Some families would lose their houses while some - Compensation must be completed before - Better social people have only one begins project construction. connectivity; house/property. - The project, district and provincial - Enhance social and Land for land compensation authorities are responsible for project community - is preferred for residential implementation, and if people are awareness on flood land. The measurement of engaged in some extent, it would be more protection. land must be correct with beneficial. clear marks and the - The village and district authorities and calculation of compensation the project team will have to work rates should be appropriate together.

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Positive Impacts Negative Impacts Recommendations

to avoid mental health issues over the project.

118. Preparation and finalization of RAP will also include the preparation of detailed measurement survey (DMS) and discussion and agreement on compensation unit rate which will be made during detailed design while the consultations will be undertaken at various levels with the district and village authorities and the representative of the affected people and it will continue throughout the Project. So far, the consultation focused on setting the unit prices for compensation, defined type of affected assets, affected people and how compensation process and grievance process will be placed and implemented. Table 7-3 below summarized the meetings jointly attended by the consultant team, local authorities and affected people/households. Details are provided in RAP. Consultation on EGEP is also provided in the EGEP report.

Table 6-2 Locations and Participants of Consultation Meetings

Dates Meeting Locations Male Female Total 22 Nov 2019 Oudomxay Province 34 7 41 21 Jan 2020 Oudomxay Province 30 7 37 11 Mar 2020 Oudomxay Province 14 7 21 Total 78 21 99

119. Brief results from these consultation events are summarized in the following table 6-3:

Table 6-3 Table results of the meeting

Meeting date Objectives Results from the meeting To discuss • The field mission aims to complete at less 80% of data 22 Nov 2019 project’s collection on, especially data on affected assets. 21 Jan 2020 compensation unit • Data to be used for the analysis should be a combination of price; to present data from the survey and secondary data collected from village unit price data and district authorities. collection form, • Composition of the Grievance Redress Mechanism member affected people should be improved. GRM committee at provincial and district data collection level should be the lead and assigned technical staff to form. coordinate and implement together with the project team at the field level. • Agreed to use compensation unit prices of the Railway Development Project as a based compensation unit price for this project. However, some items, the unit prices should be adjusted to ensure it is in line with the PM order 084/PM (2016).

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• Unit price for rubber plantation tree has to adjust, due to the unit prices used for the Railway Development Project is very low. • The land title for the affected land should be used/based on the land title to be provided by the land owner. • To avoid any issues in the future regarding conflict on land, no new land title to be issued from December 2019 onward, for the land located in the project area. • In the future, more consultation meetings to be organized with the affected people. • Muang Xay authority issued a notification of prohibit to do permanent construction in the project area, affective from beginning of August 2017. • Detail name of affected people is not yet available, as this is a preliminarily data collection. 11 Mar 2020 To discuss • Agreed to apply compensation unit cost of the Railway compensation unit Development Project, plus additional 20% of its based cost. price that • Compensation to be provided to the affected people who use consolidated the form 01, following rule and regulation. market prices; to • Residential land that are included in the previous minutes of present and discuss meeting are not allowed to do any construction on that land, numbers and types but not following the minutes, those land will not be of affected asset; compensated. follow up on data • More than 90% of affected people constructed structural collection; present infrastructures along the river side, which before defined the work plan. right of way along the riverside 20 meters. The compensation should be provided to them based on the current situation. • Compensation for trees and bamboo trees shall be made for the big trees only. • Vegetable growth along the riverside shall be compensated according to effect of annual sale volume/amount. • Upon approval of the compensation unit price, dissemination of this information and all attachments will be made and announced to affected household. • Types of land and assets affected by the project will be applied to those that their livelihood affected by the project.

