Environment and Social Monitoring Report
Annual Progress Report January-December 2017
LAO PDR: GMS Nam Theun 2 Hydroelectric Project
Prepared by the Environment and Social Division of Nam Theun 2 Power Company, Ltd.
This environment and social monitoring report is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature.
In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.
NAM THEUN 2 POWER COMPANY LTD
Environment & Social Progress Report
Period Jan 2017 to Dec 2017
Nam Theun 2 Power Company Ltd. E&S Progress Report Jan 2017-Dec 2017
This report is a revised version of the E&S Annual Progress Report, Jan to Dec 2017, produced by the E&S Unit of Nam Theun2 Power Co. Ltd. The report has been edited for public release.
Nam Theun 2 Power Company Ltd.
Nam Theun 2 Hydroelectric Project
Annual Progress Report
Environment and Social Division
Jan – Dec 2017
Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement and Environmental Programs
Table of Contents
Acronyms ...... iii
General Introduction ...... 1
PART 1: Nakai Plateau Resettlement Program ...... 2
1 Monitoring Missions ...... 3 The International Financial Institutions ...... 3 The Le der’s Te h i al Ad isors ...... 4 The Panel of Experts ...... 4 The Independent Monitoring Agency ...... 6 2 CAP implementation – progress until December 2017 ...... 19 The CAP – reminder ...... 19 Overall Progress and challenges ...... 20 Action Plan for Fisheries ...... 25 Action Plan for Agriculture, Livestock including Land Management ...... 38 Action Plan for Forestry ...... 64 Action Plan for Off-farm ...... 76 Action Plan for Gender equality and women’s ad a e e t ...... 91 Action Plan for Poor and Vulnerable ...... 97 Action Plan for Ethnic groups ...... 107 3 Progress o I tegrati g Actio s i ple e tatio - until end of December 2017 ...... 120 Engagement of District Authorities ...... 120 Participatory village development planning ...... 121 Financial mechanisms ...... 123 4 Progress on Additional Activities implementation - until end of December 2017 ...... 125 Community Living Well Program ...... 125 Monitoring ...... 131 Entitlements for the Subsequent Growth Households ...... 135 5 Communication ...... 135 Resettlement Office Newsletters ...... 135 IAIA Special Symposium – Resettlement and Livelihood (Manila- Feb 2017)...... 135
PART 2: Environmental Programs ...... 137
1 Introduction – Key milestones ...... 138 2 Organization and responsibilities ...... 139
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Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement and Environmental Programs
Historical background ...... 139 Current Organization and responsibilities (2016 onwards) ...... 140 3 Main outputs of Environment programs until December 2017 ...... 141 The Aquatic Environment Laboratory (AE Lab) ...... 141 Water quality monitoring ...... 142 Fish Population and Fish Catch survey ...... 156 Biodiversity Program ...... 158 Environment Compliance Program ...... 163 Erosion Monitoring Program ...... 172 Implementation of the Environmental Management System ...... 172 4 Visits and consultancies...... 172 5 Communication ...... 174 Scientific papers ...... 174 Main outputs of the Adaptive Management Committee 2017 ...... 176
ANNEXES ...... 177
Annex 1 – Comprehensive Action Plan (CAP) chronology ...... 178 Annex 2 – Adaptive management on LoA implementation (JWG 4/10 and 7/11/2017) ...... 180 Annex 3 – List of Action (LoA) completion status in December 2017 ...... 187 Annex 4 – List of 17 Remedial actions as addendum to CAP ...... 199 Annex 5 – Presentations made to the POE Mission #27 ...... 203 Annex 6 – Resettlement Office Newsletters issued in 2017 ...... 312 Annex 7 – Presentation on NT2 Resettlement at the IAIA Special Symposium, Manila, Feb 2017 ...... 375 Annex 8 – Water quality monitoring stations (for the period May 2014 to April 2017) ...... 412 Annex 9 – Water quality monitoring stations (for the period May 2017 to April 2023) ...... 413 Annex 10 – Flash News No.9 (NTPC Environmental Awareness Program) ...... 414 Annex 11 – Flash News No.15 (Foam Reduction Program) ...... 415 Annex 12 – Flash News No.12 (Plastic bag Reduction Program) ...... 416 Annex 13 – Flash News No.10 (Paper Reduction Program) ...... 417
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Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement and Environmental Programs Acronyms
ADB Asian Development Bank AFD Agence Française de Développement AMC Adaptive Management Committee AIP Annual Implementation Plan AM Adaptive Management AP Action Plan BOOT Build-Own-Operate Transfer CA Concession Agreement CAP Comprehensive Action Plan CIA Cumulative Impact Assessment CLT Community Land Titling CLWP Community Living Well Program COD Commercial Operations Date CTA Common Terms Agreement CW Civil Works DAFO District Agriculture and Forestry Office DEB Department of Energy Business (Ministry of Energy & Mines) DHO District Health Office DO District Office DOE Department of Education DGA Development Grant Agreement DOI Lao Department of Irrigation Analytical Chemistry Laboratory DONRE District Of Natural Resource and Environment DRT Directors Representatives Team DRWG District Resettlement Working Group DSCR Debt Services Cover Ratio DSRP Dam Safety Review Panel E&S Environmental and Social EAMP Environmental Assessment and Management Plan EDF Electricité de France EDFI Electricité de France International EDL Electricité du Laos EGAT Electricity Generating Authority of Thailand EGCO Electricity Generating Public Company Limited EIB European Investment Bank EM Electro Mechanical EMDP Ethnic Minority Development Plan EMMP Environmental Monitoring and Management Plan EMO Environmental Management Office EMU Environmental Management Unit ESCO Engineering & Service Co Ltd (Division of EGCO) ESMP Environmental and Social Management Plan FC Financial Close FCMS Food Consumption Monitoring Survey FIRR Financial Internal Rate of Return FMR Financial Monitoring Report FSL Full Supply Level GLIP Government Letter of Implementation Policy GMS Greater Mekong Sub-region GoL Government of Lao PDR GOLE Engineer of the GoL HH Household
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Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement and Environmental Programs
HIPC Highly Indebted Poor Country HSE Health Safety and Environment IDA International Development Association IDC Interest during construction IFI International Financial Institutions IMA Independent Monitoring Agency IRN International Rivers Network IT Information Technology IUCN International Union for the Conservation of Nature IWMP Integrated Waste Management Program JWG Joint Working Group LHSE Lao Holding State Enterprise LOA List Of Actions LNCE Lao National Committee for Energy LSMS Living Standard Measurement Survey LTA Lenders Technical Advisor LWU Lao Women’s Union M&E Monitoring and Evaluating MASL Meters above sea level MIGA Multilateral Investment Guarantee Agency MIH Ministry of Industry and Handicraft MOF Ministry of Finance MOL Minimum Operating Level MONRE Ministry Of Natural Resource and Environment MoU Memorandum of Understanding MRC Mekong River Commission MTDP Medium Term Development Plan NBCA National Biodiversity Conservation Area NGO Non-Government Organisation NNT Nakai Nam Theun NPFDE Nakai Plateau Forest Development Enterprise NPA National Protected Area NPFVA Nakai Plateau Village Forestry Association NPFDE Nakai Plateau Village Forest Development Enterprise Ltd. NT2 Nam Theun 2 Project NTFP Non Timber Forest Products NTPC Nam Theun 2 Power Company Limited O&M Operation and Maintenance QSEM Quarterly Socio Economic Monitoring PAFO Provincial Agriculture and Forestry Office PAP Project Affected People PCA Preliminary Construction Activities PCPD Public Consultation, Participation and Disclosure PCR Physical Cultural Resources PDO Project Development Objectives PIM Preliminary Information Memorandum PIP Project Implementation Plan PIZ Peripheral impacted zone PLUP Participatory Land Use Planning PM Prime Minister PMO Prime Minister Office POE Panel of Experts PONRE Province Of Natural Resource and Environment PRA Participatory Resource Assessment
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Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement and Environmental Programs
PRF Poverty Reduction Fund RAP Resettlement Action Plan RO Resettlement Office ROP Resettlement Objectives and Provisions RC Resettlement Committee RFA Reservoir Fisheries Association RMO Resettlement Management Office RMU Resettlement Management Unit RNT Residence Nam Theun RO Resettlement Office SDP Social Development Plan SEMFOP Social and Environment Management Framework and First Operational Plan SERF Social and Environment Remediation Fund SESIA Summary Environment and Social Impact Assessment SIA Strategic Impact Assessment STD Sexually Transmitted Disease STEA Science, Technology and Environment Agency THB Thai Baht USD US Dollar UXO Unexploded ordnance VDC Village Development Committee VDP Village Development Plan VEW Village Extension Worker VFA Village Forest Association VFG Village Fisheries Group VIRF Village Investment and Restoration Fund VLMC Village Land Management Committee VRC Village Resettlement Committee VVW Village veterinary workers WB World Bank WCD World Commission on Dams WCS Wildlife Conservation Society WMPA Watershed Management & Protection Authority WMPP Wildlife Management and Protection Program WQMAP Water Quality Monitoring and Assessment Program WQB Water Quality and Biodiversity Department XBF Xe Bangfai
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Nam Theun 2 Power Company E&S Semi-Annual Progress Report, 1st Semester 2017 Nakai Plateau Resettlement and Environmental Programs General Introduction
This Annual E&S report provides the status of the implementation of the AIP 2017 finalized on 23rd December 2016, and distributed to the ICA and all NT2 stakeholders. The AIP 2017 differed from the previous AIPs because a substantial part was dedicated to the end of the Resettlement Implementation Period (RIP Closure), and these section were therefore based on the then-current version of the Comprehensive Action Plan (CAP). The AIP 2017 recalled NTPC’s obligation under the CA that are (i) the social obligations, (ii) the environmental obligations, and (iii) the funding obligations. Whereas the funding obligations and some environmental obligations will be implemented until the end of the CA Period, the social obligations end when the RIP is closed. The first part of this report (Nakai Plateau Resettlement Programs) provides the implementation status of the Comprehensive Action Plan (CAP), upon which the AIP 2017 for the social obligations was based. The objective of the CAP is to ensure that resettler livelihoods are materially improved on a sustainable basis in order to close the RIP and transition to a more participatory, long-term development led by the GOL and supported by NTPC funding under the Nam Theun 2 Development Fund (NT2DF). The CAP is made of seven Action Plans (four Livelihood Pillars and one for each of the three Cross-Cutting Issues) as well as integrating actions. The CAP also covers two time periods – the RIP (List of Actions or LOA) and the post RIP period (Medium Term Development Plan or MTDP). Although the AIP 2017 was based primarily on the LOA actions under NTPC responsibility, the Annual Progress Report includes progress that has been made for some MTDP actions as appropriate, as well as actions that have been assigned GOL accountability, in order to give a complete sense of the state of implementation. Similarly, the AIP 2017 was based on the draft of the CAP from October 2016. The progress on the CAP in this Annual Progress Report 2017 takes into account the final version of the CAP document (25 January 2017). The progress on “Integrating Actions” of the CAP, including, inter alia, the engagement of the District, the participatory planning with villages, and financial mechanisms has also been reported. Finally, the Nakai Plateau Resettlement Program section also gathers all additional actions, which are not explicitly part of the CAP, but support its implementation. This includes socio economic monitoring and the Community Living Well Program.
The second part of this report provides an update of the implementation of Environmental activities of NTPC in 2017. The report covers the main outputs of the Environment Programs for this period. This includes the Aquatic Environment Laboratory, the Water quality monitoring, the Fish Catch Monitoring, the Biodiversity Program, the Environment Compliance Program, the Erosion Monitoring Program, and the Environmental Management System.
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PART 1: Nakai Plateau Resettlement Program
Page 2 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program 1 Monitoring Missions
The International Financial Institutions The International Financial Institutions conducted three missions to Lao PDR on the NT2 project: 1st mission: from 30th of January to the 9th of February 2017. Member institutions included the World Bank (WB), the Asian Development Bank (ADB), the Agence Française de Development (AfD), and the European Investment Bank (EIB). There were a total of 50 participants; 37 visited the project area. The mission was conducted in two parts: a technical staff visit (30th January – 2nd February) and a management staff visit (2nd – 5th February). A preliminary meeting was held between the IFIs, the Department of Energy and Business, the Khammouane Provincial Government, the Nakai District Government, the RMU and NTPC in Thakhek on the 2nd of February 2017. Final deliberation, further meetings with representatives of the GoL, and the official debriefing meeting were held over the 6th and 7th of February. The report was available by mid-April 2017, registered within NTPC document system on the 20th April. The scope of the IFIs mission covered all aspects of the project, with particular reference to 6 key issues: (i) NT2 revenue Management Program (RMP), (ii) Compensatory Forest, (iii) Nakai Plateau Resettlement Program, (iv) Downstream Livelihoods Restoration, (v) Operation and Finance, (vi) Safeguards Compliance. Regarding the Nakai Plateau Resettlement Program, the mission reviewed the progress made on the CAP implementation. The mission found that, “overall, there is ample evidence that implementation is underway [“medium risk”], with two areas considered “high risk” for completion under LoA: “Forestry” and “Integrating actions”. 2nd mission: 4-8 September 2017, IFIs Technical mission from the World Bank and the Asian Development Bank. The technical teams conducted a site visit on 5 and 6 September. During the site visit, the mission met with representatives from the District Government, the RMU, the WMPA and NTPC. The aim of mission focused on preparation of the management mission to follow. 18-22 September 2017, the IFI Management mission. A kick-off meeting was held in Thakhek on 18 September, chaired by the Deputy Provincial Governor of Khammouane. Staff from the GOL led the presentations. A follow-up meeting, focusing on the RIP closure, was conducted on-site by the Nakai District Government on 19 September, chaired by the District Governor of Nakai. The District Government made presentations based on areas raised by the World Bank. The management mission further met with JWG and GOL representatives in Vientiane from 20 to 22 September. 3rd mission: 27-29 November 2017, representatives of the IFIs conducted a mission to site for a final update on the progress of the CAP. Member institutions included the WB, ADB and EIB. The District Government led a debriefing meeting, chaired by the District Vice-Governor on 28 November. On 1 December afternoon, IFIs made their Mission’s wrap-up and supported a RIP Closure. Mission of WB Vice President: The Vice-President of Sustainable Development at the World Bank, conducted a mission to the NT2 Project and the Nakai Resettlement Area. The mission to the NT2 Project included a visit to the NT2 Public Information Centre and the Power House.
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The mission to the Nakai Resettlement Area included visits to the Fisheries Centre at Thalang, the Nakai Dam Site, the weaving group at Sop Hia, the programs for Poor and Vulnerable and Non-Timber Forest Products at Sop Ma, and the Health Centre and School at Nongbouakham. A baci ceremony was also held at the Nongbouakham Resource Center. The Vice President also met with representatives from the District Government, the RMU and the NTPC-RO management. She was impressed by all progresses done by NT2 Project (GOL and NTPC) on the resettlement and confirmed the intension to close the NT2 Grant Agreement of the World Bank and to support RIP closure.
The Lender’s Technical Advisors The Lender’s Technical Advisors conducted 2 missions in 2017. 1st mission occurred from the 6th of February to the 10th of February 2017. The LTA mission included 2 members for social aspects, and two for environmental aspects and an additional head of the mission. On social aspects, the LTA met with resettlers in 7 hamlets, and were able to discuss the different activities with both District and RO staff. The LTA met separately with the District Deputy Governor and SERF staff on the 9th of February. The mission ended with a debriefing session in Thakhek, which was attended by representatives from the GOL (including DEB, RMU and the Nakai District), NTPC and the IFIs (the World Bank). The focus of the mission was “to verify progress being made towards RIP Closure”. The LTA raised concerns about the content of the CAP and the AIP 2017, arguing that the CAP focused on outputs and processes rather than indicators that can measure outcomes. They also highlighted areas of progress and concern for practical implementation. The LTA Site Visit Report #37 was shared with NTPC on the 7th of March 2017. 2nd mission occurred from 30 October – 2 November. This 38th mission included the head of the mission and the 2 social members. The District and NTPC presented the progress on the CAP, as well as the preparations for handover, during meetings held on 30 and 31 October at the Resettlement Office. On 1 November the mission conducted field visits in the resettlement villages. A debriefing meeting was held at RNT on 2 November. Feedback was mostly positive. LTA also debriefed AFD on 2 November afternoon and with the WB and ADB on 3 November. LTA provided their draft report on 9 November. Final version was received on 14 December: LTA does not take position in RIP closure. It recommends that, by the end of 2017, “items are advanced or in the process of being finalized. This includes (i) establishing clear strategies or mechanisms that can be implemented for any unresolved or key outstanding issues”, especially on the field of forage (ensure sufficient fodder and forage for large livestock herds), (ii) strategy for Forest Management Plans, (iii) agreement on southern road rehabilitation, (iv) NT2DF framework and manual, resolution of remaining land conflicts, complete all actions related to safeguards (CAP and IMA).
The Panel of Experts The Panel of Experts conducted 2 missions in 2017. 1st mission of 2017 (26th mission) from the 19th of March to the 17th of April. The POE members for this mission were David K. McDowell, Lee M. Talbot and Elizabeth Mann. The mission was also joined by Rob Laking in an advisory capacity. The Nakai District Government led the major on-site briefing about the project to the POE on the 22nd March 2017. The 26th
Page 4 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program mission focused on an assessment by the POE of the progress that has been made on the Comprehensive Action Plan for RIP closure. The POE visited the project site from the 19th to the 28th of March, before travelling to Vientiane for the remainder of the mission. At the project site, the POE conducted interviews with individual resettlers, villagers from other affected areas, and representatives from the resettlement village institutions. The POE also met individually with representatives of the GOL at District, Provincial and National levels. This included the District Governor of Nakai, the Provincial Governor of Khammouane, the Minister of Energy and Mines, and the Deputy Prime Minister in charge of NT2 Project. POE’s findings during the mission were shared during the final debriefing, held at the DEB Offices in Vientiane on the 7th of April 2017. A draft report was shared with the JWG on 27th of April 2017. The report specifically focuses on the actions outlined in the CAP. The JWG provided feedback on the draft report on the 28th of May 2017. The POE submitted the final report on 23rd June 2017.
2nd mission of 2017 (27th mission) from 20 November to 4 December. This 27th mission of the Panel of Experts opened with a debriefing mission conducted by the Joint Working Group at the Nakai District Government Offices. The meeting was chaired by the Director General of the Department of Energy Business from the Ministry of Energy and Mines, Representatives from all members of the JWG were in attendance, including the DEB, the IFIs, RMU, the District Government and NTPC. The presentations on the progress made under the CAP were led by the Nakai District Government, followed by a Question and Answer session with the POE. The POE visited the project site from the 21 to the 23 of December. On 24, a working session was organized with few governmental and NTPC representative to go through key questions/concerns of the POE. The POE travelled to Vientiane on the 25 for the remainder of the mission. On 1 December, the final debriefing of the POE mission was held in the morning at the Department of Energy Business in Vientiane. POE did not recommend the closure of the RIP. The POE suggested that, if the GoL would like to take the initiative to close the RIP, a set of conditions would have to be fulfilled (to be presented in an Interim report, ahead of the Draft report). On 4 December, the POE’s Interim Report #27, provided 2 sets of Conditions before closure (if the GoL want to close the RIP): (i) 18 actions to be implemented before RIP Closure and (ii) 28 commitments to be made before RIP Closure for actions to be implemented after RIP Closure. 22 December, the JWG finalized the draft response to the POE’s Interim Report. The response focuses on the recommendations made by the POE on the potential terms for a conditional closure of the RIP. The answer from the POE is expected in their Draft report which should be released one month after the end of their 27th mission (early January 2018).
Page 5 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program The Independent Monitoring Agency
Progress on IMA CA Compliance in late 2016 IMA came for their 8th Mission in March 2016. This mission was special as it did a clause by clause compliance assessment of the concession agreement, along with field verification. All the clauses thus from chapter 3 until chapter 161, of Schedule 4, part 1 were converted into a CA Compliance matrix and assessed. Preliminary draft of the compliance matrix and the draft report for comments were received on 15th November 2016. The JWG met on 23rd, 24th and 25th November 2016 to discuss as how to address the gaps identified in the compliance assessment and provide inputs to the IMA on clauses deemed assessed incorrectly. The comments were finalized and sent to IMA on 30th December 2016. Based on the comments and feedback provided by the JWG, the IMA team updated the compliance matrix and submitted the final report and compliance matrix to DEB, GoL on 16th February 2017. The clauses were categorized under the following categories of compliance status: Time Non-Compliant (NC-Time) (41) Not applicable (20) Compliant (400) In progress (218) Non-Compliant (185) Cannot Document Compliance (204)
JWG meeting on 4 May 2017 The JWG met on 4th May 2017, to discuss among others items IFIs Social Safeguards priorities linked to the non-compliances of IMA matrix. A summary of all 1,068 clauses, classified in 6 categories was presented: Not applicable (20), Non-compliant because of time (NC-Time – 41), Compliant (400), Non-compliant (185), Cannot Document Compliance (204) and In Progress (218). NTPC and GoL requested IFIs to review all clauses, to confirm the IMA assessment status and to define the IFIs priorities of the last 3 categories in order for NTPC and GoL to focus on the high and medium priorities. This was required to chart the way forward and identify corrective actions required to bring the project into compliance.
Preparation of JWG meeting of 31 May 2017 In May 2017, IFIs led by ADB had an overall review of the matrix to (i) review all the clauses and (ii) confirm the IMA assessment status and (iii) define the IFIs priorities on the Non- compliant, Cannot document compliance and In Progress categories. This was to ensure focus by NTPC and GoL on the high and medium priorities. Further it was also identified if the interventions required to bring/maintain these clauses in compliance were already in the CAP or would require additional action. In parallel, NTPC and GoL had a number of working sessions on the 43 issues related to GoL (community) assets and undertook field checks in the resettlement hamlets. A MoM was signed on the issues and the way forward. In preparation of the JWG meeting of 31st May 2017, ADB
1 Except chapter 13 on project lands
Page 6 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program and NTPC discussed ADB review. NTPC provided additional field check and document search results as well as the agreement reached with GoL.
JWG meeting of 31 May 2017 The objectives of this JWG meeting were For the IFIs: To present their position regarding the CA compliance evaluation by IMA, discuss it with the other JWG members, confirm their acceptance of the IMA assessment regarding the Not Applicable, Non-Compliance due to Time and Compliance categories and define their priorities for the Cannot Document Compliance, Non-Compliance and In progress categories. For the JWG: To discuss the IFIs position and following general agreement to agree on the remedial actions to be taken.
Methodology The IFIs presented their review of the different categories successively. The categories where a change was required or some clauses needed to be highlighted with a High or Medium Priority were flagged by the IFIs and discussed by all members before a final decision was made. The GoL-NTPC MoM on 43 GoL Assets No 247 dated 23 May 2017 was taken into account as well as results from the GoL-NTPC field check and investigation executed in May 2017. At the end of the discussion, final statistics of status were presented in summary and details and the evolution was summarized in a Compliance Status Summary chart.
Following is the result of the JWG review of the categories of issues as presented by the IFIs. The Not applicable (20) and NC-Time (41) categories were confirmed as such by IFIs and then the JWG. A few clauses in other categories were changed from one category to another. At the end 400 compliant clauses were confirmed as Compliant with no further action required. Similarly 222 clauses were confirmed as In Progress including 15 and 2 with High and Medium Priority respectively; all require regular execution until the end of the RIP. The IFIs and JWG confirmed a number of 203 CDC clauses of which 2 were marked as high and 1 marked as medium and a number of Non-Compliant clauses of 182 of which 9 marked as high and 15 marked as medium. Remaining CDC and NC clauses were either marked as Low, with no more action required, or already included in the CAP (37 CDC & 63 NCs). In summary, a total of 27 CDC and NC issues remained which required specific actions.
Way forward Identification of remedial actions – Addendum The most important output of the meeting of 31st May 2017 was the identification of 14 remedial actions to be implemented which were seen as a priority from social safeguard perspective. A number of issues are similar (such as drainage of various community buildings) or represent different facets of a clause (size and number of classrooms). Regrouping leads to this reduced number of 14 consolidated issues needing action and categorized as follows: GoL responsibility (3): Grievance, Outsiders in the Resettlement Area and SERF AIP circulation.
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NTPC responsibility (action) often in collaboration with GoL (7): Good quality water availability, Drainage around community buildings, Additional classrooms in 3 villages, Toilets for 1 market, Nakai Tai Village hall roof extension, Ice plant/cold storage, Waste management in resettlement villages NTPC responsibility - document search (3): Disturbance allowance, Jobs availability to resettlers during operating phase, Assistance to resettlers on ploughing and terracing. NTPC responsibility – legal discussion with IFIs (1): transparency and disclosure of reports Finalization of JWG decisions on 31 May 2017 The JWG MoM has been finalized2. The JWG has prepared a CAP errata and an Addendum to the CAP. The Addendum includes the 14 actions as per the JWG MoM, converted into CAP format with established KPI, target, accountability and timeline for implementation. The 14 actions were later disaggregated into a list of 17 corrective actions which need to be implemented. These 17 actions have been added as an Addendum to the CAP. For implementation and monitoring purpose they have been further broken down into 15 Pre-RIP actions and 2 Post-RIP actions, with the assumption at that time that RIP would be closed on 31 December 2017.
List of the remedial actions Following are the 15 (Pre-RIP) and 2 (Post-RIP) actions which have been identified to be implemented: Pre/ Code Post Context Action RIP Pre- Influx of outsiders in Re-circulate the land decree in the Resettlement Area AD.1 RIP resettlement area and re-affirm the obligation to respect it
Prepare and implement a plan for reshuffling the Pre- Grievance Redress AD.2 Grievance Procedure and having it functional with RIP Mechanism resettlers properly informed
Pre- Disclosure and Make available to the public the E&S reports after AD.3 RIP transparency receipt of the GoL consent for such disclosure.
Jobs availability to Search and provide data on resettlers employed with the Pre- AD.4 resettlers during operating company and its sub-contractors during operating RIP phase (100 jobs) phase. Continue to monitor water quality on the same regular Pre- Water quality and basis, with the same existing documentation & reporting. AD.5 RIP borehole maintenance Boreholes to receive an appropriate maintenance
2 Note: Signed by the JWG in August 2017 – Incoming Document DCC: Log No. 28123 - Filing Code: C06-03
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Pre/ Code Post Context Action RIP Water supply Adequacy Pre- Feasibility study of small water supply systems for 13 AD.6 on Nakai Plateau (1 BH RIP hamlets under PPP model per 5 Houses) Re-create drains around the community buildings to Pre- AD.7 Drainage related issues ensure no water stagnation, with villagers’ contribution RIP for labor and other inputs and support provided by district and NTPC. Reach an agreement and plan between NTPC, District Sufficient number of and MoES on the type and construction of additional classes to accommodate Pre- class room at Nakai Tai, Sop On and Done (expected: AD.8 kids of resettlers RIP Block of 3+1 rooms for each hamlet), with requisite households- Contract and agreement equipment’s support and its teachers’ staffing and NTPC awards the contract for the same
Sufficient number of classes to accommodate Construction of additional class rooms at Nakai Tai, Sop Post- kids of resettlers On and Done (expected: Block of 3+1 rooms for each AD.16 RIP households- Staffing, hamlet), with requisite equipment’s support and Construction & teachers’ staffing. Furnishing Build toilets at NBK village provided that: (i) Village authorities confirm their wish to organize and Pre- Sewage facility (toilets) AD.9 be in charge of the maintenance; RIP around market (ii) Villagers commit to contribute to some aspects of the construction. Pre- Village Hall AD.10 Build extension of the roof of the Nakai Tai village hall RIP (Nakai Tai)
Build cold storages (preferred to ice plants) as requested by fisheries group if the request is in line with the 3 Pre- AD.11 Ice Plants principles defined between District authorities and RIP NTPC, to foster the ownership of infrastructure from resettlers. Look for evidence establishing that disturbance Pre- allowance was paid to all the resettlers. If no such AD.12 Disturbance allowance RIP evidence, payment of disturbance allowance to households not paid. Waste management plans and service for Implement waste management plan as agreed between Pre- AD.13 resettlement villages- NTPC, District and SERF-Preparation and RIP Preparation and construction of Land fill construction
Waste management plans Implement waste management plan as agreed between Post- and service for AD.17 NTPC, District and SERF-Implementation of waste RIP resettlement villages- collection system for new landfill Implementation
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Pre/ Code Post Context Action RIP Look into documents to support the arguments that ploughing/terracing was piloted with technical reports which say it wasn’t productive to do terracing and explain the background.
Assistance to resettlers Pre- In case such document could not be found: AD.14 on ploughing and RIP In the Agriculture section of the CAP, there are many terracing development options, including in the medium term with the 5 year project AFD/NTPC (beyond CA) to provide a support to voluntary farmers to develop the potential of their plot. This could be considered as a corrective action to this NC on agriculture. Pre- AD.15 SERF usage clause Circulate SERF AIP with IFIs. RIP Please refer to Annex 4, for details of KPI and targets for these actions.
Overall Progress on the Remedial actions A specific dashboard has also been prepared and appended to the existing dashboard of CAP actions to follow up on the progress of these 17 actions. In accordance with timeline set by JWG, NTPC team started to work on these issues in mid- June In addition GoL and NTPC also continued to implement their respective clauses In Progress but with a focus on the Medium and High priorities defined by IFIs. As of end of December 2017, the progress on these 17 actions was as follows
The next sections outline the progress for each action in 2017.
Action AD.1 Influx of outsiders in resettlement area
Action Completed – Completion Report under finalization As per clause No.7.5.1.of the concession agreement Schedule 4, Part 1 of the Concession agreement, in accordance with the Nam Theun 2 Land Decree, the GOL recognizes that the land in the Resettlement Area is primarily for resettlement purposes. The implication of the same is that non-resettlers aren’t allowed to own or manage land in the Nakai resettlement area. In 2012, Nakai District Governor issued a regulation on the Collective Land Titles. Soon after, the Household Booklets on Collective Land Titles were also developed in accordance to the content of regulations. In the beginning of 2016, CLT Booklets for 14 hamlets were updated by adding more illustrations and new eligible inclusion, the subsequent growth households. After
Page 10 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program the update of the CLT booklets, the technical team of the district from DAFO and DoNRE conducted village meetings to disseminate the contents of the booklets to the villagers. The regulation or the booklets clearly mentions the accessibility right on each type of land under CLT in the resettlement area. At the same time, they also clearly state that outsiders aren’t entitled to any type of land rights in the resettlement area. The booklets were key IEC Material for raising awareness of the villagers through the dissemination sessions. However, over the past few years Nakai has seen an influx of number of outsiders into the resettlement area. These not only include the GoL officials and their dependents, but also traders besides relatives of the resettlers. Some of them also have been able to get land use rights, if not land ownership rights. This has been seen a concern by external monitors including the POE and has been highlighted as a non-compliance in the findings of the IMA mission. The district agencies with strong support from RO team organized campaigns and dissemination sessions across the resettlement villages to recirculate the principles of land decree, clarified through the CLT and land regulations. In order to remind the villagers of their own rights on land and to curtail the influx of outsiders in the resettlement villages, the Nakai District Governor also issued an announcement letter particularly on the Decree No.193 of the Prime Minister. Campaigns were done and information was disseminated through village information board, village meeting hall and via village speaker in each hamlet during October 2017.
Action AD.2 Grievance Redress Mechanism
Action Completed – Completion Report under finalization Grievance is a prime concern in terms of social safeguards and the ADBs accountability mechanism. The IMA and the early 2017 IFI mission also highlighted that not all households are fully aware that they are able to submit complaints/grievances regarding project related issues and that the grievance system is not effective and resettlers are not well aware about their rights to grievance for entitlements. Access to grievance process is however a key parameter for the accountability of the project. Therefore the JWG decided that action be taken to remedy the above shortcomings and have the Grievance Redress Mechanism again fully functional implying the following outputs: To have an updated realistic Grievance Manual approved by the District Governor. To have village and district level Grievance Redress Mechanism dedicated persons re-trained on CA GRM obligations and updated Grievance Procedure Manual To have village level GRM dedicated persons (VGU) re-trained on CA GRM obligations and updated Grievance Procedure Manual To have functional GRM procedures in place at village level To have GRM District Justice Office properly organized, responsible and functional for processing efficiently grievances, including managing ad hoc database To have resettlers re-informed about the GRM purpose and practical procedures. A GRM corrective Action Plan including a timetable was developed in July 2017 jointly by RMU, Nakai District and NTPC and endorsed by ADB. It consisted in:
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1. Assess the current situation at village, district and NTPC level 2. Review the Grievance Manual 3. Training of District people 4. Training of Village people (by district team) 5. Re-circulation of all GRM related information as per CA spirit to 16 hamlets resettlers (by district team) 6. Administrative Reorganization The revised Grievance Manual was approved by Nakai Governor and NTPC CEO on 10 August 2017 and used as reference for the retraining of district staff and VGU and village dissemination. District Grievance committee training was organized for 15 district and RMU staff on 21-22 August and was conducted by the Provincial Justice Office with RO support. Retraining of VGU (for 74 people) was organized in 3 groups (northern, central and southern villages) on 24, 28 and 29 August. Training was performed by district staff with RO support. The grievance processing in District Justice Office was reorganized with NTPC support and necessary IT hardware and software and stationary were provided. NTPC RO re-developed a specific database for organizing and processing the grievances, installed it on the District Justice Office computer and trained the staff on 6th of September. Further assistance was provided later on as necessary. RO staff supported the District Justice Office staff in preparing the IEC material and organizing the village dissemination. The village dissemination took place from 1 to 22 September with RO staff as observers.
G2 (Subsequent Date of Total Sum attend G1 Non G2 Village/ Growth HHs) No. disseminati (G1+G2+ Hamlet Femal on Non G2) All attend Men Female Men Female Men Female Men e 1 01/09/17 KK 73 35 7 28 7 17 0 7 0 4
2 05/09/17 BM 104 56 28 28 20 23 7 4 1 1
3 06/09/17 NKN 141 94 44 50 31 30 11 13 2 7 4 07/09/17 PPP 142 36 15 21 10 21 3 0 2 0 5 08/09/17 NKT 279 192 53 139 42 99 9 36 2 4 6 11/09/17 SO 196 79 21 58 21 58 0 0 0 0 7 11/09/17 PSV 62 36 13 23 13 14 0 9 0 0 8 12/09/17 SM 102 50 14 36 8 24 3 11 3 1 9 13/09/17 ODS 602 81 20 61 16 51 3 7 1 3 10 14/09/17 NBK 78 51 16 35 13 28 3 7 0 0 11 15/09/17 TL 135 18 12 6 12 6 0 0 0 0 12 18/09/17 Done 234 83 18 65 14 47 3 12 1 6 13 19/09/17 SP 74 38 18 20 16 18 2 2 0 0 14 20/09/17 SH 58 38 22 16 18 10 4 6 0 0 15 21/09/17 NN 84 34 16 18 12 13 2 2 2 3 16 22/09/17 NB 59 35 12 23 11 18 1 3 0 2 2,423 956 329 627 264 477 51 119 14 31
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Action AD.3 Disclosure and transparency
Action Completion status – 83% Public disclosure of all the E&S Reports since the inception of the project (financial close) has been identified as one of the remedial actions. As a part of Project Agreement with ADB, NTPC is obligated to release semi-annual E&S progress reports since Financial Close until date. NTPC except for two reports in 2005 & 2006 did not release such reports for public disclosure. Hence, this was seen a non-compliance. Since, Jul’05 the following reports have been produced: E&S produced two semi-annual progress reports Jul’05- Dec’05 & Nov’05- Apr’06. May’06 until Jun’10, 62 monthly progress reports were produced. These were called as the MPRs. Jun’10 until Mar’13, Quarterly progress reports were produced. These were the QPRs. There was an annual report produced for the period Apr’13 until Dec’13. From Jan 2014, Bi-Annual and annual progress reports (APRs) have been produced until date. The concession agreement mandates that an approval of the Government of Lao PDR is required for such documents disclosure (Clause 36.5, Volume-1 Operative provisions). Hence, GoL authorization was requested and taken for all the E&S reports marked for public disclosure. Efforts have started to prepare the reports for public disclosure, reviewing them for information that may not be considered necessary for public disclosure. Additionally, personal and financial details such as name of individuals, consultant companies, contract amount and financial data, which are already not available on public domain were removed from the reports. A few reports have already been finalized and will be released soon on the NTPC website and later ADB website.
AD.4 Jobs availability to resettlers during operating phase (100 jobs)
Action Completed – Completion Report under finalization Clause No. 12.3.3 of the concession agreement Schedule 4, part 1, obligates the company to provide approximately 100 jobs to resettlers during the operating phase of the project. The company during the operating phase has taken necessary endeavors’ to give priority to resettlers for direct employment available with the company or through its contractors. It should be noted that while necessary endeavors’ were made to provide employment to resettlers, actual number of jobs enlisting depend on the interests, capabilities and skills of the resettlers. The various type of jobs offered included staff positions with the various departments of the company, through its contractors such as ADEN, CES, KSSS or casual daily labors hired for various activities as and when required. All these kind of employment opportunities have been listed and considered in this report. The collation of data from all possible sources of employment conclude that an equivalent of approximately 121 jobs were made available to resettlers during operation phase which is more than 100 jobs stipulated by the concession agreement.
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It is understood that the company made all possible endeavors to promote employment among resettlers. Beside employment listed in this report, the company through its resettlement program generated various job opportunities to implement the resettlement program. These include additional government staff hired to work for the resettlement program including that at health centers, schools, government departments and other local resettlers working the resettlement office as long term consultants. The company has also hired interns from resettlement program to train and prepare them for future career opportunities. However, these kind of employment opportunities have not been captured in assessment.
AD. 5 & AD. 6 Water quality, availability and borehole maintenance Action Completion status AD.5 – 94% AD.6 – 79% The CA mandates that the company shall ensure that clean domestic (“good quality”) water is available to the resettlers all-round the year. To ensure this there should be 1 borehole installed for every 5 households on the Nakai plateau and easily accessible to them as well. While, the installation of boreholes ensures that water is available to resettlers (except a few instances of some boreholes for which water level goes down during dry season), the quality of water needs to be regularly monitored to ensure it is safe for human consumption (water is however not supposed to be drinkable and needs to be boiled in any case). The required number of boreholes as stipulated by the CA were handed over to NAMSAAT with ample spare parts and training to maintain the boreholes. The Environment team of the company since 2006 has been continuously monitoring the water quality of the boreholes on Nakai plateau on a sample basis. The sampling methodology has ensured that all the boreholes on Nakai plateau are covered for water quality monitoring on a rotational basis. The water quality analysis and results from the monitoring of boreholes including any red flags and corresponding corrective actions required are shared with NAMSAAT for their further remedial action. This monitoring started in 2006 and will continue until the end of the Concession Period. Over the time some few boreholes have become defective and few have broken down. Hence, SERF in the last two years of 2016 & 2017 undertook an overall maintenance exercise to repair and clean all the boreholes on Nakai plateau. SERF contracted private contractors to repair and maintain the boreholes. The repairs were completed by the end of 2017, however pending formal closure, awaiting the completion report from the contractor and SERF authorities. It is understood that some boreholes are beyond repair or do not provide enough water in dry season. Since the number of boreholes installed on Nakai plateau is already dense (1 borehole for 5 households) and its increase is limited by the physical conditions, drilling of additional boreholes isn’t seen as a viable option to support long term domestic water requirements of the population. Hence the complementary remedial action decided by the JWG is that NTPC organizes a feasibility study to assess the potential of home water supply and distribution system. A specialized French NGO was selected. The feasibility study was based on a comprehensive survey on socio-economic, technical and financial aspects in the target communities of NTPC. The NGO team visited the plateau in the month of July and collected various socio-economic, technical and meteorological data. This included field survey,
Page 14 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program households and community interview and discussion with NTPC and district technical teams. Villagers. Willingness to pay was also assessed. The NGO team, based on their study, will propose various possible options for installation of a water distribution system for different villages or groups of villages of Nakai plateau. The results from the study will be presented to GoL and NTPC in January. They will be further used to consider installation of such system through PPP or other available funds such as NT2DF/SERF.
AD.7 Drainage related issues
Action Completion status – 61% IMA has noted a CA non-compliance regarding drainage systems at most community buildings in the 16 hamlets. A GOL review of community buildings non-compliances confirmed this and requested remediation. A Nakai District / RMU / NTPC meeting reviewed all community buildings non-compliances and reached an agreement on the measures to be taken to fix them. In advance of the JWG meeting of 31/05/17 it was decided to survey the drainage issues in all hamlets. A meeting involving RMU, Nakai district and RO discussed the objective and set up the plan of the survey. It established a team from DO, RMU and RO to expedite the survey and provide a first report to be presented to the JWG. The result from the survey about drainage issue was that some community buildings have issue with drainage system and the same need to be fixed. The original principle for intervention was that there would be participation from the villagers for the labor and NTPC would support all material as necessary such as soil and tools for repairs. The 31/05 JWG meeting confirmed the requirement of the remedial action and asked for a prompt work execution before the rainy season but the early onset of the rains obliged to postpone the drainage improvement after the rainy season. However, in September there were informal reports from various hamlets that the drainage issues were more important than initially observed in May. It was therefore decided to conduct a re-survey by district departments (PWT, DO, Health office) with technical support by RO. It was found that almost all community buildings had increased but variable level issues with drainage. Because of the updated – increased - volume of works and the very limited time available for execution it has been decided to outsource the entire work to a contractor. The contracting process progressed during end of 2017 and the work is expected to complete by end of February 2018.
AD.8 & AD. 16 Sufficient number of classes to accommodate kids of resettlers households Action Completion status AD.8 – 77% AD.16 – 0% One of the findings of the IMA compliance assessment was that classroom sizes of primary schools constructed by the company didn’t adhere to the CA guidelines. However, later investigation and discussion with the district authorities and RMU pointed out that the
Page 15 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program deviations were a part of adaptive management and adherence to applicable national standards at that time and that the deviation has had so far no negative effect on the wellbeing of the pupils and the efficiency of the teaching in most schools. However, owing the increasing population and increasing pressure on existing primary schools at Nakai tai, Sop On and Done, it was discussed and agreed that additional blocks of classroom, toilet facilities and teacher’s house will be constructed in the three villages for accommodating in good conditions the increasing number of pupils. Hence an agreement has been reached between the NTPC and the GoL on (1) the type and construction of additional classrooms (expected: Block of 3+1 rooms for each hamlet) and teachers’ houses at Nakai Tai, Sop On and Ban Done, and (2) an additional staffing of the schools by the Ministry of Education and Sports where priority is given to qualified applicants from the resettlers’ population. A MOU has been drafted and formalized between NTPC and GOL covering the above points and serves as an agreement of each party’s responsibilities and commitment towards creating additional facilities to accommodate the increasing number of students going to primary schools in Ban Nakai Tai, Ban Done, Ban Sop On and warrant additional manpower to support the operation of additional facilities. NTPC has committed to construct one (1) additional classroom block, toilet and teacher’s house each in Ban Nakai Tai, Ban Done, and Ban Sop On, with additional furnishing as required, while, the GOL has committed to provide necessary staffing. All the provisions need to be fulfilled by end of June 2018, so that the facilities can be used for the school year 2017- 2018. The contracting process was almost completed by the end of 2017 and the construction is expected to start in late January with the target to complete by end of May 2018.
AD.9 Sewage facility (toilets) around market
Action Completion status – 75% The CA calls for adequate sewage facilities around the markets. Based on the request of district authorities and later a joint discussion with district authorities and RMU3, it was observed that Nongbouakham market is the only market that is currently operational, while no other market was being used. It was decided by the JWG that NTPC and GoL will discuss with village authorities and community of Nongbouakham about their interest for these toilets and their commitments to maintain and operate them. In case the toilets are constructed then who will be responsible for the maintenance of the toilets and what about the modalities for the same. If there is an assurance for regular maintenance then toilets will be constructed by NTPC, with some labor inputs from villagers, as a remedial action to be funded by NTPC for material and technical support and labor from villagers as per their capacity. However, owing to technical constraints and delay in implementation, NTPC has decided to outsource the entire work to a contractor. The contracting process progressed well in the last
3 Meeting on clauses pertaining to Infrastructure handed over to GoL (43 issues) dated 23rd May’17
Page 16 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program month of 2017 and the construction is expected to start in early February and be completed by the end of same month.
AD.10 Extension of Nakai Tai village meeting hall
Action Completion status – 62% While the CA stipulates the size of the meeting halls in each village to be proportionate with the number of households, a deviation was adopted by NTPC, while constructing the meeting halls. Two standard sizes were used for all villages. All the villages except Nakai Tai, have the constructed size of meeting hall that is more than the CA indicative size. However, based on the request of district authorities and later a joint discussion with district authorities and RMU4 it has been decided that the roof of the Nakai Tai meeting hall will be extended, to be able to accommodate all the villagers in case of a full meeting. This was further endorsed in the meeting of JWG as a remedial action to be funded by NTPC for material and technical support and labor from villagers as per their capacity. However, owing to technical constraints and delay in implementation, NTPC has decided to outsource the entire work to a contractor. The contracting process progressed well in the last month of 2017 and the construction is expected to start in early February and be completed by the end of same month.
AD. 11 Ice Plants
Action Completion status – 8% Only 5 ice plants, each shared by either 2 or 3 villages, were provided by NTPC which was a deviation from the resettlers’ entitlements of concession agreement. This provision was based on the agreement made in consultation meetings held between 23 February and 04 March 2009, attended by PMS, village authorities, RMU, DAFO, village fishery group, NTPC fisheries team. Memorandum of Consultation on the Implementation of the Ice Plant, dated 08 March 2009, signed by the Secretary of the RMS, documents the agreement. Request of construction of cold storages (preferred now to ice plants) from fisheries group will be considered by NTPC in agreement with the District, provided there is sufficient evidence to establish that there is a genuine need and well laid plan and ownership and contribution from resettlers for operating them and based on the three principles agreed between NTPC and district on 6 April 2017 (MoM No 160/DG.NK). The construction, if required, will be completed before June 2018. Percentage of completion is low because it is still being discussed within the fisheries groups.
AD.12 Disturbance allowance
Action Completed – Completion Report under finalization As per the concession agreement all the 6,289 resettlers resettled in 16 hamlets were entitled to a disturbance allowance of USD 15 per individual.
Meeting on clauses pertaining to Infrastructure handed over to GoL (43 issues) dated 23rd May’17
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The relocation of villagers was done based on pre-resettlement consultations and other considerations such as pre & post resettlement size of village, ethnic concerns but at the same time attempting to minimize the relocation distance between the old and new village site. While some villages have moved in a consolidated manner, some of them have been bifurcated/consolidated and later merged with other villages. The payment of disturbance allowance may not have strictly followed the new village name/composition. In few cases the payment were made as per the old composition and for some cases following the new village structure. Hence, it became important to consider the inter hamlets movements while attempting to understand the payment receipt of disturbance allowance across different villages. The objective of this action was to look for convincing evidence which can help to establish the fact that disturbance allowance was paid to resettlers as per the concession agreement. The approach was to coordinate with the finance department of NTPC, and establishing linkages based on journal/ledger/requisition number to physically retrieve the hard copies of payment made to villagers. The details obtained were later cross checked with resettlers’ database available with the company. The overall findings from this action conclude that disturbance allowance has been paid to all resettlers households and there is no default in the payment of allowance either between different villages or within villages.
AD.13 & AD.17 Waste management plans and service for resettlement villages- Preparation construction and Implementation Action Completion status AD.13 – 43% As discussed last year between NTPC and GoL, a new solid waste landfill will be constructed on Nakai plateau as a joint project with support from NTPC and SERF. The plan goes beyond the scale of work suggested in the CA as it calls for solving all aspects of waste management: (i) open a new landfill according to Lao standard, (ii) properly close the current nonstandard landfill, (iii) set-up of a solid waste management system, (iv) environmental awareness raising in the communities. This plan has been endorsed by the provincial governor. While NTPC already donated a truck to Nakai district last year for waste collection, the contracting process to construct the landfill was initiated by NTPC and was not completed by end of 2017. The contracting process is expected to complete early 2018. It is expected that the construction and operationalization of land fill shall happen by the end of quarter three 2018.
AD. 14 Assistance to resettlers on ploughing and terracing
Action Completed – Completion Report under finalization This clause was considered not compliant due to lack of support provided for terracing. At the time of discussion with JWG, it remained unclear as whether any support was provided by the company for terracing and ploughing support. No proper documentation was available to establish the compliance. It was pointed by the district and RMU that the field experiences of
Page 18 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program ploughing and terracing led to decreased yield of paddy and hence the support was discontinued as there was no demand from resettlers. The RO team looked into all the possible documentation including monthly progress reports, reports from consultants and review report of the Nongboua pilot village. It was concluded that the terracing support was provided for pilot village of Nongboua. However, it wasn’t taken up by other villages, as villagers didn’t show any interest or requested for the same. Any future requirements/need may be considered in the MTDP under the NP-LAF project.
AD. 15 SERF usage clause
Action Completed – Completion Report under finalization The IFIs while referring to the IMA Assessment, pointed that the diversion of SERF funds for assets which are not within GoL resettlement assets is a non-compliance. Hence a request was made to share the AIP of SERF for 2016-17 & 2017-18 to better understand the future utilization of SERF fund. The AIP of SERF for the year of 2016-17 and 2017-18 has already been shared with the IFIs and hence this action is complete now.
2 CAP implementation – progress until December 2017
The CAP – reminder
The Comprehensive Action Plan is a multi-stakeholder plan across all aspects of the Nakai Resettlement Program. The 24th Report of the POE recommended the extension of the RIP for 2 years in 2015. Therefore, in November 2015, the GoL (inclusive of the national, provincial and district governments), NTPC and project IFIs (ADB, AfD, EIB and World Bank) agreed to form a Joint Working Group (JWG) to: List the specific pending issues and actions to meet the resettlement objectives and provisions; and Identify initiatives to support sustainability of livelihoods on the Nakai Plateau in the longer term. Collectively, these tasks constitute the Comprehensive Action Plan (CAP) for the RIP closure and beyond. The CAP contains seven component action plans; four livelihoods (Forestry, Fisheries, Agriculture and Livestock and Off Farm), supplemented by three cross- cutting plans (Poor and Vulnerable, Ethnic Groups and Gender). It addresses plans for the RIP (the List of Actions) and for the longer term after handover (the Medium Term Development Plan). The CAP finalization followed a long process of multi-stakeholder consultation, as reminded in Annex 1 – Comprehensive Action Plan (CAP) chronology, page 178. The final version of the CAP was established on the 25 January 2017.
Page 19 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program Overall Progress and challenges
Systems for Internal Monitoring and Co-operation
RO Team Leaders Weekly Meeting - the purpose of this meeting is to summarize of the progress of the implementation of the CAP and additional action plans. Team leaders are reporting on the progress, difficulties, and challenges for actions faced by their team in the past week. They also present a weekly plan for following week, then find solutions for challenges together, and propose possible assistance if the team need either from other teams, NTPC management or GOL. At the end, all issues are recorded and consolidated in Weekly memo to report to RO management level.
RO Management Weekly Meeting - after receiving information from the teams, all main achievements, difficulties and challenges are discussed in this meeting with E&S management to find out discuss any solutions or decisions that are needed at the management level. All solutions and suggestions in this meeting are reported back to teams and implemented in coming week.
RO and District Office Team Leaders Monthly Meeting - A monthly dashboard has been established by NTPC, compiling the weekly progress reported by the teams. In this meeting, an overall progress of CAP from the dashboard is shared to all implementation stakeholders, including RO Management and Team Leaders, District Office Team Leaders, RMU’s technical team and DWG technical team by District Working Group. All district counterparts prepare presentations in close collaboration with RO staffs for each Action Plans. They present an overall progress in Action Plan level and the main highlights of the month such as achievements, difficulties, challenges. They also present a plan for following month. This meeting not only serves to share the progress to all participants but is also ensures that all counterparts are closely involved in the working progress and receive any relevant information. Moreover, to the meetings provide a chance to all participants to be able share an idea, feedback and suggestion. All issues which are raised in the meeting are recorded and summarized for RO, RMU and District Office Management Monthly Meeting.
RO, RMU and District Management Monthly Meeting - Monthly management meetings between RO, RMU and District Office management are used to discuss the main challenges for all Action Plans and other activities, and at the same time to agree on progress in dashboard. Furthermore, during the meetings the management teams discuss about the main issues which slow implementation, and work together to find possible solutions. Additionally, Management also have meetings as needed as issues arise.
Dashboard Progress Report On the advice of the Joint Working Group during meetings on 4/10 and 7/11/2017, 2 Actions have been removed from the LoA, and 9 Actions have been deferred to 2018. The two deleted actions covered the pilot of adjusted support to Vulnerable households. Support will instead continue to be provided in its current form, therefore there is no need for a pilot. More details are provided in Annex 2 – Adaptive management on LoA implementation (JWG 4/10 and 7/11/2017).
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The nine deferred actions will be complete by Q2 2018. As a result, there are now 116 LoA actions, 107 of which had to be completed by December 2017.
Overall progress of Action Plans in December 2017
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Detailed progress of Action Completion
Progress across List of Actions (LoA) for RIP closure
Progress across Medium-Term Development Plan (MTDP)
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Timeline for LoA implementation
Progress of challenging LoA actions in December 2017 19 actions have been identified as challenging on the basis of operational complexities. Challenging LoA actions: 11 actions (defined at the beginning of the implementation phase – mid 2016).
*The “strategy” is only one aspect of the Forestry Action Plan. General progress for this AP is 86% in December 2017.
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Other challenging LoA actions: 8 other actions (defined at the end of August 2017).
Master Table of CAP actions – Progress until December 2017 The detailed Master Table of the CAP, disaggregated to the Action level is in Annex 3 – List of Action (LoA) completion status in December 2017– page 187.
Progress is presented for each Action as of 31st December 2017. It is important to underline that this is a quantitative estimate which should be considered in conjunction with the qualitative details provided in chapters 2.3 to 2.9 hereafter.
Page 24 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program Action Plan for Fisheries
FI.1.1.1 Conduct fish biological and ecological study to find out the important spawning areas in the reservoir and its tributaries to determine which areas are truly needed for fish spawning and which could be opened to resettlers fishing (LOA − NTPC) Action and reporting completed Fish population in the Nam Theun 2 Reservoir and tributaries has been monitored since 2008. Numerous data were collected through a panel of monitoring leading to a better understanding of the fish population and their ecology. Results underline the importance of reservoir upstream rivers and transition areas (the area between river and reservoir) for the fish biodiversity. These areas are also qualified as important site for fish spawning, which mainly occurs during the wet season for almost all species. These areas are all included in the Nakai NPA. The reservoir littoral includes numerous swamps where fish are spawning. It appears that areas north of the Thalang Bridge (e.g. Nam Yalong – Nam Malou area, Dam site) are important sites for spawning and then may play a role to maintain the reservoir fish stock. The study confirmed the importance of protecting the areas in the Nakai NPA as well as the northern part of the reservoir (from Nam Yalong-Nam Malou to Dam Site).
FI.1.2.1 Set-up the fish protected areas for the important identified fish spawning and diversity sites (LOA/MTDP– GOL) Action completed – Completion report under finalization The KPI of this action include the “fish protected areas defined” as a LOA. District Advisory Committee on fisheries was established at the beginning 2017 (agreement No. 524). Presentation on fish spawning areas and diversity to agree on important areas were presented to all stakeholders (MoM with WMPA NTPR/19421/2017-K07-09, NTPR/27794/2017-K07-09 and MoM NTPR/19854/2017-K07-09). All results of research and proposal for the important sites were discussed with the District Fisheries committees. Identification of the important zones was approved for the tributaries upstream of the Reservoir (Nam Theun, Nam On and Nam Xot).
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Demarcation of the protected area was realized on the 26th September 2017. It included the set-up of signs and the implementation of water check-points on the main tributaries to ensure an effective protection of the natural resources that includes fish. Finally, a new boundary was defined for the area North of Thalang Bridge. This new boundary was implemented to allow fishers from northern villages to access to the resource with a compromise that lead to protect Nam Yalong-Nam Malou and Nakai reservoir north areas as it appeared to be important for the fish resource (spawning sites). Implementation (sign set-up and information dissemination) was realized on the 27th September 2017.
FI.1.3.1 Re-establish the existing checkpoints in the SCZ and enable a regular operation (LOA – GOL) Action and reporting Completed The resource management included the enhancement of the fish resource protection and the control of the fisheries activities by re-establishing the existing checkpoints (e.g. Nam On, Nam Theun, Nam Xot) in the SCZ and enable a regular operation. Fisheries main stakeholder agreed on the necessity on permanent check-point in some areas and mobile checkpoints. It was then agreed that permanent checkpoints will be more efficient in the Nam On, Nam Theun and Nam Xot River. The ToR of the checkpoints were defined to ensure the fisheries protection resource. Mobile checkpoints operated in the areas of Houay Sanape, Houay Sa ngong, Nam Malou-Yalong to dam site area. The water permanent checkpoints were re-established on the 27th September 2017 after the budget was approved. First results show a clear decline of illegal fishing in the SCZ with a decline after few days of fishermen entering the SCZ area.
FI.1.3.2 Define new checkpoints for sensitive areas (such as new old Sophia village next to Dam site) and known illegal fish marketing sites (LOA/MTDP – GOL) Action completed – Completion Report under finalization Recent studies underlined that the most important illegal trading site occurs near the NTPC Nakai Dam. Discussion among stakeholders on the management option of the checkpoints were conducted during a meeting between Khamkeut District, Nakai District and all key stakeholders including WMPA (NTPR/27795/2017-K07-09). Early July 2017, meeting with Khamkeut District, Nakai District, WMPA and NTPC led to define a road checkpoint near the Dam Site after a site visit. The checkpoint was agreed by both districts. Furthermore, the ToR of the check-point will ensure that only NTPC cars, sub-contractors car, GOL staff could cross the checkpoint. The road checkpoint was implemented and started operation on the 27th of September 2017. First results of illegal trading activities showed a clear decrease of illegal fish trading activities near the dam site (See Annex 4).
FI.1.3.3 Improve the existing co-patrolling between WMPA and VFG by developing a working mechanism and update the regulation to be more effective (LOA − GOL)
Action and reporting completed
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Co-patrolling activities started in 2015. Patrolling team includes firstly 2 teams such as regular patrolling team with staff from WMPA, DAFO, RFA, DoNRE and an emergency patrolling team with WMPA, DAFO, RFA, RMS, Police and Military. The co-patrolling were done on the water and terrestrial systems. Improvement of the existing co-patrolling between the WMPA and RFA/VFG by developing a working mechanism and update the regulation to be more effective was defined as a challenging action in the fisheries pillar. The improvement of the co-patrolling led to include the community involvement. This led to revise the regulation and the reporting system of patrolling missions. The improvement of co- patrolling team involves 3 teams that are the Permanent water checkpoint team (Nam On, Nam Theun and Nam Xot) with WMPA, DAFO, RFA/VFG, Police, and Military; a Mobile checkpoint team (patrol at Houay Sanap, Houay Sngong, Nam Malou-Yalong to dam site) with WMPA, RFA, DAFO, RMS, Police and Military; and an Emergency team (water and terrestrial patrolling base to emergency report) with WMPA, DAFO, RFA, Police and Military. The co-patrolling improvement also led to have a coordinator team with representative from WMPA, DAFO, RFA, RMS, Police and Military. This team will coordinate between co-patrolling team and district advisory committee. Finally, the target and KPI of this action was to ensure a co-patrolling with 10 day/month. The target and KPI were reached. Furthermore, the number of human observation and equipement confiscated decreased in 2017 when compared to 2016. The co-patrolling will further continue under the regular task of the WMPA in the coming years with the respect of the revised regulation that included coordination and enhancement of information sharing among the main stakeholders.
FI.1.4.1 Monitor the evolution of fish catch on Nakai Plateau (LOA – NTPC) Action and reporting completed This action completion report is a description of the evolution of the fisheries status in Nakai reservoir by the end of 2015 and 2016. A Fish Catch Monitoring survey has been implemented since the end of 2008 in view to monitor the fisheries evolution on the Nakai Plateau. Furthermore, the better knowledge of the fisheries represents a valuable asset for the fisheries resource and its management. In this context, the fish catch evolution was considered as a key element in the Fisheries Action Plan. A fish catch location mapping was realized in 2016 (covering 2015). The main findings are that outsider fishing seems to be reduced, while households tend to fish more outside their own village areas than before. The main shifts are an increase in the importance of near-shore fishing and at the same time a decline for fishing North of Thalang Bridge and in the Nam Yalong-Malou area. The fisheries action plan required an in-deep analysis of the available data for 2015 and 2016, with the available data of 2015 considered as a baseline. Fish catches for 2014-2016 are significantly higher than for 2012-2013 with the daily household catches experiencing an increasing trend and are now at levels comparable to that reported for 2009. Estimated average household income, in line with increased fish catches during 2016, has seen a significant increase after the low levels of 2012. Average monthly household income from fisheries has been stable at 300,000 LAK/month since 2014. The analysis of the most recent data for 2012-2016 indicates the influence of overfishing and exploitation of protected areas on the composition of the fish catches. The fish catches are
Page 27 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program dominated by catches of fast growing, opportunistic species with a low value (Tilapia and Hampala barb) with main species relative importance stable for 2015 and 2016. Only a small amount of the catch is sold at the fish landing. However, the amount of fish that is traded is sold in 2016 at the official fish landing sites has increased from previous years and now constitutes 18% of the total reported amount sold, with an amount of almost 196 Metric Tons traded at fish landing sites. Overall, species catch contribution stays stable when compared to the baseline period and there is no indication of over-fishing for any main species found in the catches. The fish productivity has increased from 22 kg/ha/year in 2015 to 27 kg/ha/year in 2016. Based on the current analysis, this could be linked to (i) the exploitation of protected areas and catches of only a few main species or (ii) a high catch during the dry season 2016 where the water level was really low and may lead to the re-establishment of fish population. The fish catch monitoring highlights the importance for establishing fish protected areas inside the WMPA area and better collaboration between stakeholders. Only effective habitat and resource protection may be able to ensure that fisheries will remain of importance as a livelihood as well as for food security. Finally, the fish catch monitoring will continue as per CA obligation until end of the RIP even the action for the Fisheries Action Plan is completed.
FI.1.4.2 Support the ongoing fish stock assessment research program by completing the Fish Stock Assessment Research Data Collection (LOA − NTPC) Action and reporting completed To complete and strengthen the knowledge on the fish stock in the reservoir, a research program (LaoPaDam) was developed in collaboration with INRA (Institut National de la Recherche Agronomique), EDF – CIH and NTPC. Data collection started in November 2015 (hydro-acoustic survey, otolith and gillnets survey intensification) and in January 2016 for the survey of landed fish and fishing effort. Intensification of effort (3 consecutive nights vs 1 night in the quarterly and monthly monitoring) in the reservoir stations confirms that the fish population are concentrated in the first meters of the water column (higher catch with surface gillnets compared to deep nets). The effort intensification also showed that data collected are reliable and reproducible with the surface gillnets method. The reservoir areas with a higher production (e.g. Nam Yalong-Nam Malou area) are confirmed by the survey. Results of the deep nets showed that only few individuals colonized the pelagic and deep zones. In addition, the fish densities estimated by vertical hydro-acoustic for the deep zone of the Reservoir were similar between the two surveys 2015 and 2016. Fish stock estimated for these deep zones were very low and homogeneous along the hydrological gradient (from the south to the north). The hydro-acoustics survey confirmed that the fish stock is mainly found in the first meters of the water column. Finally, data collected in 3 villages from different reservoir zone showed a difference in fisheries with higher fisheries activities in Nongbouakham. Fish landing data also underlined a difference in the stock of species with larger individuals found in the south (Ban Done) that may suggest less fishing pressure in this area.
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FI.2.1.1 Formal evaluation of the existing Fisheries Co-management (including institutional analysis) with proposal of a better adaptation to the present situation (LOA − NTPC) Action and reporting completed A fisheries co-management programme was implemented since late 2010 to support the development of sustainable fisheries management in Nakai reservoir, with a focus on strengthening institutions and improving participation of communities. However, a strong emphasis on improvement of fisheries management started recently with the aim to create a solid foundation in close collaboration with both communities and other stakeholders (local government and WMPA) for a better fisheries management. The Fisheries co-management evaluation was defined as one key action in the fisheries Action Plan to identify the strength and weakness of all stakeholders in fisheries management to further enhance the fisheries management in Nakai. The fisheries co-management evaluation consisted in a first mission (August 2016) by external experts that provided an evaluation report with 22 main recommendations. A second workshop was organized in Feb-Mar 2017 to collect the feedback of all stakeholders on the 22 main recommendations. The action completion report refers to the tasks requested in the fisheries action plan.
FI.2.2.2 Training of specific fields are provided to new participants of VFG and RFA (LOA – GOL) Action and reporting Completed The Fisheries Co-Management System in Nakai ensures the participation and ownership of the resettlers in the management of reservoir fisheries. There is a Village Fisheries Group in each hamlet, which is responsible for facilitating trade, collecting fish catch tax, and regulation enforcement. Their role in regulation enforcement includes patrolling the Village Fisheries Protected Zones, and co-patrolling with the Watershed Management Protection Agency in the Special Conservation Zones (protected areas of the reservoir). The VFG are represented at the District level by the Reservoir Fisheries Association, which is headed by an elected VFG member, and also includes two staff. The RFA is additionally responsible for supporting boat registration and fish licensing processes, with the District Agriculture and Forestry Office, and others related District Office. The RFA falls under the management of DAFO. The capacity of the VFGs and the RFA is important to ensure effective management of the reservoir fisheries. The Reservoir Fisheries Association (RFA) and Village Fisheries Groups (VFG) are regularly supported and monitored by the District of Agriculture and Forestry Office, and the Resettlement Office. Strengthening trainings for both the RFA and the VFGs were provided as part of the CAP, including the training on field skills, regulations and accounting for VFG members. This and was held from the 7-9 December 2016, and targeted the VFGs of all 16 hamlets. The trainings were conducted by zone: northern, central and southern, in the hamlets of Nongbouakham, Nakai Neua and Sop On respectively. The training was chaired by the Deputy Head of DAFO and a total of 49 people participated from 16 hamlets, 21 of whom were women. The participants included 4 technical staff, who attended as representatives from DAFO, RFA and RO/NTPC. A second training, which covered basic computer skills and use for new members of RFA was held on 29 June-4 July 2017. The training was conducted by RO and DAFO staff. A total of 16
Page 29 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program people participated (6 women). The participants included new committee members of RFA, members of the VFGs who were interested this training, and technical staff from DAFO. The training courses aim to strengthen the VFGs members in all 16 hamlets and the RFA members, particularly in skills related to fisheries management and accounting management. The participants in these training were representatives from the groups who work on accounting and finance in the RFA and VFG as well as those who are responsible on fish trading and patrolling for each hamlets. During the first training in 2016, the training participants, especially the new member of RFA and the VFGs learned about the roles and responsibilities of RFA and the VFG in the Fisheries co-management system. They also received refresher training about the fisheries regulation (Fish trading regulation) in NT2 reservoir, and the general system of accounting and finance for tax and fee collection, as well as technical training for Village Fisheries Protected Zone (VFPZs) patrolling and co-patrolling. During the second training in 2017, the new RFA committee members and some VFGs learned basic computer skills that are relevant to their administrative needs (Microsoft Word and Microsoft Excel basic skills). The contents of the training course were designed by DAFO and RO according to suggestion from District Advisory Committee for fisheries during the meeting on 24 November 2016 and 8 June 2017. Over the two training courses, 51% of the participants were women.
FI.2.3.1 Conduct boat registration (LOA − GOL) Action and reporting completed The closure of the Nakai dam in 2008 has created a reservoir of approximately 489 km2 (at Full Supply Level) which could be reduced to approximately 85 km2 at maximum drawdown. Fisheries activity is known to be a main income resource for a large number of the households that are living in the 16 hamlets. Because of the importance of this resource, a fisheries co- management was implemented and fisheries regulations were developed to ensure the sustainability of the resource. Resettled households were given the exclusive right to fish since the impoundment and for a period of 20 years after COD. Boat registration and issuing of fishing licenses is a way to facilitate monitoring access, assisting in preventing outsider fishing and protect the rights of the eligible households (resettlers). Boat registration is valid for 2 consecutive years and doesn’t distinguish between commercial and individual boats, while individual fishing licenses are valid for a 1 year period. Boat registration and fisheries licensing were integrated into the Fisheries Pillar referencing a 2015 baseline. From the boat inventory data for 2015, the total estimated number of boats in the resettlement villages was 1,267, with 610 boats currently registered in 2015 and 2016 (283 boats in 2015 and boats 327 in 2016). In 2015, 112 people registered for a fishing license, while 296 people registered in 2016. This available data constitutes a clear improvement of the number of fishing licenses issued between the baseline (2015) and 2016. While the number of registered boat also show an increase from baseline levels.
FI.3.2.1 Support development of fish processing (LOA − GOL) Action and reporting completed
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Fish processing is an activity commonly performed by households on the Nakai Plateau. Fish catch monitoring data showed that between 5% to 10% of the total reported fish catch is processed by the households. Fish processing groups in resettlement area were establishing in the beginning of 2015 to improve income generation from fisheries. The project was led by District of Agriculture and Livestock (DAFO) and Reservoir Fisheries Association (RFA), with support from NTPC-RO. During its early stage, the fish processing groups were established in 6 hamlets in the northern at Thalang, Nongbouakham, Sophia, SopMa, NamNian and Oudomsouk. These fish processing group gathered a total of 19 households (100% women).The action “support the development of fish processing” aimed (i) to develop the income generation activity in the central and southern part of Nakai plateau, and (ii) to improve the facilities to be hygiene standard based on recommendation of the Ministry of Health. A total of 20 HHs are involved in fish processing activities. To date, a total of 9 fish processing groups are established. The Northern groups are: Thalang, Nongbouakham, Sophia, NamNian, the central groups are Oudomsouk1, Oudomsouk2 (newly group) and the newly southern groups are Phonsavang, SopOn and Khone Kaen. The total number of households trained to develop fish processing activity reached 58 HHs (54 women) including 35 HHs members of fish processing groups (participants were mainly women 31 HHs). All ethnic groups had the possibility to participate to the training. Main ethnic groups were present during the training (e.g. Lao Loum, Makong, Bor and others). To date, and after training session, a total of 24 HHs are regularly involved in fish processing activity (100% women). In addition, these new groups followed new procedures based on the recommendation on health hygiene production by the Department of Food and Drug (Ministry of Health).
FI.3.2.2 Identification of new product and develop appropriate training (LOA – NTPC) Action and reporting completed Fish processing groups were created in 2015. At its early stage, a total of 11 products were identified but only few of them were regularly performed and sold. The market survey outputs (April 2017) underlined that Nakai fish processing groups already produce the most valuable fish processing products that are the dried fish and the fermented fish. However, advices to improve the market development were taken into account such as improving label. Since 2016, new products were developed by the fish processing groups compared to the baseline of 2015. These new products are (i) the fish powder (Pa Foi) and (ii) the Cooked Pa Daek. Training on these new products, in addition of the other common products (e.g. Sour Fish, Dried Fish …) were conducted in 2016 and 2017. The KPI of 20 HH trained was reached with a total of 33 HH trained for the fish powder and 25 HH trained for the Cooked Pa Daek. Participants were mainly women (97% of participants) from 8 villages (North, central and Southern part of the Reservoir) and includes representatives of 7 ethnic groups.
FI.3.3.1 Provide the necessary facilities /equipment for fish processing (LOA − GOL) Action and reporting completed
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Fish Processing Groups have been established in the beginning of 2015; they support to make income generation of the villagers in resettlement area with support from DAFO, RFA and NTPC-RO, and to make smoothly operation. DAFO, RFA and NTPC-RO have collected the information of the necessary equipment for improve hygiene facilities and fish processing. The necessary equipment has been provided to fish processing groups since 2015 for Northern groups that include Thalang, Nongbouakham, SopHia and NamNian. In 2016, activities have continued to provide for middle and southern groups that include Oudomsouk (2 groups), Phonsavang, SopOn and Khone Kaen. Necessary equipment for fish processing group was completed to be provided in July 2017. This aimed to improve hygiene of facilities, for easy to process with using the appropriate equipment and fish processing in the principle of hygiene, quality of production and standards of packaging for product quality. Total of 36 households are 33 women and include different ethnic groups (Lao Loum, Makong, Bor, Ahoe…).
Other actions Fisheries Management plan 2016-2020 The 5 years fisheries management was developed and approved during the meeting with all stakeholders (MoM number 27619 –K07-09).
Fisheries monitoring on the Nakai Resettlement area As part of the CA, the fisheries monitoring continues until the end of the RIP. The fisheries monitoring in NT2 Reservoir is based on a daily catch logbook of a 3 – 5 days recall survey from 98 sample households (HH) in 16 resettler villages along the Reservoir. The monitoring results showed that (Figure 1 and Figure 2): - The values observed in 2017 are slightly lower than observed in 2016 in terms of total estimated catch. Hovewer, total estimated catch remained high during the dry season. - Seasonality of the fisheries are more pronounced after 2012 with a peak in the middle of the dry season and during the wet season (July-August). The low catch periods coincide with other activities of HH such as preparing fields or harvesting. - The fish catch increase observed since the end of 2014 was suspected to the increase of fishing in areas such as transition area, North of Thalang Bridge and WMPA (rivers and transition areas). However, the fish location mapping 2016 underlined that: o The main shift is an increase in the importance of near-shore fishing. More fishing is concentrated on areas near villages, despite reporting the lowest daily catches for near-shore and mid-reservoir areas. The Northern cluster clearly benefits more from the fisheries than the Southern cluster, due to proximity of various highly productive areas o A decline for fishing North of Thalang Bridge and in the Nam Yalong-Malou area is observed whereas the importance of the far-shore and WMPA areas remains at the same levels as during 2012. - Median of daily catch per HH remain at a same level in 2017 compared to 2016. - Increase of the daily HH catch from 2-3 kg/HH/day for 2012-2013 to 5-6 kg/HH/day is maintained in 2017.
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Figure 1 – Total estimated catch per month (ton)
Figure 2 – Household median Daily Fish catch (kg/day)
The fish sold on Nakai Plateau increased rapidly after the impoundment until mid of 2009 and around 80% of the catch was sold in a month. Then, a gradual declining of the catch sold until 2012 to about 65% of catch sold in a month with the lowest catch sold by the end of the year (about 50%) compared to the other year. However, the quantity of fish sold started to increase from the early of 2013 to reach 80% to 85% of the total catch in a month from 2016 and 2017. This highlights that fisheries became an important income resource for households on Nakai Plateau. Seasonality has been pronounced a few years after the impoundment which is linked to other households’ activities such as preparing rice field or harvesting (Figure 3).
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Figure 3 – Percentage of monthly fish sold reported
FI.1.2.2 Develop the regulation and implementing mechanism for monitoring (MTDP - GOL)
Action engaged – progress at 30%.
The regulation of fisheries management in NT2 reservoir (No 97/ຈມ.ນກ) is completed by the working group which includes the main stakeholders. This regulation was approved by district governor. Furthermore, the expanding North Thalang Bridge areas for legal fishing was approved by WMPA board, the key stakeholders agreed to develop the regulation for ensure to control this area by base on the fisheries regulation No. 97/ຈມ.ນກ. This regulation is expected to be approved by district governor on the 1st quarter of 2018.
FI.1.4.3 Support and strengthen the village fish patrolling teams for regular implementation (MTDP - GOL)
Action engaged – progress at 85%. The 15 VFPZs in 16 hamlets have been already re-set up. Boundary for each VFPZs were established and the regulation was disseminated on fixed sign board in all 16 hamlets. The VFG realize a patrol in the VFPZ on monthly basis. The evaluation meetings of results/activities were conducted in 16 hamlets, in order to get the feedback from VFG to RFA and DAFO of formulating improvements to all aspects of patrolling and effectiveness of VFPZs. After evaluation meeting, the village patrolling teams have conducted co-patrolling in VFPZs northern part.
FI1.4.4 On the basis of the Fish Stock Assessment, achieve consensus decision about restocking the reservoir (MTDP – GOL) Action and reporting Completed The first task was to provide a comprehensive report to fisheries stakeholders for further decision. This task was completed and report provided to stakeholders.
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This technical note gathered results of a panel of monitoring and studies to give elements of discussion to fisheries stakeholders for reaching a consensus on the reservoir re-stocking. A first assessment of fish stocking in NT2 Reservoir was realized in 2010. This first assessment identified stocking options for the NT2 Reservoir including the cost-benefits in a context of a newly impounded reservoir. However, it also underlined the importance to better understand the NT2 Reservoir ecology and the fish species. A panel of monitoring (2009-2016) underlined a meso-oligotrophic lake (low productivity) with low phytoplankton and zooplankton production. Fish population and fisheries are stable since 2010-2011 and composed by few species that are mainly detritivores and insect feeders. The population occupied mainly the first meter of the water column and are concentrated near shore. Introduction of pelagic and planktivorous species failed as the ecological niche may not be supported by the reservoir environment. The knowledge of the reservoir environment confirms that the NT2 reservoir is defined by a natural low productivity. Furthermore, knowledge of the fisheries underlined stable fish population in term of species and biomass. Then, a stocking could be unsuccessful due to the large size of the Reservoir and the food availability. It is then strongly recommended to avoid expense for an uncertain outcome. Current knowledge of the reservoir fisheries, defined as stable, underlines that the stock can be sustainably maintained if an effective resource management exist by actively protect the important zones for the fisheries.
FI.2.1.2 Revision of the existing co-management system (MTDP- GOL)
Action engaged – progress at 50%. The fisheries co-management evaluation includes 22 recommendations for existing co- management system. Feedback from main stakeholders was done in February 2017 on the output of the fish co-management evaluation and how to integrate this recommendation, if feasible, in the current co-management system. Discussions were done with e.g. district governor, Head of each offices, WMPA, RMS, RFA, VFG, Traders. After discussion with all stakeholders, the district advisory committee for fisheries were established and approved by district governor, and then the agreement on co-patrolling between WMPA and VFG (no. 339/ຈມ.ນກ.17) were improved (see more detail in chapter 2.3.5).
FI.2.2.1 Monthly monitoring of RFA and VFG operations (MTDP - GOL)
Action engaged – progress at 69%. This action to ensure the DAFO, RFA and VFG are regularly supported and monitored. The monitoring consists to ensure monthly meeting with DAFO, RFA and VFG. These meetings follow the schedule. During meeting was sharing issue, feedback from VFG’s monthly reports to RFA, and DAFO, and also discuss way to improve forward.
FI.3.1.1 Discuss ways to improve the marketing system with all stakeholders and implement them (MTDP - GOL)
Action engaged – progress at 54%. Discussion with the community (VFG, RFA and VDC) started during quarterly meeting of VFG and RFA. Ideas for improvement were proposed for further consideration by the District. Furthermore, a new marketing system was proposed to the annual RFA meeting by the head of
Page 35 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program the VFG and member of the RFA committee. The RFA’s chairman was proposed to the district advisory committee for further consideration, Furthermore, the new marketing system still need to clarify proposal, including list of actions, management, ownerships, agreed with traders, etc…, and then the district advisory committee will consider for approval this new marketing system.
FI3.4.1 Survey to collect information of the water level and dissolved oxygen of existing Gully dams (MTDP – NTPC) Action and reporting completed The aim of 22 gully dams’ construction on Nakai Plateau was for both irrigation and water supply for resettled villagers. Aquaculture development was raised since 2013 by fisheries stakeholders in the fisheries management plan. However, a first feasibility study (cost, market and environment) was needed to answer to this request. In this context, a first assessment on aquaculture development on the Nakai Plateau conducted by an independent expert identified the gully dams (equivalent to dyke pond) as the best option for aquaculture development if water quality could support this activity. This action completion report (MTDP) presents the results from one year water quality monitoring in gully dams (e.g. dissolved oxygen, percentage of oxygen saturation, conductivity and water temperature). The objective was to assess if the water quality was suitable for future aquaculture development by local communities. The available data indicated that most gully dams are shallow (≤ 2 meters depth) and they are flooded between September to November - December. Water temperature showed the highest values during the warm-dry to mid of warm-wet season with low DO during the warm-dry season. Water is characterized by low conductivity. Results underlined that not all gully dams are suitable for aquaculture development due to low oxygen concentration and low water level during few months. These limiting factors reduce the suitable species that could be grown in the Gully Dams which could survive oxygen stress. Based on the results of fish population and fish catch monitoring, most Nakai reservoir species are not resistant to oxygen stress. Furthermore, introducing Mekong indigenous species in gully dams could represent an ecological risk during the wet season when the Gully Dams are connected to the Reservoir (Concession Agreement clearly indicates that introducing species for aquaculture should be controlled). In conclusion, the study underlined that some Gully Dams are suitable for aquaculture. Other Gully dams can present limiting factor as the water level (shallow gully dams ≤ 2 meters depth) and during warm-dry season due to the low level of DO. Suitability of species needs to be carefully considered.
FI.4.1.1 Develop the awareness material in the form of posters, leaflets, radio scripts for broadcast, events… (MTDP- NTPC) Action engaged – progress at 18%. Radio script on the regulation and a poster on new regulation for each village was realized. Other materials are under development with consultation with the main fisheries stakeholders.
FI.4.2.1 Organize awareness campaign for dissemination of the fisheries related information in wider range of the people (MTDP – GOL) Action engaged – progress at 39%.
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New Fisheries regulation dissemination in the 16 hamlets is completed. Awareness on fisheries resource and regulation was conducted during the Buddhism Ceremony in July 2017. The new regulation dissemination also was conducted by radio broadcast at Nakai Radio station and village speaker in 16 hamlets.
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AL.1.1.1 Nabong FA / IRAM /CCL Mission to Nakai for feasibility study (LOA − GOL) Action and reporting completed In March 2017, the RMU contracted the Faculty of Agriculture (NUOL) to formulate a rural development 5 year program aiming to (i) support the development of agriculture and livestock activities through technical and institutional assistance and (ii) build the capacity of the District Authorities in charge of managing this sector. The formulation (feasibility study) was based on the findings of the diagnostic study which was conducted by the NUOL in 2015. The mission lasted three weeks, and the mission team visited 8 villages over 8 days (Bouama, Phonsavang, Phonphanpek, Sop On, Khone Kaen, Nakai Tai, Thalang and Sop Phene). In each village the day was divided between meetings with VDC members and women focus groups. The mission also conducted 16 individual interviews to collect point views that would not have emerged in the focus groups. The discussions with the villagers focused on: - Their feasibility and willingness to participate in the different proposed activities - The organizational framework planned (technical and institutional). - Figures and data to be useful for budget estimation
The mission worked closely with the RMU throughout the process, and also met with institutions including MEM, MAF, IFIs (ADB, WB), the District and Provincial Authorities, and NTPC.
The mission outlined the 5 year project based on 5 main components: land resources management, agriculture and livestock, fishery management, and a cross-cutting component to contribute to the success of the technical components. For each, the formulation presented the key issues and challenges, the proposed approach or methodology of the project to combat these, the main activities, the objective and the expected results or indicators. For the project as a whole, the formulation also presented global and specific objectives and targets, a justification for the project, the overall approach, and the project rational. The global objective of the project as a whole is “to contribute to a sustainable food security, [and] to prepare the shift from short-term extraction of natural resources towards sustainable productions”.
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The official report was finalized in May 2017 and was titled “Agriculture and Livestock livelihood pillars – 5 years Programme Formulation”
AL.1.2.1 Preparation of AFD/NTPC-funded project implementation (LOA − GOL) Action and reporting completed As part of the Comprehensive Action Plan, the Government of Lao PDR, with support from NTPC, has sought to implement a project for Agriculture, Livestock and Fisheries in the Nakai Resettlement Area after the closure of the Resettlement Implementation Period. The GOL, through RMU, therefore contracted the National University of Laos to conduct a diagnostic (2015) and a project formulation (2016) using a grant from the Agence Française de Développement. Based on the 2016 project formulation, the GOL has planned to implement a 5 Year project in the Nakai area: the “Nakai Plateau Livestock, Agriculture and Fisheries Project (NP-LAF)”. The NP-LAF will be jointly funded by the AFD and the NTPC. AFD and NTPC will together provide an aggregate grant of USD 3 million (USD1.5 million each) for the 5 year project. The project will be implemented by the Nakai District Agriculture and Forestry Office with support from an independent organization for Technical Assistance. NTPC funding will only cover costs related to Technical Assistance, therefore there is no financial agreement between the GOL and NTPC. A Resolution of the NTPC Board to provide funding for the NP-LAF was signed on the 14th of October 2016. The AFD will provide funding to support the GOL, through the Nakai District Agriculture and Forestry Office, to implement the NP-LAF. The financial agreement between the AFD and the GOL was signed on the 23rd of August 2017. The AFD-GOL financial agreement was prepared and negotiated by the GOL (Ministry of Planning and Investment) and can be considered the GOL’s means of verification for this action.
AL.1.2.2 Conduct study tours to projects funded by AFD/NTPC (LOA − NTPC) Action and reporting completed This Action was completed in 2016. A study tour to the Poverty Eradication Project in Mountainous Area of Nga, La and Namor district, Oudomxay province (Funded by AFD and implemented by CCL – Committee de Cooperation du Laos) was organized from 5th to 10th July 2016. The tour was planned as part of the AP 2016 of Resettlement Implementation Period and the proposal of RMU. The purpose was to prepare the hand-over of the agriculture and livestock development program from RO to District, and to share the experiences with other project and see how the program had been organized. 3 main partners were involved in the study tour which included the provincial team and RMU, NTPC’s Resettlement Office, and the Nakai district authority and technical staff. A total of 13 persons, including 3 women, went on the study tour, and the activity was completed over 6 days which included the traveling to Namor and La district of Oudomxay province. As part of the study tour, the team met with the deputy of the Provincial Agriculture and Forestry Department for Oudomxay province and the CCL project steering committee to discuss high level management. The study tour also met with the CCL project coordinator and
Page 39 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program staff, with 2 target district coordinators, and with the village authorities in both districts to discuss on the ground implementation. Finally, the team was able to visit in the field to see activity implementation such as: paddy rice growing (Single seeding plantation), small scale irrigation, vegetable and chili growing, cardamom plantation, and small livestock raising etc. The team received a lot of support from the concerned partners and was able to assess the project as the goals of the action, despite the challenges of a short visit conducted during the rainy season. All the expected topics were shared and exchanged with partners including: Project management and implementation system, community participation, small irrigation management, agriculture and livestock activity implementation, village fish conservation and management area, production group establishment and marketing, village revolving fund. As the lesson learnt the team found that the key achievement of the project is government participation, especially from provincial and district levels. Government staff must lead the project implementation, both at the field activity level and at the district and provincial management level, with a unified project administration to facilitate the process. These have been indicated to be key for sustainable activity development. At the same time both partners RMU/RO and CCL have agreed to support each other in the future in term of technical support through field visit and the experience exchange by subjects or issues.
AL.1.2.3 Organize workshop on the management of AFD/NTPC funded project (LOA − GOL) Action and reporting completed The strategy for the agriculture/livestock pillar integrates (i) LoA project managed actions to be completed by the close of the RIP addressing immediate needs and to bring good conditions for the start of the “Nakai Plateau Livestock Agriculture and Fisheries project” (NP-LAF funded by AFD and NTPC); and (ii) MTDP actions which will be covered by the NP-LAF project, scheduled to begin late 2017 for a period of 5 years. The NP-LAF 5-year Project, aims to support DAFO authorities and farmers towards a more diversified and integrated agriculture & livestock strategy, consistent with the Government’s “Self-help, Self-sufficiency and Self-strengthening” and the “Three Build” policies (Sam Sang Policy). Stakeholder’s first round table took place at the Ministry of Agriculture and Forest on 10 October 2017 on the NP-LAF project. The round table was chaired by the Director General of the Dept. of Planning and Cooperation, MAF. It enabled a clarification of the understanding of the roles and responsibilities of each stakeholder as well as an agreement on the way forward. Next key milestone will now be the organization of the 1st steering committee meeting of the project, to be held on 10 November in Thakhek.
AL.1.2.4 Implementation of the project (LOA − GOL) Action and reporting completed The NP-LAF 5-year Project aims to support DAFO authorities and farmers towards a more diversified and integrated agriculture & livestock strategy, consistent with the Government’s “Self-help, Self-sufficiency and Self-strengthening” and the “Three Build” policies (Sam Sang Policy).
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The first steering committee of the project was organized on the 10th of November 2017. This first meeting is a key milestone of the implementation. Furthermore, Technical Team is under recruitment and implementation of the project follows the project document.
AL.1.2.5 Disseminate information on the preliminary strategy of the AFD/NTPC/GOL project so resettlers are aware of on-going support (LOA − NTPC)
Action initiated − progress 25% – Completion delayed to Q1 2018 This action started by the process of the Village Development Plan. Dissemination on the project was conducted for 4 hamlets that are Ban Thalang, Sop Phene, Nongbouakham and Phonsavang. The 12 remaining hamlet are planned to be completed for February 2018 with NP-LAF project representative.
AL.2.1.1 Identify pending land cases for subsequent growth (SG) households and known critical issues (LOA − GOL) Action and reporting completed A total of 147 land issues/conflicts were identified in 14 hamlets of Nakai Resettlement Area of Nam Theun 2 Project. Those conflicts were classified into 5 main types such as conflicts of first generation (original resettlers), conflicts of sub-sequent growth households, issues of third generations, encroachment of the outsiders, and inter/intra village boundary issues. Those conflicts were obtained from the requests of villagers during the village dissemination sessions in September and October 2016, as well as from village authorities, field data collection, and the results of previous land allocation for the subsequent growth households. After consolidation of the above mentioned land conflicts, a consultation meeting was organized between district advisory committee, RMU and RO in order to find out appropriate directions in solving the conflicts. The meeting had requested the District Governor to appoint a special team name Land Conflict Resolution Team to work specifically on land conflict solving and to use the agreement as references for implementation at hamlet levels. The team was then officially established by the Decision of the District Governor no.041/GN.NK, dated 1/12/2017. The team consists of related offices including Lao Front for Construction, Nakai Cabinet Office, Security Office, District Agriculture and Forestry Office, District of Natural Resources and Environment Office, Justice Office and Nakai Resettlement Office. This particular committee implicates 9 advisory members, 12 technical staffs, and the village authorities. To prepare the readiness for field activities, the appointed land conflict resolution team members organized another meeting together in order to discuss about action plan, process, procedures and strategies for land conflict solving. Beside that they also divided responsibilities for each task in accordance to role, right, and responsibilities of each section. Additionally, team also organizes dissemination on land legal including regulations, laws, and documents regarding land allocation, management and use to all sections of the district. The purpose is to increase and to review knowledge and understanding of the district staffs on that land legal and use that knowledge for further dissemination and implementation at hamlet level of Nakai Resettlement Area.