120. During 11-29 May 2020, the draft ESMP, RAP, and EGEP were consulted with local communities and with a total number of 747 participants, of which 287 are females. Participants are from affected households (men, women, ethnic minorities, and disadvantaged people), village authorities, and representatives from Muang Xay Women's Union, Lao National Front for Development and Provincial Public Work and Transport. The summary of consultation results and list of participants are in Attachment 10. The objectives of consultation are: • To disseminate information on project: positive and negative impacts and mitigation measures;

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• To obtain opinions, concerns and recommendations of community people about implementation of the project; • To conduct Inventory of Loss (IOL); • To collect data and information for RAP and EGEP. Table 6-4 Number of Participants

No. Village Date No. of participants Total Female 1 Houaykhoum 21/5/2020 51 21

2 Nasao 21/5/2020 59 28 3 Namy 22/5/2020 16 7

4 Nalao 22/5/2020 22 11

5 Nawarnnoy 13/5/2020 55 23 6 Thin 13/5/2020 51 16

7 Nongmaengda 19/5/2020 107 33

8 Vanghai 14/5/2020 83 39

9 Pasak 14/5/2020 34 10

10 Monetai 15/5/2020 32 14

11 Cheng 18/5/2020 20 8

12 Viengsa 20/5/2020 69 23

13 Homsouk 18/5/2020 35 22

14 Laksi 19/5/2020 53 11

15 Donekeo 20/5/2020 21 8 16 Longkordeua 15/5/2020 39 13 Total 747 287

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7 Grievance Redress Mechanism

121. Article 25 of decree 84/PM (on compensation and resettlement of people affected by development project, 2016) requires the project to establish an effective mechanism for grievance resolution and that the sub-project proponent (i.e., Provincial DWPT Oudomxay Waterway Sector PIU) is responsible for coordinating and working with Oudomxay Provincial DONRE to set up a grievance redress mechanism (GRM) and to take actions to solve/resolve issues. Grievances related to any aspect of a proposed sub- project will be dealt with through negotiations with the aim to reach a consensus. All complaints will be received in writing, or if given verbally then written at the same time and place, from PAP and PAH, and duly recorded by each level of the grievance redress committee. Grievance procedures should include reasonable performance standards (e.g., time required to respond to complaints, and should be provided without charge to displaced persons).

122. The ESMF, RPF, EGEF of the LDRM-AF also requires EDPD/PTRI and DPWT to establish and implement a GRM related to environmental and social issues related to Project activities, especially those from ethnic groups. As mentioned in the ESMF, the complaints can be sent to the project implementation unit and resolved by a Grievance Redress Committee through the Project grievance redress mechanism. However, the complainant also retains the right to bypass this procedure and can address a grievance directly to the Provincial DPWT Oudomxay Waterways Sector PIU office or the national assembly, and/or EDPD/PTRI as provided for by law in Lao PDR as well as to WB GRS system. At each grievance level, details, discussions, and outcomes will be recorded in a grievance logbook. The status of grievances submitted and grievance redress will be reported to DPWT Oudomxay Waterways Sector PIU management through the monthly report and to WB as part of the project implementation progress report.

123. In order to effectively and quickly resolve grievances people may follow the process described below:

• Stage 1: If PAP and PAH are not satisfied with the resettlement plan or its implementation, PAP and PAH can issue a verbal or written complaint to the village committee or the district resettlement office (DRO). If it is a verbal complaint, the village should deal with this complaint and document the grievance immediately at the time. The village committee or DRO should resolve the complaint or grievance within two weeks; • Stage 2: If the PAP and PAH are not satisfied with the result of Step 1, PAP and PAH can file an appeal with the project resettlement office (PRO) after PAP and PAH receives the decision made in Step 1. The PRO should make a decision within two weeks; • Stage 3: If the PAP and PAH are not satisfied with the result of step 2, PAP and PAH can file an appeal with the provincial resettlement committee for administrative

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arbitration after receiving the decision made by the PRO. The administrative arbitration organization (AAO) should make the arbitrated decision within 10 days; and • Stage 4: If the PAP and PAH are still unsatisfied with the arbitrated decision made by the AAO, after receiving the arbitrated decision, PAP and PAH can file a lawsuit in a civil court according to the relevant laws and regulations of Lao PDR.