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AL.2.1.2 Solve the cases identified for SG by implementing strategy & procedure at hamlet level (LOA − GOL) Action and reporting completed The objective of this action was to resolve “cases identified for subsequent growth” by applying regulations and following processes at the hamlet level. The KPI and target were to resolve 25% of the cases. Land cases identified for the subsequent growth were collected from the requests of the villagers as well as the village authorities during the village meeting on the dissemination of land legal and related documents by district technical staff (please refer to the Action AL.2.1.1). Critical land cases included conflicts of the original households, land encroachment by outsiders and issues of third generations. 91 cases were identified as critical land issues. Before conducting land conflict resolution at the hamlet level, the district authorities particularly Nakai District Governor appointed a special team to work specifically on land conflict resolutions in 14 Hamlets (Oudomsouk and Phonphanpek are covered separately under District Urban Planning policies). The team consists of an advisory committee, technical staff and the village authorities. To prepare the implementation of conflict resolution process, the Technical Team organized village dissemination on related rules, regulation and other land laws in all 14 hamlets (Action Completion Report for AL.2.1.1). The purpose was to review the villagers’ common understanding on rights, management, use and allocation processes for each land type which is indicate in the Community Land Titling regulations. There were 623 participants, of whom 326 or 53% are women. All ethnic groups were represented during the disseminations (Makong, Ahoe, Bor, Lao Loum, and Tai Kadai and others). Besides that, representatives of the Vulnerable, Poor and High Risk households also participated to this event. As soon as the land legal disseminations were completed, the land conflict resolution team together with the village authorities conducted conflict solving at the hamlet level based on designed process, procedures, and strategies. Resolution processes were conducted from November 2016 to April 2017. The process for resolving the cases depended on the conflict type. The methodology and steps were different between cases depending on the characteristics of the case. However, there were some common elements for all cases. For instance, a meeting was held for each case between the VLMC (Village Land Management Committee), the District technical team and the households involved. Each party had the chance to explain the case from their perspective to the VLMC and District technical team including how they used or proposed to use the land. If the case involved a conflict over land between two or more parties, the VLMC and District technical team would guide the parties to come to a collectively agreed resolution based on the land laws and regulations. If the parties agreed, they created a Memorandum of Understanding signed by all parties. If an agreement couldn’t be reached, the technical team conducted a field survey of the land area of the case and compared it to the District’s existing data (village GIS maps). This information was then presented to the parties, and the team facilitated further discussions. If the case involved the use of Community Land by a resettler or non-resettler without a Land Use Certificate, the technical team conducted a meeting with the household and the VLMC. The team explained the laws, regulations, and processes for using Community Land to the household. Every single land case, including both the solved and unsolved ones, were recorded in a Memorandum of Understanding (MOU) which was signed by the technical team members, the
Page 42 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program parties of the conflict, and certified by village authorities. These certified MOU aimed to be used as evidence and reference for the implementation of any related works in the future (e.g. the next step in the resolution process if the case was not solved). By April 2017, a first round of resolution meetings has been conducted for all “cases identified for subsequent growth”. A total of 87 cases were resolved, with 4 cases unsolved. Therefore, a total of 95 % of the “cases identified for subsequent growth” were resolved (KPI and target was 25%). The cases solved and unsolved are as following: Housing Land Solved: 53 cases (all general cases) Unsolved: 1 case (all general cases) Agricultural Land Solved: 34 (all general cases) Unsolved: 3 (all general cases) The main reasons for cases remaining unsolved were often related to a refusal by one or more of the parties. The technical team then created a list of unsolved cases from these unsolved “critical cases” (Action Completion Report for AL.2.1.3) as well as the unsolved cases from the “G2 cases”. A final list of “additional pending cases” was created, with a total of 26 cases (including other critical conflicts). A second round of resolution meetings was conducted for these cases (please refer to the Action Completion Report for AL.2.1.4). The District technical team also followed up with Village Authorities to ensure that the agreement reached in the resolution was being applied in reality and that the eligible household had access to their land. This was conducted from November 2016 to May 2017. No issues were identified for the resolved cases. The KPI and target for this action – 25% of cases solved- were achieved. Even the action is considered as completed, the report will be updated again in April 2018 because (1) Issue land titles to Subsequent Growth Households for housing land and (2) Hand over land titles to Subsequent Growth Households for housing land. This is expected to be completed by April 2018.
AL.2.1.3 Solve the critical cases by implementing strategy & procedure at hamlet level (LOA − GOL) Action and reporting completed Critical land cases mean other land issues beside subsequent growth households. These particular cases were collected from the requests of the villagers as well as the village authorities during the village meetings. During the meetings, district technical staff also disseminated documents on land laws and other related documents. Critical land cases including the conflicts of original households, land encroachment by outsiders, inter and intra village boundary conflicts and the issues of third generations. 65 cases were identified as critical land issues. Before conducting land conflict resolution at the hamlet level, the district authorities, particularly the Nakai District Governor, appointed a special team to work specifically on land conflict resolutions in 14 Hamlets on the 2nd of January 2017. The team consists of an advisory committee, technical staff and the village authorities. The team thereafter carried out technical planning on the process, procedures, and strategies which should be used for the resolution of all land conflicts at hamlet level. These were based
Page 43 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program on role and responsibility of each section at district level including the Lao Front for Construction, Nakai Cabinet Office, Security Office, District Agriculture and Forestry Office, District of Natural Resources and Environment Office, Justice Office and Nakai Resettlement Office. To prepare for the implementation of the conflict resolution process, the Technical Team organized village dissemination on related rules, regulations and other land laws in the villages. This was conducted in September and October 2016. A second round of disseminations was conducted in March and April 2017 after the revision of the CLT booklet. The aim was to review resettlers’ common understanding on rights, management, use and the allocation process of each type of land which covered in the Community Land Titling regulations. The meetings were conducted in 14 hamlets of Nakai Resettlement Area (refer to Action AL.2.2.1). There were various ethnic groups represented at the meetings, such as Makong, Ahoe, Bor, Lao Loum, and Tai Kadai and others. Besides that, representatives of the poor and high risk households also participated in these events. As soon as land legal disseminations were completed, the land conflict resolution team together with the village authorities conducted conflict resolution at the hamlet level based on the designed process, procedures, and strategies. Resolutions were conducted at the hamlet level from the 8th of December 2016 until the 15th of June 2017. By that date, 13 cases of housing land were resolved, 4 were still pending, while 38 cases of agriculture land were resolved, and 10 were still pending. Every single land case, including the resolved and the unsolved ones, were recorded in the form of a memorandum of understanding and signed by technical team members, land owners, and certified by village authorities to be used as evidences and references for the implementation of any related works in the future.
AL.2.1.4 Solve the additional pending cases (LOA − GOL) Action and reporting completed Land conflict resolution at hamlet levels during 2017 resulted to have additional pending cases. It includes unsolved land issues such as illegal land encroachment within community land, the occupation of subsequent growth housing land and hamlet/village boundaries encroachments. There are 26 additional pending cases in total. Procedures, processes and strategies for solving the additional pending cases are exactly the same as other land conflicts. These were defined in reference to the Decision of the Nakai District Governor no.041/GN.NK, dated 1/12/2017, which appointed a land conflict resolution team. The team consists to have an advisory committee, a technical team, and the village authorities. The team is fully responsible for land conflict resolution in the 14 hamlets in Nakai Resettlement Area of the Nam Theun 2 Project. The appointed team role was to develop the procedures, process, and strategies for conflict resolutions based on the role and responsibilities of each Office or Institution. Office and institutions that were concerned were the Lao Front for Construction, Nakai Cabinet Office, Security Office, District Agriculture and Forestry Office, District of Natural Resources and Environment Office, Public Works and Transport Office, Justice Office, and Nakai Resettlement Office. A first round of resolutions was conducted from December 2016 until June 2017 (including subsequent growth cases, and other critical cases). At the end of this phase, there were 26 cases still unsolved or “pending”. A second round of resolutions was conducted from May 2017
Page 44 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program until July 2017. After 2 months of this second round of conflict resolutions, which were implemented by the technical team and the village authorities, the results were: Solved : 12conflicts - Housing Land: 8 conflicts - Agriculture Land: 4 conflicts (Boundary 1 conflicts( Unsolved : 14conflicts - Housing Land: 7 conflicts - Agriculture Land: 7 conflicts (Boundary 5 conflicts( The KPI and target was to resolve 25% of the pending cases. A total of 46% of the pending cases were resolved. Therefore the KPI and target were met. For every single land case, including both the solved and unsolved cases, a memorandum of understanding was created which was signed by the District team, involved parties, and the village authorities, and which recorded the proceedings of the case. The MoU can be used as evidence and reference for the implementation of related activities and further resolution processes. Besides that, the technical team also wrote a report on the results of additional land conflict resolution that included all related documents particularly the MoU and submitted the report to the Head of Advisory Committee in order to find out the solutions in further steps.
AL.2.1.5 Escalate unresolved land issues to justice office for resolution (LOA − GOL) Action completed – completion report under finalization Other remaining land conflicts were obtained from the results of land conflict processes at the hamlet level, pending land cases including: illegal land conservation (housing extension area for subsequent growth households) and boundary conflicts. There are 14 cases in total. Conflict solving procedure for this is exactly the same as other cases by referring to the agreement of Nakai District Governor no.041/G.NK dated on 1/2/2017 on appointing land conflict resolution team that include advisory committee, technical teams, and village authorities to be used as working mechanism for conflict solving in 14 Hamlets of the Nakai Resettlement Area, Nam Theun 2 Project. After completion of land conflict together with the village authorities in 3 times: the first time from November to April 2017, the second time from May to July 2017, and the third time from September to November 2017, the conflicts still pending in 14 cases which consist of 3 main type: 6 cases on boundary issues, 4 cases on illegal land conservation, and another 4 cases on illegal land conservation in housing area of the subsequent growth households. After completed first 2 times, in order to respond to the advices from the advisory committee, the consultation meeting was organized on 4/9/2017. The meeting agrees to have the third steps. After discussion with the related conflict parties and the village authorities, the conflict parties did not follow the conflict procedures, the technical team therefore wrote MoU of each individual conflict. Each MoU was signed by the concerned technical team members, the party, and village authorities to be used as evidence and reference in implementing activity in the future. Moreover, the technical team also wrote summary report for those pending cases with all relevant documents and submitted to the district advisory committee for further steps or hand over to the Justice Office.
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AL.2.2.1 Promote awareness on rules and regulations of Community Land Title in each hamlet (LOA − GOL) Action and reporting completed In 2013, after the completion of the Participatory Land Use Planning in the Nakai Resettlement Area of Nam Theun 2 project, the District Government, together with concerned sections from the Provincial Government, issued collective land titles to the 14 Nakai resettlement villages (excluding peri-urban hamlets Oudomsouk and Phonphanpek). The Nakai District Governor also issued regulations on the allocation, management and use of land under collective land titles. After that, district technical teams together with/with the assistance of NTPC technical staff developed Collective Land Tilting (CLT) booklets based on the key contents of the approved regulations. The team also conducted dissemination sessions in the hamlets and distributed the booklet to each individual household. In 2015, the Provincial Governor of Khammouane endorsed the list of 413 subsequent growth households. In order to include those families in the eligible list, which is enclosed in the booklet, the booklets were updated in 2017. To increase the understanding of the villagers on the content of the booklet, more illustrations and explanations were added into the updated booklets for the 14 hamlets. After updating the booklet, a team from District Office of Natural Resources and Environment (DoNRE) and District Agriculture and Forestry Office (DAFO) with technical and financial support from NTPC organized dissemination sessions at the hamlet level from the 15/03/2017 to 26/04/2017. A total of 837 participants attended, of whom 602 were women which is 72%. The high attendance by women indicates that women have access to information about land management. This will help to empower women to participate in land management and conflict resolution processes. All ethnic groups attended the session (see attendance analysis in the report) and there was 14 high risk household, 9 poor households and 3 vulnerable persons. Beside the original resettlers, 197 subsequent growth households also participated in the meeting which covers 53% of all second generations in 14 hamlets. During the dissemination sessions, the DoNRE and DAFO staff explained in detail the contents of CLT booklet; furthermore the team distributed the booklet to all participants. The IEC (Information, Education and Communication) materials for presenting included posters, and illustrations, the team also used different presentation techniques such as discussion sessions where attendees were encouraged to answer concept-checking questions for prizes, as well as role plays on the content of the booklets. The role plays were acted by the Happy Nakai group. The use of this combination of approaches increased the understanding of the villagers. The illustrations are recognized as good tools for targeting individuals especially those who are illiterate, and also help to make the presentations more engaging. The different presentation techniques ensure that attendees of all education and language or ethnic group backgrounds, were able to access and understand the information in a culturally appropriate way. Moreover, before dissemination the village authorities also announced via village speakers that there would be a distribution of local handmade soaps and recycled bags at the meetings as part of an environmental awareness campaign. This had the added benefit of increasing participation from the villagers. After the disseminations were completed, the team developed a memorandum of understanding for each hamlet which was then certified by the Village Headman to be used as reference in implementing related activities in the future. The KPI and target for this action – to conduct 1 dissemination session per hamlet- were achieved. Therefore, the action can be considered as complete. However this report will be
Page 46 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program updated again in May 2018 because two tasks under the action still need to be continued. These are (1) prepare boundary marking posts for additional marking along village/hamlet boundaries, additional agricultural land, and forestry land; (2) mark additional posts along the boundary lines. This is expected to be completed by May 2018.
AL.2.2.2 Recruit and train district staff to work full time on land issues with RO (LOA − NTPC) Action and reporting completed Based on the different roles and responsibilities of NTPC and District, NTPC itself does not have the authority to work directly on land issues. Therefore, NTPC provides technical and financial support to make the process move forwards. District staffs work on land allocation, land management, and conflict resolutions at all levels (providing support at the village level and working directly on any issues escalated to the District level). Land is a fundamental factor for livelihood improvement for the resettlers, and it is therefore considered as one of the very critical issues in the CAP. However, to achieve the set targets on land activities there needs to be very good coordination between both NTPC and the District. The normal arrangement of working with the District through an assigned counterpart sometimes cannot meet the additional needs of the land management program. Therefore, a fulltime consultant from a relevant District Office was needed to work directly with RO staff. A staff from DoNRE who had been involved with the project previously was selected to be a full time consultant from October 2016 until December 2017. Through being a full time consultant, he could have better opportunities to learn by working on daily activities, planning with RO staff. He also brought additional knowledge to the team, in particular an experienced understanding of the reality of coordinating tasks with other district counterparts as well as the conditions at the village levels. Besides the daily activities the consultant is also trained on other technical skills like GPS and GIS application. As a fulltime consultant, the district staff member working at RO on land management is better able to continue implementing the resolution processes and will also take the lead in his position in the District after the closure of RIP. An Action Completion Report for this Action is under finalization.
AL.2.2.3 Provide refresher and on-the-job training to district staff (LOA − NTPC) Action and reporting completed Capacity building for the district staffs for the land (use, allocation, conflict E) is a key element for the RIP closure to ensure that relevant activities from the project will continue. For land use planning, land allocation, and land conflict resolution, technical knowledge was recognized to be needed. For instance, the application of GPS as key survey tool and GIS as map producing appeared to be useful tools for land management. In 2014, introduction training on GPS and GIS tools was organized by NTPC GIS Specialist for DAFO representatives and DoNRE. In August 2017, another training was conducted to refresh and increase understanding and technical/analytical skills on the use of GPS and GIS. This training also aimed to teach the tools to newly recruited staff in the institutions.
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Participants’ selection focused on staffs involved in the field activities for land use planning but also for other related works such as forestry, livestock, fishery, agriculture, irrigation etc. A Training Need Assessment forms notice was distributed to the 2 Offices (DonRE and DAFO) within 15 working days. A total of 39 staff indicated to be interested by this coming training with 25 staffs from DAFO and 14 staff from DoNRE. In 2017, trainings were conducted by a representative of the Ministry of Agriculture and Forestry at RO Office. It was organized on-site in 6 rounds/training session (5 days per month). Beside provision on related principles, districts staff received examples of real practices by sharing session with the trainer on knowledge, experience and skill. This experience sharing among district staffs aimed to ensure that the staffs could understand the method and the practical application of the method especially for staff who had been involved in additional agricultural land allocation and land conflict resolutions. As a part of on-the-job training, a district staff was also involved in all activities related to land management, land allocation, and land conflict resolutions. He worked as a full-time consultant at RO from October 2016 to December 2017.
AL.2.2.4 Training of Land Management Committees (LMC) at hamlet level (LOA − GOL) Action and reporting completed Strengthening or capacity building for Land Management Committee through 3 ways such as (1) training, (2) on-the-job training, and (3) an exchange workshop on management, use, allocation and land conflict resolutions in the Nakai Resettlement Area of the Nam Theun 2 Project. The Village Land Management Committees are responsible for working with the District Government and Land Conflict Resolution Team in all related activities on land allocation, land management, and land conflict resolution in their respective hamlets. The current LMCs were established in 2015 following the decision by the District to update the committees to be at the hamlet level rather than the village level. Initial trainings were conducted for the committee members in 2015. These trainings are not under the CAP and are not covered in this report. Refresher trainings were conducted in 2017 in 2 days for 2 different groups: the first group of the LMC from Northern Villages on May 4th 2017, and the second group of the LMC from Southern Villages on May 5th 2017. There were a total of 25 participants out of 48 total committee members. Three of the training participants are women. The IEC documents for the training included all related legal documents, a presentation, posters, and maps concerning land allocation, management, use and land conflict resolutions. Additionally, there is also a reporting template and working system which were part of the training. The trainers are from 2 main offices of the District Government: the District of Natural Resources and Environment (DoNRE) and District of Agriculture and Forestry (DAFO). These 2 institutions conducted the trainings according to their roles within District land management policy (DoNRE covering housing land and DAFO covering agriculture and forest land).NTPC provided technical and financial support. Besides land law and land management theory, the trainers also set up a working system for the LMC to support their implementation of their own work. This work is outlined according to their roles, rights, and responsibilities indicated in the agreement of the Nakai Governor No.186 dated on May 25 2016 on Appointment and Roles LMC in Nakai Resettlement Area. The
Page 48 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program mentioned agreement is reference for them in implementing and involving in land related activities within their own hamlet as well as for the district staff on coordination works. The District Land Management Team provided on-the-job guidance and training to the LMCs by working closely with them on the Land Resolution process in each hamlet. This began in December 2016 and is ongoing as of September 2017 (14 cases are still pending out of an original 147). The District staff from DAFO and DoNRE will also provide support and on-the-job training during the allocation of land (agricultural and housing) which is planned for the end of 2017. On-the-job training forms an important part of the capacity building program, because it helps to build skills and confidence of the LMCs over time. Practical guidance during implementation is also more accessible for members of all education levels and language backgrounds (for example, members of ethnic groups whose first language may not be Lao). In addition to the training, the district also organized an exchange workshop amongst LMC members from each hamlet of the Resettlement Area for knowledge exchange and experience sharing. The workshop was held on August 26th 2016 with 36 participants, 2 were women. The workshop covered the implementation land management activities in 2015 and early 2016, and the participants discussed any issues together to come up with solutions for a more effective approach in the future.
AL.2.2.5 Review and refine processes for land allocation and land disputes resolution based on lessons learned (LOA − NTPC) Action deferred to 2018 − progress 0% This activity can be done only after the land allocation (AL 2.1.2 and AL2.2.6) and land disputes are completed (AL 2.1.5). This action was deferred to 2018 after the agreement during the JWG Adaptive Management.
AL.2.2.6 Allocate Land Use Certificate (LUC) for Additional Agricultural Land to remaining eligible SG, where possible. By decision of the local govt. PPP and ODS are part of the sub-urban area, 49 SG in these 2 villages won't have access to additional Agr. land. (LOA − GOL) Action completed – completion report under finalization Since the agricultural land of the subsequent growth (SG) households are located within the additional agricultural land in each hamlet and this land was issued as community land title officially, therefore the entitlement documents for the SG were identified as land use certificate in order to avoid double titles in the same type of land. Issuing land use certificate for the SG aims to increase legal aspects for land management, to have proper use of land, and to be references for their land rights for agricultural purposes. Land use certificate is expiring after 5 years, after that it is required to have inspection regarding the using area. Land use certificate is considered as certified document for monitoring annual tax collection. Every single one who uses the land has to pay tax to the government. Moreover, land use certificate cannot be mortgaged or fund transferred since it is not in line with the law. Land use certificate is under monitoring by provincial level only. Issuing land use certificate started from middle of November 2017 until January 2018, 276 agricultural plots of SG were done in 14 hamlets and the set KIP of this activity was achieved.
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The handing over of land use certificates would be done as soon as the official announcement of the RIP closure in order to avoid land selling and to ensure land accessibilities in terms of livelihood improvement of the villagers in the Nakai resettlement area.
AL.3.1.1 Gully dam survey to assess their capacity for irrigation and maintenance need (LOA − NTPC) Action and reporting completed The Infrastructure Team of RO and 3 staffs from DAFO-Irrigation unit were tasked by RO Management to conduct a survey of all 22 gully dams to assess its status and functionality of their capacity for irrigation and maintenance need. The survey commenced in May 2016 and ended in June 2016. In accordance with the CA, construction of 22 gully dams commenced in May 2011 and 17 Gully Dams (GD) were completed in 2012 and the remaining 4 GDs completed in June 2014 and 1 GD completed in June 2015. The locations of gully dams were selected in function of resettlers choice and physical and geological parameters (see map attached). After the wet season in 2015, all 22 Gully Dams were filled and were successfully used to feed small scale irrigation systems for agriculture land, water source for large livestock, aquaculture and garden areas surrounding of the gully dam during the dry season. Gully dams are used if they are in strategic locations close to the villages. The distance between residential areas and gully dams is important to control and protect to avoid the effect on gully dam related activities. The gully dams have withstood the flood season, but during the 3 years of the used and some of gully dams are currently in bad condition. Big maintenance and improvements are therefore necessary. After field survey for 22 gully dams in Nakai resettlement area, Infrastructure Team and DAFO- irrigation unit have to collection data with report preparation and estimate cost of maintenance need then propose to The SERF committee to consider; in 2016 SERF has approved budget for 13 Gully dam maintenance need: 339,667,840 kip or (42458, 48 USD) into the Annual Implementation Plan (AIP) of SERF 2017. This Action was completed in 2016, and the Action Completion Report was finalized in early 2017.
AL.3.1.2 Repair relevant gully dams according to effective use by resettlers and needs for maintenance. (LOA − GOL) Action and reporting completed Nakai Resettlement Area has 22 gully stop dams to support livestock activity and water to small irrigation schemes. 22 gully dams are located in 11 hamlets (SP, SM, NN, NKT, NKN, PPP, BM, PSV, SO, DO and KK); the 22 gully dams were constructed in 2 periods:
From 2011-2012 are construction completed of 18 gully dam From 2014-2015 are construction completed of 4 gully dam
Refer to the 22 gully dams survey in 2016 we found that most of the damage of gully dams are from natural events (Heavy rain and high wave from reservoir) and operation of villagers; the first estimate cost for repair was proposed to SERF to consider for repair in 2017.
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The flooding of gully dam from 2016, during 1 year until May 2017, PAFO-irrigation department, DAFO-irrigation unit, RO-irrigation team and representative of WUGs of each hamlet have re- surveyed the status of gully dams and estimate cost for repairing. The result of survey of 22 gully dams show that 18 gully dams are needed to get repair and the estimate cost is 415, 911,120 kip. Before implementing repair of 18 gully dams, irrigation team has coordinated and discussed with Village authority, WUG’ committee and all members who have the benefit from gully dam or farmer who have 0.66 or 0.22 ha surrounding of the gully dams, to discuss and find a solution to avoid the impact to the fix asset and production of agriculture of farmers. For the land impacted by gully dam repair, the irrigation team has conducted survey with village authority and owner of land to measure and estimate cost as compensation process; the compensations have been done and villager have agreed and are happy with amount of compensation. After estimate of the cost of repair the technical irrigation team has submitted budget to SERF to consider and approve. Refer to direction of Nakai District governor (on behalf of chairmen of SERF committee) have suggestion to committee to organize the bidding or discuss with contractor who have constructed these gully dams before and have to following of the requirement of SERF such as excavator, truck… to make sure that the conducted repair will be completed on time or before wet season. During the conduct of the repair, the participation of farmers or WUG is necessary for following and joint inspection with irrigation team (for study case and experience to them) to have more ownership on operation and maintenance. The inspection time to time of SERF and technical support from RO is very necessary, because we have used the new technique and design for gully dam repair to ensure that we can using the gully dam can be used in effective and sustainable way (Irrigation and technical team has designed for using big stone to repair and protect to main structure of the gully dams). All 18 gully dams repair are completed on time. For the final inspection of completion work, SERF and contractor have the guarantee 1 year to re-check and support the repair again if it is found that some place need to get improved in April 2018.
AL.3.1.3 Comprehensive survey on irrigation: history and actual status of the irrigation schemes and their utilization. Where possible, formulation of recommendations (LOA − NTPC) Action Completed – Completion report under finalization The comprehensive survey on irrigation has been conducted with the support of an intern from September 2016 to March 2016. A draft complete report has been delivered and major findings presented to the PoE, District authorities in March 2017. A major conclusion and recommendation is that the first step and pre-condition to any repair or construction of new scheme is the actual utilization of the land for agriculture production, the request of the WUG (against individual request) and the commitment of the WUG to maintain the system in line with O&M regulations that specify responsibilities including the commitment of the WUG. The next step is the production of a shortened operational version of the report highlighting the main findings and recommendations for a way forward and the further development of Nakai irrigation systems.
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AL.3.1.4 Strengthening the Operation and Maintenance (O&M) system of the operating schemes (LOA − NTPC) Action and reporting completed A total of 228 irrigation schemes were established in the Nakai Resettlement Area. To ensure their protection and the responsible use of the irrigation systems for agriculture activities, the establishment of Water User Groups (WUGs) in charge of the proper Operation and Maintenance (O&M) appeared as a necessity. So far, a total of 176 WUGs in 15 hamlets were established. Consultations have been conducted to gather the viewpoints of the different stakeholders (e.g. DAFO, RMU and NTPC) but especially the local villagers who are the beneficiaries of the irrigation systems. One of the main objectives of the Agriculture and Livestock pillar is the improvement of irrigation systems to ensure the provision of sufficient water to crops at critical period of the year. To reach this objective, the capacity building of WUGs appears as a key element. For that, 5 activities were implemented as follows:
(i) Selection and training of 30 volunteer water dealers to support irrigation schemes repairs; (ii) Revised O&M manual for irrigation systems of Nakai Resettlement area; (iii) Development of new WUGs regulations (reviewed and updated by 15 villages heads and representatives of WUGs, SERF, district office, DAFO; and approved by NK district governor); and (iv) WUGs training on O&M including calculation of O&M costs and dissemination of the new O&M manual and regulations to WUGs in 15 hamlets.
The KPI of this action is the “Assessment of the functioning Operation and Maintenance system” with the following target: “O&M manual approved by WUGs is available and the principles are being implemented”. In November 2017, the action KPI and target were both achieved with the revision and approval of the O&M manual including the results of the O&M system assessment.
AL.3.1.5 Ensure sufficient water for vegetable crops (Identification of the plots with vegetable crop production / Water need assessment / Where possible, implementation of remedial measures of to fill the gaps) (LOA − GOL) Action and reporting completed Ensure sufficient water for vegetable crops for resettlers in the resettlement area is part of the List of Action (LOA) for Resettlement Implemented Period (RIP) closure. To meet the objectives and target, DAFO and NTPC teams, together with the adviser jointly set the implementation procedures following 3 steps as following: (i) Identify the list of vegetable growers. The team has realized two surveys. The first survey is the village extension workers survey on water utilization for agriculture activities (for vegetable grower). The second survey, conducted by agriculture and irrigation team, held a consultative meeting with a vegetable grower who needed to repair the irrigation system. Then, a survey together with farmers was conducted to
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collect information of the actual irrigation system and to assess the initial budget for improving and repairing irrigation scheme. (ii) After the initial budget estimation, the team has organized a group discussion with water users group (WUG) and farmers who requested for repair irrigation scheme by using three principles (land used for cropping, repairs relevant & necessary, economically viable) to increase the ownership of farmers. After evaluation on each condition to selected irrigation scheme to repair, the team has submitted budget cost to SERF for further consideration and approval of the budget for repair. (iii) Conduct irrigation repair, based on the selection of irrigation schemes for repair, the team coordinated with farmers who requested for repair as well as WGUs and volunteer of irrigation technical support to make plan and to prepare the equipment needed. After completion of repairs, team and farmers who have the benefits should make record in the completion repair form. Irrigation repair to ensure sufficient water for vegetable crops was completed according to the objectives and targets. The use of the “three principles” will be modeled and made villagers more involved and more effective in managing and using their irrigation schemes.
AL.4.1.1 Provide barbed wire (BW) for 0.66, 0.22 and “additional lands” (only for pasture development) plot fencing: - Revision of BW support policy - Inventory of candidates for BW - Provide BW (LOA − NTPC) Action and reporting completed The RO (Resettlement Office) is promoting the use of 0.66 ha and 0.22 ha plots which were allocated to resettler households since 2008. Many agriculture and livestock activities have been promoted to maximize the utilization of these plots such upland rice, cash crops, agro- forestry plantation, wet and dry vegetable and pasture development and during last year through the program support for fencing. The total area under wet season agriculture cultivation in 2015 was 831 ha in all types of legal land including additional agriculture land, 0.66 and 0.22 ha plots. This is an increase from 2014, when the total area under wet season agriculture cultivation was 555 ha. Based on the external mission recommendation and consultation with concerned parties, RO and Nakai district authority began a fencing program to support to resettlers by providing barbed wire for fencing their plots in 2014, starting with plots able to use the village gully dams for irrigation. In 2015 this was extended to all resettler 0.66 or 0.22ha plots, and 1,001 plots of 962 farmers were fenced. The aim of the program was to stimulate use of the 0.66 and 0.22 ha plots. This successful program was incorporated into the LOA 2016 (List of Action). A further 120 plot of 0.22, 0.66 and additional land have to be fenced, therefore about 1,700 rolls of barbed wires was procured for this process. The process of the barbed wire distribution started in the end of April 2016 with consultations with related parties, specifically district line agencies and authorities. It was followed by a policy dissemination campaign as well as consultation meetings with various communities and production groups in all 16 hamlets. The distribution process was completed by September 2016. After the community and production groups consultation meetings there were 128 interested resettler households who wanted to develop their 0.66, 0.22 and additional plots using barbed wire. They wrote and submitted their proposal to district and RO team with the help of the Village Extension Workers. Most of them already prepared the land and local fencing materials,
Page 53 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program so the team started distribution of barbed wires to those households as soon as possible. This started at the end of June and continued until the end of August 2016. A total of 126 hh from 11 hamlets received barbed wire, with total of 1,438 rolls distributed. Some of the households were organized as working groups together before getting the support, which means that the total number of plots fenced is less than the number of households (some neighboring 0.66 ha plots were grouped and fenced together). Therefore 107 plots of 0.22, 0.66 and additional agriculture land were fenced. Since 2015 more than 12,500 rolls of barbed wire were distributed to 1,045 household to fence their allocated lands. This action was completed in 2016, and the action completion report was finalized in early 2017.
AL.4.1.2 Continue support and training as needed for existing agricultural production groups (LOA − NTPC) Action and reporting completed This action aimed to continue support and training as needed for existing agriculture production groups to strength their capacity and develop sustainability. The KPI and target are that one workshop or planning meeting was organized per group production. This action was implemented to strengthen existing agriculture production groups including 16 agroforestry groups, 1 organic vegetable group and 11 vegetables growing in wet season. Additional, paddy rice farming was monitored to strengthen individual paddy rice farmers. Each of the 16 agroforestry groups participated to a workshop to strengthen their capacity. The group committee had a refreshing training on its responsibility, group objective, regulation and seeding fund management. The groups were monitored and evaluated. This underlined that 8 groups were more active in group management than others. These groups were from Thalang, Nongbouakham, Nakai Tai, Oudomsouk, Phonphanpek, Bouama, Done and Khone Kaen. One organic vegetable production group was trained on principle of organic production. The course covered procedure and technical issues on organic vegetable growing. A total of 11 vegetable production groups were trained on vegetable growing in rainy season especially on how to make a greenhouse shedding to grow vegetable. A total of 62 individual paddy rice farmers, who participated to the soil fertility improvement, were monitored to ensure a good management or maintenance of their paddy rice. The KPI and target of this action were reached with a high participation of women. They were represented at 94% in organic vegetable production training, 81% in on the job training on vegetable growing in rainy season and 50% share in the agro-forestry group committees.
AL.4.2.1 Support soil fertility improvement by converting allocated plots into « agro-forestry” practice (LOA − NTPC) Action and reporting Completed This action aims to promote the improvement of farming systems through diversification and reinforcing linkages between agriculture and livestock. This action aimed to increase agriculture productivity through soil fertility improvement. In the context of this action, support to soil fertility improvement was expected to result from the conversion of allocated agricultural plots from conventional cropping practices to “agro-forestry” practices. The KPI and target of the action
Page 54 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program consist in the establishment of agro-forestry practices and the application of soil fertility improvement techniques in a total of one hundred (100) 0.22 and 0.66 ha plots. To achieve this action, 4 tasks were successively implemented: consultation with interested farmers, training on plantation establishment and maintenance, seedlings support, and monitoring of implementation. This action did not focus on increasing the number of agro- forestry plots but rather emphasized on sustainability of agricultural production systems. In September 2017, target and KPI were reached as a total of 313 individual agricultural plots were converted to agro-forestry, respectively 263 and 50 plots of 0.66 ha and 0.22 ha, representing an area of 185 ha. A total of 290 households were involved. Gender marker was also reached because women and men shared their decision making to develop their agro- forestry activity (high percentage of women during agro-forestry development consultation). All ethnic groups received an equal opportunity to benefit from NTPC support for agro-forestry practices as the consultation was opened for all ethnic groups. Based on the new adaptive management requirement, the implementation of this action needs to meet three principles (i) be relevant and necessary (ii) be economically viable and (iii) require the contribution of the communities. Therefore, the seedlings distribution was replaced by training on how to propagate seedlings. In fact, numbers of fruit tree seedlings i.e. mango, litchi, longan, jujube, pineapple, banana, rattan, bamboo and other tree seedlings had been provided from 2012 to 2016. During LoA implementation, a total of 3,445 fruit tree seedlings purchased in 2015 were distributed to 84 households for plantation in their 64 plots. To support sustainability, 281 households attended training on fruit tree plantation and agro- forestry maintenance techniques. Among the trainees, 199 were women, which represent 71% of the participants. 170 households were trained on fruit tree seedlings propagation out of which 62% women. A monitoring of each plot was conducted by DAFO and NTPC-RO. This monitoring aimed to provide on the job training on maintenance, cash crop inter-cropping, fertilizing and marketing. Early 2017, a classification of agro-forestry plots was done (A, B, C, and D with the highest sustainability score being A) based on (i) the actual number of agriculture & livestock activities in the plot, (ii) the number of fruit trees, (iii) the quality of maintenance and fertilization, and (iv) the income generated. Among the 313 plots converted, 24 are grade A (8%), 39 grade B (12%), 77 grade C (25%) and 173 grade D (55%). This action could be considered as a success as it allowed improving sustainability in agro- forestry (e.g. regular income generation). Currently, at least 24 grade A plots are fully sustainable and 115 grade B and C plots are progressing towards sustainability as a result of income generation. These results and the involvement of farmers are definitely encouraging to continue on this practice to provide regular income generation.
AL.4.2.2 Improve soil fertility in plots where agroforestry is conducted (LOA − NTPC) Action and reporting completed One of the main objectives of the Agriculture and Livestock Pillar is to improve the farming systems through diversification and integration by reinforcing linkages between agriculture and livestock. Furthermore, soil fertility improvement is considered as a key step to increase agriculture productivity. In this context, the action aimed to improve soil fertility in plots where agroforestry is conducted. The KPI and target are that soil improvement techniques are implemented on a total of 50 new 0.22 and 0.66 ha plots where agroforestry is conducted. This
Page 55 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program action includes 4 tasks that are (a) to identify interested farmers; (b) to conduct training on soil improvement and earthworm raising, (c) to provide materials and earthworm variety; and (d) to conduct soil fertility analysis. Soil fertility improvement techniques have been conducted right since the beginning of the resettlement period when the agriculture land allocation took place. Soil fertility techniques aimed to add different types of fertilizers and to grow legume as forage. 174 participants (129 households) were trained on soil fertility improvement. This training focused on compost production and vermin-culture techniques. A total of 55 households received financial and technical support to produce 800-1,900 Kg of compost utilized to fertilize the 57 plots where agro-forestry is conducted. NTPC provided 490 kg of molasses, 230 litters of EM, 6,920 kg of guano, 1,700 Kg of rice bran; 525 Kg of organic fertilizers and 950 kg of lime for soil fertility improvement in the agro-forestry plots. Furthermore, it has to be noted that in addition of the production and the use of compost, the combination of different crops on a same plot contributed as well to the improvement of the soil fertility. Analysis showed improvement in the soils characteristics. For instance, pH increased from 4.4 to 5.4; organic matter from 2.08 to 2.35%; total nitrogen from 0.03 to 0.06%; available phosphorus from 9.59 to 16.51 mg/kg and available potassium from 35.07 to 174.85 mg/kg. However, conclusion cannot be drawn for a single comparison covering a short period of time of soil improvement practice. It is then recommended to perform further analysis in the coming years. KPI and target of this action were reached as a total of 57 plots received soil fertility improvement techniques.
AL.4.2.3 Pursue soil fertility improvement on Paddy rice plots: - Inventory of candidates - Provide SF (LOA − NTPC) Action and reporting completed The main objective of this action is to promote farming systems improvement through diversification and strengthening linkages between agriculture and animal husbandry. Increasing agriculture productivity through soil fertility improvement is a key component of the action. This action aimed to pursue soil fertility improvement in paddy rice plots. The KPI and target are that the number of 0.22 and 0.66 plots where paddy rice is conducted receiving soil improvement techniques reaches 50 plots. To achieve the target, 6 tasks were implemented as follows: (a) identification of interested farmers and appropriate areas; (b) farmers’ training on soil improvement technique; (c) support owners of the pilot plots by providing lime and material for compost production as well as green manure; (d) support dry season cropping in paddy field plantation; e) experience exchange and field visits; and f) sharing knowledge through the writing and distribution of the annual activity report for 2016. The action started in 2016 by providing 100 kg of lime, 25 kg of 15-15-15 compound fertilizer, and 20 kg of urea to 26 demonstration households. This quantity was provided for each demonstration plot. All households performed a test on a 1,600-square meter plot. The test plots were planted with different rice varieties including Thadokkham 1, Thadokkham 8, Thasano 7, Thasano 8 and Vientiane 450 year. The result showed that the average rice yield is higher for Thadokkham 8, Thasano 7, and Vientiane 450 varieties. Among the 26 HH, 23 performed the test according to guidelines in 2016 utilizing lime and fertilizers as prescribed. The average yield for the 23HH was 2.5 ton/ha and the value returned (with deduction of
Page 56 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program fertilizer cost) before deduction of labor cost 4,216,019 LAK per ha while the average yield for paddy without soil improvement fertility is 1.1 ton/ha with a value returned as 2,288,000 LAK per ha. In 2017, Nakai District and RO staff conducted training on soil fertility improvement in paddy field. The training covered topics such as the utilization of organic fertilizers for paddy rice farming, composting and green manure production. 115 paddy rice farmers attended the training among which 65% of women. Among the 115 participants, only 76 willing to implement this activity (target = 50 farmers). Following this training, NTPC provided the necessary materials including sawdust delivered by truck. Soil fertility improvement techniques were applied in 76 paddy fields out of which 62 plots received application of compost and green manure and 14 plots received application of green manure only. In addition, NTPC provided composting substrates for the 62 households who had chosen to experiment this technique. The materials included 100 Kg of guano, 40 Kg of rice bran, 10 Kg of lime, 8 Kg of molasses, 4- 5 litters of EM (effective micro-organisms) and 3-5 Kg of mung bean seeds for dry season cropping (per all 78 households). KPI and target of this action where reached with a good participation of women. Furthermore, 2016 experimentations results are encouraging showing an increasing yield. The expected outcome is that the new participant farmers will benefit from this action by increasing rice productivity and then they would duplicate this task by themselves in following years.
AL.4.2.4 Document lessons learned regarding soil fertility improvement (LOA − NTPC) Action and reporting completed One of the main objectives of the Agriculture and Livestock Pillar is to improve the farming systems through diversification and integration by reinforcing linkages between agriculture and livestock. Soil fertility improvement was integrated in 3 actions that were (i) AL.4.2.1 “Support soil fertility improvement by converting allocated plots into “agro-forestry’ practice”, (ii) AL.4.2.2 “Improve soil fertility in plots where agroforestry is conducted” , and (iii) AL.4.2.3 “Pursue soil fertility improvement on paddy rice plots: Inventory of candidates and Provide SF” . Soil sampling and analysis was conducted by the Department of Agriculture Land Management and Development of the Ministry of Agriculture and Forestry. Soil fertility indicators with and without the soil fertility improvement practice in paddy (31 samples) and agroforestry plots (11 samples) were analyzed including % of Organic Matter, soil pH, soil structure, % of total Nitrogen (N), % of available N, % of available Phosphate (P), and % of available Potassium (K). Preliminary results indicate a noticeable soil improvement for the paddy and agroforestry plots where improvement measures were taken. However, conclusions cannot be drawn for a single comparison covering a short period of time of soil improvement practice. The experience would gain in relevance by selecting plots in different biophysical zones, meaning with different conditions of soils, slope, irrigation conditions, etc. and conducting a comparative analysis. In addition to soil analysis, the increase in yields is another direct indicator of soil fertility improvement. Despite encouraging results, the piloted soil improvement practices are not being widely adopted by farmers. The reasons might lie in other factors such as the level of initial investment (all production costs were covered by NTPC support during the experiments), the availability in labor force (to make and transport compost for example) or the non-availability of products on the Nakai market (e.g. guano utilized of the production of compost). A close
Page 57 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program financial follow-up of the experiments and of the pilot households would be necessary to draw conclusions and assess the economic viability of the proposed measures in Nakai and which conditions (investment, labor, bio-physical, etc.) are requested.
AL.4.3.1 Provide plastic sheet to candidates (on a cost-sharing basis) (LOA − NTPC) Action and reporting completed During last years, many resettlers have been involved in wet and dry vegetable production. The process and techniques used by the resettlers are improving and vegetable production is beginning to be a commercially viable livelihood option. The vegetable production at Nakai involves the use of allocated lands such as the 0.66, 0.22 ha plot and housing land where water is available and sufficient. During the wet season many kinds of vegetable do not grow well under heavy rain, therefore to guarantee production plastic houses must to be installed. The plastic sheet program was first initiated in response to lessons learned from a production group exchange trip. RO and Nakai DAFO organized an exchange experience for Nakai’s organic vegetable production group to visit the organic vegetable production model group of Danxang village, Xaythany district, Vientiane. They found that one way used in Danxang to increase both the area of wet season vegetable production and the variation of vegetable crops is by using plastic houses. The vegetable plastic houses of Danxang organic vegetable production group are properly constructed and followed a set standard. They can be used for many years and this fact attracted the interest of the visiting group. They decided they would like to try at their plots so the technical team coordinated with the Clean Agriculture Development Center of the Ministry of Agriculture and Forestry to find proper plastic sheets for the wet season vegetable production on the Nakai plateau. DAFO and NTPC therefore organized consultation workshops in April 2016 for all vegetable production groups in each hamlet. DAFO and NTPC collectively designed the policy for distribution, which included the condition that resettlers should contribute part of the cost of the plastic sheet to a revolving fund for future investment in agriculture. This was designed to increase resettler ownership. During the consultation sessions the technical team introduced the support policy to the resettlers and explained the process for getting plastic sheet support. They also compiled a list of interested households for wet season crop production and the construction of plastic housing. The information gathering was done through the group consultation and also with field monitoring to follow up the expressions of interest. By the end of the information gathering process 59 household from 10 hamlets had applied for wet season vegetable housing. By mid of June 2016 the plastic sheet procurement was completed and 20 rolls of plastic sheet (size: 8m X 100 m) for vegetable house was available. A total of 53 household from 10 hamlets of Thalang, Nongbouakham, Sop Hai, NamNian, Nakai Neua, Oudomsouk, Phonphanpek, Bouama, Phonsavang, Sop On received the plastic sheet support in amount of 12,230 square meters. This was about 90% of total interested household. This action was completed in 2016, and the action completion report was finalized in early 2017.
AL.4.4.1 Strengthening capacity and equipped Village Veterinarian (VV) (LOA − NTPC) Action and reporting completed
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The main objective of the Agriculture and Livestock Action Plan is to improve farming systems (diversified and integrated by reinforcing linkage between agriculture-livestock). The sub- objective is to improve livestock health. To reach these objectives it is important that the village veterinarians have sufficient knowledge and skills. Therefore the capacity building of village veterinarians was carried out to ensure this livestock health improvement can happen in the field. The aim of this action is to build the capacity of villagers/resettlers to be able to provide vaccination services in their community. The KPI is that one refreshment workshop/training is completed. The expected output of this activity is to increase vaccination rate of each type of livestock in the Nakai resettlement area, to be in line with the national target. The outcome is to build a sustainable village veterinarian network that can provide a regular service for animal health care, in particular vaccination for livestock. Another objective is to promote household poultry raising and encourage a shift from subsistent traditional practices to a technically improved approach that increases productivity and allows income generation from native poultry raising for village women. This activity had been implemented between March and November 2016 by two district women LWU and DAFO with support from the Resettlement Office. The training was conducted for one day with theory in the morning and practice in the afternoon. Two main tasks were completed including the training and equipment with basic veterinary tools for 22 Village Veterinarians (men), with this task marked as G1, and the training and equipment with basic veterinary tools of 19 women as Assistant Village Veterinarians, with this task marked as G3. All participants learnt about basic knowledge of livestock diseases, the use and storage of animal vaccines and the use and maintenance of veterinary tools. Additionally women also learnt the main techniques of improved local chicken raising for income generation. The practice concerned vaccination of various types of livestock (only poultry for women). Basic veterinary tools were provided for all trainees.
AL.4.4.2 Conduct vaccination campaign (LOA − NTPC) Action and reporting completed The main objective of this action is to promote the improvement of farming systems which are diversified and integrated by reinforcing linkages between agriculture and livestock. The sub- objective is to improve livestock health and the action is conducting vaccination campaign. The KPI and target of this action are to complete one workshop about vaccination per hamlet. This action includes 4 tasks that are (a) district notification, (b) radio broadcasting, (c) vaccination workshop, (d) leading on-field vaccination, and (e) collect animal statistics. Vaccination campaigns have been implemented since the beginning of the resettlement period. The process started from capacity building of village veterinarians and DAFO livestock staff. The capacity building was conducted through village veterinarian training and following refreshing workshop. Vaccination workshops are an efficient way to raise awareness on animal vaccination among villagers and finally make animal vaccination happen in the field. During this vaccination campaign, 16 vaccination workshops (1 in each hamlet) were organized and implemented by the Livestock and Fishery Unit of DAFO. KPI and target for this action are considered achieved at 100%. The vaccination rate, especially of large livestock, showed an increase compared to the last semester of 2016. Respectively 68% and 55% of cattle and buffaloes were vaccinated against hemorrhagic septicemia, the most lethal disease. The vaccination rate of small animal also
Page 59 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program increased, vaccination of pigs and poultry against common lethal diseases such as swine fever for pigs, New Castle Disease and cholera for chicken and duck plague for ducks reaching respectively 28% and 59 %. A total of 20% of the goat flock was vaccinated for foot and mouth disease. Village extension workers are in charge of monitoring the trends in animals’ number. The cattle and buffalo herd continued to increase. The total number of large livestock in June 2017 was estimated to 5,422 heads which is 8% higher than the number as of December 2016. There are 715 households keeping large livestock which is 8% higher when compared to the last half 2016. Number of small animal also showed an increase of 11% with a significant increase of goat. The increase is 40%%, 16% and 10% respectively for the total goats, pigs and poultry. Households who own small animal showed an increase of 21%.
AL.4.5.1 Ruminants: establish grazing pasture, forage plots, fodder garden for large and small ruminants (LOA − NTPC) Action and reporting completed The main objective of this action is to promote the diversification and integration of farming systems by reinforcing linkages between agriculture and livestock. The sub-objective of this activity is to promote raising livestock animals. Animal feed is a main issue for livestock in this area, therefore this activity is aimed to establish grazing pasture, forage plots, and fodder gardens for large and small ruminants. The target is 10 ha of pasture developed in additional agriculture land. Forage establishment in 2016 started in January and continued until August. In this time the RO and DAFO livestock team completed different tasks including a) consultation with large livestock groups; b) follow up and quick participatory planning; c) survey potential fallow land; d) provide inputs (seeds; barbed wire and nails); and d) on the job training (day to day coaching in the field). The activity has started from a village consultation in each hamlet in order to disseminate information about the activity and seek interested households to prepare their land in January and February 2016. The expected outcome of this activity is to increase the quantity and quality of animal feed which improves both animal health and the animal carrying capacity in the resettlement area. The team, which was made up of RO and DAFO livestock staff organized the village meeting, followed up with interested households, conducted participatory planning with the interested farmers including site surveys of the proposed plots, and provided support and on the job trained farmers to establish different types of pasture. The main two types of pasture established were group pasture and individual forage plots. Communal pasture development did not generate interest by villagers because there is no available communal land to use for the pasture. Also, the village authority cannot gather large fallow land to use for communal pasture purpose. This is because the land is occupied by custom from individual households who were the original clearers in the past. All villagers recognize that the land belongs to the one who cleared and slashed and burned the forest first in the past. Other villagers respect this customary right, so nobody will use this land without prior permission from the original household. Group pastures were established in additional agriculture land with group members from 2-4 households. A total of 12 groups made of 32 HHs were formed: 9 groups are in Done village, 1 in Thalang and another 2 groups are in Bouama. The rest is made of 49 individual forage plots.
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Those are made up of 24 plots located in additional agriculture land, 20 plots are in 0.66ha and 0.22ha allocated blocks, and 4 plots are in back yard land and 1 in DDZ. The Resettlement Office provided a total of 1,325 kg of forage seeds and established all types of pasture in total area of about 33 ha. Of those, 24.8 ha are located in additional agriculture land, which is 14.8 ha above the KPI, 7.4 ha in 0.66 and 0.22 plot and 0.57 ha in back yard. 463 rolls of barbed wire as well as 188 kg of nail and about 3.5 tons of fertilizers were provided to fence 17.1 ha of forage plots in additional agricultural land. Fencing materials were not provided for the remaining 7.4 ha of pasture on additional agricultural land because the households using the land did not want to comply with district regulation that allocates a maximum of 0.5 ha of additional agriculture land per household (i.e. these households used additional agricultural land in excess of 0.5 ha). Barbed wire for pasture development on 0.66 ha and 0.22 ha plots was provided through the agricultural team. This action is marked as G2 because women participate in all processes of the pasture development from the making decision to establish their household’s forage plot until the forage is well established. Note that the distribution on 0.66ha and 0.22ha plots for both agricultural and livestock purposes were carried out as a separate but linked project.
AL.4.5.2 Chicken: provide support to local chicken raising (LOA − NTPC) Action and reporting completed The main objective of this action is to promote the improvement of farming systems which are diversified and integrated by reinforcing linkages between agriculture and livestock. The sub- objective of this action is to promote the raising of livestock animals and the action is providing support to local chicken raising. The KPI of this action is the number of households who either (a) earn more than 600,000 per year from raising local chickens, or (b) have more than 70 chickens. The target is to achieve this with 10 households. The action implementation was started in March and completed in November. It involved 4 main tasks. The first was a follow up with interested target households and quick participatory planning, focusing on women. Women are the main actors to improve the subsistence to an intensity of the local chicken raising. The second task was chicken pen improvement. This task is needed to build new pens for newly hatched chicks and improve the existing pens to a hygienic appearance. The third task was to provide material input to the households in the program. The materials are important to improve their traditional practices to new methodology, especially feeding the newly hatched chicks, daily management to raise the animals to be healthy before letting them roam more freely under a half feeding, half scavenging system. The fourth task was on the job training. This is coaching and skill building for women to use the correct methods especially vaccination and feeding as well as general animal husbandry. These tasks were completed, and the following up and monitoring trends as well as collecting monthly data has been ongoing since then (and will continue until the end of the RIP). Currently the households have been trying and supporting to work in a sustainable group. As the result of this action 20 households were each provided some important materials including a bag (30 kg) of feed, 3 water buckets, 3 feeder trays, 3 packs of rope and 4 pack of rope net for a total cost of 446,000 Kip to launch an improved local chicken raising. The output of this action has got those 20 households to an average accumulated net income from July to December 2016 at 1,546,000 Kip which is about 5 times the KPI. They also have an average number of chicken in the range of 57-87 birds per household in each month that achieves the
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KPI. At this moment 18 households or 90% of them have the accumulative net income over the target. This action has a great outcome by attracting others a hundred households to participate this program. At this reporting month (December 2016) this expansion program was completed 16 group formation to take an initiative to working in a sustainable manner with technical support from a RO-district women team. This action is categorized to G2 gender marker since village women have made their decision making to participate to the action and also they have done all processes of the chicken raising such as feeding or daily animal husbandry by themselves. Some heavy jobs were done by men but the women are the main actors to manage jobs. This action is also open to all ethnics to participate since there is one Ahoe had benefit from this action and this household has also earned a great net income of 1,387,000 during this 6 month period. This action was completed in 2016. The two District staff (one from LWU and one from DAFO) continued to provide ongoing monitoring and technical advice for the involved households and to supervise vaccinations in 2017.
AL.4.5.3 Organize pilot large livestock auctions (LOA − NTPC) Action and reporting completed Since resettlement, the number of households owning large livestock has shown an increase of 60 %. The number of livestock increased from 1948 heads in 2009 to 5013 in 2016. This number has overpassed the estimated carrying capacity of 3000 heads as estimated in the consultant report in 2010. As an attempt to reduce the large livestock number, organizing an auction of large livestock was recommended and integrated in the Agriculture and Livelihood Pillar. Auctions were mentioned as one way to allow large livestock trading system. In July and August 2017, the DAFO conducted consultation meetings in all 16 hamlets to explore whether villagers would be interested in selling their livestock, especially through auctions. In most hamlets the villagers expressed very little interest in auctions. They explained that would not be able to bring their animals to a single location as required for an auction. On the 28th of August 2017, the District Governor issued agreement no. 372 to assign an advisory committee, secretariat and field implementation committee for this activity. Since during the consultation villagers had expressed clearly their lack of interest in auctions, the committees decided to organize a trade fair instead. In a trade fair, livestock traders are invited to visit the villages to meet the farmers and see the animals for sale. A pilot trade fair was organized on the 12 September 2017. This trade fair was announced by advertisement (e.g. publication of animals to be sold, information of the traders in advance). A total of eight traders visited all hamlets. The traders came to a central meeting at Oudomsouk, where they met with the heads of village from all 16 hamlets and the Village Veterinarian Volunteers from all 5 central hamlets. Traders directly visited five hamlets in the central zone where 33 large livestock farmers had gathered 67 heads of cattle and buffaloes for sale. The pilot trade fair for large livestock had very limited success with only three heads of cattle sold out of 59. The main reason why there have been so few animals sold is the gap between prices expected by the villagers and the price traders were ready to pay. Most livestock owners and traders could not reach an agreement. The KPI and target of this action was to organize two auctions before the end of the Resettlement Implementation Period. Given the limited success of the pilot trade fair, this approach does not seem appropriate.
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Therefore, based on the lessons learned from this pilot trial and on a further diagnostic of the livestock and trading systems the approach will be reviewed and new proposals developed for encouraging large livestock trade in Nakai in 2018.
AL.4.5.4 Compile Lessons learned and assess usefulness of large livestock auctions (LOA − NTPC) Action and reporting completed Developing a trading framework in Nakai was integrated in the Agriculture and Livelihood Pillar. Given its reported success in some Northern provinces of Lao PDR, auction was considered as a process that could help improve the development of Nakai large livestock trading system and the decision was made to conduct a few auctions on a pilot basis. Action AL.4.5.4 draws the lessons learnt from action AL.4.5.3 “Organize Large Livestock Auctions”. Given the difficulty to guide and gather free-range animals in one single place, District authorities discussed and agreed to adapt the auction principles to the local context and to organize, rather than an auction, an animal trade fair. However, in spite of the efforts made in tailoring the event to the local specificities, the large livestock trade fair had no more than very limited and partial success with only 3 cattle sold out of 59. In order to learn lessons from the experience, the 30 village participants (out of which 60% were women), the District Authorities and the traders have been interviewed. The assessment confirmed the uselessness of the auction process on the Nakai Plateau to help improve large livestock trading in the current situation; and this for the following reasons: (i) villagers do not necessarily need or wish to sell their animals on a regular basis. Animal represent saving capital, which is sold when a need or an opportunity arises; (ii) the extensive livestock raising system is based on a zero cost principle (no inputs apart from the purchase of the first animals), which implies that the risk of losses due to diseases or unexpected circumstances has limited consequences on the investment; and (iii) the animals in Nakai are comparatively skinny and therefore the price expected by the owners is too high compared to price traders are ready to offer.
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FO.1.1.1 Prepare economic and feasibility overview of possible forest management options (LOA − NTPC) Action Completed – Completion report under finalization Comprehensive Terms of Reference (ToR) have been drafted identifying the technical consultancies necessary for the development of strategic options for community forest management. In the meantime, the action plan for forestry has been further discussed with the JWG, the District and RMU for clarification and reaching a common understanding (see FO 1.2.3). The action plan was clarified and the sequence and responsibilities of different actions was agreed upon (MoM June 13th and 17th). As a result, the recruitment of consultants to contribute to the formulation of a strategy for Nakai plateau community forest resources and the updating of the Forest Management Plan has started.
Support to community forest products value chain organization From the 16th to 24th of July 2017, an NTFP consultant with experience from Northern Lao) conducted a mission to Nakai. The objective of the mission was to share the experience acquired in the bamboo (collected from natural forest) value chain development, in Houaphan Province and to provide recommendations on how and under which conditions these would apply in the context of Nakai community forestry. The consultant conducted focus group meetings with villagers (including Village Authorities) in 5 hamlets: Nam Nian, Sop Hia, Done, Nakai Neua, and Khone Kaen. A report was finalized in August 2017. The results of the mission will contribute to the formulation of a strategy for Nakai plateau community forest resources.
Based on field mission carried out in Nakai, and on the experience acquired in Huaphan, the Consultant put forward a number of recommendations, some are not new but corroborate (or complement) directions adopted in the Forestry Action Plan: 1. Building a shared conviction that Non Timber Forest Products (NTFP) are an opportunity for farmers and stakeholders should be the first step, through a participatory diagnosis and the formulation of a roadmap for NTFP utilization and management in Nakai Community Forest. 2. Formalizing this roadmap in an official “Nakai Plateau NTFP sector development strategy” would definitively help to reach and validate a consensus among all stakeholders regarding
Page 64 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program shared objectives (rules and regulation on sustainable use of forest and NTFP, sustainable value chains, enabling environment), to promote collaboration among relevant government departments (agriculture, environment, commerce, planning), and to create institutional arrangements for facilitating a collective learning process (provincial and district bamboo task force, value chain workshops). 3. The diagnosis of current situation (covering: up-dated assessment of present forest resources; existing or past experimentations; existing or past forest management practices, rules and regulations; existing, past or potential NTFPs value chains, with revenues, quantities, prices, producers group organization...) should be done with the full involvement of all stakeholders involved (villagers, public, private), particularly the villagers of the 14 villages who are the “owners” of the forest use and management rights (villagers are the pillars of the NTFP value chains); 4. Research combining academic and empiric local knowledge may be required. Once the wishes and the feasible options for sustainable use of community forestry resources will have been identified and validated by stakeholders, it is recommended to involve the Forest Scientific Research Centre (FSRC / NAFRI) in the co-design (with villagers) and experimentation (with villagers) of techniques for sustainable management of NTFPs (in natural forest), or even production of NTFPs (forest enrichment, plantation); 5. NTFP Management Plans should be formulated and implemented at village (hamlet) level, prepared by the villagers for building ownership (based on empiric and academic knowledge, and with guidance of government technical agencies) and approved by the District governor, the District Agriculture and Forestry Office (DAFO) and the District Office of Natural Resource and Environment (DONRE) 6. Starting from the initial diagnosis, the development of sustainable NTFP value chains should be seen and supported as a multi-stakeholders learning process, involving continuous experimentations, monitoring, multi-sectorial discussions with multiple actors/stakeholders in order to encourage a critical analysis of decisions and results. This approach has significantly contributed to the successful development of tailored working tools on forest management and bamboo-based value chain development in Houaphan Province. 7. The assistance of an independent facilitator of this learning process is recommended for balancing relationships between stakeholders in the different stages (structuring the process, preparing and accompanying the experimentations, monitoring the value chains and synthetizing the information on results and context, preparing the multi-stakeholders value chain meetings…). Key conditions for the adoption of such working method based on collective learning of learners are: listening, willingness to learn, analysis, and recognition and promotion of empirical knowledge.
Financial Analysis of existing and possible forest-based livelihood options NTPC has hired two consultants to carry out a study on the existing and possible forest-based livelihood options. Their report was submitted to NTPC on 20th November 2017, that (i) analyzed the financial viability of possible forest-based livelihoods that could be adopted by Nakai resettlement villages, and (ii) assessed the financial situation of the VFDC sawmill, which is nominally owned by the Nakai resettlement villages.
The consultants considered eight possible forestry models: Bamboo in a village forest,
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Rattan in a village forest, Yang bong plantation on village forest land, Yang bong and banana in a plantation on village forest land, Teak in a plantation on village forest land, Teak with rice understory on village plantation land, Village forests to maximize carbon sequestration Logging of Pinus merkusii by villagers.
For each of eight possible forest-based livelihoods models, the financial analysis consists of three elements: Brief description of the livelihood, with particular attention to financial aspects; Financial investment analysis that indicates the profitability of each livelihood over a 20 year period by calculating the financial net present value (FNPV) and financial internal rate of return (FIRR); Description and analysis of the value chain associated with a livelihood.
These models were formulated to serve as examples and need to be adapted with actual local data (prices, species matching site conditions of Nakai plateau, etc.) for more relevant results after further discussions with hamlet dwellers and local technicians.
The financial analysis of the VFDC sawmill seeks to understand whether the VFDC sawmill had the financial capacity to pay dividends to shareholders (the Nakai resettlement villages) in the past, whether the VFDC sawmill might have the financial capacity to pay dividends in the future, and the value of the shareholding in the VFDC sawmill. To answer these questions the consultants undertook a financial accounting analyses of the VFDC sawmill and a representative sawmill In Lao. This involved preparing three key financial statements: income statement; balance sheet; and sources and uses of cash. They used financial ratio analysis to look at key financial aspects of each sawmill, and to develop a picture of the financial health and performance of the sawmills. Anyway, the consultants could not complete a direct financial analysis of the VFDC sawmill, because they were unable to obtain financial data from VFDC. Financial analysis of their representative sawmill shows that this sawmill is not financially viable for any typical year. Thus, this business will operate only for as long as its shareholders are willing to provide capital. Sensible shareholders will never provide capital for this representative sawmill – there is no chance the shareholders will get their investment back, much less a return on their investment. To the extent that the VFDC sawmill has a similar business model to that of the representative sawmill, the consultants believe it is unlikely that the VFDC sawmill could be financially viable in any given year. It would be very unlikely that the VFDC sawmill would have the financial capacity to pay shareholder dividends in the past or in the future. The value of the shareholder’s equity in VFDC would very likely be very low, or possibly negative. A large part of the reason for the lack of financial viability is the extremely high taxes that the sawmill must in principle pay to the government. These taxes appear designed to prevent any sawmill in Lao from becoming financially viable. Sawmills that export finished wood products also face other barriers. A key barrier is that exported wood products must appear on the approved list of products that the Lao government permits to be exported. The Ministry of Industry and Commerce publishes this list (Decision No.
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1833, Date: 03 Oct. 2016). This list is highly prescriptive, detailing even the dimensions of certain timber products. Sawmills that export wood products have little flexibility to produce new or innovative products that could be demanded by their customers.
Institution analysis This analysis aimed to acquire a better understanding of the institutional arrangements of community forest management on the Nakai plateau in order to identify the limiting factors and ways forward. The analysis has started in July 2017 and covered three main aspects: A review of stakeholders roles, positions and interests as they relate to community forest management on the Nakai plateau with special focus on VFDC’s operations (see FO.2.1.1 LOA – GOL) Document regulatory requirements that apply to the NT2 forestry operation and identify barriers, propose solutions (see FO.2.3.1 LOA − GOL) Propose ways forward for the organization of stakeholders for the management of proposed options.
The analysis showed that since the Village Forestry Association (VFA) has been transformed in a Village Forest Development Company for better forest business operation (between 2010 and 2014), its governance system has undergone major transformations. PAFO and DAFO who used to be advisors of the VFA board are now chair and vice-chair of the VFDC board and thus playing a decision-making role. The involvement of villagers in decision-making, recruitment of the manager and staff, planning and field operation has been drastically reduced if still existing. Without board meetings, records and follow-up, the management performance is poor and lacks of transparency. The report is completed. Key results of the analysis have been presented to the stakeholders (District government and heads of villages). The consultation process continues in parallel to the development of the hamlet Forest Management Plans and of the Nakai Community Forest Strategy. The future forms of organization will depend on activities hamlet dwellers will have selected.
Participatory Assessment of Community Forest Resources (PACFR) NTPC has developed a Memorandum of Understanding with the Village Forests and Non- Timber Forest Products Management Division of the Department of Forestry (DoF), Ministry of Agriculture and Forestry (MAF), to undertake the participatory assessment of community forest resources on the Nakai Plateau and update the existing forest management plan (see FO. 3.1.1). The objective is together with DAFO and PAFO, and with the active involvement of hamlet dwellers, to update the status of hamlet forestry resources. This exercise comes after an initial consultation conducted in each hamlet to re-introduce the dialog on community forestry management. As of December 2017, the DoF/PAFO/DAFO Team completed, with the participation of villagers, the assessment of the forest resources in 7 hamlets: Khone Kaen, Done, Sop On, Phonsavang, Nakai Neua, Nakai Tai and Nongbouakham. For other villages, the reports on assessment of the community forest resources are going on. With the completion of reports for the two pilot hamlets, Khone Kaen and Nongbouakham, this task is finalized for 2017. The process will continue in 2018. All hamlets PACFR and FMP will be completed by end of March.
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The initial consultation and the PACFR are the first step toward the development of the hamlet Forest Management Plan (FMP). The reports constitute the first section of the FMP which sets- up the historical, socio-economic and natural conditions. The RO team along with the consultant did a review of the forestry action plan on 28th July. The review aimed at finalizing the tasks for different actions under the forestry action plan and assigning them weight to monitor the progress. The update of tasks not only clarifies the various steps leading to the closure of actions but will also help the project management team to accurately report the progress of Forestry action plan on dashboard. However, as a result of this exercise and re-shuffling of tasks the progress under Forestry AP may have changed across different actions against progress reported until week ending 22nd July. The progress already reported under FO.1.1.4 was identified to be more relevant to FO.1.1.1 and is being reported here.
FO.1.1.2 Present possible options to the government for their review and discussion and agreement (LOA − NTPC) Action completed – Report under process The presentation of possible options to the government and other stakeholders was not organized as a stand-alone event which would have taken place after the wrap-up of all studies and activities but rather conducted through a series of events and consultation meetings along the progress of various studies. In this way, decision-makers were progressively informed on the intermediary results and ad-hoc decisions could be made that contributed to guide the surveys and to build the community strategy step-by-step. At key moments of the project, specific meetings were held with the Government in order to share information, validate decisions, or seek for advices.
Date Persons/Institution Subject 30/5/17 DoF- Village Forest & NTFP Division Involvement of DoF in revision Nakai FMP 1&2/06/17 NT2 Stakeholders Forestry AP development flow chart 8/6/17 World Bank Vientiane Forestry AP clarification 8/6/17 DoF- Village Forest & NTFP Division Involvement of DoF in revision Nakai FMP 13/6/17 DAFO/RMU/NTPC/PAFO Discussion Forestry AP 15/6/17 DAFO/RMU/NTPC/PAFO Agreement on flowchart Forestry AP 9/8/17 DoF- Village Forest & NTFP Division Discussion methodology for FMP revision 10/8/17 GFA- Certification Discussion potential FSC pre-assessment 23/8/17 RMU/District/NTPC Launching the Forestry AP assistance 24/8/17 VFDC History/Organization/HR/Activities 24/8/17 DAFO Forestry activities review 28/8/17 PAFO/RMU/DAFO Share ToR and seek for comments 28/8/17 16 hamlet authorities Past & future of Community forestry: their opinion 5/9/17 District/WB/AFD/NTCP Intermediary progress report 3/10/17 District/NTPC/RMU Validation preliminary results consultation 9/10/17 DoF- Village Forest & NTFP Division Discussion on progress & methodology 13/10/17 DoF DG Discussion progress & DoF involvement 30/10/17 LTA/District/RMU/NTPC Intermediary progress report
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FO.1.1.3 Present possible options to 16 hamlets for their review, discussion and agreement in culturally appropriate ways (LOA − NTPC) Action completed – Report under process The various options for community forest management should rely on the well-informed wishes and suggestions of the re-settlers who are the owners of (i) the Community Land Titles (CLT), (ii) the forest concession rights and (iii) the sawmill. Therefore, the consultation with hamlet dwellers was the starting point of the process of revision of the forest management plan. The first contact with villagers aimed to 1) inform them that the FMP was being revised and what this implied; 2) understand the way forest resources are utilized and managed at village level; and 3) ask for their wishes about the future of the forest. The approach entailed an iterative process of consultations, discussions and decision-making among all stakeholders including villagers and different levels of government. A starting point and crucial part of this process was the initial community consultation. This consultation was seeking the involvement of hamlet dwellers and other stakeholders in the process of updating the FMP. Facilitators from the Faculty of Agriculture, National University of Laos, have been commissioned to design and guide the process. They worked with the RO and built-up a team of District facilitators selected from the District Governor Office, the Tourism Office and the Planning Office. The role of the District team of facilitators does not stop after the initial consultation. Their responsibility is to support the whole process of revision of the FMP and follow-up during implementation. The team is working in close cooperation with other contributors, especially the DoF/PAFO/DAFO teams. The initial participation was conducted in all 14 hamlets except Oudomsouk and Phonphanpek, the two urban hamlets, from early September to early November 2017. Out of a total of 1,679 households, 548 households were represented standing for one third of the total households. The attendance varied from 11% in Nongboua to 68% in Done. In four hamlets, NamNian, NakaiTai, Nongboua and SopOn, the percentage of attendance was less than 33%. One reason might be that the consultation started before the paddy harvest season when men should go fishing to bring back cash to buy food and continued during harvest when the household labor force is fully occupied. On average, women accounted for 60% of the total participants in the first consultation meeting. All ethnic groups living in the hamlets were represented in proportions similar to those of the whole hamlet population. Almost 20% of the participants were of subsequent growth households, reflecting the proportion of “G2” in the total population.
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To ensure that the whole population is informed and offered a possibility to express its wishes and opinion, several mechanisms have been put in place. After the first consultation meeting, individual households interviews have been conducted For each hamlet, a poster was developed summarizing the wishes of the population for the future of the community forest and posted in the hamlet meeting hall On the poster, the names and phone numbers of the national and district facilitators are mentioned for the people to call for suggestions, grievance, wishes, etc. A short radio program was recorded by the district facilitators and brought to the village leaders for broadcasting.
The results of the initial consultation are for each hamlet: - A preliminary zoning and mapping of the hamlet forestry resources by the hamlet dwellers - The description of the utilization of forest resources in each zone and by different groups of people (women, men, age-groups, ethnic groups, etc.) - Problem analysis - Wishes for the future As a conclusion to the first consultation, an agreement is made with the hamlet dwellers for the next steps: PACFR and FMP.
The wishes expressed during the consultation with villagers are the following: • Set-up a viable village-level CF protection system (patrolling, regulations, etc.) • Stop logging by outsiders • Achieve self-sufficiency especially of vulnerable persons: timber, fuel wood & NTFPs • Improve NTFPs processing & commercialization • Conduct tree plantations • Monitor past plantations • Put an equitable eco-tourism system in place • Open additional cropping/agro-forestry land in CF • Open grazing areas in CF
The action is completed and reports available for each hamlet, except the two urban areas.
FO.1.1.4 Develop a Strategy for Forest Management (LOA − NTPC) Action completed – Report under process The foundations of a strategy for forest management have ben set-up based on the results of the various studies and surveys, on the consultations with hamlet dwellers, different levels of government, and other stakeholders. This strategy takes into account the present regulatory framework for the forestry sector in Lao PDR. A consensus has been reached on the overall management goals of the Nakai Forestry Resources: Preserve the community forest (quality, quantity, bio-diversity) Develop Forest Management Plans at hamlet level to enhance hamlet communities governance and responsibility
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This implies a two-layer management system with hamlet level FMPs and an overarching strategy for the Nakai community forest.
The hamlet-level FMPs will focus on the objectives 2, 3 & 4 of 2005 FMP: Develop a range of uses Ensure self-sufficiency of resettler families in timber, fuel wood and NTFPs Protect watersheds, biodiversity and sites of scenic historic and cultural significance
The overarching strategy for the Nakai community forest will foster synergies and play a coordinating role in the initiation and operation of programs or activities of interest for several hamlets such as grazing and cropping including agroforestry in CFs, developing ecotourism in hamlet forest, or the organization of the NTFPs value-chain, etc. Activities earmarked at the time being are: Enrichment plantation in lower-density forest (various species) Bamboo, rattan and other NTFPs: enrichment planting & value-chain organization Protected forest area in places of specific significance Eco-tourism Village organization for forest protection (patrolling, hamlet regulations, etc.) Utilization of CF for grazing, cropping, agro-forestry
The process of PACFR and development of FMPs is going on. Following an adaptive management approach, the strategy will be further tailored to the 16 hamlet FMPs through a consensus among all hamlets and the government.
FO.1.1.5 Strategy for Forest Management decided by Govt and villagers (LOA − GOL) Action completion deferred to 2018 − progress 0% Pending additional discussions and completion of adaptive actions (continuation and finalization of the PACFR and FMP by the end of March 2018). This action was deferred for the first quarter 2018
FO.1.1.6 Make a recommendation to the GOL to enforce a stop on logging until the approval of the forestry management plan (LOA − GOL) Action and reporting completed - reference to the Completion Report of the District Cabinet #306/CNK, dated on 12th July 2017 On 13th May 2016, the Prime Minister issued the Order # 15/PM on Enhancing the Strictness in managing and inspecting the exploration of timbers, transportation and business related to timber and to inspect all the existing wood processing factories throughout the Country. Based on this, the district established a Committee to disseminate this information to all villages and to coordinate with every concerned district authorities in order to follow up the implementation of the above mentioned PM Order.
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FO.1.2.3 Agree on responsibilities and ways of working (LOA − GOL) Action and reporting Completed On June 1st and 2nd 2017, the JWG representatives discussed further the forestry action plan in Vientiane. A flowchart was developed to clarify the content of the actions, their sequence and the related responsibilities of different stakeholders.
Thereafter a first discussion with RMU and the district was organized on the 13th June 2017, under the chairmanship of the Vice Governor of Nakai district. The agenda of the meeting besides discussing other issues related to forestry was to present and discuss a flowchart establishing accountability and way forward to implement the forestry action plan. The flowchart was based on the discussions that had taken place in Vientiane with the JWG. The participants were invited to provide comments according to their understanding and ideas. Based on the output of the discussion on that day, the flowchart was revised and presented again to the RMU and the district during a subsequent discussion organized on the 15th June 2017. The flowchart agreeing on the responsibilities and ways of working was finalized and endorsed by RMU and NTPC on this day. The discussion and opinions have also been summarized in the MoM made on that day. The MoM has been registered with NTPC DCC. The Completion report is under drafting by the District Government.
FO.2.1.1 Undertake financial Review and Audit of VFDC (LOA − GOL) Action completed – completion report under finalization Audit committee for the Community Forest Development Company in Nakai Plateau started the inspection from Aug 16, 2017 through to Aug 31, 2017. The committee included members from Provincial State Audit, Provincial Finance Department, Provincial Agriculture and Forestry Department, and Provincial Industry and Commerce Department. Based on the actual audit through information, documents, and evidence collection which covers the period from FY 2014-2016 and the first 6 months of 2017 of the company by referring to relevant laws and Decrees; the result of the audit could be summarized as follow: Result of the audit:
Structure and personnel In the past, the structure followed regulation of Community Forest Association of NT2 RMU number 242/PG.KM, dated Nov 25, 2003, which included: Chair and Vice Chair of the association through election: - Manager (responsible for overall and specific for forestry, wood processing, and marketing) - Deputy Manager (responsible for administration and Finance) - 2 finance/accounting staff (responsible for sale and finance) - 2 Assistants (responsible for Admin. Tasks) - 2 forestry staff (responsible for forestry and wood processing) - External audit committee: (including persons not included in the association and was appointed by the District Governor in order to take charge of forestry management and timber businesses in each year) In 2013-2014, the Community Forest Development Company which included government and villagers in its structure, with Director of PAFO as an independent
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Director and Head of DAFO as a Vice Director (Representatives of the government) and based on period of change by referring to the Agreement of Khammouane Provincial Governor number 845/PG.KM, dated April 20, 2017. It also included an Acting Director and a Vice Acting director. It’s divided into 3 Units such as Management, Exploration, and Production. Management members include 5 village representatives; 3 village representatives in shareholder, 35 representatives of shareholder from 16 villages; and 6,289 shareholders. There were also interior organizations which all had detailed responsibilities, with a total of 51 staff including 30 women. The company had a total of 1,310 families (6,286 shareholders) and all were villagers who have been affected by the resettlement of NT2 project. At the end of 2015-2016 FY and the first half of 2017, number of admin staff has declined. At present, there are only 5 staff remaining in the company who receive salary. These include 1 acting Director, 1 marketing staff, 1 treasurer, 1 driver, 1 safety guard, and some few daily workers.
Guidance-direction and work plan: A. Good points: Guidance-Direction of the company can be summarized as follow: The company has directly received guidance from the above level, as well as the guidance of the company Director and Deputy Director (government representatives) regarding management, admin., and work plan so that it’s compliant with the law. Besides, the company has effectively involved villagers in its forestry business such as forest restauration, tree nursery-planting, forest fire protection, forest conservation, Forest exploration, timber processing, timber sale, non-timber forest product, and others. These are in the region authorized to villages for job creation and for making profit out of forest. Management and regulation are based on the rule and regulation of the company as a basis. There are also bank accounts in USD and Thai Baht from other countries (Japan and Thailand) in order to receive money for timber selling and other wood products, and transfer documents are kept in good condition. B. Weak points: The company Director has not provided enough meetings and consultations with management team, shareholders, guiding committee from the province and district; and management lacks consistency. Auditing of the finance management has not been provided by the state audit. Enterprise accounting system has not been used (only basic accounting has been used and there is no certification from authorized accounting unit) There is no professional accountant who can manage finance of the company. There is no bank account book, no account summary for income and expenditure, no monthly and yearly balance.
FO.2.2.1 Prepare Mapping Stratification and Change Detection (LOA − GOL)
Action completed – Completion Report under finalization
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The revision of the Forest Management Plan required an up-to-date picture of the forest and vegetation cover. Thus, an assessment of the land-cover in the community forest area of the Nakai Plateau - 25,431 ha covered with a mixture of forests, agricultural land and human settlements - was commissioned which would also serve for the preparation of a potential forest management inventory in case the need would arise for the implementation of the revised FMP.
This land cover map is based on the interpretation of recent, freely available satellite imagery. It was agreed that the stratification into various land cover classes would follow at least Level 2 of the Lao National Classification System (See Table below), as a minimum, and to assess during the workflow if level 3 could eventually be mapped with an acceptable level of accuracy. The survey identified six main types of land cover classes at level 2 - evergreen forest, mixed deciduous forest, mixed coniferous and broadleaved forest, coniferous forest, bamboo, and regenerating vegetation- subdivided into ten classes at level 3. The report includes the updated land-cover map and a description for each hamlet.
Community Forest area land cover breakdown Land cover types Area Level 1 Level 2 Level 3 ha %
Current Forest Evergreen Forest Evergreen Forest Dense 5,636 22.2%
Evergreen Forest Degraded 1,408 5.5%
Mixed Deciduous Forest Mixed Deciduous Forest 5,324 20.9%
Mixed Coniferous and MCB Closed 1,477 5.8% Broadleaved Forest MCB Open 773 3.0%
Coniferous Forest Coniferous Forest 46 0.2%
Bamboo Bamboo 82 0.3%
Potential Forest Regenerating Vegetation Old Fallow 3,210 12.6%
Young Fallow 821 3.2%
Other Vegetated Areas Scrub Scrub 186 0.7%
Cropland Upland Crop Upland Crop 2,233 8.8%
Settlements Urban Urban 176 0.7%
Other Lands Barren Land Barren Land 1,347 5.3%
Water Water Water 2,708 10.7%
Total 25,431 100.0%
FO.2.2.2 Prepare Inventory Design (LOA − GOL) Action completion deferred to 2018 − progress 0%
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FO.2.3.1 Document regulatory requirements that apply to the NT2 forestry operation and identify barriers, propose solutions (LOA − GOL) Action Completed – Completion Report under finalization Regulatory requirements have been documented during the institutional analysis.
FO.3.1.1 Update Forest Management Plan (LOA − NTPC) Action Completed – Completion Report under finalization The Village Forest Division, Department of Forestry (DoF), Ministry of Agriculture (MoA) is piloting the revision of the FMP. The approach to the development of FMPs has been designed to fit the specific conditions of the Nakai Plateau Community forest and to fulfil the Lao Government regulations. The decision has been taken to develop hamlet-level FMPs. The FMP has been developed for two pilot hamlets, Nongbouakham and Khone Kaen, as per target. Reports are available.
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OF.1.1.1 Conduct research to identify products and services that hold significant potential benefits for resettlers, according to the specificity of each group (Ethnic Groups, Gender, Poor and Vulnerable) (LOA − NTPC)
Action and reporting completed The Action completion report combines results from all 10 actions under the Main Objective 1: Identifying off-farm livelihood opportunities. In December 2016, the NTPC contracted a Lao based consultancy firm to carry out research to identify opportunities for employment and small scale enterprise development. These opportunities needed to be activities that can increase income and diversity of income- generating activities for Nakai plateau resettlers on a sustainable basis. Between January-March 2017 the consulting firm, in collaboration with District staff and representatives from Happy Nakai youth group, carried out three separate consultation processes in resettler villages as well as numerous interviews with representatives from the Nakai District office, the Khammouane Provincial office, the NTPC, international development organizations and private companies. The results of these consultations are presented in the consulting firm’s Market Research Reports A and B, which describe the prospects for developing various types of small ventures (incl. tourism products and services) on the Nakai plateau as well as employment opportunities for resettlers. From an initial list of 35 identified enterprise opportunities, 12 priority enterprise opportunities were identified in collaboration with resettlers. Each of these enterprise opportunities are described in terms of their market potential (size and access to markets), their value chains and their possible linkages to other livelihood pillars as well as their potential profitability (cost- benefit analysis) and investment requirements. The list of the 12 priority enterprise opportunities are: Bamboo handicraft, bed & breakfast and homestays, Fish BBQs, sightseeing and camping trips, earthworm drying, fish drying, fermented fish, semi-processed crickets, roasted almonds, vermicompost, weaving center and wooden toys. In addition, the study suggest that the off-farm program facilitates the establishment of enterprises that offers ‘business development support services’, such as trading, marketing, branding & packaging, storage, accounting etc.
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The Nakai plateau suffers from a lack of tourism products and services to its main attractions; the protected area and the reservoir. There is also a low variety of accommodation and restaurants to serve this growing tourism market. Yet, in 2016 an estimated 5000 foreign travelers passed through the Nakai plateau. To successfully develop tourism products and services, the study recommends collaboration with established tourism product providers. Moreover, a list of 20 potential tourism products/services were discussed in collaboration with villagers and scored according to; attraction value, marketability, impact (on employment, poverty and conservation) and logistics (access and investment requirements). According to the latest QSEM, only 2-5 % of resettlers are engaged in formal employment. However, the possibilities for employment exist in particular outside of the Nakai plateau. The study suggests that the off-farm program facilitates direct employment by resettlers in a number of identified companies; the mobilization of employment recruitment agencies based in Thakhek and Savannakhet; as well as training of resettlers to accommodate for the qualifications requested by local companies and government organizations. However, it is advised that the facilitation of formal employment outside of the Nakai plateau should be balanced with the need for talented resettlers to engage themselves in the development of the Nakai community.
OF.1.1.2 Conduct value-chain and cost-benefit analysis for identified products and services (LOA − NTPC) Action and reporting completed See 2.6.1
OF.1.1.3 Identify priority business opportunities with respect to the goals and aspirations of the resettlers. (LOA − NTPC) Action and reporting completed See 2.6.1
OF.1.2.1 Conduct research to identify tourism products and services that hold significant potential benefits for target hamlets (LOA − NTPC) Action and reporting completed See 2.6.1
OF.1.2.2 Conduct cost-benefit analysis for identified tourism products and services for target hamlets (LOA − NTPC) Action and reporting completed See 2.6.1
OF.1.2.3 Identify priority tourism goods and services with respect to the goals and aspirations of the resettlers. (LOA − NTPC) Action and reporting completed
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See 2.6.1
OF.1.3.1 Conduct market research to identify potential employment opportunities for resettlers on and off the plateau (LOA − NTPC) Action and reporting completed See 2.6.1
OF.1.3.2 Evaluate the costs, benefits and suitability of potential employment opportunities for target groups (LOA − NTPC) Action and reporting completed See 2.6.1
OF.1.3.3 Identify priority employment opportunities with respect to the goals and aspirations of the resettlers. (LOA − NTPC) Action and reporting completed See 2.6.1
OF.1.3.4 Disseminate information about the research, needs assessment and planning stages based on the questions raised in the Village Consultations (LOA − GOL) Action and reporting completed In 2016 and early 2017, a research was led by a consultancy firm on business opportunities for resettled communities on Nakai plateau. During the research a set of interviews and consultations were led to identify relevant business, training and employment opportunities. The consultations raised several questions and expectations within the communities. For this purpose, and as part of action OF1.3.4 and OF2.2.4 of the Off Farm pillar, dissemination sessions were organized in each hamlet to present the main outputs and findings of the research. These disseminations sessions were held in addition to the information and explanations already provided by the Consultant team during the consultations. District staffs from Office of Commerce and Industry and Office of Information and Tourism and the Off Farm team worked together to develop appropriate and easily understandable communication materials.
Disseminations sessions were held from October 17 to October 20 within the 16 hamlets by two teams composed of District staffs from Information and Tourism Office, and Lao Youth Union. The teams were supported by two RO staffs. 630 participants, including 459 Females, joined the dissemination sessions. The dissemination was the opportunity to present in detail each business idea proposed by the Consultant and to raise interest among villagers. In this sense, interested villagers can start their businesses in a more sustainable way, and get new sources of income.
The KPI and target for these were 10 dissemination sessions (one per village). Target was met as 16 dissemination sessions were organized
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OF.2.1.1 Conduct research into socio-economic capitals at the household and hamlet level and define target groups (LOA − NTPC) Action and reporting completed In December 2016, the NTPC contracted a Lao based consultancy firm to carry out research to identify opportunities for employment and small scale enterprise development and to determine the means for addressing these opportunities based on villagers current strengths, assets, and wishes. These opportunities needed to be able to increase the income and diversity of income- generating activities for Nakai plateau resettlers on a sustainable basis. Between January-March 2017 the Consultant, in collaboration with District staff and representatives from Happy Nakai youth group, carried out four separate consultation processes in resettler villages as well as numerous interviews with representatives from the Nakai District office, the Khammouane Provincial office, the NTPC, international development organizations and private companies. The results of these consultations are presented in Consultant’s Market Research Report B, which describes required capacity building and capital for several socio economic groups to address the business and employment opportunities (incl. tourism products and services) on the Nakai plateau. The Consultant identified 9 socio target groups: Youth, NEET, Self Employed, Adult women, Adult Men, Disadvantaged, Village Authorities, Scholars, Job Seekers, and proposed specific training plans and methods for each of them. The report also defines the role of the Resource Centre to be played to boost capacity building and to enhance employment and business opportunities. The report part B, first draft, was issued in April 2017. However, RO team and Consultant team considered that the socio economic survey on the target groups could be deepened by collecting some new data. Consequently, in June, RO staffs and Happy Nakai volunteers helped the Consultant collate and collect new data which are currently under treatment by RO staff. The data will be sent to the Consultant for a new release of the report in August.
OF.2.1.2 Identify needs of each target group and village institution members to determine the design and/or selection training and capacity building (LOA − NTPC) Action and reporting completed See 2.6.11 above.
OF.2.2.1 Outline business development plan with key steps for addressing identified business opportunities in consultation with resettlers target groups. (LOA − NTPC) Action and reporting completed See 2.6.11 above.
OF.2.2.2 Outline a roadmap and key steps for developing proposed tourism products and/or services in consultation with resettlers. (LOA − NTPC) Action and reporting completed
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See 2.6.11 above.
OF.2.2.3 Develop a training strategy for employment and non-employment livelihood opportunities in consultation with resettler target groups (LOA − NTPC) Action and reporting completed See 2.6.11 above.
OF.2.2.4 Disseminate information about the implementation stages based on the questions raised in the Village Consultations (LOA − GOL) Action and reporting completed See 2.6.10 above.
OF.3.1.1 Prepare for gradual hand-over to the District Offices by engaging them in the design, implementation and evaluation of all programs. (LOA − GOL) Action and reporting completed In order to ensure the sustainable operation of Off Farm programs by District offices after RIP closure, District staffs and RO team have worked together in planning, implementing and reporting on all Off Farm activities during the last two years. Involved District Offices in Off Farm pillar were: Information, Culture and Tourism Office, Industry and Commerce Office, Education and Sport Office, Youth Union Office, Lao Women Union Office, Labour and Social Welfare Office, Agriculture and Forestry Office.