124. PAP and PAH can make a complaint or appeal on any and all aspects of project design and implementation, including issues related to resettlement. A hotline phone will be established with dedicated staff assigned to so that PAPs or complainants will not be charged for their phone calls used to raise their grievances and their complaints are responded in an efficient manner. PAP and PAH will be clearly informed of the complaint and grievance redress mechanism and appeal channels described herewith through village meetings and other channels. In addition, a complaint box should be made available in a convenient location of the village.

125. The Project and organizations addressing the PAP and PAH complaint and appeal process shall not charge fees. Any expenses incurred due to submission of complaints and/or appeals and phone calls should be classified as unexpected expenses and paid for by the Project. The communities and individuals who believe that they are adversely affected by the WB supported project may submit complaints to existing project-level grievance redress mechanism or the WB’s Grievance Redress Service (GRS). The GRS ensures that complaints received are promptly reviewed in order to address project- related concerns. Project affected communities and individuals may submit their complaints to the WB’s independent Inspection Panel which determines whether harms occurred, or could occur, as a result of WB non-compliance with its policies and procedures. Complaints may be submitted at any time after concerns have been brought directly to the WB’s attention, and Bank Management has been given an opportunity to respond. For information on how to submit complaints to the World Bank’s corporate Grievance Redress Service (GRS), please visit www.worldbank.org/grs. For information on how to submit complaints to the World Bank Inspection Panel, please visit www.inspectionpanel.org.

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8 ESMP IMPLEMENTATION AND BUDGET 8.1 ESMP Implementation Arrangement

126. In line with the LDRM-AF implementation arrangement, for Component 1, DOW through the Project Management Unit (PMU)6 and the Project Implementation Unit (PIU) are responsible for ensuring effective and timely application of the ESMF, RPF, and EGEF to a subproject while EDPD/PTRI will provide technical assistance to PMU/DOW and PIU. It is expected that an Environment and Social Impact Assessment (ESIA) and /or an Initial Environment Examination (IEE) will be required for the subproject and compliance with an Environmental Compliance Certificate (ECC) will also be required. To ensure timely and effective implementation of the safeguard measures, the PIU will be required to establish a Safeguard Monitoring Working Group (SMWG) comprising representatives from key agencies and facilitate its operations.

127. For the ODX Project, the PIU of ODX DPWT (PIU/DPWT) is responsible for ensuring timely and effective implementation of the ESMP and those related to RAP and EGEP while PMU/DOW and EDPD/PTRI will be responsible for supervision, monitoring, and reporting to WB. During preconstruction, the PIU/DPWT will establish the project resettlement committee (PRC) to be responsible for timely implementation of RAP and EGEP as approved by WB. During construction, the PIU/DPWT and the construction supervision consultant (CSC) and/or field engineer (FE) will also be responsible for the day-to-day contract management and supervision on sites and the reporting function to the PMU/DOW and EDPD/PTRI. The PIU/DPWT will also liaise with the concerned local agencies and authorities to ensure coordination and identify issues arising from sites and propose solutions to the PMU/DOW and/or higher-level management. After completion of construction, DPWT will be responsible for operations of the ODX project facilities. The PIU/DPWT will also be responsible for establishment of the SMWG for ODX project and for ensuring compliance with the ECC to be issued by GOL.

128. Table 8.1 illustrates roles and responsibilities at various stages in the ODX project cycle. Attachment 8 provides a sample from for GRM monitoring and accident reporting form. In light of wide spreading of Corona Virus (Covid-19), it is expected that additional measures will be required for the Project staff and Project contractor to address Covid- 19 issues. Attachment 9 provides generic guidance to be included in the bidding documents, and it should be finalized taking into account the GOL orders on specific procedures related to Covid-19.

6 At project level, the PMU/DOW is responsible for management, procurement, contracting and financial management of the LDRPM-AF project as well as monitoring the implementation progress against the agreed performance indicators and produce period progress reports. The PMU/DOW is responsible for managing the FS and detailed design and also provide oversight of project implementation and consultation with key stakeholders and the public including the management of the supervision consultant (CSC) during subproject implementation.