Through their continuous involvement within activities, District staffs received an “on the job training” and could acquire an extensive knowledge on all Off Farm Programs as well as a number of skills in activity planning, project management and monitoring, ensuring sustainable hand over. This on the job training was completed with specific trainings, such as the Training of Trainer on Financial Literacy and SME business planning conducted by the Lao Micro Finance Association in from 21 to 23 June 2018.
A number of study tours and participation to events outside of Nakai were also organized in order to increase ownership of District and RO staffs within the planning of activities, such as a the participation to Mega Education and Job Fair in Vientiane, to two Start Up week end in Vientiane as well as a visit of a successful Saving and Credit Union in Champasak Province.
Finally, in order to facilitate implication of both parties within activities, three District staffs, from Youth Union Office, Education and Sport Office and Labour and Social Welfare Office joined the Off Farm team on a full time basis. Their performances were regularly assessed and their skills have shown continuous improvement over the last months. The involvement of District Offices into Off Farm Programs has been made according to KPI and Target. It will ensure a more efficient and sustainable hand over of activities to District Authorities.
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OF.3.1.2 Establish partnerships with the private and public sector, as well as international organizations for involvement in training and mentoring. (LOA − NTPC) Action and reporting completed Throughout the implementation of the Off-farm program, several partnerships have been formed with private, public as well as non-profit and international organizations. Development of partnerships is a key element to bring innovative ideas and approaches for the development of Off Farm activities on Nakai Plateau. It is also a major component of sustainability of business development promoted by the Off Farm Pillar.
The partnerships that have been established are diverse and have served many purposes. This includes: to strengthen access to markets, to promote joint ventures and to share knowledge, methods and ideas for business and socio economic development.
The Start-up weekends and the Education & Job Fair organized by District Authorities and the Off-farm team in 2017 have played a major role in strengthening these partnerships. A total of 37 partnership organizations (17 private, 18 non-profit, and 2 international) participated in these events and many of these are recurring partners as 10 of the organization joined all three events. These events were also the opportunity for partners to interact among themselves and to discuss about opportunities for Nakai.
The partnerships will be further developed during the implementation of the Mid-Term Development Plan (MTDP). For this purpose, District Authority and NTPC have agreed on a format of Memorandum of Understanding (MoU) on ‘Partnerships for Promoting Sustainable Economic Development on the Nakai Plateau’ to be signed between Partners, Nakai District and NTPC in order to officialise partnerships. This MoU gives space for innovative approaches in partnerships benefiting communities while ensuring the respect of a number of principles to protect communities and environment.
OF.3.1.3 Provide support and capacity building relevant to Off-Farm to institutions at the Hamlet level, particularly but not limited to the VDCs and VDFs. (LOA − GOL) Action and reporting completed The Off Farm pillar ambitions to create a supportive environment for business creation and development in resettlers hamlets. A key element for this is the presence of supportive institutions at the Village level. Indeed, to ensure progressive development of business in rural context, the village level is the first step.
For this purpose, District Authorities, with the support of RO team, have worked extensively to provide capacity building to village institutions relevant to Off Farm activities. Capacity building efforts mostly focused on Village Development Fund committees who play a fundamental role in supporting business development.
The capacity building was organized in two ways. First, District and RO staffs provided continuous support to Committees through regular visits. These visits focused on fund
Page 81 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program management and accounting in a learning by doing approach. Second, a set of specific trainings was organized over the two years based on the needs identified by the committees themselves, District and RO staffs, or during formal assessment by external consultants. These trainings include the training on Financial Literacy and SME organized by Lao Microfinance Institution (MFA) on June 2017, or trainings on VDF management and accounting organized by supervisor from DAFO and Off Farm Team, was organized over the two years based on the needs identified by the committees themselves, District and RO staffs, or during formal assessment by external consultants. This capacity building is part of a broader effort to ensure sustainability of VDF operations and of business development opportunities after RIP closure. See VDF results for the year 2017 in the table below VDF results - 2017
Total loans Outstanding loans Dividends Hamlet PAR30 NumberAmountNumberAmount Total Dividend Average/HHs Ban Bouama 25 75,900,0000- 0% - Ban Done 59 213,950,000 22 57,600,000 0% -- Ban Konekean 23 73,300,000 0- 0% 13,807,000206,075 Ban Nongboua 86,100,000 1500,000 0% - Ban Nongbouakham 101 358,120,0000- 0% 28,300,000410,145 Ban Nakai Neua 107 533,600,000110,000,000 0% 61,422,000499,366 Ban Oudomsouk 60 183,500,000 17 31,750,000 0% -- Ban Phonphanpek 63 175,660,00021,200,000 0% 16,748,000194,744 Ban Phonsavang 30 75,450,000 33,100,000 0% -- Ban Nakai Tai 112 317,100,000 52 91,614,000 16% - Ban Namnian 48 153,170,0000- 0% 24,456,000354,435 Ban Sop Hia 37 98,400,000 0- 0% 13,356,000247,333 Ban Sop Ma 55 108,100,000 28 59,100,000 0% -- Ban Sop On 82 138,000,000 29 38,200,000 0% - Ban Sop Phean 48 111,000,00044,700,000 100% -- Ban Thalang 63 244,500,00011,500,000 100% 32,932,000302,128 Total Amount 921 2,865,850,000 160 299,264,000 191,021,000 2,214,226
Hamlets highlighted in yellow did not have dividend distributions for the year 2017 as dividends for year 2016 were distributed late in 2017 due to late loans repayment. PAR30 (Loan late over 30 days / Outstanding loans) in Ban Sop Phene and Ban Thalang reaches 100%. These numbers are misleading as the two hamlets are waiting for the repayment of the loans to start new loans, therefore only late loans are considered in the PAR30 computation. Other hamlets without dividends are awaiting for dividends distributions.
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OF.3.2.1 Develop social-enterprise business model handbook in consultation with District authorities (LOA − NTPC) Action and reporting completed In the past years, an increasing amount of small enterprises have emerged on the Nakai plateau. A central part of the Off Farm Pillar commitment to support local businesses on Nakai plateau has also been to create a balanced and sustainable development for all people of Nakai plateau. For this purpose, the District Industry and Commerce Office, the District Information, Culture and Tourism Office and the Off Farm Team have worked together to define and promote responsible models, adapted to Nakai context. Based on the compilation of documents and experiences on Social Business, Fair Trade and Corporate Social Responsibility (CSR), a Handbook was discussed and developed for Nakai Plateau business community. The social enterprise handbook (guiding principles for responsible business development) has been produced in December 2017 and provides guidance for local entrepreneurs and ‘outside’ investors willing to develop their business in a way that provides maximum social and economic benefit. The handbook outlines a number of guiding principles for doing responsible business on Nakai plateau. However, these are guiding principles and not a regulatory framework as such. To adapt the communication of these principles to the context of the Nakai plateau, the handbook has been developed in the format of posters (drawings and simple wording). The Handbook will be promoted by District Offices and will be a key element of the Resource Centre.
OF.3.2.2 Establish Resource Centre to accommodate start-up venture program and function as communal hub for Off-Farm programs. (LOA − NTPC)
Action engaged − progress 39% (according to KPI and Target) A major component of the Off Farm Pillar is the establishment of the Resource Centre in order to facilitate business development in Nakai. The Resource Centre will act as a hub for business development, facilitating access to market, providing vocational and business trainings, accessible to all villagers of Nakai. In 2017, District Authorities and Off Farm team have worked together towards the establishment of such a structure to finally reach a first agreement in December 2017 settling a number of pre conditions to the establishment. First, two sites have been identified as suitable for the Resource Centre: the two former agriculture extension facilities of Nongbouakham and Phonsavang. The opening of the two sites will make the Resource Centres easily accessible for both North and South Village clusters. The lands will be owned by Nakai Villagers. Moreover, a Steering Committee and a working group, both representing major District Offices and NTPC management, have been set up to lead the establishment and to agree on a sustainable legal structure and a safe management and supervision system. Further discussions on the legal structure will continue in the first half of 2018 for an official establishment by June 2018.
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Despite the delay in the formal establishment of the Resource Centres, the two areas were cleaned in July and August 2017 in order to host a number of activities under the Off Farm Pillar. The second Start Up Week End as well as several camps for preparing the new batch of Long Term Scholarship grantees were held in Nongbouakham Resource Centre. The Youth Leadership Program is also conducted there. Phonsavang Resource Centre hosted several camps from Happy Nakai group and is currently used for the development of several organic farming activities. On the first semester of 2018, District Authorities and the Off Farm team will focus their efforts in finalizing the legal structure and the operation of the Resource Centre in order to ensure sustainability and ownership by villagers.
OF.3.2.3 Establish start-up venture program to address business and tourism opportunities identified in the research and planning process (LOA − NTPC) Action and reporting completed In 2017, the commitment to develop local enterprises on the Nakai plateau was continued through a number of activities under the Off Farm Pillar. A central point for the development of business is the organization of two start-up weekends.
These events were carried out on 10-11 June, 2017 at the Wooden Guest House and on 4-5 November, 2017 at Nongbouakham Resource Centre. The start-up weekends was organized by a team of 6 business development specialists from a Start Up incubator based in Vientiane.
The start-up weekends were interactive events, where Nakai villagers could propose their business ideas and meet with experienced business mentors to develop their business plan. A total of 103 young Nakai villagers participated in the start-up weekends, of which 80% were women. In addition, 29 mentors from 15 different companies and iNGOs, including Bizgital, Book Delivery, I Job, Newrest, RDK consulting, and 108-1009 group, joined the start-up weekends as well as 9 staff from the Nakai District and 18 people from NTPC. (See data in Annex 4).
The two start-up weekends resulted in the development of 14 different business ideas. As of December 2017 five types of small enterprises (weaving groups, organic chicken raising, organic vegetable farming, fish processing and Soap making) have already materialized. Moreover, nine participants representing the most promising business ideas went to Vientiane to participate in a 5-days business incubation workshop in November 2017.
OF.3.3.5 Establish monitoring system to provide on-going mentoring and support of training participants (LOA − NTPC) Action and reporting completed The Off Farm pillar promotes higher education and professional training for better economic opportunities through to main programs: Vocational Trainings and Long Term Scholarship.
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The objective of this action is to ensure the support of the students and their success, by preparing them extensively before departure and by following them continuously during their study.
For this purpose, a monitoring system has been developed. The monitoring system ensures that District Youth Union Office, District Education and Sport Office and the Off Farm team remain in close contact with the educational institutions and the students. Regular contacts are scheduled, by phone or in person, and a close follow up of the academic results of each student is done. The system allows tracking and supporting students who face difficulties during their studies.
Moreover, before study, throughout application processes, students are informed about academic requirements, accommodation, and student allowances. Moreover, student preparation workshops are organized prior departure. During these events, students are invited to discuss about the life ahead with other students already enrolled as well as with staffs from District Offices and Off Team. It is also the opportunity for them to establish contact with the other students enrolling within the same educational institution.
OF.3.4.1 Implement monitoring of (1) new established businesses (2) income for new and previously existing businesses (3) range of sectors covered by resettler businesses (LOA − GOL) Action completion deferred to 2018 − progress 0% (according to KPI and Target) This action is still under planning and was deferred during the JWG adaptive management and expected to be completed within the first semester 2018. The team was however able to receive some valuable inputs from other organizations (MFA and Social Protection and Sustainable Livelihood project in Sepon) on monitoring systems of small businesses, which can be used by villagers. In the coming months, District Industry and Commerce Office and the Off Farm team will develop a simple monitoring system to be conducted by participants of the Youth Leadership Program.
OF.3.4.2 Implement monitoring of (1) number of resettlers employed following capacity building programs (2) income of off-farm employed resettlers (3) range of sectors in which resettlers are employed (LOA − GOL)
Action completion deferred to 2018 − progress 20% (according to KPI and Target) Over the last 6 months, District Youth Union Office, District Education and Sport Office and the Off Farm team have conducted regular monitoring to follow resettlers that joined one of the three capacity building program under Off Farm pillar: Long Term Scholarship, off-site vocational training and on-site training. Partial results are presented in Annex 4. In the coming months, District and Off Farm team will continue monitoring activities and consolidate results, while progressively integrating the youth in conducting monitoring activities.
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OF.3.4.3 Explore ways for resettlers to be involved in the monitoring process. Participants to be selected particularly from Youth Leadership Program (LOA − GOL) Action and reporting completed Capacity building of the youth on the Nakai plateau has been a major element of the off-farm program during CAP implementation in 2016/2017. This includes, but is not limited to, the engagement of the youth in various monitoring and research activities.
For this purpose, in 2017, 32 young resettlers, of which 78% were women, have been involved in a number of monitoring activities: the Quarterly Socio-economic Monitoring (QSEM), the Living Standard Measurement Survey (LSMS), the EDC Market Research and the Water Monitoring (GRET).
All activities included 1-2 days training of young resettlers in interview and facilitation techniques prior to the actual implementation of activities in communities. Moreover, several of the participants were trained on computer software data entry skills.
Finally, training on monitoring is a major component of the Youth Leadership Program, during which participants are trained to innovative monitoring techniques. The Off Farm team especially took the approach of the SPSL project presented to the District staffs and RO team during their field visit of the SPSL project in Savannakhet Province and Champasak Province in 2017. This approach places the community members as the central part for monitoring development projects, allowing empowerment of community members and better ownership.
Other actions OF.3.1.4: Continue and expand the establishment of self-governing VDF Network Support Organization and linking to external support and audit (MTDP initiated during LOA)
Action engaged – progress at 66%. Based on the recommendations of Consultant in 2015, the team is trying to organize a sustainable/villagers managed supervision structure for the VDF. The main recommendation for that was the creation of a Network Support Organization (NSO), similar to the ones created by GIZ as part of the project Access to Finance for the Poor (AFP).
In February, the RO team met with AFP team in Vientiane to learn more about the structure and costs of such organization. Discussions with AFP pointed out a number of constraints in the setting up of an NSO due to the specificities of Nakai Context: - The setting up and daily operations of an NSO are costly due to the need for, at least, three full time trained staffs (Bank of Lao new requirements). To cover such costs, a large number of Village banks members are required. Sixteen Village banks are not enough and the VDFs are not generating enough profits to ensure the sustainability of an NSO in Nakai. - Setting up an NSO is a long process and requires supervision and financial support over several years to achieve full autonomy, as it was the case for AFP project (average of 5 years to achieve autonomy).
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Based on this discussion, and following the advice of AFP team, RO team met with Lao Micro Finance Association (MFA) in March to discuss partnership opportunities for supporting the VDFs. MFA visited Nakai in April for a first field assessment. The MFA proposed two options for supervision of the VDFs, the creation of an NSO as proposed by the consultant or the creation of a Saving and Credit Union (SCU) at the District level. An SCU, according to Bank of Lao rules and regulations, requires the same staff structure as an NSO. Consequently, for both options, post RIP support from NTPC and District will be required. Models are described in detail within Annex 4.
The choice between these two options is being discussed with District authorities and VDF committees. A visit (RO management and District staffs) to a village bank that has successfully evolved into an SCU in Champasak province was also done on July 17th. MFA is also expected to come back to Nakai in the first semester of 2018 to further discuss with Committees and shareholders through consultation process.
OF.3.1.5: Design and implement a Youth Leadership Program to engage youth as active members of the community, in particular but not limited to the Off-Farm Development Programs (MTDP initiated during LOA).
Action completed – Report under finalization Over the last years, young resettlers have played a central role in fostering development goals in Nakai plateau. In acknowledgement of this, the CAP included the development of a Youth Leadership Program to ensure that the youth continue to play a central role in the sustainable development of Nakai communities. The main objective of the Youth Leadership Program is to enhance the capacities of young resettlers. For that purpose, District Youth Union Office and Education and Sport Office, together with the Off Farm team have developed a comprehensive curriculum to increase skills of the young resettlers while giving them the opportunity to develop their own project for community development. The program is based on three main pillars: business, environment and social engagement. Each pillar is divided into courses such as management and leadership, business planning, accounting as well as English and environmental science during which youth are also invited to put in practice what they learn. In August 2017 consultations were held in each of the 16 hamlets to recruit motivated and qualified candidates for the Youth Leadership Program. A total of 73 young resettlers signed up for the program of which 23 were selected to participate. The Youth Leadership Program is held at Nongbouakham Resource Centre on a full time basis. The format of the program oblige the youth in planning and organizing life in the centre, making them responsible into a small community. The Youth Leadership Program began on 6. November 2017 and will last for a period of 6 months until the end on April 2018. The team in charge of the program is currently trying to make the program financially sustainable through the development of income generating activities.
OF.3.1.6: Continue and expand handicraft production groups through Happy Nakai (MTDP initiated during LOA).
Action completed – Report under finalization
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The Happy Nakai youth group was established in 2015 and has since been involved in a number of different entrepreneurial activities, such as production and sales of weaving products, wood toys, chicken raising, wild mushrooms, ginger farming, sewing of recycle bags as well as services events organization, food catering and data collection activities.
The production, marketing and sales of handicraft products has been a key element of the work of Happy Nakai since its establishment. For this purpose, District Authorities and the Off Farm team have worked extensively with Happy Nakai volunteers and handicraft production groups of Nakai to increase sales and to develop new products. Since its creation, Happy Nakai has shown continuous increase in its business operations as the group sold handicraft products worth 130.475.000 LAK in 2016, and 265.400.000 LAK for the year 2017.
While Happy Nakai directly produces some of the handicraft products, Happy Nakai also collaborates and promotes the two weaving groups of Ban Sophia and Ban NamNian. Happy Nakai especially supports the weaving groups in accessing new markets to sell their products. In the first semester, District Authorities and Off Farm team will focus on the formalization of Happy Nakai legal structure, on the training of volunteers in management tasks, and on the set up of clear procedures and accounting system in order to ensure the sustainability of Happy Nakai operations.
OF.3.3.1: Organize and implement annual Education and Job Fair with identified partners (MTDP initiated during LOA).
Action completed – Report under finalization In order to increase Off Farm employment opportunities for Nakai communities and create new linkages between the different stakeholders involved in Nakai, the District Information, Culture and Tourism Office and the Off Farm Team organized the first Nakai Education and Job Fair in partnership with a specialized HR company, on November 18 and 19, 2018.
Over the last 6 months of 2017, District Authorities, the Off Farm Team and the consulting company worked together to identify sponsors and partners from public, private and non-profit sectors for the event. They also developed communication materials in order to reach as many people as possible. Indeed, the scope of the event was broader than Nakai District, also targeting nearby Districts, making it a provincial event. Finally logistics of the event was organized by Nakai District, with the support of NTPC teams and Happy Nakai volunteers.
The event was successfully conducted at the Nakai District Hall. 43 exhibitors joined the event and 1,302 persons registered during the two days. During the event, several discussions over employment and business opportunities in Nakai and in Lao PDR were organized, involving experienced professionals from private and public sectors. Dance, music and sport shows were also presented.
Apart from its primary purpose of promoting employment and education opportunities, the event was also the opportunity for the different stakeholders to discuss and strengthen cooperation. Production groups (fish processing, weaving, organic vegetable) from Nakai could also open booths in order to present and sell their products.
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Finally, in order to ensure the sustainability of the event, the District Information, Culture and Tourism Office and the Off Farm team are finalizing an SOP to guide the organization of next editions.
OF.3.3.2: Develop and implement on-site training programs tailored to the specific needs of various disadvantaged socio-economic groups (MTDP initiated during LOA).
Action completed – Report under finalization The CAP was designed to provide specific training opportunities to all resettlers including households categorized as poor, vulnerable and high-risk. In order to diversify the sources of incomes of these households, specific sets of training have been developed and conducted over the last year, by the District Labour and Social Welfare Office and the Off Farm Team.
Based on the needs for training identified on the field in collaboration with Technical and Monitoring teams, as well as on the opportunities, several trainings were provided to disadvantaged groups: Soap making, meat processing, cooking and financial literacy/business planning. A total of 103 resettlers joined the different training (with a majority of women). Detailed results are presented in Annex 4. Most of the training have been organized with pairing system, associating a disadvantaged household with a better off household. This method allows increased cooperation between the resettlers, creating specific support from the community for disadvantaged households,
In the coming months, the District Labour and Social Welfare Office and the Off Farm Team will continue identifying relevant training needs for disadvantaged groups.
OF.3.3.3: Continue and expand off-site vocational training program (MTDP initiated during LOA). Action and reporting completed The Vocational Training program aims at providing employment opportunities to resettlers through the development of professional skills.
The KPI and target for this action is a total of 30 students enrolled in off-site vocational training by Q4 2017.Between 2009-2015, a total of 276 resettlers have received vocational training of which 74% were women. The aim of the vocational training (VT) program has been to increase resettler’s possibilities for employment on and off the plateau, but also to enhance technical knowledge, within various fields, that can support people in developing their own businesses.
In 2016-2017 the off-site vocational training program was continued with the enrolment of 40 additional off-site VT students. In total, 14 students went to Sekong Technical Vocational College; 6 students went to Vientiane Professional Development Collage; 1 student went to Saysombath Technical Collage in Savannakhet and 19 students to the Technical School in Pakse.
Students attended 3-4 month courses within the fields of cooking & hospitality, car repair & mechanics, industry weaving & tailoring, electrician, tailoring, carpentry and agriculture. In
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2016-2017, women continued to dominate off-site VT enrolment as they made up 78% of all students.
OF.3.3.4: Continue and expand scholarship program for higher education (MTDP initiated during LOA).
Action completed – Report under finalization The Long Term Scholarship (LTS) program is part of a long term commitment by the NTPC and the Nakai District, to improve the opportunities for skilled employment among young resettlers on the Nakai plateau. The Long Term Scholarship Program supports students of Nakai to access higher education, providing support in the application, preparation of exam and financial assistance during studies.
A new round of Scholarship was organized in 2017, with consultations in all hamlets in July. For the first time, District Education and Sport Office and Off Farm team organized several study camps before the exams in order to maximize the chance of passing. Another innovation of the 2017 batch is a better coordination with other scholarship institutions and the inclusion of the household economic conditions as criteria to compute financial assistance amount. This allowed an increasing number of grantees for the year 2017.
For the year 2016 and 2017 a total number of 85 Nakai villagers participated in entrance exams at five different higher educational institutions in Laos (Savannakhet University, National University of Laos, Khammouane Technical Vocational College, Lao-German Technical College and Pakpasak College). In total, 62 villagers passed the entrance exams and continued for the interviews with the NTPC/Nakai District student selection panel. Eventually, 42 young resettlers were awarded LTS grants, of which 45% were women. The total number of Nakai villagers being awarded LTS grants was for the year 2016 and 2017 combined, 40% higher that the target specified in the CAP.
In October 2017 the Nakai District and the NTPC shareholders decided to continue the LTS program after RIP closure, by establishing a Long Term Scholarship Committee.
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Action Plan for Gender equality and women’s advancement
GE.1.1.1 Design methodology and guidance materials, and conduct working meeting with management and staff to mainstream gender across action plans using Gender Markers (LOA − NTPC) Action and reporting completed In order to ensure increased gender equality as well as opportunities for women and girls in the operation, clause 9.1.5, paragraph 1&2, bullets 1-4 of the CA requests to use gender based targets (GBT) for the activities as well as a gender sensitive human resource up, monitoring arrangements as well as to ensure sufficient voice of women in institutional settings (including the company, villagers, and the GOL). Building on the results so far from the Gender Resettlement Strategy, the RO team has decided to apply systematic gender mainstreaming across all sectors of the Comprehensive Action Plan (CAP). All tasks under this AP are completed. All actions in the CAP available up to date have been assigned with a gender marker (G1/G2/G3) and remarks justifying the ranking (note: the KPI was 100% of the activities was assigned a gender marker). It is important to note that these are markers (a working tool), not indicators. For this reason, the gender indicators of the gender action plan – not the markers - shall be seen as the backbone of the gender work. The CAP lists 167 actions with 122 actions in the LoA and 45 actions in the MTDP (it was decided by JWG to reduce from 167 to 161 in August and November 2017). Out of these 167 actions, - 33 have been assigned a gender marker 1, - 116 have been assigned a gender marker 2, - 3 have been assigned a gender marker 3. 15 activities have not been assigned with a gender marker as rendered not relevant.
GE.1.1.2 Operationalize and monitor gender equality programming across Action Plans. (LOA − NTPC) Action and reporting completed
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The application of gender markers was a useful tool during the design stage. Yet, while focus was given on the marker (either G1, 2 or 3) at the beginning, less attention was paid on the realization of the markers. This is related to the fact that the GM description did not include a target value. An agreement on specific gender objectives and gender outcome indicators per sector would have been more useful than the introduction of a “general marker” per each activity.
In order to fill this gap, the RO/GOL developed a set of gender outcome indicator per sector. This includes gender disaggregated outcomes on health, nutrition, education, asset sharing, participation in livelihood activities, income generation, and representation on village and District institutions. The aim was to reach outcomes are above rural average (with road), the trends of which were outlined in report GE. 1.1.2. Key findings from the status update report (version 1) include: Maternal and child health as well as the nutrition status of children under five years of age in the resettlement area is above rural average; many indicators exceed GOL’s 2025 targets demonstrating women empowerment (e.g. high rates of family planning among all ethnic groups); Gender parity in primary education enrollment rates has increased, drop-outs have decreased over time; more girls pass exam than boys; Majority of house, land and boat titles issued in both husbands’ and wives’ names; Economic opportunities are equal for women and men - women are particularly active in certain fields, e.g. fish processing, handicraft (Happy Nakai), small businesses and small animal raising; Compared to the past, women have a stronger voice and roles in District and village government demonstrated by the positions they hold, yet challenges remain.
The company and the GOL maintained its commitment to ensure that 60 percent of the assigned G2/3 markers were maintained which was the KPI. This first version of the GE 1.1.2 report shows that in 80 percent of action completion report reviewed the coding of G2&G3 of maintained. This analysis included a review of 30 reports of which it was found that in 24 cases the coding maintained.
GE.2.1.1 Design and implementation of a multi-staged capacity building program to support District GMT to build skills and become operational. (LOA − NTPC) Action and reporting completed The capacity building of District GOL staff included trainings for a multi-sectoral Gender Mainstreaming Team (GMT) as well as specific support for the local line agency, the Lao Women’s Union (see next section). In order to align the CAP implementation with the GOL’s National Gender and Women Advancement Plan 2016-2020 and to coordinate with Central GOL in view of sustainability of post-RIP, NTPC partnered with the National Committee for Advancement of Women (NCAW) on capacity building. Given that the trainers were co- authors of the sam sang guidelines of the Central Government, NCAW was extremely well positioned to orientate the GMT around sam sang principles for gender. Under this Action, four tasks were completed:
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- Need assessment for capacity building; - Convening of orientation workshop; - Design of the capacity building program; - Facilitation of 3 capacity building workshops (see below table for details).
General District Training Information and Participants Training session Date Location of Total participants Female training First training by NCAW October 24-28, 2016 Nakai 68 39 Second training by NCAW December 7-9, 2016 Nakai 47 30 Third training by CLWP May 4-5, 2017 Nakai 27 15
With the improved skill-set of the District’s GMT, the local District GOL is having basic skills to maintain and to push for gender aspects in Nakai’s future village development, both for the closure of the RIP as well as for the period after RIP closure. In particular, the acquired skills are expected to be applied in the VDP review process to support women’s aspirations as well as to campaign for further leadership positions in the District Government.
GE.2.2.1 Skills intensification training for LWU and WAC in line with needs identified in performance reviews -Link to Provincial Strategic Plan on Advancement of Women, Mother and Child 2016-2020 – workplan 2 -Link to National Gender Implementation Plan 2016-2020 (LOA − NTPC) Action and reporting completed GE. 2.1.1 was implemented in view of the sustainability of post-RIP measures and the aim to build on experiences of other organization and pooling resources. For this action, NTPC partnered with the Central Government again. This partnership with the National Committee for Advancement of Women (NCAW) included INGOs “Peace through Partnership” (Cord), the “Learning for Development Association” (LDA), “Women mobilizing for Development” (MHP), and the “Participatory Development Training Center” (PADETC). Four workshops were conducted, exceeding the initial KPI of two workshops.
District LWU and WAC Training Information and Participants
Training session Date Location of Total participants Female training First training by NCAW, Cord, July 26-30, 2016 Thalad, Vientiane 4 4 LDA, MHP and PADETC province Second training by NCAW, Cord, August 22-26, Vientiane 4 4 LDA, MHP and PADETC 2016 Third training by NCAW, Cord, September 26- Ban Keun, 4 4 LDA, MHP and PADETC 30, 2016 Vientiane province Fourth training by CLWP May 4-5, 2017 Nakai 15 15
With the improved skill-set from the training, the local District GOL has basic skills to maintain and push for gender aspects in Nakai’s future village development, both for the closure of the RIP as well as for the period after RIP closure.
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Performance review by NCAW was organized in September 2017, the recommendations of which include organizing refresher trainings, stronger support from district authorities and larger budget allocation for gender at District level
GE.3.1.2 Seasonal women’s evening literacy/numeracy classes for vulnerable villages (pilot in Phonsavang, Nongboua, NamNian, Bouama, Sop Phene) (LOA − NTPC) Action and reporting completed Work was organized into two phases. The first phase included the hamlets Nongboua, NamNian, Phonsavang and Sop Phene (62 villagers enrolled). The scale-up phase (second phase) included hamlets Khone Kaen, Nakai Neua, Nakai Tai, Sop Hia, SopMa and Sop On (137 villagers enrolled). Attendance was mixed during agricultural seasons, on average about 45% The women classes were grouped into three education levels using the curriculum from the Ministry of Education and Sport. The exam results suggest that 69% of eligible students (94 out of 137 students) passed score 5-7 (medium), while 30% passed score 8-10 (excellent). Only 1% of the students could not pass the exam. The KPI was that 60% of the enrolled women pass the exam. Most villagers enrolled were from the Makong ethnic group (41%), 37% from the Bo ethnic group, 12% were from a mix of other ethnic groups such as Meuy, Maen, Brao, about 9% were ethnic Lao (as defined in Ethnic AP), and less than 1% from the Ahoe group. An evaluation did show that highest attendance rates were in Nakai Neua (66%), in Nongboua (55%) and in Sop Hia (54%). The women’s evening literacy/numeracy classes will help to increase women’s agency and voice in the future (e.g. to have a leadership position in a village organization). Classes are continued in the school year 2017-18 for which 133 women enrolled from 13 hamlets (including three additional hamlets such as Thalang, Bouama and Done)
GE.3.2.1 Conduct awareness raising campaign designed especially for children/youth to encourage progressive gender thinking and understanding of gender equality (LOA − NTPC) Action and reporting completed In cooperation with National Committee for Advancement of Women (NCAW), IEC tools on gender equality were designed and integrated into the DOES’s primary school curriculum. A gender focus was also placed on the school environment and administration of schools. NCAW rolled out a campaign in 20 schools between April and May 2017 for 1,490 students (including 722 girls). While the KPI is to organize one gender awareness event per year, one more event was conducted in September 2017 for 1,837 students (including 903 girls). Also in September an evaluation of the impact of campaign was conducted looking into leadership as well as into gender sensitivity in teaching and learning processes. The KPI was exceeded which stated to conduct only one event per village per year. De-emphasizing gender stereotypes and given children the freedom to challenge and cross gender boundaries at early age is crucial. Young children can easily be trained and are open minded, so that with guided support they can cultivate gender equality in their future lives. Otherwise people’s perception and attitude may be fixed permanently and are difficult to change afterwards.
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GE.3.3.1 Consolidate program for domestic violence against women with case studies (including capacity building at village level, awareness raising, and reporting)-Link to Provincial Strategic Plan on Advancement of Women, Mother and Child 2016-2020 – work plan3 (LOA − GOL) Action and reporting completed In cooperation with the GOL’s Ministry of Justice and the Association for Development of Women and Legal Education (ADWLE) a total of 53 village grievance committees (10 women) were trained in November 2016 to bring about basic skills of conflict solution at village level. GOL guidelines and forms were introduced in each village. Another training was organized in September 2017 for all hamlets. The village grievance committees up to date have the following composition: Makong 36%, Lao 26%, Bor 25%, Tai- Kadai and others 13%. At the same time, the District’s LWU and WAC staff were trained in the documentation of case studies after which District teams collected data and analyzed it with the purpose to disseminate “positive examples” to all hamlets under a “positive deviance approach”. Up to date, during various sessions about 578 villagers were reached (444 women). A second round of sessions was conducted in October 2017 for about 530 villagers (377 women). To deepen the practice and also to build up a minimum quality of the village work, further hand- holding is needed by the Ministry of Justice. Overall, the village grievance committees still need more experience to apply their acquired skills. Continuous monitoring and on the job training by district justice office is crucial to strengthen their capacity and skills in conflict solution in the long term. 16 case studies on domestic violence were recorded up to the time of the preparation of report. To ensure the effectiveness and sustainability of the introduced measures, the activity shall continuously be implemented by involvement of all concerned district offices and the communities. In doing so, the District has to work towards an increased share of women in the village grievance committees as well as towards improving the quality of the documented case studies.
GE.3.3.2 Review of effectiveness of measures in declared cases of domestic violence (LOA − GOL) Action and reporting completed The KPI for GE 3.3.2 was “grievance committee and other actors operational and 75% of cases settled in line with women’s legal rights”. As mentioned above in chapter 3.6.7, 16 case studies on domestic violence were recorded up to the time of the preparation of report. It is assumed that fair conflict resolution skills will be build up over time and that the target of 75% settled cases was overambitious due to the short period of time for the village grievance committee to apply their acquired skills. For this reason, that target was changed to “at least 10 case studies documented by village grievance committee and at least 50% approved by DOJ as fair resolution”. This target was achieved. For those cases in which unfair settlement was attested, the DOJ together with LWU is currently conducting household consultations for appeal and further legal actions.
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Out of the 16 case studies recorded nine cases (56%) were successfully solved, while 1 case (6%) was only partly solved and 6 cases (38%) not fairly solved and was agreed to be reviewed again. The trainer from the Ministry of Justice conducted a focus group discussion with village grievance committees and villagers mid-September 2017 at each village in the resettlement area. 151 villagers joined (57 women) of which 23.8% were from the Makong, 25.1% from the Bor, 34.4% from the Lao, 5.9% from the Ahoe and 8.6% from other ethnic groups.
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PV.1.1.1 Confirm source of financial support for social safety net till the end of the CA. (LOA − NTPC) Action and reporting completed The Social Safety Net (SSN) Policy was first developed by NTPC in 2009 for identifying and supporting the Vulnerable and later revised in 2017 together with the Nakai District to identify vulnerable households. NTPC has agreed to implement, until 2035, a Social Safety Net mechanism (SSN) to provide free nutrition support and free health care for vulnerable households. A final contract between GoL and NTPC aimed to ensure the fund for the SSN. The SSN will be funded under the Nam Theun 2 Development Fund that will support the Community Development on the Nakai Plateau once RIP will be closed.
PV.1.1.2 Confirm that Community Based Health Insurance (CBHI) system is fully functioning in Nakai District. (LOA − GOL) Action completion deferred to 2018 − progress 30% Under the RIP, vulnerable households currently receive full health cover from NTPC and will continue to get so until the end of the Concession Period. Poor households continue to receive free medical services as per CA and High Risk households currently receive health cover for treatment from NTPC and health cover for preventative care (vaccinations, maternal health) through GOL policy. After the end of the RIP, Poor and High Risk households will transition to receiving health cover through GOL systems only. In preparing the Post-RIP SSN it was envisioned that the SSN could make use of the CBHI (Community Based Health Insurance), hence this action for confirming that CBHI was functioning prior to using it in the SSN system. However the Community Based Health Insurance was implemented in parts of Khammouane but never in Nakai. Furthermore, as of early 2017, the Government of Laos has decided to replace CBHI with a new system, the National Health Insurance. The government is currently rolling out that National Health Insurance scheme. Staff from the Ministry of Health organized training for the Provincial Health Office about the National Health
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Insurance in August 2017. Subject to this training, the National Health Insurance was launched in Khammouane Province, including Nakai District, on 1st of October 2017. The issue is thus now to confirm that the new NHI scheme is fully functioning in Nakai before possibly using it for the SSN. The district and NTPC will work together during Q1 2018 for confirming NHI status and, if the result is positive, for organizing its use by the SSN system. This Action was therefore delayed subject to the GOL’s timeline for implementing the new policy in Nakai.
PV.1.1.3 Use other sources of support to assist vulnerable households. (LOA − GOL) Action completed – Completion report under finalization Education and health support is provided to vulnerable households by the District Health Office and the District of Education and Sport with technical and financial support from NTPC’s CLWP. RO team with district counterparts from Lao Women Union, District Health Office and District Office for Education and Sport have implemented actions to increase gender equality and to improve health and education services in the resettlement area of Nam Theun 2 Project. Special activities for poor and vulnerable households were identified under the Community Living Well Program (CLWP), which have been implemented since the beginning of 2015. It consists of special support for health services and education targeting children and adults. Methodology and mechanism were designed jointly by all stakeholders (GoL, NTPC and community). Poor and vulnerable were identified through an agreed upon selection process; the final list was used by medical staff at each health facility when eligible households accessed the health facilities e.g. Nongbouakham, Sop On and District hospital. Monthly systematic monitoring or home visit have been organized by health center staff. In case of emergency, his/her relative or the village authority contacted the HC staff for providing services at home or they were referred to a better health facility, e.g. district hospital or provincial hospital. All cost were covered by NTPC. Each school year, children from poor and vulnerable households have received educative materials e.g. school uniforms, shoes, bag, pen, pencil, ruler. The objective is to reduce their parents’ expenditure and motivate them in attending school. The action completion report has already been drafted and is under final review before issuance by NTPC DCC.
PV.1.1.4 Confirm source of financial support for special program and cash payments for Poor/High Risk until end of RIP (LOA − NTPC) Action and reporting Completed
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Identification of the sources of support for households under the poverty line until the end of the RIP was considered as a key step to ensure the resource management objective of the Poor and Vulnerable Pillar. The KPI of this action is “the source of financial support up to closure of RIP is clearly identified and documented” with the target of 100% of funds required. All actions in direction to the “support for households under the poverty line until the end of the RIP for Poor and until the end of the CA for vulnerable” are by definition LoA actions (to be implemented before RIP closure). The E&S Unit budget 2017 has been built on all expected activities detailed in the AIP 2017 which covers all LoA actions. The E&S Unit budget 2017 has been approved by the shareholders in October 2016.
PV.2.1.1 Update criteria used to identify vulnerable households (LOA − NTPC)
Action completed − Completion report under finalization The Concession Agreement stipulates that during the RIP, NTPC will provide to food support for vulnerable households until they attain and sustain the household income target. It also stipulates that the parties (NTPC and GoL) should apply special measures as required towards vulnerable persons to take care of their needs and foster self-reliance and to improve their socio-economic status. Since 2008, NTPC has provided rice and protein supplements to all vulnerable households on a monthly basis through the Resettlement Office (RO). 36 vulnerable households were initially identified. The village headman identified households deemed vulnerable, and the list of vulnerable households thus developed was endorsed by the RMU with DWG. Most vulnerable households were elderly couples, widows, or resettlers with physical or mental disabilities who lived alone without support from other family members. The number of vulnerable households has declined to 15 due to the death of vulnerable household members or out-migration. However, once the RIP is closed it will be important to continue support for vulnerable households. Hence, NTPC along with GoL, LTA and IFIs started to work on a Social Safety net in 2013 which intends to establish a support mechanism for the Vulnerable Households. The mechanism is designed to help them cope up with their vulnerability. The concept and the manual of the SSN has been extensively reviewed by the various stakeholders. It was agreed that both the criteria and the list of Vulnerable needed to be updated. It was also agreed that the Vulnerable should be identified in a participatory process in line with the methodology used for the Poor and High Risk as a first filter. The current version of the SSN enables provision of food and healthcare support for the Vulnerable households until the end of the CA. A first version of “The Social Safety Net Manual”, written in English and translated into Lao, was approved by the Provincial Governor of Khammouane on 11th February 2016. This included criteria for updating the list of Vulnerable. This version was further reviewed within the JWG during 2016. On the 4th April 2017, a meeting was convened between the District, RMU and NTPC to discuss the latest development of the SSN Manual and a way forward. During the meeting, the following updated criteria for Vulnerable persons were agreed upon (ALL 3 criteria need to be satisfied): 1. The person belonging to the original list of 1,310 resettler households or to the list of 413 Subsequent Growth Households and who is living in the resettlement area
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2. The person is from the group of households identified as High Risk 3. Any old person/old couple/disabled (mentally or physically)/paralyzed or an orphan who is/are living alone AND (doesn’t have main labour (18-59 yrs) OR cannot live without a carer) AND doesn’t have a close relative living in the resettlement area who is taking care of her/him/them. The MOM was agreed upon and signed by both the Vice Governor of Nakai District, and the Director of E&S Unit NTPC. The updated criteria were later included in the revised version of the SSN Manual approved on 9/11/2017 by the Nakai District Governor and NTPC CEO. As the updated SSN manual organized SSN before and after RIP closure, the action is reported together with the action PV.3.1.5. related to the handover design (see that action further in the text). The action completion report is being drafted.
PV.2.1.2 Update and confirm list of vulnerable households (LOA − NTPC) Action and reporting completed This action requires to have a Vulnerable list update completed before RIP closure. The Vulnerable must be identified from the High Risk households list that had therefore to be updated as a first step. Under this action, there were 6 (six) main tasks completed: Participatory wealth ranking at the hamlet level Interview Households identified in bottom groups High Risk Assessment of the households Finalization of High Risk households at hamlet level Apply filter for Vulnerable Conduct a meeting with the SSN Committee to confirm both lists
To complete this action, the District Social Welfare Office, and the Rural Development Unit from the District Agriculture and Forestry Office and NTPC’s Monitoring Team met to determine a field team. Two field teams were established. There were representatives from both offices in both field teams. The two offices were involved because DSWO is responsible for the Vulnerable program, and the RDU in DAFO is responsible for the High Risk list. Participatory wealth ranking at the hamlet level: This task was to identify the lowest income households by the representative of the hamlets; 215 HH of the two bottom groups of the lowest income households were identified as targeted. Interview identified Households: it was investigation of the 215 identified households to collect the information of each target household in order to prior identification of high risk households. Each household was interviewed, using the interview form and observed by the interviewer from the team. High Risk Assessment of the households: the assessment was done for all 215 households based on the information collected and compared with the existing surveys data. If one’s is not available, the information collected will be the main source of information’s. High Risk guide lines were used to assist the assessment proceeds. Finalization of High Risk households at hamlet level: the results of assessment were presented to the same group of representatives of the hamlet who participated in Participatory wealth ranking. The presentation was provided, the discussions opened and the agreement from the participants was finalized. Total 81 households were identified as High Risk.
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Apply filter for Vulnerable: vulnerable criteria were applied to all 81 high risk households in order to identify the vulnerable. Conduct a meeting with the SSN Committee to confirm both lists: An initial list of 30 individuals in 21 households and all the households that were not considered as vulnerable by the team were presented to the appointed Social Safety Net Committee from the villages, District and NTPC on the 13th of September 2017. A final list of 29 individuals in 24 households was agreed upon. The list of 29 individual vulnerable was submitted to the district. The list was approved by the district on 27th November 2017. The KPI and target for this action have been met, which were that the list of Vulnerable Households is completed and approved by the district. Additionally, the list of 81 High Risk HHs that included vulnerable was approved by the district on 07 November 2017. This list will be the reference list of High Risk households for the post RIP development projects.
PV.2.1.3 Update method (or criteria) used to identify High Risk households (LOA − NTPC) Action and reporting completed In accordance with District policies, the CAP, and the recommendation of the POE, the District and NTPC have agreed to create a classification for High Risk households. High Risk Households are those households that may not have met all the criteria for ‘Poor’ households, but are close to the poverty line and are at risk of falling into more severe poverty. The High Risk category was designed as a main category which would also include the Poor and Vulnerable as subsets. Poor, Vulnerable and now High Risk households receive additional livelihood improvement activities from the District with technical and financial support from NTPC.
The method used to identify high risk is based on the one used to classify the Poor households in 2014. However, the methodology is more detailed, using (1) socio-economic wealth ranking with village authorities, village development committee, and village key informants5, (2) household interviews in order to find out about general household information, socio-economic data, education, health, need, potentials, and limitations, (3) comparison to Quarterly Socio Economic Monitoring (QSEM). The method was designed by consultations with relevant stakeholders from the districts from August to October 2016. The final method and criteria were approved by Head of RDPEO Office under the No. 187/RDPEO.NK, on the 30th of September 2016.
PV.2.1.4 Update and confirm list of High Risk households (LOA − NTPC) Action and reporting completed The High Risk list is a main category that includes High Risk households, as well as the Poor and Vulnerable lists. Poor Households were identified in 2014 by the Rural Development and Poverty Eradication Office (RDPEO). A final list of 28 households in 7 hamlets was approved
5 Key informants include Village Elders, Traders, Heads of Units, and others.
Page 101 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program and will not be updated. Vulnerable Households were identified by the Naiban in each hamlet in 2008 with a final list of 36 households (now at 15 in 2017 because several households have passed away or moved out of the resettlement area). The list of Vulnerable will be updated in 2017. The RDPEO identified the list of the High Risk households with support from NTPC from the 18th of July 2016 to the 30th of September 2016 (see Section 2.8.7 for the agreed methodology). The list was officially approved by the Head of RDPEO under the No. 187/RDPEO.NK, dated 30/09/2016. A total of 25 households in 10 hamlets were approved as High Risk households. For this assessment, only the original 1,310 resettler households were eligible.