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Table 8-1 Key responsibilities for ESMP implementation

Sub-project PIU/ODX-DPWT (as sub-project PMU/DOW and EDPD/PTRI Cycle owner) Assess potential safeguard issues a) Screening o Advise the subproject owner and o other stakeholders about early in the preparation process, environmental and social safeguard including screening for the policy requirements and procedures presence of ethnic groups. provided in ESMF, RPF and EGEF; o Describe potential safeguard issues in the safeguard screening form to o Review the concept note/idea and screen for potential safeguard issues, be attached to the sub-project and advise the subproject owner proposal. regarding the nature and content of the safeguard documents and measures to be prepared. Undertake safeguard preparation b) Preparation o Advise subproject owner on o safeguard issues, as needed. Recruit actions as required, such as environmental and social safeguard consultations with local consultants to support the communities and/or collection of preparation, implementation and data. monitoring of safeguard documents o Design safeguard measures and (such as ESMP, EGEP, ARAP). prepare documents, such as an ESMP, EGEP, etc. as agreed with PMU/DOW. If applicable, disclose draft safeguard documents with the sub-project proposal to affected communities prior to final review of proposal by the PMU/DOW. Submit sub-project proposal with c) Review and o Review sub-project proposals for o approval safeguard impacts and social risks. safeguard measures and documents as agreed. If requested by the o Assess the adequacy and feasibility of safeguard assessment and consultation DOW takes additional steps to process. If needed, request further meet ESMF and safeguard policy steps. provisions. Re-submit proposal with revised safeguard measures o Assess the adequacy and feasibility of safeguard measures and documents. If and documents, as needed. All needed, request appropriate changes to national and local legislation and these and reassess prior to final regulations will be complied with. approval. o The TOR for supervision consultant will explicitly include o If the Ethnic Group (equivalent to WB OP 4.10) are affected, ascertain that the responsibility for approval of they have provided their free, prior and the C-ESMP and day-to-day informed consent to sub-project supervision of its compliance activities affecting them. o If applicable, publicly disclose safeguard related information on the website after sub-project approval.

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Sub-project PIU/ODX-DPWT (as sub-project PMU/DOW and EDPD/PTRI Cycle owner) Disclose final safeguard d) Implementation o Supervise and review safeguard o documents and issues during sub- documents, if any, to affected project implementation. If needed, communities in the form and request changes to safeguard means easily understandable and measures. accessible. Monitor and document the o Review and approve Plan of Actions o that are required to be prepared implementation of safeguard during implementation of sub- measures, especially those related projects. to contractor performance and grievances that may be raised by the local community and people. o Work closely and support project Resettlement Committee to develop, implement and monitor RAP and compensation. o When the ethnic groups (equivalent to WB OP/BP4.10) are affected, include them in participatory consultation and sub-project implementation process. o The contractor will be required to prepare the C-ESMP which will be approved by the CSC and/or field Engineer. Evaluate the implementation and e) Monitoring & o Ensure inclusion and review of o Reporting environmental and social safeguard outcomes of safeguard measures. (MONRE, issues and outcomes in mid-term and o When the ethnic groups (equivalent PONRE, and/or final sub-project evaluation and to WB OP/BP4.10) are affected, DONRE will be reporting, including concerning any include them in participatory responsible for lessons learned on the sustainability of evaluation exercises. monitoring each sub-project. o PIU will establish and lead a compliance with safeguard monitoring working the ECC). group (SMWG) comprising key local agencies to be responsible for ensuring timely and effective monitoring of ESMP, RAP, and EGEP

8.2 Implementation Matrix

129. The ESMP Implementation Matrix is presented in Table 8-2 below. GRM operations will be made throughout the process.

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Table 8-2 ESMP Implementation Matrix