PV.2.1.5 Pilot Social Safety Net (SSN) for Vulnerable (LOA − NTPC) Action Deleted When establishing the CAP NTPC and the District discussed providing cash support to the Vulnerable either through bank transfers or the Village Development Funds. It was considered that the establishment of such a new system would require a pilot phase to test it on a small scale before it could be fully adopted for all HHs. However, both new options were deemed unsuitable. Bank transfers mean that the Vulnerable person need to be able to come to Oudomsouk, which is often not possible due to age, disability or lack of transport. Transferring money to the Vulnerable through the VDFs is also not possible under current regulations. The VDF system is only set up for loans, and it does not allow people to transfer or withdraw money. Therefore SSN is to continue with existing in-kind support after RIP, removing the need of a pilot phase. Therefore, this action was considered unnecessary and was removed from the CAP. See Annex 2 – Adaptive management on LoA implementation (JWG 4/10 and 7/11/2017).
PV.2.1.6 Adapt SSN following lessons learned under pilot, including grievance process. (LOA − NTPC) Action Deleted This action was also logically removed following the removal of Action PV.2.1.5 Pilot Social Safety Net (SSN) for Vulnerable. See Annex 2 – Adaptive management on LoA implementation (JWG 4/10 and 7/11/2017).
PV.2.1.7 Establish basis and procedures for cash payments for Poor/High Risk (LOA − NTPC) Action Deleted Due to an editing error, this action was still in the last version of the CAP (v.25 Jan 2017). On 10 August 2017, the JWG took the decision to definitely remove this Action from the CAP.
PV.2.1.8 Revise the Special Program for Poor/High Risk households (LOA − GOL) Action and reporting completed
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The KPI and Target for this action are to update the Special Program Policy. The Special Program was created in 2014 to improve the economic status of Poor Households (HH) in the Nam Theun 2 resettlement area by supporting these households to implement livelihood activities adapted to their situation. This was continued and expanded to the willing High Risk and Vulnerable under the CAP as part of the Action to Support Poor/High Risk households under the "Special Program". The program is implemented until the end of the RIP. However, as part of the CAP Special Program, it was necessary to evaluate and improve the implementation of the program. The evaluation focused on the Special Program of 2014 and 2015, including the successes and the lessons learned from the program, in order to further improve it and make it more effective in the future. There are 3 components in the “Special Program”: the original Livelihood program (Livestock activities) and the Education program and Health program that were added later. The main program which was evaluated in this report is the Livelihood program, which was implemented in 2 phases. These phases were 2014/2015, and 2016/2017 (under the CAP and using improvements). Education and Health support continued to be provided as previously to Poor households, and to the newly identified High Risk households. The main lesson learned from 2014/2015 was that a household’s success in implementing an activity depended on their level of motivation and ownership. Therefore the key change to the Special Program policy in 2016/2017 was to improve the way that the program targeted the needs and wishes of the household. In 2014/2015, households chose from a list of set livelihood activities determined by the District team, with support from NTPC-RO. In 2016/2017, the improved policy allowed households to propose their livelihood activity by themselves, and unlike before, the District team did not offer them any list of options. Most households still chose to implement livestock raising activities. However, the new process, which encouraged the households to suggest their own ideas, meant that they were more involved and motivated in the Special Program. Similarly, the team focused on involving women in the household interview and activity identification process. In many cases, the Poor and High Risk households are female-headed households. Therefore it is important to make sure that the Special Program does not create too much extra work for the women in the household. Moreover, the new policy was distributed and acknowledged to each household; therefore the KPI and target have been met.
PV.3.1.1 Support vulnerable households under the SSN (LOA − NTPC) Action and reporting Completed This Action refers to the provision of support to the list of Vulnerable under the existing system. All 14 Vulnerable households received food support on a monthly basis. The provision of existing food support has continued throughout the RIP. Households receive rice and protein (fresh meat, dried meat and eggs). Vulnerable households also receive support where interested for livelihood development through the Special Program (see PV.3.1.4 Support Poor/High Risk households under the “Special Program”). Vulnerable also received free health care support. All the benefits and procedures to receive support under SSN have been written clearly in SSN manual revised jointly by the RMU, the Nakai District and NTPC and approved on 09 November 2017 by both District Governor and NTPC CEO.
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NTPC is responsible of the whole chain of procurement and delivery. The support is delivered at the home of Vulnerable by NTPC and District Labor and Social Welfare officers within the first week of each month. Support is only in Nakai Resettlement area NTPC has agreed to implement, until 2035, a Social Safety Net Policy (SSN) to cover basic nutrition needs and health care for vulnerable households. The optional "kinship system" is also part of the SNN. Vulnerable list was updated in September 2017 and new vulnerable started receiving nutrition and health care support from 1st November onward. The vulnerable of the previous list who were not kept in the updated one continued to receive nutrition and health care until the 31 of December 2017 as a transition period.
PV.3.1.2 Support vulnerable households under the kinship system (LOA − GOL)
Action completion deferred to 2018 – Progress 50% Beside the supports provided by NTPC it is considered that it is desirable to anchor support to the Vulnerable within the existing communities and familial traditional social networks by mobilizing relatives, neighbors and village authorities in a structured agreement providing increased assistance and safety to the Vulnerable. The kinship is an optional assistance system complementary to the nutrition and health support provided by NTPC. It applies only for Vulnerable households, not for Vulnerable individuals. As such the SSN Committee through the District Labor and Social Welfare and NTPC staff make endeavors setting up kinship contract for each Vulnerable household. The support is provided according to the three following principles: 1. On a voluntary basis. 2. By mutual understanding and willingness of both parties without influence from outside. 3. With acknowledgement by village authorities. The completion of this action was referring first to the kinship contracts made for the 2009 vulnerable list. Kinship contracts were finalized by the end of 2015 for 13 Vulnerable households. Two households have no kinship contracts. One case passed away before documenting record of the reason and a document was compiled to record the reason for this for the other cases. In September 2017 the list of vulnerable was updated with the inclusion of 18 new Vulnerable HHs. The kinship option being still part of the updated SSN, new vulnerable in the updated list of September 2017 will be supported on making kinship contract following the above mentioned principles but this process (that has started) was not possible to be conducted in such a short period before end 2017. Deadline for this action was thus deferred, with completion due by Q2 2018.
PV.3.1.3 Provide cash support to eligible Poor/High Risk households (LOA − NTPC) Action Removed Due to an editing error, this action was still in the last version of the CAP (v.25 Jan 2017). On 10 August 2017, the JWG took the decision to definitely remove this Action from the CAP.
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PV.3.1.4 Support Poor/High Risk households under the "Special Program". (LOA − NTPC) Action and reporting completed The Rural Development and Poverty Eradication Office (RDPEO) of Nakai district together with other relevant sectors identified and selected a list of poor households in 2014, and a list of high risk households in 2016 from all 16 resettlement hamlets. By doing so, 28 households in 7 hamlets were identified as poor families and 25 households in 10 hamlets were identified as high risk families. Currently, to be in accordance to the district policies on the development of Nakai Resettlement Villages as well as the Comprehensive Action Plan, it was required to provide to these households specific support of livelihood improvement activities both through technical support and physical inputs. The program is implemented by the DAFO (RDPEO is now under DAFO) and NTPC staff, and is called the Special Program. The objective is to support the poor and high risk households to improve their livelihoods. The program was also extended to the Vulnerable list according to their wish. The Special Program had been provided in previous years to the Poor Households and the Vulnerable Households. The program was improved in 2016 to adjust the methodology, so that households suggested their own livelihood development activity rather than choosing from a pre-set list. Under CAP, during 2016-2017, Special program was implemented for 69 households in 12 hamlets of resettlement area. The target households were separated into 3 types as: (1) High Risk household (HR HH) 25 HHs, (2) Poor households 28 HHs, and (3) Vulnerable household 16 HHs. The main task of the special program is to encourage target households to engage in a livelihood development activity of their choice and to specially support them during preparation and implementation. The households largely suggested similar activities to previous years, which were animal raising. There were 3 kinds of animal raising suggested and selected by the households: Chicken raising, fish in plastic pond raising, and pig raising. The program provided equipment, training and follow-up for each activity. The Special Program was implemented from late December 2016 and continues until the end of the RIP. The KPI and target were to have 100% of those identified as poor/high risk and interested in participating, being supported until RIP closure. During implementation progress, team has offered livelihood activities to all 69 target households, i.e. 100% of the target households. There were 58 HHs who accepted, received and implemented the activities and 11 HHs who eventually chose not to implement any activity because of individual reasons related to the circumstances of each household. The reason for each household withdrawing from the program is detailed in Section 5 of the completion report. Because the households themselves withdrew their interest and chose not to participate, the Special Program has reached the KPI and target.
PV.3.1.5 Design handover processes between the end of LoA and the post RIP programs under MTDP (LOA − NTPC) Action completed − Completion report is being drafted combined with report of Action PV.2.1.1.
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This action is completed as the SSN Committee, tasked with the implementation of the support to Vulnerable, has been already functioning and will just continue to do so before and after the closure of the RIP, following its reshuffling by the Nakai Governor Decision 478 of 24 October 2017, As this action follows logically the action PV.2.1.1 it has been combined with it in a single report that is being finalized and is to be issued in early 2018. The final list of High Risk HHs approved by the Nakai Governor Decision on 7 November 2017 will also be handed over to NP-LAF and any other project coming in.
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EG.1.1.1 Conduct an assessment of the situation regarding the return of the Ahoe to Old Sophia from legal, District Policy, National Policy, CA, environmental and safeguard perspectives. [AND] EG.1.1.2 Share the results of the assessment with the JWG for a collective statement in response to POE report #24. (LOA − WB) Action completed – Action report being finalized by the WB
EG.1.2.1 Identify and implement necessary, additional measures to bring the project into compliance. (LOA − NTPC) Action completed – Action report being finalized The Concession Agreement (CA) signed between the Government of Lao PDR (GOL) and NTPC requires that special measures be taken so that ethnic group resettlers, and in particular vulnerable ones, would be consulted about, participate in and provide feedback on the mitigation measures in a free and informed manner. The CA also specifies that ethnic groups should receive project benefits in a culturally appropriate manner. This is consistent with the safeguard policies of the World Bank and the Asian Development Bank (“International Financial Institutions - IFIs”) that support the NT2 project. As part of the Ethnic Groups Action plan in the Comprehensive Action Plan of the Joint Working Group, it was deemed necessary to conduct a thorough and independent review of the compliance status of the project with regards to Ethnic Groups related obligations and provisions. The KPI for this action is a field mission report from a safeguard specialist and report detailing measures to ensure full compliance. The target is the report and recommendations. A TOR was drafted in consultation with the Joint Working Group, in particular representatives from the World Bank and the ADB to ensure compliance with IFI Safeguards. A specialist was agreed upon, who conducted field work on the Plateau in November of 2016. The specialist also conducted a desk review of project documents. The final report produced by the consultant provides a comprehensive analysis of each obligation and provision in the Concession
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Agreement related to Ethnic Groups. The consultant also provided a list of recommendations designed to help the project achieve full compliance. On the 19th of May 2017, the District Government organized a meeting between the Nakai District, RMU and NTPC, to discuss the status of lagging groups in the Resettlement Area (including ethnic groups), using on a discussion paper prepared by NTPC based on the findings of the consultants’ compliance review. A key agreement of the meeting was that: There is a common understanding that lagging status and vulnerabilities are not directly or fully linked to ethnicity. Participants will see this rather from a social group perspective. Special consideration about high risk / vulnerable groups of all kinds will be discussed and integrated in the Planning manual (PRF), based on GOL’s policies and CA requirements. (Minutes of Meeting, 19th May 2017) Further, it was agreed that the [remaining] special measures to be implemented or further improved are as follows: 1. In-field extension methods 2. Sensitivity training for District and RO staff 3. Adjustments to the Village Development Planning Process These measures have been implemented, or are in the process of being implemented under the CAP. The extension methods designed to support ethnic groups to access trainings are outlined in the combined report of Actions EG.3.1.5 and EG.4.1.1 (see section 2.9.8). Sensitivity training for various factors which affect a households ability to pursue livelihoods or access trainings is being conducted for District and RO staff in December 2017/January 2018. The Village Development Planning Process, which was implemented with support and training from the Poverty Reduction Fund in Q3 and Q4 2017, was adjusted to improve its sensitivity to ethnic groups. This included individual interviews with ethnic group representatives after the initial VDP meeting, as well as analysis of the VDP meeting attendance to ensure all ethnic groups in the village were represented in the discussions.
EG.1.2.2 Enhance report specifically on the Ahoe and present data break down by ethnic group where possible (e.g. for the QSEM) as well as by hamlet (where appropriate, e.g. in operational reporting) with a column explaining what the main ethnic in that hamlet are. (LOA − NTPC) Action and reporting completed The KPI and target of this Action were that 100% of relevant monitoring reports containing data be disaggregated by ethnicity or by hamlet. Previous QSEM reports present data disaggregated by hamlet, and both the QSEM 13 and the LSMS 8 have data disaggregated by ethnic group. Therefore, the target for this action has been achieved. In addition, all relevant Action Completion Reports have been adjusted to include information on ethnic group participation. There are 5 main ethnic groups which have been identified in Nakai: Lao Loum, Makong, Bor, Tai-Kadai and other, and Ahoe. In order to document that the ethnic groups in Nakai have benefited from the resettlement program, it is necessary to provide accurate socio- economic data disaggregated by ethnic group. This socio-economic data should cover a range of indicators of well-being and security, including financial and livelihood data. This was also a binding recommendation of the POE in their Report #24.
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Therefore, it was necessary to ensure that next issues of the Quarterly Socio-Economic Survey (QSEM 13) and The Nakai Socio Economic Survey (LSMS 8) included data disaggregation and analysis by ethnic group. QSEM and LSMS are statistical reports which cover socio-economic outcomes of the resettlement hamlets. QSEM uses a smaller survey, conducted every 6 months in-house by NTPC. LSMS uses a far more comprehensive survey which is conducted by Indochina Research. The QSEM 13 report, which was published in January 2017, focused exclusively on ethnic groups (previous issues report data by hamlet). The LSMS 8, which was published in September 2017, disaggregated the data by wealth group, generation (resettlers and subsequent growth households) and ethnic group. It was also important to expand the operations reporting on ethnic group participation. This can help to indicate if ethnicity plays a role in the way in which the resettlers access the resettlement programs. Action Completion Reports are created for each action in the Comprehensive Action Plan once the related activity is complete. A cross-cutting issues section was created in each Action Completion Report (where the action involved resettler participation), which presented analysis of Ethnic Group participation as well as information on Gender and Poor and Vulnerable. The analysis used information in the NTPC database (the individual and household ID numbers and the ethnic group of household head), and the participation records from activities. The analysis compared the participation rates of each ethnic group in the activity to the ethnic group make-up of the resettlement population. Both participation and population data were obtained from the database, making it census data rather than statistical sampling data. The analysis of ethnic group participation in the Action Completion Reports was only conducted when meaningful and relevant. Therefore, the focus was on consultation and planning activities. This is because it is important that all households, regardless of ethnic group, have equal access to information. They may then have cultural or practical preferences for certain programs, but they have the ability to make informed choices. Similarly, these events usually have large enough numbers of participants for statistically meaningful comparisons. For specialized activities with lower levels of participation, or activities that only target predetermined groups, the ethnic groups of the participants was reported without comparison to population data. An Excel spreadsheet was created to support the authors of the various reports to present the data related to ethnic groups. A number of different versions were created, which led to some confusion. The lesson learned from this activity is that it is necessary to keep reporting systems simple. Ethnicity is a complicated issue. However, in order to maintain a minimum level of accuracy, the reporting system needs to be robust and user-friendly. An improved, robust and Lao-language version is planned for part of the handover to the District Government.
EG.2.1.1 Promote meaningful participation of vulnerable groups and smaller hamlets in VDCs and other important committees. (LOA − GOL) Action completed − Completion report is under DCC proceeds A key concern for the Nam Theun 2 Resettlement Project, with regards to Ethnic Groups, is to ensure that all ethnic groups are adequately represented in the hamlet and village administrative structures. Under the Sam Sang policy of the Government of Lao PDR, which is planned to be implemented in Nakai District, the Village Development Committees (VDC) will be central to the planning and implementation of development activities in the District.
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Therefore ensuring that all ethnic groups can participate and have a voice in the VDCs, as well as other support committees, will help to ensure longer term socio-economic equality. This concern is in line with the IFI Safeguards Policies, which underline the importance of ensuring a voice for ethnic groups (World Bank OD 4.20 Article 15(b); ADB Policy on Indigenous Peoples pg. 20). The issue was also raised by the POE in their Report 25 (2016), particularly in light of the need for equitable representation when two hamlets have been merged into a single administrative village. Therefore, it is an objective of the Ethnic Group Action Plan to promote meaningful participation of vulnerable groups and smaller hamlets in VDCs and other important committees. The KPI for this Action is that all ethnic groups and all hamlets in the village are represented in VDC; that should also include at least 2 female VDC members. The target for this Action is that the VDC is formed and functioning with fair representation of ethnic groups. The methodology used to address these concerns was to first develop a comprehensive understanding of the problem, and then to propose an appropriate solution. Therefore, the first step was to use statistical analysis to compare the proportion of ethnic groups on the committees in each hamlet to the total population of that hamlet. This helped to accurately identify issues with representation in each hamlet (i.e., which ethnic groups were underrepresented and by how much). It also showed if these issues were present across all hamlets, or if the issues varied between hamlets. Data was obtained from the District Government records of the village committees and the NTPC database. Therefore the analysis is based on the committee members as they were appointed and existed in 2016. In each village there are, in addition to the Village Authorities (VA), 8 main “committees”, which are: the Village Development Committee (VDC), the Village Development Fund Committee, the Village Fisheries Groups, the Village Land Management Committee, the Village Education Development Committee, the Village Health Committee, the Village Women’s Advancement Committee, and the Village Grievance Committee6. The VA and VDC are established in each administrative village (total of 10) and the other committees are established in each resettlement hamlet (total of 16). The head of village is elected in each village, and approved by the District Government. The head of village then appoints the VDC and the other Village Committees, subject to the approval of the District Governor. Data on ethnic groups and the ethnic make-up of the population was obtained from the NTPC database after the 2017 update. It is therefore census data as opposed to a statistical sample, and results on ethnic groups at the population level will be different from the QSEM and LSMS. Pre-project studies (Chamberlain, 1996) identified a total of 22 ethnic groups in the resettlement area, which can be grouped into 5 main groups: Lao Loum, Makong, Bor, Ahoe and ‘Tai-Kadai and other’ (which includes a number of different Tai-speaking groups). According to the World Bank and ADB Safeguards, the Makong, Bor, and Ahoe are identified as ‘indigenous peoples’. These groupings have also been used in the socio-economic monitoring (LSMS and QSEM) and are therefore also used for the analysis in this report. The analysis of the participation of ethnic groups in hamlet and village committees was conducted in two phases.
6 Please note that the analysis in this report was conducted prior to the update of the Village Grievance Committees in October 2017.
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In the first phase, all positions in all of the above committees in all 16 hamlets were included. When the data was aggregated to the Resettlement Area as a whole, Oudomsouk was excluded as it is majority non-resettler and would bias the data. The analysis compared the ethnic make-up of the committees to the ethnic make-up of the population (i.e. the percentage of positions in the hamlet held by Makong people compared to the percentage of Makong households in the same hamlet). The results showed that at the resettlement area level, representation of each of the ethnic groups is reasonably comparable to that group’s presence in the population. This indicates that although there may be problems of representation at the hamlet level, these are not systematic across all hamlets. The exception to this is the Ahoe, who represent 3% of the population but less than 1% of committee positions. The results also indicated that on average women hold 26% of committee positions (excluding Oudomsouk). The results by hamlet show that ethnic groups which are a minority in a particular hamlet have lower rates of participation in the committees. This is partly due to the fact that the minority group may only consist of less than five households. In this case, the individual situation and choices of these households will strongly bias the data. It is therefore difficult to make any concrete conclusions. This question of representation for the Ahoe community is a known issue for the project. The results of the Compliance Review for Ethnic Groups Obligations (2016) indicate that this may be due to lower levels of education amongst community elders and leaders, as well as feelings of reluctance and/or shyness to participate. The CAP includes measures to address these root causes, including adult literacy programs and the appointment of experienced independent facilitators from NTPC who work directly with the Ahoe community (particularly in negotiations about the situation at Old Sop Hia). The second phase of the analysis used the same comparison and data, but focused only on the members of the VDC in each hamlet. This is because the VDCs are involved in the broadest range of activities, and are the key point of contact for the District Government when working in that hamlet. Similarly, the VDC are at the village level only, so there is also a potential issue about the representation of smaller hamlets in villages where two hamlets have been merged. Therefore, for this phase, the analysis also examined whether smaller hamlets were represented in proportion to their size in the village. The results indicated also that there does not appear to be a systemic problem for the representation of ethnic groups across the resettlement area. The exception to this is the Ahoe, who do not hold any VDC positions. However, it should be noted that the Ahoe only live in 5 hamlets, and in 4 of those hamlets there are fewer than 10 Ahoe households. Similarly, it should be noted that there are positions in the Village Authorities which are held by members of the Ahoe community, most notably a head of unit in NamNian village. The Ethnic Compliance review indicated that the head of unit acted as a leader within the Ahoe community of NamNian, and that the community was satisfied with his leadership. In most villages, hamlets are represented in the VDC according to their population size. However, in Sop Kham (Nong Boua Kham and Sop Hia) and Nong Houam (Sop Ma and Nam Nian), the smaller hamlet is underrepresented. The results for VDCs at the hamlet level were variable. Ethnic groups that are a minority in the hamlet were not always underrepresented, even for non Lao-Tai groups (for example the Makong in Sop Phene and Nongbouakham). On the other hand, in most hamlets the ethnic
Page 111 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program group which made up the majority of the hamlet was well-represented, regardless of which ethnic group. However in certain villages (for example Phonsavang) the majority ethnic group was underrepresented on the VDC. Therefore it seems that the question of ethnic group representation in the VDCs is complex. It is best to allow space for the issue to be addressed individually in each hamlet. The analysis also identified areas for improvement in terms of the representation of smaller hamlets and women on the VDCs. A total of 58 VDC positions are held by women, which represents 18%. In Sop Phene, Sop Hia, Nongboua and Phonsavang, there are no VDC members who are women. Similarly, in Nam Nian there is only 1 woman on the VDC. The issues of gender and hamlet representation exist in most hamlets and need to be addressed in a systematic way. The issue of ethnic group representation is more complex as it varies considerably from hamlet to hamlet. The solutions to the problems were also implemented in two stages. The first was the issuance of the Decision 2529 of the Provincial Governor in 2016. This decision addressed the structure, role and responsibilities of the VDC in the Nakai Resettlement Villages. The decision updated the previous structures outlined in Decision 1034 in order to ensure the participation of women in the VDC (in particular, one of the deputy head of village must now come from the Lao Womens’ Union). After the completion of the analysis in this report, an amendment was made to the Decision 2529 of the Provincial Decision. The Decision 1685 was issued in order to further encourage the representation of all social groups in the appointment of the VDCs. The amendment included an update to Article 14, about the appointment of the VDCs, as following: Article 14 shall be modified as follows: VDC and members will be selected by the Headman: In the process of selecting members of the VDC, the Headman shall ensure the fair representation of each group such as women, households from smaller hamlet, group of different socio-economic status and others; Fair representation means the opportunity to serve in both leadership and support positions in the VDC and other village organizations. For the Advisory Committee, this will be assigned by the District Governor based on the proposal from the Headman. New elections for the Head of Village, and the appointment of the other village committees, are not due to be held during the period of CAP implementation. Therefore, achieving the target of 2 women in each VDC will not be possible within the timeframe. However, it is guaranteed within the policy of the District that this will be achieved during the next election. Similarly, the KPI also states that ethnic groups and all hamlets in the village should be represented in VDC. This is already achieved, except the case of the Ahoe. Similarly, the target of “fair representation” for ethnic groups and hamlets is now explicit in District policy and will be implemented during the next elections. The elections are expected to be held in 2018.
EG.3.1.1 Conduct an assessment into the feasibility and desirability of setting up a WMPA office at the old Sop Hia site, including consultation with the Ahoe themselves and the WMPA (LOA − GOL) Action and reporting completed
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In the context of the NT2 project, GOL and NTPC have implemented special measures and (particularly during project planning) and extensive consultation efforts for the Vietic Ahoe group (40 households). However, this highly vulnerable group still requires significant additional support and sensitivity. While the majority of the Ahoe households have moved (voluntarily) to the resettlement villages (mostly NamNian), around 14 households, after consultations, have moved back near their initial village (“Old Sop Hia”), where they currently live permanently, while others visit frequently. Old Sop Hia lacks access to basic services viz. a viz. other resettlement villages, as it was never identified to be a resettlement area. Although some of the Ahoe households in the resettlers villages are reportedly doing well, anecdotal evidence suggests some have had difficulties adapting their livelihoods and that this is one of the reasons for their frequent visits to old Sop Hia, where they hunt and fish (possibly illegally). Old Sop Hia is located within Nakai-Nam Theun National Protected Area, which is an officially designated conservation area where restrictions apply to some of the livelihood activities considered harmful to the conservation of natural resources and environment, including the use of natural resources. External monitors recommended the establishment of a WMPA office at the old Sop Hia site in order to control and check the illegal extraction of natural resources from the protected area around old Sop Hia. WMPA as a part of their mandate to protect and conserve Nam Theun 2 Watershed Area prepares its five year plans to implement the NT2 WMPA objectives. The WMPA while drafting their five year plan included Old Sop Hia (designated as the “embarkation site of Nakai Dam” in the official document) as a site to establish check-point post, and will be implemented in due course of time. The establishment of check-point post is expected to contribute to control the illegal extraction of natural resources. However, in 2017, discussions among stakeholders (WMPA, DAFO, Khamkeut and Nakai Districts, and NTPC) regarding illegal fishing and trading identified that one important illegal trading site occurred near the NTPC Nakai Dam. The discussion led to an agreement to establish a permanent fixed checkpoint on the road to Nakai Dam, 4 km from the junction with the main road, at the entrance of the WMPA. The ToR of the check-point include that only NTPC cars, NTPC sub-contractors car, GOL staff and authorized local villagers could cross the checkpoint. This road checkpoint was established and is operated since the 27 September 2017. See the “Action FI.1.3.2. Define new checkpoints for sensitive areas (such as at new Old Sophia Village next to Dam Site) and known illegal fish marketing sites)” for more information.
EG.3.1.2 Hire a local facilitator with relevant experience, and knowledge of not only Lao but also minority languages if possible. (LOA − GOL) Action completed − Completion report is under DCC proceeds During their 24th Mission, the POE made recommendations that the Ahoe community should be allowed to return to Old Sop Hia. During a joint discussion between the Nakai district, the WMPA and RO at the beginning of 2016, both the district and WMPA raised concerns about this recommendation because (i) Old Sop Hia is located in the NPA, (ii) this might also be interpreted to apply to other villages (in particular Old Ka Oy, a majority Makong village in the Southern Zone) and (iii) Nakai District cannot provide education and health services to Old Sop Hia as it is located in a different District and Province (Khamkeut District, Bolikhamxay province). Given the sensitivity relating to situation at Old Sop Hia, it is useful for these negotiations to include a third party facilitator working on this issue.
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The District Government has made significant efforts to ensure continuity in the staff who works with the Ahoe community. The Nakai District Office of the Lao Front for National Construction (LFNC) has been responsible for leading the negotiations. They have chaired all of the meetings with the Ahoe community from 2015 until 2017. They have built relationships with the community leaders and are in contact with the Ahoe groups in both NamNian and Old Sop Hia. These efforts have ensured that there is consistent institutional memory of the developments of the Old Sop Hia situation. The District has also focused on a long-term approach to resolving the issue. The LFNC have worked closely with community leaders to explain the reasons why it is not legal to establish a village at the Old Sop Hia site, and to encourage the community to move to an area of their choosing, either in Nakai District or in Khamkeut District, where public services are available. Moreover, the District has ensured that two specialized NTPC staff have been included in all of the meetings during the negotiations since 2012. Their role is to serve as external observers and independent interlocutors of the negotiations. This is part of the District’s efforts to ensure that the process is transparent. The two staff have also established relationships with the Ahoe community leaders. As part of the monitoring team, the two NTPC staff have been conducting consistent follow up visits to the Ahoe community in Old Sop Hia since 2012. They have also attended other mission visits to the Old Sop Hia site with external monitors (POE, IFIs, etc.). They have therefore had the time and opportunity to establish a relationship and build trust with Ahoe community leaders. The two staff have a long-term knowledge of the project’s context and experience working in co- operation with the Nakai District Government. The logical follow-up for this action is to ensure that there are technical staffs who can act as a facilitator for extension activities after the RIP. There is evidence of a difference in average incomes between the different ethnic groups. The aim of this role would be to support disadvantaged ethnic group households to benefit equally from the programs compared to the other groups. The ideal solution would be to have a technical staff working at DAFO who is from the Makong ethnic group. Evidence from the LSMS 8 suggests that mean and median incomes are lowest amongst the Makong ethnic group. It also found that the Makong households on average focus on fishing, farming and agriculture for livelihoods. Therefore it would be useful for the NP-LAF to have a technical staff member with strong facilitation and ethnic sensitivity skills (preferably Makong) who can help the Makong households to access the post-RIP programs in an equitable way. The District and NTPC will work together with the NP- LAF project to explore this possibility as part of the MTDP. The KPI and Target of this Action is to hire an appropriately qualified local facilitator. The KPI and target were adjusted to suit the unique needs of the situation, which were to have independent observers who understand the situation and have established working relationships with both the District Government, in particular the LFNC, and the Ahoe Community in Old Sop Hia. Therefore, an adjusted KPI and Target were proposed, which were that an appropriately qualified facilitator was hired. All staff from the District Government and NTPC who were involved in the negotiations were qualified through several years of experience working on this issue with the community. They all had contracts throughout the CAP period. Therefore, the adjusted KPI and target were met.
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EG.3.1.3 Survey the current livelihoods, expectations and problems within ethnic group households (LOA − NTPC) Action and reporting completed The KPI and target for this action is that a report by a staff member or consultant is completed and provides comprehensive description of key issues [for the different ethnic groups], (including those raised by POE), with practical recommendations. The results of this action are based on three main reports: (i) the Compliance Review Specifically for Ethnic Groups Related obligations, (ii) the LSMS 8 Report and (iii) the Village Consultations. The first two are completed by different external consultants (a safeguards expert and a socio- economic monitoring consultant). The Village Consultations were conducted by the District Government with NTPC support. Together, the results of these quantitative, qualitative and planning approaches help to identify the current livelihoods, expectations and problems within ethnic group households. The Compliance Review and the LSMS 8 Report identify five main ethnic groups: Makong, Bor, Ahoe, Tai-Kadai and other, and Lao Loum. The Makong, Bor and Ahoe groups are identified as “indigenous peoples” according to IFI safeguards. The LSMS 8 is a quantitative survey of all hamlets. The report found that all ethnic groups incomes had improved throughout resettlement. However, on average, the Makong, Bor and Ahoe incomes remained lower than the Lao and Tai-Kadai. Further that the Makong had the lowest outcomes and appear to have benefited less than the Bor and the Ahoe. The report found that the Makong, Bor and Ahoe all relied on fishing and agriculture as their main sources of income, with some input from livestock. All three had low incomes from employment and business. Similarly, the results of the report suggest that: • For the Makong, incomes from fishing are lower, and livestock incomes could be potentially be increased. • For the Bor, incomes from crops are comparably low, especially from cassava. • For the Ahoe, income sources vary and it is difficult to draw conclusions due to the small sample size. The Village Consultations identified aspirations, expectations and suggestions for, among other things, livestock, fishing and agriculture. These are summaries from all hamlets and are not exclusive to a particular ethnic group although some hamlets have a huge majority of a specific ethnic group (Makong or Bor). However, in this case they may be seen to reflect suggestions from the resettlers about how to move forward on the concerns raised above. The CAP was adjusted based on the outputs of the Village Consultations. The Ethnic Compliance Review used a qualitative approach and included focus group and individual interviews with members of the Makong, Ahoe and Bor community. The review identified several main concerns and or problems raised by the villagers (as well as compliance issues, not covered here). These can be loosely grouped as issues of (i) language and cultural heritage (ii) representation (iii) compensation and resettlement (iv) livelihoods extension methods and accessibility. Since the Ethnic Compliance Review and the IMA Report, the project has started several measures which respond to these concerns, including, among others, improvements to the Grievance Processes related to the Project, Land Conflict Resolution, and policy changes for Village Development Committee Representation. Further discussion and improvements are needed for issues related to accessibility (which are also addressed by the ongoing ethnic sensitivity training), and language and cultural heritage.
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EG.3.1.5 Plan and implement training for committees, institutions, livelihood pillars and receipt of scholarships as per their interests, need and capacity (LOA − NTPC) Action and reporting completed The action EG.3.1.5 has been reported in combination with EG.4.1.1:
• Plan and implement training for committees, institutions, livelihood pillars and receipt of scholarships as per their interests, need and capacity • Ethnic groups receive priority and additional support (where feasible and appropriate) to help them to access livelihood activities and support such as training and scholarships.
The objective of the two actions is to provide additional assistance, or special measures, for target ethnic groups to access the livelihood programs. The target ethnic groups are Ahoe, Makong and Bor, as they were identified as ‘indigenous peoples’ by World Bank and ADB Safeguards7. These groups make up the majority of the resettler population. These special measures can be considered as integrated into the livelihoods programs in the form of extension methods. They are designed to improve the way that the programs (in particular the trainings, disseminations and consultations) are delivered in a way that makes them accessible for these ethnic groups. Because the extension methods are integrated into the programs, they are available to, and benefit all participants. However, they particularly target the needs of the Makong, Ahoe and Bor groups. The needs which are related to trainings and livelihoods programs are identified in principle as: • Additional support for comprehension due to different language backgrounds and/or lower levels of education • Continued use of traditional practices and knowledge • Additional support to adapt to and adopt new skills due to minimal exposure to the wider economy and new technologies prior to resettlement.
An agreed set of extension methods have been applied since the beginning of the RIP, and refined since that time based on lessons learned within each individual pillar. These extension methods have also been expanded to help target other factors that might affect a persons’ ability to access the programs, such as education, poverty, gender and available labor sources. They are outlined below: • Effective approaches to information dissemination and communication • A participatory approach to the planning and implementation • Incorporation of traditional practices and knowledge into the trainings • Effective training (Learning by doing, concept checking questions, etc.) • Use villagers as trainers and demonstrators • Use of collective approaches, such as production groups • Close follow up on activity implementation (on-going technical support)
7 It should be noted that the Action Name, KPI and Target are misleadingly formulated. Lao-Tai groups (Lao Loum and Tai-Kadai and other) are also ethnic groups. However, for the purposes of this report only, “ethnic groups” is used to refer to the Makong, Bor and Ahoe groups. This is to be consistent with the formulation of the Action Name.
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This report covers how these broad principles for extension methods have been applied in the different programs of each of the individual pillars (Agriculture and Livestock, Fisheries, Forestry and Off-Farm). The report also briefly outlines the trainings that have been conducted for village institutions, with reference to the reports that cover these trainings in more detail. Finally, the participation rates of each of the ethnic groups in these programs, compared to the general population, are included in the annexes. The extension methods have been implemented in different ways in the different trainings, depending on the lessons learned from previous implementations and what is relevant to that particular training or program. However, it can be seen that the programs have all been designed and implemented to provide additional support which, while available to all participants, particularly targets the needs of ethnic group and otherwise disadvantaged households. This is not an exhaustive list of the special measures of the program as a whole, as it focuses specifically on livelihood trainings. Other special measures consistent with the requirements of the World Bank and ADB Safeguards include land and resource use rights and management, pre-resettlement consultations, and policy reforms to encourage diverse representation in village institutions. The KPI and Target for Action EG.3.1.5 is that trainings have been planned and 100% of them have been implemented. All of the actions in the CAP that include trainings for the resettlers or village institutions have been completed (see Section 7). The KPI and target for Action EG.4.1.1 is that the percentage of ethnic group individuals participating in livelihood trainings is at least the same as percentage of Lao-Tai households or individuals participating. This report covers the key livelihood-related trainings provided under the CAP. In all livelihood trainings covered in this report the percentage of Lao-Tai groups participating was equivalent to or less than 50%. This means that for each of these trainings, the percentage of ethnic group individuals (Makong, Bor and Ahoe) was equivalent to or more than the percentage of Lao-Tai individuals participating. This includes the long-term scholarships, where only 46% of the recipients were Lao-Tai. Therefore the KPI and Target for both actions EG.3.1.5 and EG.4.1.1 can be considered to have been met.
EG.3.1.6 Develop plans within broader livelihood development programs, tailored to ethnic groups’ needs (LOA − GOL) Action Completed – Action completion report under finalization Under the RIP, the NT2 project has planning elements to specifically address the needs of ethnic groups. The CA, the SDP, the RAP and the CAP addressed issues concerning ethnic groups in the resettlement areas. Moving forward after RIP closure, it will be important to continue to consider this in planning and development. On the 19th of May, the District, RMU and NTPC held a meeting8, chaired by the Nakai Vice Governor, to develop a common understanding of the lagging socio-economic status of a
8 MoM 267 dated 19/05/2017
Page 117 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program number of hamlets and groups including ethnic groups. It was agreed that lagging status and vulnerabilities are not directly or fully linked to ethnicity. Therefore it is more useful to view the issue from a socio-economic group perspective. It was further agreed that special consideration about high risk/vulnerable groups of all kinds will be integrated in the Planning Manual for updating the VDPs, based on GoL’s policies and CA requirements. Under the MTDP, development projects at the village level will be guided by the Village Development Plans. The District Authority began working with the Poverty Reduction Fund in May 2017 to review the Nakai District’s field manual on planning. The manual is based on the Participatory Planning Manual from the Ministry of Planning and Investment. The PPM focuses on prioritizing plans suggested by and for the benefit of the poorest and other disadvantaged households in the village. The Nakai manual will be in line with this orientation. From the 29th to the 31st of May 2017, 14 District staff, including the Deputy Governor of Nakai participated in a workshop in Vientiane with key representatives of the PRF. During the workshop a first draft of the Nakai District’s field manual on planning was completed. The PRF will support the District to pilot this tailored approach of planning process as follows: Training of district staff and villagers (VDC) by PRF for 10 district staff and 1 villager/hamlet from 25 to 29 July 2017 VDP meetings in 4 pilot hamlets (Thalang, Sop Phene, Nongboua, Phonphanpek) from 31 July to 12 August, with participation of district staff and assistance by PRF team Lessons learnt meeting on 14 August with assistance by PRF team VDP meetings in 12 other hamlets from 17 August to 27 September 2017, with participation of district staff, VDP process was presented in September to the IFIs technical mission who discussed the ethnic groups issue with the district authorities. It was agreed to add an interview of ethnic groups representative regarding EG considerations of the VDP process. These interviews were conducted in each hamlet during October 2017 and a brief summary included in the VDP report. That summary shows no major ethnic group issue with the VDP process. The completion report is being drafted.
EG.4.1.1 Ethnic groups receive priority and additional support (where feasible and appropriate) to help them to access livelihood activities and support such as training and scholarships. (LOA − NTPC) Action and reporting completed The action EG.4.1.1 has been reported combined with EG.3.1.5: • Plan and implement training for committees, institutions, livelihood pillars and receipt of scholarships as per their interests, need and capacity • Ethnic groups receive priority and additional support (where feasible and appropriate) to help them to access livelihood activities and support such as training and scholarships.
Please refer to action EG.3.1.5 for details.
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EG.4.1.2 Ethnic groups are targeted, where interested, for inclusion in adult literacy courses (proposed under the gender action plan, and required as part of special measures under the CA) (LOA − GOL) Action and reporting completed The report of this action has been covered by the report of the action GE.3.1.2 Seasonal women’s evening literacy/numeracy classes for vulnerable villages (pilot in Phonsavang, Nongboua, NamNian, Bouama, Sop Phene). In the first phase, 62 women and in the second phase 137 women have completed classwork (the majority from non-Lao groups including 41% Makong and 37% Bor). Out of 94 women who sat for an exam, 98% passed. We assume that those women will have a greater chance to improve the well-being of the family, economically but also socially. Further, it is expected that with improved literacy and numeracy skills those women will find it easier to take up leadership position in the village government in the future. Please refer to the action GE.3.1.2 Seasonal women’s evening literacy/numeracy classes for vulnerable villages for more details.
EG.4.2.1 Provide refresher ethnic sensitivity training for all relevant RO and GOL staff. (LOA − NTPC) Action engaged – Progress: 50% – Completion delayed to Q1 2018 The target of this action is to conduct refresh training on ethnic sensitivity for all related staff in both RO and district which required >85% of target participation. “Sensitivity” was extended to all kinds of disadvantaged groups such as illiterate, poor (versus wealthy), small hamlets merged with big ones, etc. Under the advice of RO Social Safeguards Senior Coordinator the refreshment workshop was conducted more as an exchange of experiences rather than a training. Workshop on refreshment on ethnic sensitivity was conducted for RO on 08/12/2017 and is scheduled on 11/01/2018 for district staff. The same approach is used in both cases. Participants were divided into 4 groups and provided with different propositions for each group to make a work plan with vulnerable sensitivity in the plan. Each group presented their plans and the others provided comment on where sensitivity shall be seen and why. The participants were also explained on what called special measures by using photo and raised the situation that happened during the workshop. Participation of all staff of RO who are working on 7 pillars was strongly required. Total of 27 out of 28 persons participated, e.g. 96% compared to the target of participant. The workshop for district staff is expected to involve about 50 staff from 10 concerned departments in: Lao Women Union, Social Welfare, Agriculture and Forestry, Lao Front National Construction, Information Cultural and Tourist, District Justice Office, District Industrial and Commerce, Education, District Health and Health Centres and Natural Resources and Environment office. This action is thus expected to be completed by mid-January 2018 with report available by early February 2018.
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3 Progress on “Integrating Actions” implementation - until end of December 2017
While the CAP is built on four individual livelihoods and three cross-cutting action plans, its implementation is approached as an integrated set of actions. At the heart of this convergence is to deepen the village and district engagement, through: (i) Strengthened district engagement; (ii) Participatory village development planning; (iii) Financing mechanisms. Planning, implementation and monitoring are coordinated across the various sectors.
Engagement of District Authorities Increased engagement of the District Authorities in all aspects of the project has been the guiding principle of the CAP implementation to enhance ownership. The engagement and co- operation with the project was focused to increase the capacity of the District Authorities both at the individual and the institutional levels. A number of initiatives have been initiated to increase the District’s leadership and to capacitate them for the handover. These include continuous on- the-job training, mentoring of individual counterparts in key positions, facilitation and planning training, specific technical skills training. Focus was also placed on the transition from NTPC to the District taking the lead in the communication with and organization of various project monitoring missions.
The activities under each CAP pillar and cross-cutting issues were implemented by a team of District staff with support from a dedicated team at NTPC’s RO. Counterparts therefore worked together closely with the RO team and were able to provide the type of long-term support that empowers the District staff with the skills and confidence necessary to take over the programs after RIP closure. In the cases of Land Management, Poor and Vulnerable, and Off-Farm, District staff have become core members of the RO team. Through hands-on experience those staff members benefit from individual mentoring provided by the RO team leaders. In this way, they played a crucial role in the handover process, helping to ensure consistency of implementation by tapping into their institutional memory from both the District and NTPC side. The other counterparts also benefit from on-the-job training from NTPC staff, who provide different levels of support and assistance as necessary.
In line with the CAP implementation to close the RIP, the RO also initiated a complementary series of specific trainings to support the District to build-up the skills and institutional frameworks necessary to conduct high quality participatory planning and other consultations at village level for the post-RIP period.
This started with the Village Consultations on the Comprehensive Action Plan in 2016. To prepare for the Village Consultations, a facilitation skills workshop for District staff was held from the 8th to the 10th of September 2016. The workshop also supported the District to plan the practical and logistical elements of the consultations. The Village Consultations, led by the District Government, with support from RMU and RO, were conducted in October 2016. The outcomes were summarized into a report which was prepared by the District Government and were a useful reference to review and update the CAP with regard to expressed needs by villagers.
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Following this, and in preparation for the handover, the District Government sought the support of the Poverty Reduction Fund (PRF)9 to review and update the existing Village Development Plans 2016-2020 in the resettlement villages. This co-operation was led by the District Authorities and facilitated where necessary with support from NTPC.
In March 2017, a team from the PRF was invited by the District authorities and to undertake a scoping mission and to explore potentials for cooperation. The visit paved the way for a partnership between the Nakai District and the PRF for the revision of Nakai District’s village planning guidelines and to facilitate the update of the existing VDPs 2016-2020 in 4 pilot hamlets, the process of which is described in more detail in the section 3.2 below.
A number of technical trainings specific to particular pillars or cross-cutting issues have also been conducted as part of the CAP. Please refer to Sections 2.4.14 “AL.2.2.3 Provide refresher and on-the-job training to district staff (LOA − NTPC)”; 2.6.19 “OF.3.1.3 Provide support and capacity building relevant to Off-Farm to institutions at the Hamlet level, particularly but not limited to the VDCs and VDFs. (LOA − GOL)”; and 2.7.4 “GE.2.2.1 Skills intensification training for LWU and WAC in line with needs identified in performance reviews -Link to Provincial Strategic Plan on Advancement of Women, Mother and Child 2016-2020 – workplan 2 -Link to National Gender Implementation Plan 2016-2020 (LOA − NTPC)”.
Finally, as noted in Section 1 “Monitoring Missions”, the District staff have been empowered to take the lead in facilitating and co-ordinating with the various monitoring missions during 2017. This included conducting the main debriefing session for the POE during their 26th and 27th missions, as well as debriefings with the LTA for their 37th and 38th missions. This forms an important part of the institutional capacity building as the District prepares not only to take on the implementation on the ground, but the full co-ordination of the project at management levels.
Participatory village development planning After RIP closure and fulfilment of most the CA obligations there will be more operational space and flexibility for community driven development as planned for in the CAP. For this purpose, - as outlined in the above chapter - the District and RO are currently working with the PRF to update the existing VDPs through a Community Driven Development approach. The existing village development plans outline the development priorities for each village prior to the CAP. In line with the Politburo’s Resolution on Sam Sang (CPP 03/2012), which the Nakai District aims to roll out in Nakai as part of the MTDP, there is the need to align the village
9 The PRF is a multi-sector program under the Ministry of Agriculture and Forestry which aims to improve the access to and the utilization of basic infrastructure and services for the projects targeted poor communities in a sustainable manner through inclusive community and local development processes. The PRF is an autonomous entity overseen by the board of Directors and chaired by the Deputy Prime Minister. The PRF’s community driven development approach (CDD) has demonstrated the value of community participation in and ownership of local development efforts, including for women and ethnic groups. The PRF is one of the GOLs main vehicles to reduce rural poverty through CDD activities, and to foster the adoption of a participatory planning, financing and implementation model for local service delivery in rural parts of Lao PDR. The PRF is active in 44 Districts in 10 Provinces.
Page 121 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program development planning with the MPI’s participatory planning manual. Updated VDPs will form the planning basis for the “handing-over process”, and will allow to initiate new budgeting processes with stronger focus to draw from the GOL’s own budget, attract external donors/projects (including the private sector), but also to identify village priorities for direct funding under the NT2DF after RIP closure.
Nakai’s resettlement village planning process was organized into 4 steps:
Step 1 - Village orientation: Meeting to explain villagers the principles and steps of planning, their rights and responsibilities. It was done in 16 hamlets (10 villages) in August and September 2017 Step 2- Village Planning: Villagers draw up a map on village resources and conduct a household poverty ranking to analyze the current situation of their hamlet. They then identified development priorities in groups and discuss them collectively to come up with a priority list. The groups, organized into women and men and into vulnerable/poor and non-poor groups, are designed to capture villagers’ vision, needs and aspirations. After this step, a village level meeting was held with representatives from each hamlet in order to merge the priority lists In addition, eye opener session in Thailand for four pilot hamlets (Thalang, Sop Phene, Nongbouakham and Phonsavang) was organized in October 2017, then the villagers who took part in the study visit disseminated lesson learned to others for brainstorming them to improve the VDP Step 3 - Integration into District plans: Coordination with District and other stakeholders and integrating the VDPs to the District’s 5-year socio economic development plan in second quarter 2018 (Apr-May 2018) Step 4 - Feedback to villagers: Villagers attending the District meeting feedback the results of their endorsed VDP to their peer-villages to ensure transparency (May 2018).
From the 29th to the 31st of May 2017, 14 District staff, including the Deputy Governor of Nakai, were orientated around MPI’s latest participatory village planning manual and the PRF village planning methodology by the head of the PRF’s Community Development Division. The aim of the workshop was to review and update the existing Nakai District’s field manual on village planning. During the workshop, changes to the local Nakai methodology were agreed to align better with the MPI’s central level requirements. This approach of reviewing the existing manual rather than replacing it was a way to ensure continuity and ownership by the District.
From the 25th to the 29th of July 2017, the Poverty Reduction Fund conducted a “Training of Trainers” for District Staff and key Village Development Committee members. The training covered a review of the existing VDPs, an in-depth review of the updated planning manual, discussions about the roles and responsibilities of different institutions and individuals in the planning processes, and practical planning for the pilot stage in 2 villages. A total of 26 participants were trained, including 10 District staff, and 16 VDC members. It was agreed between PRF and the District that the role of PRF facilitators should decrease over time. In this way, PRF could ensure that the District facilitators can learn and practice fast (e.g. PRF could conduct the VPD review in the first two hamlets of village 1, while in the 2 hamlets of village 2 PRF could only provide support while the GOL is in charge of full facilitation). Next steps
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The PRF and the District updated of existing Village Development Plans in Ban Thalang and Ban Sop Phene (village 1), and Ban Nongboua and Ban Phonphanpek (village 2) in early August 2017. The District has scaled-up the VDP updates in the remaining villages, which has completed by October 2017. Yet, a detailed review of the VDP results of the pilot phase was undertaken in 4 pilot hamlets such as Thalang, Sop Phene, Nongbouakham and Phonsavang in October 2017and it will be completed in Q1 2018 for other hamlets.
As mentioned above, the District, PRF and NTPC had held an evaluation meeting to review the results of the pilot process. Based on the conclusion of this meeting, the District expanded the VDP reviews and updates to a few additional villages towards the end of the year. NTPC continued facilitating the process and supporting the District in implementing it. RO staff also coordinated closely with PRF and District Authorities since the NT2DF ambition is to fund needs identified during the planning process.
By the end of 2017 there are 2 revised VDPs (for 4 hamlets) for the 2016-2020 period which built on needs and priorities identified by the communities and are in line with the Central Governments planning processes and procedures. District authorities and communities will be capacitated to apply the Government planning processes and procedures for yearly planning reviews for the post RIP period. It is expected that final VDPs for all villages will be ready by May 2018.
Financial mechanisms
Village Development Funds See specific activities on VDF within the progress of Actions OF.3.1.3 and OF.3.1.4.
Social and Environment Remediation Fund (SERF) The RO team continued providing technical support on a request basis to the SERF committee in designing, preparing documents and monitoring of SERF activities in 2017. Besides, RO had provided guidance to ensure that the use of SERF fund is compliant to SERF’s new manual. In the first half of 2017, SERF has implemented projects related to gully dam repairs, road repairs and construction, borehole repairs, health centre repairs, school repairs, and fencing construction for community buildings in the villages.
In October 2017, the SERF annual report for the period July 2016 to July 2017 was completed and approved by RC. This annual report has been shared with all stakeholders. The 10th of October 2017, SERF team organized dissemination about the AIP for July 2017 to July 2018 for SERF committee members and village authority (village head) in 16 hamlets at Nakai district meeting (chairman = RC). The AIP has approved by RC and shared with stakeholders in November 2018. A financial audit of the years 2010 until 2016 was conducted by the company KPMG in May 2017 and completed in early October 2017. The report has been shared with stakeholders in November 2017.
Nam Theun 2 Development Fund (NT2DF)
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Background The NT2DF is not a CA requirement. After the RIP closure, NTPC’s ongoing commitment to further the development of the 16 resettlement hamlets of the Nakai plateau – as a type of benefit-sharing – will be carried forward through a long-term development fund, the so-called “Nam Theun 2 Development Fund” (NT2DF). In 2015, NTPC’s Board of Directors approved the establishment of the NT2DF through an allocation of LAK 1,000/MWh of electricity generated (currently estimated at a value of USD750,000 per year). It is planned that the fund will be made available on an annual basis until the end of the concession period in 2035. The NT2DF will become active after RIP closure. In this way, NTPC will not be an implementing agency anymore, but step back and be a coordinator and donor for certain aspects of the Nakai District’s development under the umbrella of NTPC’s Corporate Social Responsibility (CSR) programs.
Key design elements agreed From September 28th to October 2nd, a workshop was held with all interested stakeholders (DEB, RMU, Nakai District, World Bank, NTPC and NTPC shareholders) to discuss the main features of the NT2DF. Based on the results of this workshop, a concept note was approved by RMU, Nakai District and NTPC (Nam Theun 2 Development Fund, Concept Note, from framework organized on the 1-2 October 2017).
It was decided that the overall design features will be based on NTPC’s CSR principles and that the operational design will adopt selected modalities and principles borrowed from the international community driven development approach (CDD). The latter features respond to the District GOL’s request to support the implementation of the GOL’s Sam Sang policy.
Key design features are presented in Annex 4 and explained below:
Institutional structure: In line with 3Sang Directive, the NT2DF structure is organized in three levels. - Decision level: the NT2DF Steering Committee is composed of representatives from (i) NTPC shareholders, (ii) NTPC, (iii) provincial/district authorities and (iv) village authorities is in charge of reviewing proposals, approving projects for funding, and monitoring outcomes. - Supervision/support level: the NT2DF support team, composed of District Staffs and NTPC staffs, provides project management support, facilitates implementation, reporting and monitoring and is in charge of fund management. - Implementation level: Village Development Committees are in charge of implementing projects.
The overall mechanism is assessed by an independent monitoring expert, providing feedbacks on advice in the mechanisms and funding projects on a yearly basis. It is also expected to provide determination for the Steering Committee is case no consensus is reached.
Funding windows: The NT2DF is structured into four kinds of projects. - Funding window 1: Thematic Block grants: Funds are provided to continue activities NTPC and GoL have initiated during the RIP: Long Term Scholarship, Social Safety Net. Cost of the Independent Monitoring Expect is included into this window.
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- Funding window 2: Technical Support grants: Funds are provided to external partners to bring in expertise for certain development outcomes. Calls for proposal are developed based on MTDP actions, GoL’s strategies and community needs (VDPs). - Funding window 3: Community project grants: Funds directly flow to support the implementation of small projects to be implemented by the communities with the NT2DF support team. Small projects must derive from the village development plans (VDPs). - Funding window 4: Emergency grants: In exceptional cases, NT2DF funding can be made available to fund rehabilitation and other support after natural disasters. During the first 5 years (pilot phase), USD170,000 will go to the Thematic Block grant window, USD350,000 will fund the AFD co funded NPLAF project (funding window 2). The amount remaining will be shared between windows 2, 3 and 4.
Next steps
An agreement on the NT2DF establishment, summarizing the NT2DF main principles and eligibility criteria as well as clearly defining composition and roles and responsibilities of the NT2DF Steering Committee will be signed between all parties. A draft is currently under discussion between RMU, Nakai District and NTPC and the final agreement is expected to be signed in February. Signature of the Agreement will lead to the creation of the NT2DF Steering Committee.
In the coming months, Nakai District and NTPC will work together in finalizing the NT2DF Operation Manual. The NT2DF Support Team will also be set up, composed of District staffs and NTPC staffs. Finally trainings on procedures will be done for both the NT2DF support team and the VDCs, expected to play a leading role in the implementation of activities.
4 Progress on Additional Activities implementation - until end of December 2017
Community Living Well Program
CL.1.1.1 Quarterly school meeting by village committee for education development (VCED) (LOA − NTPC) Action engaged − progress 75% The last meetings were held during in August 2017 prior to the new school year.
CL.1.2.1 Junk food and obesity- Large School Campaigns (LOA − NTPC) Action engaged − progress 64% The first campaign was conducted by the District Office for Education and Sport together with teachers in 17 schools in the resettlement area between end of March to early May 2017. The
Page 125 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program objective was to make school children aware of junk food and alternative foods. The campaign reached out to 1,184 school children (568 girls). Next steps: Task D: “Design standard operation procedure (for handing over)” will be designed in the first quarter of 2018 for the GOL to continue after RIP
CL.1.2.2 Road Safety-Large School Campaigns (LOA − NTPC) Action engaged − progress 75% CLWP has conducted road safety campaigns since 2016. The last campaign was conducted by District Office for Education and Sport in cooperation with the District Police Office in 21 schools in the resettlement areas in March 2017 with the objective to make school children aware of causes of accidents and their prevention. This year, 2,007 school children joined the campaign (942 girls). The DHO’s OPD registries record incidences of accidents for the GOL to follow up. Next step: Task D: “Design standard operation procedure (for handing over)” will be designed in the first quarter of 2018 for the GOL to continue after RIP
CL.1.2.3 Anti-Drugs on October 12 (World Anti-Drug Day-Large School Campaigns (LOA − NTPC) Action engaged − progress 75% The District Office for Education and Sport in cooperation with District Police Office organized the 2017’s Anti-Drug Campaign in 21 schools in the resettlement areas in March 2017. The objective is to raise awareness among school children about the dangers from drug abuse and how to prevent it. In total, 2,007 school children (942 girls) joined the campaign. Next step: Task D: “Design standard operation procedure (for handing over)” will be designed in the first quarter of 2018 for the GOL to continue after RIP
CL.1.2.4 Swimming training (LOA − NTPC) Action engaged − progress 42% This action has been put on hold due to unavailability of the trainers. Next step: In cooperation with GoL/Comm unit, DOES and professional French trainers, the training of trainers will be held in Nakai in March 2018.
CL.1.2.5 Dance training (LOA − NTPC) Action completed − completed The Fang Lao Dance Company was hired to organize a Hip Hop dance training for secondary school students from November 2016 till March 2017. In total, 109 students were enrolled (75 girls), being students at Ban Done, Nongbouakham and Oudomsouk secondary schools. A dance contest was organized on 22nd March 2017 for the 35 best dancers from the three
Page 126 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program schools. The first prize was won by the team from Ban Done, the second prize by the team from Oudomsouk and third prize by the team from Nongbouakham.
CL.1.2.6 Promotion of students in playing sport (LOA − NTPC) Action engaged − progress 85% A football cup for boys from 16 primary schools and a volleyball cup for girls from 3 secondary schools were organized from March-April 2017. The three best football teams were from Thalang, Oudomsouk and NamNian. The best volleyball teams were from Oudomsouk, Ban Done and Nongbouakham. Sport equipment were purchased for 21 schools (primary and secondary schools) end of December 2017; the equipment will be handed over to each school at the beginning of 2018.
CL.1.2.7 School garden as part of 10% of amendable school curriculum (LOA − NTPC) Action engaged − progress 99% In school year 2016-2017, CLWP provided vegetable seeds for each primary school in the resettlement areas to promote vegetable consumption. Almost all schools set up the gardens except 2 villages in which the garden’s fence was not ready. A cooking demonstration was organized in early May 2017 for 192 school children (91 girls) at the two model schools in Nakai Neua and Nakai Tai. Children of those 2 schools learned about the nutritional importance of vegetables.
CL.1.3.1 Setting up 2 model schools as per MOES guidelines (LOA − NTPC) Action engaged − progress 82% NTPC supported the DOES in the establishment of two model schools, which is part of the GOL’s own plan. Two model schools were established in Nakai Neua and Nakai Tai in 2016, partly with GOL own funds. Monitoring by Nakai DoES of the two schools was done during the 2017.
CL.1.3.2 Quarterly District education meetings and annual satisfaction meeting with villagers (LOA − NTPC) Action engaged − progress 88% The first quarterly meeting between DoES and villagers was organized between March and April 2017 with 369 villagers in the 16 hamlets. The second meeting was held in September 2017. Overall, the meetings show satisfaction by villagers with the schools and education delivery. Issues which were brought up include low kindergarten school attendance, difficult transport for secondary school students, maintenance of a clean school environment and limited attendance for non-formal education.
CL.1.4.1 Special education program for poor, vulnerable and minority ethnic households (LOA − NTPC) Action engaged − progress 97%
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For the school year 2016-2017, CLWP provided educative materials to 80 school children (38 girls) from poor, vulnerable and minority ethnic households. The first set of materials was provided in the last quarter of 2016 for 55 children (27 girls), the second set of materials was provided in the first quarter of 2017 for 25 other children (11 girls). An assessment of their attendance and quality of learning was conducted in April-May 2017, showing that almost all of these children attended school, only few drop-outs (1 in Nongboua and 2 in Thalang). In October 2017, 37 children (17 girls) have received educative materials for the school year 2017-18
CL.2.1.1 Monthly maternal and child health services with campaigns (LOA − NTPC) Action engaged − progress 86% In 2017, up to date 192 monthly mother and child clinics were conducted by the Health Center staff in 16 hamlets including the provision of maternal and child health (MCH) services such as antenatal care (ANC), post-natal care (PNC), birth assistance (safe delivery), vaccination, family planning, growth monitoring of children under 5 years, worm treatment, micronutrient supplementation and nutrition education. DHO produces monthly reports, the summary of which is electronically uploaded into the MOH’s DHIS2 system to inform annual health statistics. The financial support of the clinics was shared between NTPC (Community Living Well Program with 75%) and Lao- Luxembourg (25%). DHO is committed to continue the clinics after RIP with GOL budget and to ensure at least quarterly service delivery. Refresher training of 18 medical staff (12 female) was held in August 2017 organized by PHO on growth monitoring, vaccination, family planning, antenatal care, post-natal care and micronutrient. Albendazole for mass worm treatment was distributed by late 2017 for adults and children aged over 1 year old. In addition, vitamin B1 for prevention of beri-beri was distributed to post- partum mothers
Key results include:
Monthly Maternal and Child Health Indicators (compare 2008 to 2017) Indicator 2008 (project start) December 2017 ANC visit and services (≥ 4 times) 27% 86.4% Delivery at health facility 27% 75.4% Contraceptive Prevalence Rate 43% 75.7% Under 5 mortality rate 118/1,000 livebirth 48.2/1,000 livebirth Maternal Mortality Rate Only one mother died in 2010
Next steps: Task A: “Monthly maternal and child health services” – until end of RIP Task C: “Supervision by PHO” – every quarter by PHO until end of RIP
CL.2.2.1 Special health services for poor, vulnerable and minority ethnic HHs (LOA − NTPC) Action engaged − progress 91%
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Since project start, HC staff have continuously provided free special health services for vulnerable, poor and high risk households on a monthly basis. This included home-visits for maternal and child health services, medical check-ups and treatment as needed. In 2017, eight patients were referred to the district and provincial hospitals for special treatment. Next steps: Task B: “Implementation” – until the end of RIP Task C: “Quarterly review with DHO/HCs” will be continuously organized quarterly
CL.2.2.2 Health insurance for vulnerable (LOA − NTPC) Action engaged − progress 16% During various rounds of meetings between NTPC and PHO/DHO it was agreed that the best solution for post-RIP health services for vulnerable group is coverage through the “National Health Insurance” (NHI) mechanism (with certain fees covered by NTPC). Six staff from Khammouane PHO, Nakai DHO and NTPC/RO organized a study tour to Bolikhamxay where the MOH has been implementing NHI since January 2017. The Ministry of Health has launched the NHI scheme in Khammouane from 1st October 2017, against earlier plans for a launch in the second quarter of 2017. However, the NHI is in early stages of implementation, and it will need to be confirmed as fully functioning in Nakai. Further, its efficacy in relation to the specific needs of the Social Safety Net for the Vulnerable households still needs to be more fully assessed. Next step: Task B: “Implementation of health insurance” , it is expected by Mar-Apr 2018. Task C: “Review meeting on health insurance” – after start only
CL.2.3.1 Phase out of 3-weekly supplementary feeding for malnourished children (LOA − NTPC) Action engaged − progress 78% In January 2017, NTPC in coordination with the District’s LWU has been phasing out the weekly supplementary feeding. Until the end of RIP, NTPC together with DHO will introduce the MOH’s new infant and young child feeding counselling package and align with activities as in other parts of Lao PDR. Proper infant and young child feeding practices of new mothers will be promoted through the monthly clinics as well as introduction of growth monitoring and promotion. Trends in child nutrition are analyzed as part of the monthly DOH reports. Porridge demonstration was monthly organized in 16 hamlets by HC staff since August 2017 by using fish power and recipe developed by intern students from France. Next step: Task B: “Implementation and monitoring” – part of monthly growth monitoring Task C: “Design standard operation procedures (for handing-over)” - designed in the last quarter of 2017
CL.2.3.2 Quarterly District health& nutrition meetings and annual satisfaction meeting with villagers (LOA − NTPC) Action engaged − progress 78%
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The quarterly meetings between DHO and villagers were organized in March 2017 with 517 villagers in the 16 hamlets. Second meeting was held in September 2017. In general, results show villagers are satisfied with the provision of health services. Issues which surfaced and DHO is following-up, included support for malnourished children, boreholes and toilet construction for new generation.
CL.3.1.1 Mobilization of villagers in improving of household hygiene (LOA − NTPC) Action engaged − progress 80% In 2017, the household and public hygiene promotion is jointly conducted by the District Lao Women Union (LWU), the District Office for Education and Sport (DoES) and the District Health Office (DHO). The last quarterly hygiene award ceremony was held in Nakai Neua on 14th December 2017. The three cleanest villages as per data collection are: Nakai Neua, Phonphanpek and Nakai Tai. Next step: - Task D: “Design standard operation procedures (for handing-over)” will be designed in the first quarter of 2018
CL.3.1.2 Demand mobilization and toilet construction (cost sharing) and toilet maintenance for 2nd generation (LOA − NTPC) Action engaged − progress 92% Toilet construction was already completed by 92% in 2016. However, the CLWP and DHO teams continue with the assessment of 2G households, eligibility criteria and identify potential support. Next steps: Task A: “Review of 2G household list” - ongoing for 56 households Task B: “Implementation” – toilet construction with shared cost Task C: “Monitoring the progress” - after construction started
CL.3.1.3 Private Sector/entrepreneurs support (LOA − NTPC) Action engaged − progress 20% NTPC/CLWP found that private companies from Thakhek and Gnommalat providing an array of services for toilet construction and “waste disposal”. Contact numbers of private companies were seen on trees in all hamlets. The next step for DHO and CLWP is to ensure quality control of the private companies (MOH standards) and design mechanism with villagers to keep villages open defecation free (ODF) after RIP closure.
CL.3.2.1 Quarterly District WASH meetings and annual satisfaction meeting with villagers (LOA − NTPC) Action engaged − progress 61% The first quarterly meeting was organized as part of CL.2.3.2 in March 2017 in the 16 hamlets. The last meeting was held in September 2017.
Page 130 of 417 Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement Program Monitoring Monitoring in 2017 was essentially made of the round 8 of LSMS, implemented in February- march and of the round 14 of the QSEM, implemented in August-September.
MO.1.1.2 Living Standards Measurement Survey (LOA − NTPC) Action and reporting completed The LSMS is a major Socio-Economic survey that was undertaken approximately once every nine months from 2006 till 2009. The tool was applied based on a stratified random sample of a minimum of 25% of resettlers in each of the 17 original villages. After 2009, the LSMS survey instrument was revised and three further surveys were conducted in 2011 and 2013 and 2017. The LSMS survey provides a detailed quantitative assessment of social and economic conditions of resettled households including income level, sources of income, household consumption, food sufficiency, basic health and education conditions, as well as the status of women and other vulnerable groups. The final LSMS (LSMS8) was conducted in quarter one of 2017 with reporting completed in August 2017. The target population for the LSMS8 survey has been expanded to include both original resettlers and the “second generation” (Subsequent Growth Households”) of resettlers, which consists of households established post resettlement which include at least one resettler. The larger number of households included in the survey has enabled data to be reported for 1. Original Wealth Classes identified for the original baseline survey of 2006 2. First Generation and Second-Generation (“Subsequent Growth”) Households. 3. Main Ethnic Groups LSMS data collection since 2006 Round Year Data Collection Reports 1 2006 July – Sep 2 2007 May – July 3 2008 Jan – Feb LSMS Report Rounds 1-5 4 2008 Sept – Oct 5 2009 May – Jun 6 2011 May – Jun LSMS Report Rounds 1-6 7 2013 Feb – March LSMS Report Rounds 1-7 Nakai Socio Economic Survey, 8 2017 Jan – March Round 8
The LSMS8 survey interviews were undertaken by an independent data collection company, Indochina Research Limited (IRL) between February and March 2018. Data entry was undertaken by IRL staff using a data interface developed by NTPC and data was entered into the NTPC socio-economic data warehouse. Data entry occurred concurrently with data collection, data review was undertaken by NTPC to ensure all fields were appropriately completed and to identify and check outliers. Data entry and QC check were completed by the end of March 2017.
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The survey together with the QSEM provides a key assessment of livelihood restoration and living standards of the resettlers. Here are some key features extracted from the report.
Incomes Have Been Restored To Pre-Project Levels. Median monthly incomes (221,000 LAK/person/month) are now more than double pre-project incomes (~97,000 LAK/person/month) The Household Income Target Has Been Achieved. Poverty levels have been reduced from about half the population in 1996 to approximately 3% and NTPC has developed ongoing support processes for households that are living close to or below the poverty line (poor/high risk households). Non-Economic Poverty Has Been Reduced. Poverty is a multi-dimensional issue that encompasses more than just the economic indicators used in the CA. Resettlers have benefitted from a wide range of improvements to their living standards including housing, supply of electricity, safe drinking water and sanitation, improved educational and health services. Overall, 99% of resettlers said their lives are as good or better than before resettlement. Livelihoods have been improved on a sustainable basis. A socio-economic survey such as the Nakai LSMS is, by definition, an ex-post evaluation that provides an assessment of conditions “after the fact” and does not attempt to predict future conditions (ex-ante). It can however provide important context for evaluations of sustainability 1. The next generation of resettlers (subsequent growth households) has achieved the same levels of income and consumption as the previous generation (resettlers). 2. Resettlers have sustained incomes at the same level since 2011 The Village Income Target has been met. The LSMS was not designed to assess the Village Income Target. The VIT was assessed by a one-off survey in 2015/16, when all villages were assessed as being above the poverty line. Economic conditions on the Nakai remain good: only 3% of households live below the poverty line, median consumption is more than double the poverty line, and fish and meat consumption are at the high end of nationally reported value. Ethnicity. All socio-economic and ethnic groups are better off than they were before the start of the project but all ethnic groups may not have benefitted equally although the results are skewed by other factors such as village location and communications. Resettlers have shown sustained levels since 2011. Resettlers have met the numerical targets laid down in the CA, have shown sustained levels of income since 2011, have inter-generational equity in incomes and consumption, and have a substantially improved quality of life. Resettlers are more resilient against future shocks. Prior to resettlement around 50% of households lived in poverty, only 21% of households had any savings, mean value of saving was 50,000LAK per capita, and most of this was in the form of livestock. Education levels were low, many of the villages had no road access, access to modern medical treatment was difficult, and employment and business opportunities were limited. Resettlers could fall back on forest resources in difficult times but were already complaining of the degradation of these resources. Resettlers, almost by definition, were vulnerable to falling into poverty of further into poverty.
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In 2017 almost all resettlers have cash savings, herd numbers are about half pre-project levels, 42% of households report off-farm income and households have access to modern medical treatments. Households are better educated and have much improved access to markets and off-plateau traders. The spread of income is more diverse, only 3% of households live in poverty and median consumption is more than twice the poverty line. The GoL and NTPC have also committed to introducing a social safety for poor and vulnerable households. Thus, a strong argument can be made that resettlers are both much less likely to fall into poverty and have a great ability to recover if they do fall into poverty.
MO.1.1.1 Quarterly Socio-Economic Monitoring (LOA − NTPC) Action and reporting completed - Nakai Socio-Economic Survey Round 14 - Quarter 3 2017(10Nov17) The Quarterly Socio-Economic Monitoring replaces the initial monthly household survey, also referred to as the “Family Books”. The main purposes of the QSEM are to: Identify changes and trends in the living standards of resettler households Monitor, analyze and compare Socio-Economic and wellbeing indicators between: o Villages o Ethnic Groups Use monitoring information as a means of adaptive management for the Nakai Development Program Assess and understand reasons for vulnerability, review vulnerability criteria and identify vulnerable households within the resettler populations.
Fourteen rounds of QSEM were implemented since 2011 (see table below).
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QSEM and LSMS rounds since 2011 Date LSMS Quantitative QSEM 2011 Q1 Round 1 Q2 LSMS 6 Q3 Round 2 Q4 2012 Q1 Round 3 Q2 Q3 Round 4 Q4 Round 5 – Census 2013 Q1 LSMS 7 Q2 Q3 Round 6 Q4 2014 Q1 Round 7 Q2 Round 8 (census) Q3 Round 9 (and complete census) Q4 2015 Q1 Q2 Q3 Round 11 Q4 2016 Q1 Round 12 Q2 Q3 Round 13 Q4 2017 Q1 LSMS 8 Q2 Q3 Round 14 Q4
The QSEM surveys have shown that socio-economic outcomes are controlled by village, ethnicity, and location and to some extent educational capacity of household heads. They have largely confirmed the LSMS results:
All villages have benefitted economically from resettlement though some villages clearly lag behind and may need special assistance in the future. Special programs for these villages will not capture all poor and vulnerable households but poor households in these poor villages face an extra challenge in escaping poverty or improving incomes. All ethnic groups have benefitted from resettlement but the Makong have not benefitted as much as other groups. This is, in part, because they are located in the southern part of the resettlement area and have a greater reliance on agriculture and livestock than the central and northern villages. They also have comparatively poorer road access and are not located on a through road (which brings benefits for trade and transport). The southern villages (largely Makong) have a greater reliance on agriculture and livestock than fishing. Future assistance in the south could therefore focus more on agriculture than fishing. Education levels are correlated with some but not all economic outcomes for residents remaining on the plateau. Education is however known to correlate with other social outcomes (eg nutritional outcomes) and capacity to deal with more advanced cash
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economies, for example, better educated household heads reported less difficulty in repaying loans.
Entitlements for the Subsequent Growth Households
AL.2.1.1 Identify pending land cases for subsequent growth (SG) households and known critical issues (LOA − GOL) Action and reporting completed See 2.4.7
AL.2.1.2 Solve the cases identified for SG by implementing strategy & procedure at hamlet level (LOA − GOL) Action and reporting completed See 2.4.8
AL.2.2.6 Allocate Land Use Certificate (LUC) for Additional Agricultural Land to remaining eligible SG, where possible. By decision of the local govt. PPP and ODS are part of the sub-urban area, 49 SG in these 2 villages won't have access to additional Arg. land. (LOA − GOL) Action completed – report under finalization See 2.4.17
5 Communication
Resettlement Office Newsletters Since mid-2016, the monthly Resettlement Office Newsletter has been initiated to informed NT2 stakeholders on the activities being conducted as part of the Comprehensive Action Plan (CAP). This Newsletter is structured into 2 parts: (i) the Dashboard of the CAP, (ii) short Articles providing qualitative updates on the progress made on the List of Actions and the Medium Term Development Plan. The whole set of articles of the 11 issues released in 2017 are gathered in Annex 6 – Resettlement Office Newsletters issued in 2017
IAIA Special Symposium – Resettlement and Livelihood (Manila- Feb 2017) On 17 February 2017, NTPC participated to a special symposium of the International Association for Impact Assessment (the IAIA) in Manila, Philippines. This 20 minutes talk conducted together with EDF-CIH, presented some lessons learned from the resettlement program. It has been highlighted:
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The singular context of the Nakai Plateau resettlement: social sensitivity of Project stakeholders, flagship investment, ambitious goals and extensive pre-resettlement consultation; The profusion and depth of social development activities, and a high level of close external monitoring; The challenge to successfully close the Resettlement Implementation Period which satisfies the requirements of the numerous external stakeholders and builds the resettled communities towards an independent and sustainable future. The short article and the presentation are gathered in Annex 7 – Presentation on NT2 Resettlement at the IAIA Special Symposium, Manila, Feb 2017.
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Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement and Environmental Programs
1 Introduction – Key milestones There are key milestones of Environment Programs during January to December 2017, referring to the key tasks of the AIP 2017, as follows: Water quality monitoring
(i) Continue to monitor and understand the evolution of the whole NT2 hydro system in relation to Project operations, as required by the Concession Agreement and the 4th Service Agreement between NTPC and EDF for the period of May 2017 to April 2023; and (ii) Provide data for predictive models of the reservoir’s water quality and GHG emissions. This model, developed by EDF-CIH that will help in assessing scenarios of water quality evolution in the medium-term period (30 years). Greenhouse Gases are also taken into consideration in this model in order to refine the estimation of the carbon footprint of the hydropower plant within its entire concession period.
Environment compliance program (i) To undertake periodic inspection of all activities by NTPC or its contractors to ensure the compliance with CEMMP. (ii) Complete the construction of the 7th NTPC waste cell before the wet season 2017 and ensure that the construction is fully complied with the landfill management guideline standards. (iii) Manage and arrange the facility for a closure of the 6th NTPC waste cell while ensuring no environmental issues. (iv) Organize and manage the waste disposal in appropriate methodologies for the wastes stored in NTPC Landfill (hazardous wastes, laboratory wastes, recyclable wastes, used fluorescence, electronic wastes…). (v) Regularly organize the landfill observation borewells water quality monitoring for NTPC landfill by using the appropriate methodologies and suitable frequency to ensure that potential of contamination leached from waste cells and/or its leachate ponds are captured and corrective action to avoid further contamination into the local groundwater system will be taken properly. (vi) Keep study and take a proper action for wastewater treatment modification and its maintenance to ensure that the effluent water discharged from NTPC facilities are under the GoL effluent standard guidelines and no environmental impact to the local discharged areas. (vii) Re-handling over the upgraded landfill to GML district, providing a necessary support, technical assistance and training to the involved party for landfill and solid waste management in GML district. (viii) Providing a necessary support, technical assistance and training to the involved party for landfill and solid waste management in Nakai district.
Erosion Monitoring program Complete the 23rd riverbank erosion survey by photographic method to identify and document Xe Bangfai riverbank areas which may have been recently eroded before the wet season of 2017. Hydrobiology monitoring
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(i) As part of the Concession Agreement, the hydrobiology survey still continue for Chlorophyll a (as production indicator in the Reservoir), aquatic invertebrates in the rivers upstream and downstream of the reservoir and fish population monitoring in the rivers and reservoir. (ii) To fulfill the objectives of the fisheries action plan, surveys will continue in 2017 as following: Fisheries monitoring on the Nakai Plateau; Water quality of the gully dams to assess the suitability for further aquaculture development. (iii) Additional activities to support the end of research programs by providing assistance of data analysis and interpretation (field mission completed in 2016 for all programs). Biodiversity program (i) Education and outreach on HEC: provide the necessary support and follow up the effectiveness of HEC mitigation and awareness activities by the HEC outreach team from Nakai DoNRE. (ii) HEC mission by WCS: with a collaboration with WCS, GPS collars installation for the Group of Three will be conducted in dry season(early of 2017) and providing the necessary support for its GPS collars to DoNRE staff under the supervising of WCS team. (iii) Chinese Swamp Cypress germination program: (i) Environment team plan to continue the joining with the experts from IUCN Conifer Redlist Authority, NUOL and San Francisco University to collect Swamp Cypress seed; organize germination, and plant seedlings in the NPA. (iv) Continue invasive species monitoring and control. (v) Mineral lick replenishment: as advised by an Elephant Specialist (WCS), two replenishments will be organized in 2017 (one before + one after or during the wet season).
2 Organization and responsibilities Historical background The Environment Management Office (EMO) was divided into two separate departments in 2010. The role of ensuring compliance with NTPC’s environmental commitments was transferred to the Health, Safety and Environment Department and was under NTPC’s Integrated Management System Division. In June 2015 this unit has been renamed Risk & Strategy Unit, along with this organizational change, all tasks related to biodiversity monitoring and management; water quality monitoring and analysis (chemistry, hydrobiology); and erosion monitoring have been maintained within E&S Division’s Water Quality and Biodiversity Department. The 3rd Service Agreement between EDF and NTPC to support the Laboratory started in May 2014 and ended in April 2017 and the 4th Agreement was started in May 2017 and will last till April 2023. Since January 2016, the Environment Compliance team under the Risk & Strategy Unit was transferred to Water Quality and Biodiversity Department and the name of department has been changed to Environment Department since August 2016 to present.
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Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement and Environmental Programs Current Organization and responsibilities (2016 onwards) The Environment Department is organized as in Figure 4 and Figure 5.
Figure 4 – Environment Department Organization updated in December 2017
Figure 5 – Detailed Organization Chart of the Environment Department updated in December 2017
The Environment Department is in charge of design, implementation and monitoring of activities and achievement of objectives of Environmental (including all water quality monitoring and biodiversity) contractual obligations of NTPC during the Operational Phase. The Aquatic Environment Laboratory (AE Lab), within the Environment Department to monitors water quality, hydrobiology and greenhouse gas emissions in the reservoir, upstream and downstream areas under funding agreement between NTPC and EDF starting from April 2011 for 3 years period and is extended to April 2017. Another 6 years (May 2017 to April 2023) of funding agreement is approved by EDF and Lenders’ advisor with a lightened scope of monitoring. The team also conducts the riverbank erosion monitoring
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Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement and Environmental Programs along the Xe Bangfai. The Hydrobiology Team continues to perform Chlorophyll a monitoring, fish population monitoring in the Nakai reservoir and in the Xe Bangfai River, continue to support fisheries action plan and provide an assistance to the end of research program. The Environment Compliance Team monitors, inspects and manages all environmental internal issues and supports the solid waste management in the 2 local districts (Gnommalat and Nakai). Promoting the awareness program on environment care to NTPC staff and families; NTPC contractors; and local communities in both districts. The mission ensures that there is no negative impact by the project to the local environment in a short term and on a long run. The corrective and preventive actions are taken for any environment incident and follow up by the team. The elephant program, the invasive species program and swamp cypress program are under the Biodiversity activities of the Environment Department.
3 Main outputs of Environment programs until December 2017
The Aquatic Environment Laboratory (AE Lab) After nine years of operation of NT2 Aquatic Environment Laboratory (AE Lab), the Service Agreement between NTPC and EDF-CIH for water quality was ended in April 30, 2017. The new contract was proposed to EDF and approved by Lenders’ advisors for a period of 6 years (May 2017 to April 2023). The main purpose of the extended contract is for continuing to monitor Greenhouse Gas (GHG) emissions to understand its evaluation at least 15 years after the impoundment. Since 2008, four contracts were signed with EDF-CIH. The AEL was set up in order to develop two kinds of in-house capacities: - Perform the analysis of most water quality parameters to be monitored by NTPC to fulfil its obligations under the Concession Agreement (only oil and grease analysis is still being sent for analysis to UAE, a Thai laboratory based in Bangkok). - Support various research programs: Greenhouse Gas (GHG) emissions measurements and related studies, Dynamic of Mercury content in fish flesh, Fish stock assessment in the reservoir and Effects of a reservoir on fish composition using a tropic approach.
The main outputs 2017 for the AEL are the following: - Maintained the quality of laboratory and staff performance by continuing to conduct the internal QA/QC for laboratory by performing the tests of method blank analysis, blind samples analysis, Quality Control standards by CRM and method comparison. - The proficiency testing (PT) program for the external QA/QC could not be applied to participate with the accredited provider in USA within the 4th Quarter of 2017 due to the delay on delivery process. The participation is postponed to the 1st Quarter of 2018. - Laboratory Database Improvement Project – After the initiating phase of implementation at the end of 2016, the data migration process has been launched since then and still on-going. Furthermore, a training course on basic manipulation of Water Quality Module (WISKI – KiWQM and WiRED) was conducted at site in November 2016 and in May 2017 by KISTERS Team. 7 Chemistry staff and 2 staff from Technical Branch attended these 2 workshops.
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Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement and Environmental Programs
- Supporting of the Scientific Researches: Greenhouse Gas (GHG) Emission monitoring: the monitoring still continues in routinely basis in reservoir, tributaries, downstream rivers and civil work area
to support a scientific article relating to the 3 GHGs (CH4, CO2 and N2O) emissions in NT2 project. Research programs relating to Fisheries Action Plan: (i) Development and implementation of a methodology to evaluate fish stock in the reservoir; Research on the dynamic of Hg in the Nam Theun 2 area as a non-impacted area Enviromics research program to measure the effects of a reservoir on fish composition using a trophic approach and environmental DNA.
Water quality monitoring Water quality monitoring was conducted in agreement with the original schedule according to the Concession Agreement and the 3rd Service Agreement between NTPC and EDF-CIH until April 2017. The 4th Service Agreement was approved and extends until April 2023. The Sampling stations of the 3rd and 4th Service Agreement are presented in the Annex 8 and Annex 9, respectively. Few missions during the year needed to be cancelled due to accessibility issues to the sites, the stream bed dried out and safety concerns of poor weather conditions.
Reservoir - As 2017 is the wet year with rain storm, the reservoir’s water level reached its maximum capacity (538m ASL) in September and October. The spillway at Nakai Dam was operated for 2 times: (i) during the 16th to 30th of September (average released flow 240 m3/s) and (ii) during 10th to 17th October (average released flow 280 m3/s) before a slightly decreasing of reservoir water level afterward. - Chlorophyll a concetrations showed the same partern since 2011. After a higher production period in 2010 (trophic upsurge), concentration decreased to reach a stable level in 2011. Concentrations showed an annual production peak observed at the end of the warm dry (WD) season (Figure 6). A second peak, weaker, occurred at the end of the wet season (October). In general, the low concentration of Chlorophyll a (with other production parameters e.g. nutrients) underlined an oligo-mesotrophic level of NT2 Reservoir. A higher value observed in end of WD 2016 (June) compared to the peak in 2011, this could be linked to the lower water level and first rain in May 2016 that could increase the nutrients. The observed value in 2017 still showed the annual peak as same as the previous years but lower than 2016.
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Figure 6 – Monthly averages (of all stations) of [Chlo a] (µg.L-1) in NT2 reservoir from 2010 to 2017
- Destratification followed its annual cycle for the water column overturned in 2017. The water column was fully mixed in all sampling stations in January then became less in February. At the end of the year, the thermocline started to disappear in November due to the drop of atmospheric temperature which demonstrated the beginning of overturned period. - Stratification occured in the whole reservoir (except Intake) during warm dry season since March when the atmospheric temperature was high (same as previous year). However, the stratification was disturbed by the wind condition and rainy runoff from tributaries during wet season. - Oxicline was developped in the whole reservoir in April to July at various layers (4 – 23 m) except at the Intake. Anoxia was also re-appeared at all stations since April to July except at the Intake. - High values of Dissolved Oxygen (>5 mg/L) at the surface were always observed in all stations, except at Nakai Dam (RES01) and Nam Malou Area (RES03) in November, where the dissolved oxygen slightly below the guideline (4.2 mg/L), this low value may induced from the overturn period where water with low concentration of dissolved oxygen moved up to the surface level. - Summary of water quality monitoring results in 2017 are shown in the following Figure 7, Figure 8, and Figure 9.
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Figure 7 – Water Quality results in the NT2 Reservoir from January to April 2017
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Figure 8 – Water Quality results in the NT2 Reservoir from May to June 2017
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Figure 9 – Water Quality results in the NT2 Reservoir from July to December 2017
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Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement and Environmental Programs
Rivers Key WQ results related to Project releases during the January to December 2017: - Dissolved Oxygen remained above the Guideline for Nam Theun, Nam Kathang and Xe Bangfai Rivers throughout the whole year (Figure 10). - Biologycal Oxygen Demand (BOD) slightly exceeded the guideline in Nam Theun downstream of Nakai dam and THPC headpond (at Lak 20 Bridge) during January. The exceedance at Nam Theun downstream of Nam Phao Confluence was also observed in February. - Chemical Oxygen Demand (COD) slightly exceeded the Guideline for few months in Xe Bangfai downstream of the DSC confluence, in Nam Kathang downstream of the Regulating dam and in Nam Theun downstream of Nakai dam10. - Total Suspended Solids (TSS) exceeded the guideline in (i) Nam Kathang upstream and downstream of Regulating dam in August; (ii) Nam Phao and Nam Theun downstream of Nam Phao Confluence in March and August and (iii) Xe Bangfai river in September.
- Total Phosphorus (Ptot) exceeded the guideline in (i) August at Nam Kathang downstream of Regulating Dam and Xe Bangfai upstream and downstream of DSC confluence and in (ii) October to November at Nam Phao and Nam Theun downstream of Nam Phao Confluence.
- A biological indicator (BMWPThai ~155 and ASPT~6.2) in 2017 confirmed a good water quality at upstream tributaries, downstream of Nakai Dam and Downstream of Powerhouse. Note: This exceedance of Total Suspended Solids and Total Phosphorus was related to high sediment laden consecutive to the increase of rainfall or any of activity (mining) in the Nam Phao upstream and not related to the project release.
10 If the uncertainty of measurement is taken into account on the reported results, values may remain under the guideline or slightly exceed the guideline.
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Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement and Environmental Programs
Figure 10 – Dissolved Oxygen in the downstream rivers (2015-2017)
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Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement and Environmental Programs
Villagers’ borewells Since 2006 to December 2017, 824 of 827 (99.6%) total in-use boreholes installed by NTPC since construction period are monitored. Monitoring results of groundwater for Village Water Supply in 2017 are available on quarterly basis.
Groundwater during Quarter 1, 2017 During Quarter 1_2017, total of 84 boreholes were sampled for water chemistry and Faecal Coliform Bacteria analysis. - Downstream Program Groundwater: 60 boreholes. - Resettler’s Groundwater (RGW): 24 boreholes.
Remarks:
Parameter Number of Borehole Exceeded the Guidelines
Faecal Coliform 19 boreholes exceeded the guideline. Comment: It is strongly recommended to keep boiling water for drinking purpose.
pH, Conductivity, 41 boreholes showed results exceeding guidelines at least one of these Turbidity, parameters. Manganese and Comment: Exceedance of these parameters may effect odour and/or taste of water. Total Iron
Groundwater during Quarter 2, 2017 During the second Quarter 2017, total of 87 boreholes were sampled for water chemistry and Faecal Coliform Bacteria analysis as following: - Downstream Program Groundwater: 75 boreholes. - Resettler’s Groundwater (RGW): 12 boreholes.
Remarks:
Parameter Number Borehole Exceeded the Guidelines
29 boreholes exceeded the guideline. Faecal Coliform Comment: It is strongly recommended to keep boiling water for drinking purpose.