Objective ES Safeguard Responsible Remarks Action/Scope Entities 1. To mitigate impacts due to land acquisition and/or Complete the resettlement before construction compensation payment before construction. 1.1 Provide brief RAP preparation in PMU/DOW and ⁺ Project resettlement information on line with the RPF and EDPD/PTRI committee (PRC) has RAP in the secure WB clearance assist by NC been established in ESMP of the prepare RAP and 2019. Training for subproject. secure WB PRC and DRC was RAP clearance conducted in May implementation 2020. will be made ⁺ GRM will be section by established, section. operationalized, and RAP budget is monitored before provided compensation and separately resettlement implementation. Implementation RAP PIU/DPWT Implementation progress according to the (assisted by NC) will be included in the ES approved RAP and PRC safeguard monitoring report. Monitoring to verify Third party ISAN is the ISWS compliance with RAP monitoring by consultant and RPF ISWS consultant

2. To mitigate impacts to vulnerable EG (VEG) -- The impacts can be both positive and negative, need a social assessment and FPIC 2.1 Provide brief Prepare EGEP in line PIU/DPWT Budget is part of the information on with the EGEF and assisted by ESMF (prepare SGD) EGEP in the secure WB clearance EDPD/PTRI and ESMP of the PMU/DOW subproject. (assisted by NC) Implement EGEP PIU/DPWT Budget from ESMF according to the assisted by (consultation of local approved EGEP EDPD/PTRI and communities). Results to PMU/DOW be included in the ES (assisted by NC) safeguard monitoring report Monitor the EGEP PIU/DPWT Budget from ESMF implementation to assisted by (monitoring compliance)

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Objective ES Safeguard Responsible Remarks Action/Scope Entities ensure compliance EDPD/PTRI and with the EGEP and PMU/DOW EGEF (assisted by NC) 3. To mitigate impacts during construction 3.1 Prepare ⁺ Prepare ESMP in PMU/DOW ESMP for the line with ESMF assisted by subproject and secure WB EDPD/PTRI (and focusing on clearance. NC) mitigating impacts during ⁺ Also prepare an pre-construction, ESIA and secure construction, and MONRE approval operations 3.2 Mitigate the Ensure that UXO risk PIU/DPWT This requirement can be potential risk is avoided by making assisted by included in BD/CD. A due to UXO consultation with EDPD/PTRI standalone action can be responsible agencies made. for UXO risk and clearance 3.3 Ensure that During BD/CD: • The C-ESMP will be contractor is ⁺ Incorporate the ES prepared and performed in measures implemented in line compliance with identified in the with the site-specific mitigation ESMP to be requirements to measures during responsible by address issues and construction. contractor under mitigation identified the ESHS section in the ESMP under WB standard of the draft contactor BD/CD has a BD/CD. responsibility as well provision on During bidding: as MONRE ESHS and ⁺ Ensure that the requirement per ECC. performance bidders are aware The C-ESMP is a guarantee for and commit to the living document and it ESHS will be ESHS obligation. has to be approved by required. ⁺ The contractor is CSC or DPWT before required to prepare construction begin. C-ESMP (as • The ECOP can also be identified under used, especially for the ESHS topic of small contract. The the contract) compliance within 28 days monitoring will be

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Objective ES Safeguard Responsible Remarks Action/Scope Entities after contract made by SMWG, signing. PMU, EDPD, and ⁺ Implementation WB. cost of the C- • The responsibility for ESMP is part of approval of C-ESMP the contract cost. and day-to-day monitoring of C- ESMP compliance is included in TOR of the CSC or field engineer. 3.4 During Contractor to prepare Contractor and • Contractor is required construction C-ESMP within 28 CSC/FE to hire qualified staff days after contract to be responsible to all signing and secure aspects as required in CSC/FE or DPWT the ESMP. approval before construction begin, • and implement construction Monitor the approved ⁺ CSC/FE • Contractor may be C-ESMP and report conduct day- required to submit its the progress in the ES to-day own monitoring report monitoring report. monitoring to PIU/DPWT. If complaints occur and reporting (as monitored via to PIU and • Contractor may be GRM), following up PMU required to conduct actions will be (progress specific monitoring conducted as agreed report) for specific area. with the concerned ⁺ SMWG agencies and conduct Q complainants. monitoring and overall impacts on the ground and report to PIU/DPWT, EDPD/PTRI and PMU/DOW.