3 boreholes exceeded the guideline in : Total Hardness Xaibouly District: XBL06004 Nongbok District: NBK05915 and NBK07602 58 boreholes showed results exceeding guidelines at least one of these pH, Conductivity parameters. and Turbidity Comment: Exceedance of these parameters may effect odour and/or taste of water.
Groundwater during Quarter 3, 2017 During the third Quarter 2017, total of 84 boreholes were sampled for water chemistry and Faecal Coliform Bacteria analysis. - Downstream Program Groundwater: 60 boreholes. - Resettler’s Groundwater (RGW): 24 boreholes.
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Remarks:
Parameter Number Borehole Exceeded the Guidelines
49 boreholes exceeded the guideline. Faecal Coliform Comment: It is strongly recommended to keep boiling water for drinking purpose. 42 boreholes showed results exceeding guidelines at least one of these parameters. pH, Conductivity,
and Turbidity Comment: Exceedance of these parameters may effect odour and/or taste of water.
Groundwater during Quarter 4, 2017 During the fourth quarter 2017, 86 boreholes were sampled for water chemistry and Faecal Coliform Bacteria analysis as following - Downstream Program Groundwater: 74 boreholes. - Resettler’s Groundwater (RGW): 12 boreholes. Results are:
Parameter Number Borehole Exceeded the Guidelines
20 boreholes exceeded the guideline Faecal Coliform Comment: It is strongly recommended to keep boiling water for drinking purpose.
73 boreholes showed results exceeding guidelines at least one of these pH, Conductivity and parameters. Turbidity Comment: Exceedance of these parameters may effect odour and/or taste of water.
2 boreholes exceeded the guideline in: o Nongbok District: NBK05003 and NBK05912 Comment and Action: Restricted for infant aged below 6 months Nitrate-Nitrogen o The formal letter confirming the Nitrate value exceedances the guideline and its recommendation will be sent to Public Health Office of Nongbok District for communicating to villagers.
Note: The results of Trace metals were pending due to the troubleshooting of the MP-AES Analyzer. The equipment was out of service until end of October then all pending samples are being analysed.
Facilities water
Potable water The NTPC Potable water facilities monitoring results are summarized below:
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Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement and Environmental Programs
Exceedance revealed (at least a month) from January to December 2017 Guideline NTPC Parameter values RNT Nakai office RNT Powerhouse Extension Dam drinking water pH 6.5 - 8.5 X X X X Turbidity <5.0 NTU X X Conductivity < 1000mg/L X Total Hardness <300 mg/L X Colour <5 TUC X X X X Residual 0.5 - 2.0 X X Chlorine (Cl2) mg/L Note: The chlorine dosing unit in the RNT potable water system is stopped to operate since February 2017, Residual Chlorine measurement is also no longer perform since then.
Effluent discharge water The NTPC wastewater treatment facilities monitoring results are summarized below: Exceedance revealed (at least a month) from January to December 2017 Guideline Nakai Parameter Wooden values Residence RNT Powerhouse Guesthous Nongboua Complex e (WGH) (NRC) Biological Oxygen <30mg/L X X X X X Demand (BOD) Chemical Oxygen <120 mg/L X X X X X Demand (COD) Residual Chlorine <1mg/L Total Suspended <40mg/L X X X X Solids (TSS) <1000 Thermotolerant CFU/100 X X (Faecal) Coliform mL Note: No effluent discharged at WGH during the sampling day in January to May and in October to December.
BOD and COD values of effluents from NTPC wastewater treatment plants are shown in Figure 11 and Figure 12.
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Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement and Environmental Programs
Figure 11 – BOD results from wastewater treatment works (during January to December 2017)
Figure 12 – COD results from wastewater treatment works (during January to December 2017)
Landfill observation borewells in NTPC Landfill Since March 2015, 5 borewells of Landfill Groundwater (LGW05-LGW09) have been closely monitored in monthly basis on the exceedances of pH, BOD, COD (by AEL) and Lead (by UAE, Bangkok).
In July 2015, 3 borewells (W54, GML01106 and GML01108) were installed by NTPC and are still in-use by villagers were added for monthly monitoring.
In September 2015, another 4 borewells (GW001, GW002, GW003 and GW004) were installed and used by villagers were added for monthly monitoring.
In December 2016, 4 new observation borewells were installed at the landfill and all of them were added for monthly monitoring since February 2017: - LGW10: borewell near LGW09 to monitor the present of Lead contamination in a borewell downstream the leachate ponds.
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Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement and Environmental Programs
- LGW11: borewell to monitor the contamination that may occurred by the landfill leachate ponds. - LGW12: borewell to monitor the contamination that may occurred by the future constructed waste cells. - LGW13: borewell located upstream of NTPC landfill and downstream of Gnommalath district landfill.
The sampling locations of each borewells, including the new borewells (LGW10 to LGW13) that are installed in November 2016, are shown in the below map (Figure 13).
Figure 13 – Borewells locations Landfill Groundwater Monitoring
Monitoring results up to December 2017 show (Figure 14): - pH: almost of the measured values in the borewells did not meet the guideline (slightly too low). - BOD: no exceedance recorded during the year at LGW06, LGW07, LGW09, LGW10 and GML01106. The rest of monitoring borewells showed the exceedance only in few months. - COD: most of sampling sites (both observation borewells and villager’s borewells) showed values exceeded the guideline in some months. The maximum value recorded at GW004 in May (287mg/L). Note: COD reporting result showed in the graph at 4 mg/L means COD value <4 mg/L and may below the guideline of <1 mg/L (Limit of Detection for COD parameter is 4 mg/L).
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Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement and Environmental Programs
- Lead (Pb): testing results exceeded the guideline (0.05 mg/L) only in LGW13 in February (0.071mg/L) and LGW09 in November (0.356mg/L).
Remark: no sampling at (i) LGW10 – LGW13 in November and December and (ii) GW003 in November due the Bennet pump and villager’s pumps were broken.
1 0 L G W 0 5 Guideline: 6.5-8.5 9 L G W 0 6
8 L G W 0 7 7 L G W 0 8 L G W 0 9 pH 6 L G W 1 0 5 L G W 1 1
4 L G W 1 2 3 L G W 1 3 9 G 0 0 1 G 0 0 2 6 Guideline < 1 mg/L G 0 0 3 5 G 0 0 4
4 G M L 0 1 1 0 6 3 G M L 0 1 0 0 8
2 W 5 4
B O D (m g /L ) 1
0
4 0 0 3 5 0 Guideline: < 1 mg/L 3 0 0 2 5 0 2 0 0 1 5 0 1 0 0 5 0
C O D (m g /L ) 1 0
0 .6 Guideline: < 0.05 mg/L 0 .3 0 .2 0
0 .1 5
0 .1 0 P b (m g /L ) 0 .0 5
0 .0 0
O c t-2 0 1 4D e c -2J a 0 n 1 -2 4Fe 0 b 1-2 5 0 1 5 J u n -2J 0u 1 l-2 5 0 1 5S e p -2O 0c 1t-2 5 0 1 5D e c -2J a 0 n 1 -2 5Fe 0 b 1-2 6 0 1 6 J u n -2J 0u 1 l-2 6 0 1 6S e p -2O 0c 1t-2 6 0 1 6D e c -2J a 0 n 1 -2 6Fe 0 b 1-2 7 0 1 7 J u n -2J 0u 1 l-2 7 0 1 7S e p -2O 0c 1t-2 7 0 1 7D e c -2 0 1 7 N o v -2 0 1 4 M a r -2A p0 r1M -25 a 0 y 1 -2 5 0 1 5 A u g -2 0 1 5 N o v -2 0 1 5 M a r -2A p0 r1M -26 a 0 y 1 -2 6 0 1 6 A u g -2 0 1 6 N o v -2 0 1 6 M a r -2A p0 r1M -27 a 0 y 1 -2 7 0 1 7 A u g -2 0 1 7 N o v -2 0 1 7
Figure 14 – Water quality results in borewells (2014-2017). GOL standards of groundwater for drinking purpose are in grey shade for the 4 parameters.
Note: GOL standards of groundwater for drinking purpose of the 4 parameters (pH, BOD,COD and Pb) are in grey shade.
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Potable water at RNT: In additional to routine monitoring of facilities water, since the Potable Water Treatment Plant installed at RNT for years, there are 2 main issues of potable water produced by this treatment plant occurred regularly: (i) high total hardness content in the water and it causes the white sediments or scale at the bottom of the boiling pot; (ii) turbid water with brownish particulates and it causes the discolouring of washed clothes or leaving the contamination in washed materials (e.g. food containers, vegetables, toilet bowl, …)
A solution of high total hardness content in the water is proposed by installing a Softener Unit in the treatment system for removing Calcium ion (Ca2+) and Magnesium ion (Mg2+) in the water to maintain the value of Total Hardness below the Potable Water
Standard Guideline (<300 mg/L CaCO3). The Softener is already installed on 21 December 2016. Currently the system is closely monitoring for its water quality improvement and under studying for a proper frequency of its routine maintenance. There are 2 issues concerning the resin regeneration are: (i) its waste of a salt solution (10% Calcium Chloride, CaCl2) for ~1,000 L at each regeneration which is needed to be gradually loaded into Wastewater Treatment System, not once in a time; and (ii) high frequency of the unit regeneration which is needed a closely monitoring and tracking.
The issue of turbid water is appeared in random and frequency but has not been resolved yet. According to this issue, the Aquatic Environmental Laboratory (AE Lab) has been studying water quality for investigating the potential root causes. Information from the studies provided the evidences of groundwater quality variations in the RNT borewells for Dissolved Iron (Fe2+) and Dissolved Manganese (Mn2+) contents. These 2 elements could be converted to un-dissolved forms (so called ‘brownish particulates’ in the water) when these ions reacted with Sodium Hypochlorite (NaOCl, a disinfecting chemical) or exposed to oxygen in ambient air.
According to the water quality situation mentioned above, two proposals of corrective actions were proposed:
(i) Temporary stop dosing of Sodium Hypochlorite (NaOCl) for disinfection; and (ii) Modify the dosing system of Sodium Hypochlorite (NaOCl) for the purpose of disinfection and oxidizing of Dissolved Iron (Fe2+) and Dissolved Manganese (Mn2+) to be particle forms before filtering by the sand filter unit.
Currently, the temporary stop dosing of Sodium Hypochlorite (NaOCl) for disinfection process is ongoing to monitor the changes of water quality. The softener was installed by Sure Chemical (Thailand) and the new operation system started in February 2017. During this trial period in the first semester, chemistry team conducted the routine water quality monitoring twice a week in order to closely follow the evolution on each parameter: pH, Conductivity, Turbidity, Total Hardness, Colour, Total dissolved Iron and Faecal Coliform. According to the analysis results after several consecutive months of monitoring, there was no Faecal Coliform contamination observed. On the other hand, it seems that the capacity of the softener is limited compared to the production rate so it takes much time to optimize the
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Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement and Environmental Programs system and to define the frequency of softener regeneration. Since May, the value of Total Hardness at the point before distribution started to decrease from ~400 mg/L to 300 mg/L (the water quality standard guideline of potable water is <300 mg/L). However, from August to November, there was a shortage of NaCl to regenerate the softener so the monitoring was temporally stopped. In December, the monitoring re-started as the softener was back to operation. The value of Total Hardness at the points just after the softener and at the distribution points still higher than the guideline (> 400mg/L and >300mg/L respectively). The monitoring is still on-going in order to define the optimized operation condition by minimizing frequency of the softener unit’s regeneration to keep its Total Hardness value below the guideline.
Fish Population and Fish Catch survey
Nakai Reservoir Fish Population and fish catch in the NT2 Reservoir Fish catch monitoring in the reservoir is presented in the previous Part 1 (Resettlement Programs) 2.3.14. The monthly reports on the fisheries monitoring in Nakai are provided to the stakeholders in Nakai who are involved in the fisheries co-management. Furthermore, fish population monitoring continues on quarterly basis in the Reservoir.
Water Quality Monitoring of Gully Dam One full year of water quality monitoring of the 22 gully dams in Nakai (Figure 15) was realized (Fisheries AP) in view to assess the suitability of the gully dams for further aquaculture development and the monitoring was stopped in April 2017. The main result (April 2016 – April 2017) shows: - Almost all gully dams were flooded during the warm-wet season (when the NT2 reservoir reaches the full supply level) except gully dam No.1 and No.2 at Sop Phan, No.5 at NamNian and No.17 at Khone Kaen because these gully dams are not connected to the reservoir and located in high elevation. - Dissolved Oxygen was low in April 2016 for 50% of the Gully Dams with concentration below 3 mg/L. - Concentration start to re-increase in May 2016. Some gully dams presented low Oxygen concentration in long period e.g. gully dam No.4 at Sop Ma presented the Oxygen concentration lower 3 mg/L from April-June 2016. The low Oxygen concentration in gully dams could be linked to the shallow and narrow of gully dam and the water storage in gully dam for long time with a little inflow or without any inflow.
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Figure 15 Dissolves Oxygen (mg/L) at the surface water in the 22 Gully Dams (April 2016-April 2017)
Nam Theun Downstream of the Nakai Dam Fish catch monitoring in the downstream river ended in April 2015 as mentioned in the CA. The fish population continues to be monitored on quarterly basis with an experimental fishing. Result of the monitoring shows (Figure 16): - Fish population follows a seasonal dynamic with an increase in abundances and taxonomic richness mainly at the end of the dry and warm season. - Biological indices fluctuate in a same range since 2011 until 2017. - Low catch in term of biomass in April 2015 and April 2016 with high abundance are linked to a large catch of small individuals (average size of the catch <70mm). - Since 2011, the biomass fluctuates around 2Kg per catch. - Taxonomic richness remain stable since 2011 (around 10 species recorded per mission).
Figure 16 - Abundance, biomass and taxonomic richness at NTH6 during April 2008 to the end of 2017
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Xe Bangfai River Fish Population in the Xe Bangfai The results of the fish population monitoring at Ban Mahaxai (XBF2, downstream of the downstream channel confluence with the River) showed (Figure 17): - A trend of an increase in abundance, biomass and taxonomic richness since the COD for a same fishing effort and same station with a peak mainly observed during the wet season. - Biomass and taxonomic richness showed seasonal peak that are at the end of the dry season and at the end of the rainy season. - The parameters showed higher value in warm-wet season 2017 with 35 species found, around 197 individual and 3 Kg per unit effort.
Figure 17 – Fish population parameters at Ban Mahaxai during March 2008 to the end of 2017
Biodiversity Program
Elephant programs
HEC monitoring and mitigation A total of 66 HEC incidents occurred in 2017 with a slightly decrease compare to 2016. 39 incidents are related to the Group of Three, 22 incidents related to Thongkong group, 4 incidents related to Dtong group, and 1 incident related to Thalang group (Figure 18). - 33 incidents related to property only, 24 incidents related to crop and property and 9 incidents related to crop only (Figure 19). Main properties damaged are huts, fence,
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household equipment and 1 baffalo. Main crops damaged are banana, cassava, corn, sugarcane and other food crop and fruit trees. - Essentail equipment for problem animal control (PAC) was distributed to farmers to use during the harvesting season to minimise the lost of property in the target areas. - The HEC incidents location in 2017 is shown in Figure 20.
Figure 18 - HEC incidents by group via bi-annual since 2013
Figure 19 - HEC incident by types via bi-annual since 2013
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Figure 20 - HEC incidents location in 2016 and 2017
Solutions of the group of 3 individuals . In preparation for the Group of Three (G3) collar installation operation, a mission for pre- darting operation by WCS consulting was conducted in January 2017 as follow: - Field survey for darting area. - Meeting with Vilabouly DAFO to discuss and planning how to figure out the recent place of Group of Three. - Meeting with Forestry Department to discuss about permission documents for WCS consultant team and importing equipment for GPS collars installation - Meeting with Livestock and Fishery Department to check the viability of dart gun and equivalent equipment and drugs. . The agreement on GPS collars installation G3 has been authorized by Minister of Prime Minister Cabinet Office. Document No. 50/ຫສນຍ.ກສສ, date: January 9, 2017. . To ensure the operation has a great success, the monitoring of the target elephants has been conducted regularly including camera traps and field survey to find the locations of this elephant group. The mission of collar installation for G3 was planned in October 2017 but it was postponed to January 2018 due to unexpected accident with the main Indonesian tracker and darter.
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Artificial Mineral Lick
Artificial Mineral Lick Replenishment Artificial Mineral Licks (AML) replenishment had been regularly conducted. The AML replenishment had completed for both dry and wet seasons (February and August) in 2017, there are 2,287 kg of minerals (1,282 kgs of NaCl, 690 kgs of H2NaPO4, 225 kgs of CaCO3 and 90 kgs of KCl) had refilled to all 8 AML sites. Mineral used for AMLs replenishment in 2017
sodium Monosodium calcium potassium Site/mineral chloride phosphate carbonate chloride Total/site NaCl (kg) H2NaPO4 (kg) CaCO3 (kg) KCl (kg) PML1/5 79 35 12 6 132 PML1/9 89 23 12 13 137 PML1/19 116 60 25 10 211 PML2/7 317 191 58 18 584 PML2/16 241 99 37 16 393 PML3/18 152 88 33 9 282 PML3/19 141 104 36 10 291 PML3/23 147 90 12 8 257 Total 1,282 690 225 90 2,287
Figure 21 - Activities during AML replenishment 2017
Artificial Mineral Lick Monitoring AMLs monitoring for 2017 was conducted regularly as plan set up for the previous year. There were evidences of elephants’ visitation in 7 AMLs except PML1/19. While other wild ungulate and human act evidences found in all AMLs in 3 zones. Cattle found using 4 AMLs as PML2/7, 2/16 in zone II and PML3/19 and 3/23 in zone III. In consequence, PML2/7 was used as bird hunting site by local people.
Evidence of wildlife visitation and human act at AMLs Sites EPE HAE CE OUE PML 1/5 1 1 0 1 EPE: Elephant Evidence PML 1/9 1 1 0 1 HAE: Human Activities Evidence PML 1/19 0 1 0 1 CE: Cattle Evidence PML 2/7 1 1 1 1 OUE: Other Wild Ungulate Evidence PML 2/16 1 1 1 1 0: No evidence of animal visitation PML 3/18 1 1 0 1 1: Evidence of animal visitation PML 3/19 1 1 1 1 PML 3/23 1 1 1 1
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Figure 22 – the AMLs monitoring and evidences of human activities found at the AMLs
Invasive species survey and destruction The controlling of Mimosa pigra was conducted in 4 rounds in 2017. Through the survey and destruction of control, there were 32,196,231 trees (44,338 adult trees and 32,151,893 seedlings) were found and destroyed. The survey and destruction area was still focused in the resettlement villages and agriculture area. The highest density of Mimosa pigra observed at the Old Borchor Village, between NamNian and Nakai Tai villages (Figure 23). There were some areas found a very high growth rate of seedlings, approximate 3,880 seedlings per square meter.
Figure 23 - Location of Mimosa pigra found and destroyed in 2017
Chinese swamp cypress conservation program - In collaboration between University of San Francisco, National University of Laos (NUOL), WMPA and Nakai DoNRE. The field survey for seedlings and cross section for dendrochronology was conducted at Khoun Houay Heyow (Dteung Cluster) in January 2017. Through the mission, there was no seedling of Glyptostrobus pensilis
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found, 10 cut trees were selected for cross section samples and 3 new individual young trees found and documented in the area. - In July 2017, a propagation test of Glyptostrobus pensilis by using its branches was conducted at Khoun Houay Heyow to figure out if the species could be propagated from branches or not. The experiment result will be checked in January 2018. In consequence, a survey for breeding trees was conducted at Ban Phonsa-ard and Dteung Cluster to see if there cone could be collected for the germination trail in November 2017. - In November 2017, the seeds of 7 individual trees from 3 different sites (Phonsa-ard, Ban Dtueng and Khoun Houay Heyow) were collected and germinated in a nursery built near WMPA office. A total of 1024 seedlings raised from the seeds germinated in the nursery. 9 seedlings were found and collected from its natural habitat to the nursery for the further taking care for the future planting but only 4 seedlings are survived.
Figure 24 – Glyptostrobus pensilis nursery and seedlings
Environment Compliance Program
NTPC
Solid waste management The NTPC solid waste facility in Gnommalat district is performed by a subcontractor under a closely and strictly management by NTPC. The solids wastes are still well-separated at source into the 4 separated bins (general waste, composite waste, recyclable waste and hazardous waste). The solid wastes from all NTPC working/accommodation areas (RNT, Powerhouse, NRC, WGH, Nongboua Boat House and Dam Site) are then transported to landfill for the further process. The recyclable wastes are sold to the local traders, food wastes are fed to the piglets and worms, the hazardous wastes are well stored in the close building where the accessible is restricted, and the general wastes are dumped into the waste cell. The contract was ended at the end of December 2017 and the service provider will be replaced by a new company. Currently, the NTPC Landfill is still share-used with the Gnommalat district, as end of December 2017, about 90% of in-use waste cell (the 6th NTPC waste cell) is filled and expected that the closure of this cell would be done within Q2 of 2018. To replace the existing waste cell, the 7th waste cell construction was started in December. Environment
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Department together with TB-Engineer Department are in charge of follow up the work progress and inspection the construction area. The construction work is expected to be done within January 2018 with 1 year of guaranty period. Furthermore, the work related to the closure of the 6th waste cell is also mentioned in the contract with the same contractor and will be started once it is 100% filled.
Wastewater treatment management Effluent discharged from all 5 wastewater treatment plants (2 Black wastewater treatments at RNT and Powerhouse and 3 Grey wastewater treatment at NRC, WGH and Nongboua) are routine monitored in monthly basis. The effluent guideline exceedances have been observed occasionally for some parameters (BOD, COD, TSS, Residual Chlorine and Faecal Coliform Bacteria). The efficiency of wastewater treatment for both systems (activated sludge and artificial wetland) has been investigated by the specialists from a Thai company in November 2016. After considering the requirements and the feasibilities of the system upgrading proposed by the experts, the modification would be implemented in 3 plants:
- RNT plant: (i) upgrading the capacity of the Equalization tank (from 20 m3 to 70 m3) to increase the retaining capacity as well as the retention time of the wastewater in the system even during the peak time; (ii) installing the Chlorine controller at the chlorination unit in order to control the chlorine feeding pump upon a constrained value of free chlorine concentration. - Powerhouse plant: installing the Chlorine controller as same as at RNT to ensure the efficiency of the chlorination process according to the real-time concentration measuring by the controller. - Wooden Guesthouse plant: a pre-treatment unit (anaerobic treatment tank) with cross flow media (micro-organism media for the prior treatment), content a capacity volume of 20 m3 was recommended for this plant.
The plant modification tasks are under responsible of AB-Site Management; AE Lab will support the analysis of water samples and will evaluate their efficiency after the modification. However, due to the budget limitation of AB-Site Management for the year 2017, the system modification project was postponed to be conducted in 2018.
Site inspections The Environmental Compliance Team, as part of Environment Department still continues to fulfil its role of undertaking the audits, inspections and monitoring of all facilities to ensure compliance with NTPC environmental guidelines and Lao PDR regulations/laws.
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Environmental inspection number in 2017 (all NTPC sites)
Number of Inspection NTPC sites January to December Nakai Dam Site 10 Wooden Guesthouse 45 PWH & Switchyard 10 RNT Complex 18 NRC 47 Gnommalat Landfill 68 Surge Shaft/Access Adit 10 Intake and Headrace Channel and Tunnel 10 Nong Boua Boat area 47 Regulating Dam 10 Total 275
The number of environmental inspection for a specific purpose from January to December 2017 is 27 missions.
Environment incident management There are 12 Environmental incidents were reported during January to December 2017 as shown in Figure 25 by level classifying: . Level 1 – Minor Environmental Pollution . Level 2 – Significant Environmental Pollution . Level 3 – Serious Environmental Pollution . Level 4 – Major Environmental Pollution . Level 5 – Catastrophic Environmental Pollution
Figure 25 - Environment Incident Reports during January to December 2017
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Corrective and preventive actions for the reported environment incidents are clarified in the table below: No Incident Level Description of Incident Corrective Action Plan Status ID Date Ref . 1 17 Apr 17 I Oil leakage on the top of OPS New valve was tank, 70 litres of oil was collected replaced for this Closed 751 at FU1 with running load. OPS tank. 2 25 Apr 17 I Truck accident on the road to Environment staff Nakai, oil leakage on the ground involved for cleaning the area with proper spill kits and the Closed 796 contaminated waste was sent to landfill for further disposal. 3 22 May 17 I The wastewater from the RNT Site Management wastewater treatment system team was informed. was continuously flew out from The replacement of the overflow drainage pipe. 1 of broken drainage pump 2 drainage pump was broken is under process. Closed 805 inducing the overload of water in the system then the excess water was automatically discharged by this drain pipe. 22 May 17 I Oil Leakage during the yearly QHSE representative 4 maintenance at Gate no.4, Nakai at site took immediate Dam. About 1L of oil was actions by following splashed out during the oil the emergency spill Closed 810 drainage from OPS tank. response plan and recover the oil leak by using absorbance. 5 3 Aug 17 I Hydraulic oil sprayed on the TB-QHSE responded CAP 990 backfill area of DSC emergency to the incident by follow up spill way guiding the contractor to clean the area and move the contaminated soil to landfill. 6 15 Sep 17 I It's found the oil leaked on the Environment team Close 105 floor of RNT Guest house responded by using oil 5 parking. dispersant to clean the area. 7 21 Sep 17 I It's found the pipe was broken CES performed the Close 106 and the wastewater leakage on maintenance under 7 site are evident surveillance of AB-Site management team. 8 23 Oct 17 I It was found the failure of printer ICT team has tested CAP 109 at RNT "AB zone" : too many the printer system and Required 6 papers were printed with single an issue was line error message investigated to solve the root cause. 9 12 Nov 17 I TB-Staff was found the oil Closed the manual CAP 111 leakage from the pressure gauge valve of pressure Required 2 at Power House. gauge to stop the leak and cleaned the oil leaked from oil separator system. 10 11 Dec 17 I There was garbage thrown by This event is CAP 113 local people inside the right way uncontrolled by NTPC.
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No Incident Level Description of Incident Corrective Action Plan Status ID Date Ref . 500kV TL at TW#031/1 (MHX However, the required 4 district) information must be communicated to local authority for their further action. 11 19 Dec 17 I Small fish dead due to the Environment team was CAP 113 leaked water from the repairing requested to conduct required 9 work at DSC (concrete filling to the special mission of close the underground hole in water quality testing DSC) and all results were communicated to concern parties. 12 19 Dec 17 I Wastewater overflow at F6/D1 The corrective action Closed 114 was taken by AB-Site 3 management Note: The numbers of incidents and its levels have been revised and would be different from the previous monthly reports.
Environment awareness programs Awareness training The environmental training was conducted for both NTPC staff and contractor from January - December 2017.
- NTPC Staff Environmental awareness orientations were conducted to 101 persons and refresh training to 199 persons.
No. Description of group #Trained Remarks Persons 1 NTPC new staff 31 2 NTPC new interns 54 3 Trainee, consultant or volunteer 16 4 Spouses of NTPC staff 21 Refresh training 5 NTPC staff 178 Refresh training
- NTPC’s Contractor Environmental awareness orientations were conducted to 512 persons and refresh training to 263 persons of 35 service provider.
One of NTPC’s environmental commitments is to reduce our footprint especially for waste generation. To achieve this target together, the Environment Department has launched 3 Awareness Program to promote waste reduction and raise environmental awareness to all staff (Flash News no.09, Annex 10).
Environment awareness program - Polystyrene foam usage reduction The project of Polystyrene foam usage reduction was implemented since 2013 by RSU (formerly known as HSE team). The work was handed-over to Environment department
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Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement and Environmental Programs since January 2016 together with the merging of Environment compliance to Chemistry team. The action to support the reduce process is to provide the bento (food container) and requesting the service contractor to distribute the food by using Bento instead of Polystyrene foam box. From 2013 to 2016, 260 bento were distrubuted (90 bento for RO staff and 170 bento for rotate using in RNT restaurant).
In 2017, the monthly records was follow up until end of June at the arrival of the new service contractor. With new contractor, the polystyrene foam boxes use was definitely stopped and the service provider used biodegredable containers instead. Beside, the information communicated internal journal (Flash News no.15, Annex 11) entitled “Polystyrene Foam Use Reduction” was disseminated in April by Risk and Strategy Unit (RSU) in order to inform among staff for: (i) a potentiel risk of using the Polystyrene Foam as food container; (ii) to update the progress of the campaign since launching the program; and (iii) to raise staff’s awareness on replacing the use of Polystyrene Foam by using Bento.
Environment awareness program - Plastic bag usage reduction Similar to the Polystyrene Foam reduction program, the results of consumption monitoring was implemented in 2 campuses (RNT and RO) by RSU then handed over to Environment Department since January 2016. In order to promote the plastic bag usage reduction, RSU distributed the canvas bag to all staff in June 2014 and June 2015. Furthermore, the service contractor definitely stopped providing plastic bag to their customers at RNT minimart since the 1st canvas bag distribution and started using paper bag since October 2014 in order to obligate them to use canvas bag or other stuff instead of plastic bag.
Since July 2017, due to the change of service provider, the consumption follow up work was handed to the new one.
The results of consumption monitoring provided by the catering service providers: - RNT: the consumption dramamtically increased since the change of service provider in July 2017. The total consumption between 2016 and 2017 are 2,886 and 4,103 packs respectively. Figure 26. - RO: the decreasing is observed but shows slight difference between the year 2016 and 2017 (2,959 packs and 2,753 packs respectively; 6.9% of reduction), the peak of usage is also observed in July at the starting of new service provider, Figure 27.
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Figure 26 – Monthly Plastic Bag consumption in RNT (2013-2017)
Figure 27 – Monthly Plastic Bag consumption in RO (2013-2017)
As well as Polystyrene Foam, the Flash News no.12 (Annex 12) regarding “Plastic Bag Use Reduction” was disseminated in March. The situation of plastic bag consumption since start of campaign was mentioned in the content. Furthermore, the recommendation on the alternative ways to replace the use of plastic bag while shopping were presented.
Environment awareness program - Paper usage reduction In 2017, the target of paper usage reduction is set at 25% compared to year 2016. The program was launched since January 2017; and the monthly paper comsumption (for different types: A4, A3, A0) at each office (VTE, RNT, RO and Powerhouse) was recorded. In addition, the Flash News no.10 (Annex 13) was published in March to promote the “Paper Use Reduction program”. The main topics were focus on Environmental impact during the paper making process and the strategies of the reduction program: (i) re-use the one-sided
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According to the data recorded, only A4 type are regularly used and its data are suitable to evaluate the percentage of reduction over one year (A3 and A0 are used occasionally). Total consumption of A4 type in 2017 (267 boxes) decreased comparing to 2016 (422 boxes); which represent about 37% of consumption reduction.
Figure 28: Yearly consumption of A4 (2016-2017)
Nakai District Solid waste management In the CA Obligations, Volume 2A, Schedule 4 – Part1: NTPC committed to participate in regular education programs regarding waste management plans and service in Nakai Resettlement villages. In 2017, NTPC has been working closely with Nakai DoNRE to start implementing different activities to manage the solid waste in a good manner: (i) Waste collection system: the project was re-started in January by the waste truck handed over from NTPC to the Nakai District in 12 January 2017 and the waste collection in the District area was restarted in February 2017. During the first month of operation, NTPC and DoNRE staff closely monitored the daily collection data. NTPC also provided training on waste segregation to waste collecting team formed from local villagers and supported them necessary PPEs, including co-funding for the operation cost (salary of a waste truck driver, workers, fuel, per diem of DoNRE staff for routine work follow-up). The project was well implemented in Oudomsouk village (center of Nakai district) but less participation when moving far away. The collecting of service fee from the villagers is another issue facing to the program, most of them always working in their fields when DoNRE staff went to collect the fee. An alternative solution was suggested by NTPC to involve an outsource service for managing the waste collection and disposal in Nakai Plateau.
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(ii) Environment awareness campaign: in regards for raising the awareness of local people concerning the environment protection, 3 parties (NTPC, Happy Nakai and Nakai DoNRE) organized together the environmental awareness activities in Nakai lower and upper secondary schools, held on 23th and 24th March 2017. Around 300 students participated each day, and the target of this campaign is to spread the information on the proper way of the waste disposal, the benefit of waste segregation and the health effect of improper waste disposal, such as waste burning and waste scattering. (iii) The “Big Cleaning Day”, the event is under the theme “Go for Clean and Green Nakai”: the activity was held on 31st March 2017, around 300 people from local communities including students from Nakai secondary school, local authorities, Happy Nakai and NTPC volunteers participated to make the public area clean and clearing the messy garbage then put them in Nakai Landfill. (iv) The “World Environment Day” celebration: the event was successfully organized on 6th June 2017. The aim of the event is to promote environment awareness to local communities. Many activities such as Mini-marathon, recycle waste invention contest have been organized during the event day. Nakai DoNRE and NTPC-Environment were a main co-organizer of the event by supporting from Happy Nakai; volunteers from Social Environmental Education and Development (SEED) of Faculty of Environmental Science, NUOL; and Project Anoulack. The participants during the day (including athletes, organizers and observers) are around 1,000 people. The event was interested by local people as there were about 1,000 participants (athletes, organizers and observers are included) during the day. (v) Nakai new Landfill construction project: A proposal of co-funding project between NTPC and the Nakai District was approved by Khammouane provincial governor. The estimated cost of the project is about 300,000 USD; the budget is including a purchasing and construction work for: (i) Construction of new landfill and its facilities and closure of the waste cell at existing landfill; (ii) Purchasing of waste truck that has been handed over to Nakai DoNRE and waste bins; and (iii) The cost for spending to launch the awareness program in the 16 Nakai resettlement villages. Due to the process of agreement document preparation, the construction project was postponed to be conducted within 2018.
Gnommalat District Solid waste management The upgrading of the existing Gnommalat district waste cell was accomplished at the beginning of the year and three main activities have been executed as mentioned below: i) Clearing the partially used landfill and lining with HDPE; ii) Re-design a leachate pond by enlarging its volume capacity and extend the leachate water retention time to ensure that the leachate from waste cell will be properly treated before releasing to the natural environment; and iii) Repairing/re-compacting the landslide at the backfilled platform area.
However, the landfill was not yet re-handed over to Gnommalat district, due to lacking of experienced outsource for properly managing waste at the landfill and the some eroded
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Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement and Environmental Programs slope at the leachate pond discharge after heavy rains. The repairing work was conducted by the contractor and completed in December. Regarding the outsource service for waste management at Gnommalat district, the company was selected to take over the service related to the waste collection and district landfill management. The contract between the company and Gnommalat DoNRE is being prepared and is expected to be signed by both parties in early 2018.
Regarding the Environment awareness program at Gnommalat, the “World Environment Day” celebration was also held in Gnommalat district on 2nd June 2017. The day was successfully organized as well as in Nakai district, same kinds of activity were conducted. The event was interested by local people as there were about 1,000 participants (athletes, organizers and observers are included) during the day.
Erosion Monitoring Program In 2017, the mission was completed on 10 – 11 May (end of dry season) to evaluate the erosion expansion by season and the report was issued. This mission was the twenty-third organized since March 2010. A total of 674 sites (27 indicator sites and 647 non-indicators sites) were monitored and no erosion expansion was observed compared to the previous mission in December 2016. No Cross Section Survey was implemented in 2017 and it is planned to conduct the next one in 2018 after the last one in 2013.
Implementation of the Environmental Management System NTPC has been certified the Environmental Management System (ISO 14001:2004) since 28 March 2014 by SGS (Thailand) as Certifying Body under UKAS and the 1st and the 2nd Surveillance Visit performed in March 2015 and March to April 2016, respectively. In 2017, NTPC continuously improved and maintained the Environmental Management System. The latest audit on site was held in February 2017 for the certification renewal of a new version on Environmental Management System (ISO 14001:2015). After investigating during the audit, the ISO 14001 certificate has been upgraded to the version of 2015 and it is valid for 3 years. The next ISO Surveillance Visit plans to be conducted in February 2018.
4 Visits and consultancies During the year 2017, the main activities of visits, audits and consultancies were as follows:
. Environment Management system – participation to the external audit by SGS (Thailand) in February for OHSAS18001:2007 and ISO 14001:2004 re-certification. According to the audit results, there was no major/minor of non-conformity related to Environemnt aspect; and ISO 14001:2004 was updated to ISO 14001:2015 version. . Lender Technical Advisor (LTA) visit - in February, the updated information covering on all Environement activities have been presented. Furthermore, during
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this visit, the representative from Environment department participated in a meeting with LTA and the Nakai district authorities to update the work progress on solid waste management in Nakai Area, with a support of NTPC and to discuss on the district’s requirement on this issue. . Site visit by: (i) Faculty of Environment, NUOL - in February, a study tour of teachers and students from different departments of Faculty of Environment, National University of Laos, the information on Environment department activities have been presented as well as lab visit. (ii) EDF DPIH Director and NTPC Board director – in October, general information of AE Lab activities including the GHG studied results were presented during the visit. (iii) country representative of Institut de la Recheche du Developpement(IRD) – in November, during the visit, the information about the Department activities and the Scientific monitoring program and its results were presented. . EGCO Health,Safety and Environment working group - lab and site visit by management team and HSE working group in March. A brief of Environement department responsibilities were presented, focusing on the biodiversity management in NT2 project. . University of Science and Technology of Hanoi (USTH) mission - participation of Chemistry team in the field and laboratory work with students and teachers in April, the staff participated on: o Demonstrating water sampling and profile measurement on reservoir; o Demonstrating laboratory analysis work; and o Students practiced of GHG analysis by using Gas Chromatography for dissolved and ebullition samples. . World Bank and ADB mission in September – (i) a meeting with WMPA to update the current status and implementation plan and (ii) site survey for riverbank erosion along Nam Kathang River at Gnommalat Neua Village and Xe Bangfai River at Pova Village to investigate its erosion potential root cause.
. Meeting - in January, video conference call with GHG specialist. The discussion was focused on: (i) A proposal of an alternative method for dissolved CO2 measurement for the higher quality of data analysis, the new technique will measure CO2 on the
field and only CH4 and N2O will be analyzed in the lab; (ii) A proposal of schedule of 2017 AE Lab’s Scientific Advisory Committee (SAC) meeting; and (iii) A detailed schedule of site visit of Student from University of Science and Technology, Hanoi USTH in March.
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Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement and Environmental Programs 5 Communication
Scientific papers A total of 26 articles were submitted: 23 articles were published and accessible online and 1 article was approved and 2 under review. Published and Articles Under review Approved online
HYDROECOLOGIE APPLIQUEE – NAM THEUN 2 SPECIAL ISSUE Descloux et al. Main features of the Nam Theun 2 hydroelectric project (Lao PDR) and the associated environmental monitoring programme. Hydroeco. appl., 2014 Chanudet et al. Evolution of the physico-chemical water quality in the Nam Theun 2 Reservoir for the first 5 years after impoundment. Hydroeco. appl., 2014 Chanudet et al. Hydrodynamic and water quality 3D modelling of the Nam Theun 2 Reservoir (Lao PDR): results of simulations of some scenarios. Hydroeco. appl., 2014 Martinet et al. Phytoplankton community and trophic status assessment of a newly impounded sub-tropical reservoir: case study of the Nam Theun 2 Reservoir (Lao PDR, Southeast Asia). Hydroeco. appl., 2014 Descloux et al. Efficiency of the Nam Theun 2 hydraulic structures on water aeration and degassing. Hydroeco. appl., 2014 Cottet et al. Fish Population dynamic in the newly impounded Nam Theun 2 Reservoir (Lao PDR).
Hydroeco. appl., 2015 Pécastaings et al. Biofilm colonizing the Nam Theun 2 Power Plant Penstock (Lao PDR) - mechanism and potential evolution. Hydroeco. appl., 2014 Visser et al. Developing approaches for establishing a fisheries baseline: case-study for Xe Bangfai basin (Lao
PDR). Hydroeco. appl., 2014 Attwood & Cottet. Malacological and parasitological surveys along the Xe Bangfai and its tributaries in
Khammouane Province, Lao PDR. Hydroeco. appl., 2015 Streicher U. The Wildlife Rescue Programme of the Nam Theun 2 Hydropower Project (Lao PDR). Hydroeco. appl.,
2014 Som & Cottet. Turtle and tortoise rescue and monitoring programme in the Nam Theun 2 Reservoir (Laos).
Hydroeco. appl., 2015 Kottelat. The fishes of the Nam Theun and Xe Bangfai drainage, Laos. Hydroeco. appl., 2015 Clavier et al. Spatial and temporal variation of benthic macroinvertebrates in the Nam Gnom Basin receiving discharged waters from the Nam Theun 2 Reservoir (Laos). Hydroeco. appl., 2015 Descloux & Cottet. 5 years of monitoring of zooplankton community dynamics in a newly impounded sub-tropical
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Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement and Environmental Programs reservoir in Southeast Asia (Nam Theun 2, Lao PDR). Hydroeco. appl., 2015 D. Serça et al. Nam Theun 2 Reservoir four years after commissioning: significance of drawdown methane emissions and other pathways, Hydroécol. Appl., 19, 119- 146, 2016. GREENHOUSE GAS Deshmukh et al. Physical controls on CH4 emissions from a newly flooded subtropical freshwater hydroelectric reservoir: Nam Theun 2 Biogeosciences Discuss., 11, 3271-3317, doi:10.5194/bgd-11-3271-2014, 2014. Deshmukh, C., Guérin, F., Labat, D., Pighini, S., Vongkhamsao, A., Guédant, P., Rode, W., Godon, A., Chanudet, V., Descloux, S., and Serça, D.: Low methane (CH4) emissions downstream of a monomictic subtropical hydroelectric reservoir (Nam Theun 2, Lao PDR), Biogeosciences, 13, 1919-1932, 2016. F. Guérin et al., Effect of sporadic destratification, seasonal overturn and artificial mixing on CH4 emissions at the surface of a subtropical hydroelectric reservoir
(Nam Theun 2 Reservoir, Lao PDR). Biogeosciences. 22 June 2016. M. Adon, C. Galy-Lacaux, D. Serça, P. Guedant, A. Vongkhamsao, W. Rode, Y. Meyerfeld, F. Guérin: First assessment of nitrogen deposition budget following the impoundment of a subtropical hydroelectric reservoir (Nam Theun 2, Lao PDR). Atmospheric Chemistry and Physics C. Deshmukh et al., Carbon Dioxide emissions from the bottom and shallow Nam Theun 2 Reservoir: drawdown area as a neglected pathway to the atmosphere. Biogeosciences LIMNOLOGY Martinet et al. Phytoplankton functional groups for ecological assessment in young sub-tropical reservoirs: case study of the Nam-Theun 2 Reservoir, Laos, South-
East Asia. Journal of Limnology, doi:10.4081/jlimnol.2014.958, 2014. Pedrono et al. Seasonal algal community succession in epixylic biofilms in a tropical meso-oligotrophic shallow reservoir, Nam Theun 2 (Lao PDR). Journal of Limnologica. FISH and FISHERIES Cottet et al. Total iron concentrations in waters and fish tissues in the Nam Theun 2 Reservoir area (Lao PDR).
Environmental and Monitoring Assessment. Tessier et al. Fish assemblages in large tropical reservoirs: overview of fish population monitoring methods. Journal of Fisheries Sciences and Aquaculture. A. Tessier, J. Guillard, V. Chanudet & M. Cottet: Length- weight relationships of 8 Asian freshwater fish species from Nam Theun 2 Reservoir (Lao PDR). Journal of Applied Ichthyology. M Cottet & T. Visser: Fish catch and fishing practices in the Nam Theun 2 Reservoir and watershed (Lao PDR). Lakes & Reservoirs: Research and Management.
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Nam Theun 2 Power Company E&S Annual Progress Report - 2017 Nakai Plateau Resettlement and Environmental Programs Main outputs of the Adaptive Management Committee 2017 Adaptive Management Committee (AMC) meeting for Nakai Dam and Regulating Dam was organized in October 2017, 18 participants of representative from NTPC, Department of Energy and Business, PoNRE, RMU and THPC attended the meeting. The updated information up to October 2017 was shared including: - Flood Management 2015-2017; - Regulating Pond Releases to Nam Kathang & Downstream Channel; - Water Quality Chemistry; - Downstream Erosion Monitoring; - Fisheries;and - Grievance Mechanism and Current status of the erosion Grievance.
The main results of the meeting were summarized as below detail: - The water level measurement stations at Mahaxai - According to the data comparison from 2015, 2016 and 2017 between the old station (at Ban Thapho) and new station (at Mahaxay bridge), the AMC members agreed with the proposal of NTPC to use the data of Hydrology station at Mahaxai Bridge as a reference to decide/declare of the warning state of Xe Bangfai water level. However, the old station will still be kept as an alternative data source. - Water release to the DSC channel during the PWH shutdown - As results of Safety concern and Environment impact, the AMC members agreed to maintain the minimum water released of 20 m3/s to DSC during the Powerhouse Shutdown. - Water quality monitoring – no major change during 2017 compared to the previous year. - Erosion survey – Continue the photographic survey in yearly basis, conduct the next Cross-Sectional Survey in 2018 and every 5 years until the end of CA. - Fisheries – Continue the fish population monitoring (experimental gillnets survey) until the end of CA. - The Minutes of Meeting (MoM) of AMC 2017 has been distributed to all participants and the next AMC meeting was proposed to be held after the rainy season of 2018 (approx. in November) in order to have a complete set of annual data for discussion.
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