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Objective ES Safeguard Responsible Remarks Action/Scope Entities ⁺ EDPD/PTRI and PMU/DOW conduct 6m monitoring, and report to WB 3. To mitigate impacts during operations of ODX project 3.1 Ensure Design to minimize PMU/DOW ISAN as the ISWS proper design of impacts on land and assisted by consultant is responsible the Muang Xay resettlement, apply EDPD/PTRI. for finalization of FS, facilities appropriate DD/BD, SG documents, technology to mitigate and supervision (as the negative impacts CSC/FE) works during and/or maximize implementation positive impacts 3.2 Prepare and The PERP will be PIU/DPWT Gender and youth implement a prepared through (assist by NC) integration are important. Participatory consultation with assisted by local Emergency local authorities and authorities and Key actions will be: Action Plan local community local ⁺ By end Q4, completed (PERP) for (LA/LC). communities. the engagement and Muang La to WP for year 2021- mitigate 2023 potential ⁺ Q1-Q4 2021. downstream Completed the PERP. impacts in case Implement PERP PIU/DPWT assist ⁺ Q1-Q4 2022. of rapid release by NC, Implement the PERP. of large amount EDPD/PTRI, and of water. Active PMU/DOW. involvement of Monitor PERP SMWG assisted ⁺ Q1-Q4 2023: report women, youth, by PIU/NC, the experience and and labour EDPD/PTRI, and lessons learnt from unions are PMU/DOW. PERP encouraged. 3.3 Prepare and Prepare the plan PIU/DPWT • GCB Lao PDR is a implement a through consultation (assist by NC), national agenda for LA/LC plan to with LA/LC so that EDPD/PTRI, and 2030. achieve Green some priority PMU/DOW. • Gender and youth Clean and activities can be integration are Beautiful agenda conducted in 2021. important.

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Objective ES Safeguard Responsible Remarks Action/Scope Entities (GCB) for ODX Due to limited fund, • Key actions are: by (a) Reducing priority will be given ⁺ By end Q4 wastes (solid and to address waste complete the liquid) discharge management first. GCB-ODX plan into water and ⁺ Q1 2021. Start the river in implementation of Muang Xay by activities agreed in setting up waste Q4-2020 management by ⁺ Q2-Q4, 2021, local complete the communities and planning process (b) Reducing ⁺ 2022. Implement sediment erosion the activities. from the upper watershed of Nam Kor and Nam Mao by conservation of watershed and plantation of trees by NGOs and communities. 3.4 Improve Update urban The TA for MAF is responsible for urban planning planning for Muang Component 1.2. PA management, forest, in Muang Xay Xay and update upper PMU/DOW will fisheries, agriculture, and and management watershed work with PTRI rural development of upper management plan and urban watershed planning department for Muang Xay. On watershed management, coordination with DAFO/MAF may be necessary Implement the Muang PIU/DPWT will It is expected that Xay urban planning implement the activities to be plan in implemented under cooperation with Component 1.2 will improve urban planning

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Objective ES Safeguard Responsible Remarks Action/Scope Entities local key and help facilitate stakeholders effective management of upstream watershed.

8.3 Monitoring and Reporting

130. PMU/DOW (who is responsible for the day to-day implementation, and operation of the project, including contracting and supervision of all consultants for the Project) is responsible for ensuring effective implementation of the ESMP including adequate allocation of budget. PMU/DOW will also ensure that the Construction Supervision Consultant (CSC) and/or Field Engineers responsible for supervision and monitoring of works contracts will also be responsible for approval of the C-ESMP and day-to-day supervision and monitoring of contractor compliance with the C-ESMP. EDPD/PTRI is responsible for providing technical guidance on the ESS requirements and periodical monitoring of the ESS compliance including training, capacity building, and management of the ESMF budget for the ODX Project. EDPD/PTRI will conduct 6- month monitoring of ESS compliance and submit a report to WB. EDPD/PTRI will also ensure that the Project is also in compliance with GOL requirements regarding ESS.

131. At provincial level, DPWTs of ODX will assign specific staff and/or engineer (at least 1 full-time or 2 part-time) to be responsible (as the ESU/DPWT) for ensuring full compliance with the ESS requirements on the ground and prepare ESS implementation monthly or quarterly monitoring report as agreed with EDPD/PTRI. The ESU/DPWT is considered part of the Project team responsible for ensuring compliance with the ESMP of the ODX Project.

132. The SMWG comprising DPWT, PONRE, LWU, and other related local authorities will be responsible for undertaking periodic monitoring of the ESMP, RAP, and EGEP implementation including GRM tracking and Contractor performance of the approved C-ESMP. For land acquisition and relocation of assets, the PRC or the DRC that have been established will be responsible for the review and oversight of RAP implementation. The Village Grievance Committee (VGC) will be established to be responsible for overseeing the GRM implementation using the existing structures with a village mediation committees and fiduciary agencies (District and Provincial Office of Justice, Provincial Assembly, PWTOs and District Governor Office). EDPD/PTRI will also be required to (a) review/adjust the current monitoring and reporting forms to enhance effectiveness of the monitoring and reporting process and (c) ensure that adequate budget can be transferred to the DPWT and the SMWG and timely submission of the ESS monitoring report to WB.

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8.4 Capacity Building and Training Plan

133. Through the implementation of road maintenance project (LRSP2), DPWT and local agencies in ODX have some experience in the implementation of safeguard measures with WB financing. However, it is expected that more training on the preparation and monitoring of contractor-ESMP especially those related to ESHS and OHS and monitoring of these performance will be required. This section identified priority areas that need capacity building and training plan for contractors as well as for PIU and staff of local agencies. To be effective, the training will be designed to (a) ensure compliance of WB and GOL requirements on E&S safeguards during preparation and construction and (b) build capacity of the agencies responsible for taking actions to mitigate potential impacts during operations.

134. Implementation experience of the LRSP2 suggested that to mitigate potential negative impacts during construction phase, more detailed specific guidelines and more extensive training and capacity building on environmental, social, and occupational health and safety (ESOHS) will be necessary to enhance performance on the ground. Improving effective site management, effective application of Personal Protection Equipment (PPE), active participation of local communities, and effective application of GRM record will be necessary with proper tracking records. The training plan is provided below; it can be revised as per requirements during the project implementation. The training plan to achieve this objective is provided in Table 8-3.

135. To mitigate potential negative impacts of the Project during operations, it is necessary for DPWT to build and maintain active engagement with local authorities and local communities to (a) manage solid waste (which will get into drainage and reduce effectiveness of the flow), (b) to keep close communication with water users in Nam Kor to avoid potential social conflicts due to water uses upstream and downstream, and (c) to prepare an emergency plan for Muang La which is located downstream of Nam Kor and the area is active for ecotourism operations. Capacity building on these aspects will be made through active involvement of local communities and mass organizations i.e. Lao Women Unions (LWU), Lao Front for National Development (LFND), Lao Youth Union (LYU), and Lao Labour Union (LLU) and the “learning by doing” approach will be used (meetings, discussion, workshops, field visits, etc.). MONRE policy on Green, Clean, and Beautiful (GCB) Lao PDR should also be applied in ODX (Moving towards GCB in ODX). Table 8-3 also identifies priority activities to achieve this objective.

Table 8-3 Training Plan

No. Training Topic Trainer Trainee Timeline

Objective: To ensure compliance during preparation and construction

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No. Training Topic Trainer Trainee Timeline

1 Training on the EDPD/PTRI Resettlement Jul 2020 Implementation of RAP Committee and EGEP (PRC and DRC) 2 Training of Trainers on EDPD/PTRI DPWTs, CSC, Nov 2020 environmental, social, and SMWG occupational health and safety including monitoring the implementation of C- ESMP, ECOP, COC on GBV/VAC, and GRM. 3 Environmental, social, and DPWT/CSC Contractors Within 28 days since occupational health and construction contract safety including awarded; monitoring the During construction as implementation of C- required ESMP, ESCOP, COC on GBV/VAC, and GRM 4 C-ESMP implementation, Contractor Workers Before commencement Worker health and safety of construction and as required in the ECOP during construction and COC on GBV/VAC 5 Community health and DPWT/CSC Affected Before commencement safety communities of construction, during construction and post- construction completion To build capacity of DPWT to mitigate impacts during operations and moving towards GCB ODX

1 Preparation of an ES consultant DPWT and staff Training will be made emergency action plan for assisting DPWT local authority through the learning by Muang La and and mass doing approach establishing a water user organizations (adaptation). Budget will groups (WUG) for Nam and local be provided to initiated Kor community the process 2 GCB community network on waste management in ODX (Moving towards GCB for ODX)

8.5 ESMP Implementation Budget

136. The ESMF implementation costs for the LDRM-AF project is about US$816,000 which covers cost for consultation, monitoring, capacity building, and training related to safeguard activities (exclude RAP and supervision consultants) of the subprojects covering ODX, Loung Phrabang, and Borikhamxay. For the ODX project, it is expected

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that a budget of about US$455,000 will be needed for supervision and monitoring by PMU/DOW, EDPD/PTRI, PIU/DPWT, and the SMWG while cost for implementation of the safeguard activities during construction will be part of the contract cost. Table 8- 4 below presents an indicative budget allocation for (a) monitoring and training to ensure compliance with the WB/GOL safeguard requirements and (b) capacity building activities and consultation of the PMU/DOW, EDPD/PTRI, and PIU/DPWT to performance their tasks related to E&S safeguard including cost for national consultants to assist them. To minimize potential negative impacts during operations of the Project, the ESMP has identified the need to established and maintain close consultation with local community as well as the preparation of an emergency action plan for Muang La. In this context, a budget has been provided to PIU to achieve this objective. The Project has provided a separate budget for RAP implementation. Details will be discussed and agreed between PMU/DOW, EDPD/PTRI, and PIU/ODX-DPWT.

Table 8-4 Indicative budget allocation for ESMP $ Used (by $ Key Activities End of June $ Balance Remarks Allocated 2020) Objective 1: Ensuring compliance with WB/GOL safeguard requirements during preparation and implementation Workshop and 1.1 Planning and implementation Training on ESS support including training by 40,000 10,000 30,000 including Gender PMU/DOW and EDPD/PTRI three times per year 1.1.1 Environmental and Social It will be used during Monitoring during projects subprojects 40,000 0 40,000 Implementation by MONRE, PONRE, implementation (3 PMU/DOW and EDPD/PTRI years) 1.2 Monitoring by PIU and SMWG in This is on the job ODX, including hiring of junior staff 80,000 11,000 79,000 training and equipment 1.3 Preparation support for ES 40,000 12,000 28,000 documents and consultation as needed 1.4 Implementation support on consultation, stakeholder engagement (EG, gender, and GRM) via meetings, 40,000 40,000 workshops, site visits, booklets, ICT, 2.4 etc. Sub-total 1 240,000 33,000 207,000 Objective 2: Capacity Building and stakeholder engagement 2.1 PIU/DPWT safeguard operations Completed, car is 50,000 50,000 0 including buying 1 vehicle and IOC available in ODX Committed for 2 2.2 Hiring of national consultants to consultants (they are assist PMU/DOW and EDPD/PTRI and 125,000 56,000 69,000 on board in PIU/DPWT November 2019)

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2.3 Preparation of an emergency action plan for Muang Xay and establishing a water user groups (WUG) for Nam Kor 20,000 0 20,000 Prepare Emergency Action Plan for Muang La Moving towards 2.4 GCB community network on waste 20,000 0 20,000 Green, Clean, and management in ODX Beautiful ODX Sub-total 2 215,000 106,000 109,000 Grand Total 455,000 139,000 316,000 455,000 139,000 316,000

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