Indigenous Peoples Plan

Project Number: 42203-022 Grant Number: 0235-LAO January 2015

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

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

This indigenous peoples plan is a document of the borrower. The views expressed herein do not necessarily represent those of ADB’s Board of Directors, Management, or staff, and may be preliminary in nature. Your attention is directed to the ‘term of use’ section of this website.

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

Annex-10 Ethnic Groups Development Plan Nam Ngaene Thongpaene Irrigation Subproject

Tai Dam Woman

Annex 10 Northern Rural Infrastructure Development Sector Project Feasibility Study on Nam Ngaene Thongpaene Irrigation Subproject, Luang Namtha District Luang Namtha

TABLE OF CONTENTS

Topics Page

TABLE OF CONTENTS i LIST OF ABBREVIATIONS AND TERMS v EXECUTIVE SUMMARY A10-1 A. Introduction A10-1 B. The Nam Ngaene Thongpaene Irrigation Subproject A10-2 C. Ethnic Groups in the Subproject Areas A10-2 D. Socio-Economic Status A10-3 a. Land Issues A10-3 b. Language Issues A10-4 c. Gender Issues A10-4 d. Social Health Issues A10-5 E. Potential Benefits and Negative Impacts of the Subproject A10-5 F. Consultation and Disclosure A10-6 G. Monitoring A10-7 1. PROJECT DESCRIPTION A10-8 1.1 Objectives of the Ethnic Groups Development Plan A10-8 1.2 The Northern Rural Infrastructure Development Sector Project A10-8 (NRIDSP) 1.3 The Nam Ngaene Thongpaene Irrigation Subproject A10-9 2. LEGAL FRAMEWORK A10-10 2.1 Ethnic Groups in Lao PDR A10-10 2.2 Ethnic Groups and Development: Policy Context A10-11 2.3 ADB Safeguards for Indigenous Peoples A10-12 2.4 Indigenous Peoples Planning Framework (IPPF) for NRIDSP 2000 A10-12 3. SOCIAL IMPACT ASSESSMENT A10-13 3.1 Ethnic Groups in the Subproject Areas A10-13 3.2 Socio-Economic Status A10-17 3.3.1 Land A10-18 3.3.2 Language A10-19 3.3.3 Gender A10-19 3.3.4 Health and Hygiene A10-20 3.3.5 Social Impact and Inequality A10-21 3.3.6 Social Benefits A10-21 3.3.7 Expected Sustainable Outcomes A10-22 4. BENEFICIAL AND MITIGATING MEASURES A10-23

A10-i

Annex 10 Northern Rural Infrastructure Development Sector Project Feasibility Study on Nam Ngaene Thongpaene Irrigation Subproject, Luang Namtha District,

5. INFORMATION DISCLOSURE, CONSULTATION AND PARTICIPATION A10-27 6. COMPLAINTS AND GRIEVANCE REDRESS MECHANISM A10-29 7. INSTITUTIONAL ARRANGEMENT A10-29 8. BUDGET AND FINANCING PLAN A10-30 9. MONITORING A10-31 9.1 Internal Monitoring A10-31 9.2 External Monitoring A10-31

TABLES

Table A10-1. List of Ethnic Groups by Ethno-Linguistic Group in Lao PDR A10-10 Table A10-2. Distribution in Subproject Areas A10-13 Table A10-3. Ethnic Group Distribution in Luang Namtha District, Luang Namtha A10-17 Province Table A10-4. Subproject Intervention Strategies A10-23 Table A10-5. Consultation, Participation and Disclosure A10-28

FIGURES

Figure 1. Location Map of NRIDSP Subprojects A10-iii Figure 2. The Nam Ngaene Thongpaene Irrigation Subproject A10-iv

A10 - ii Annex 10 Northern Rural Infrastructure Development Sector Project Feasibility Study on Nam Ngaene Thongpaene Irrigation Subproject, Luang Namtha District Luang Namtha Province Figure 1. Location Map of NRIDSP Subprojects

A10-iii

Annex 10 Northern Rural Infrastructure Development Sector Project Feasibility Study on Nam Ngaene Thongpaene Irrigation Subproject, Luang Namtha District, Luang Namtha Province

Figure2. The Nam Ngaene Thongpaene Irrigation Subproject

A10 - iv Northern Rural Infrastructure Development Sector Project Annex 10 Feasibility Study on Nam Ngaene Thongpaene Irrigation Subproject, Luang Namtha District, Luang Namtha Province List of Abbreviation and Terms

ADB : Asian Development Bank DAFO : District Agriculture and Forestry Office DCO : District Coordination Office DOP : Department of Planning EA : Executing Agency EGDP : Ethnic Group Development Plan EIA : Environmental Impact Assessment EMP : Environmental Management Plan Farmers : In this report, means people or households owning and/or cultivating agricultural lands (irrigated and non-irrigated) FS : Feasibility Study FPG : Farmers’ production Groups GAP : Gender Action Plan GOL : Government of Lao PDR HH : Household IA : Implementing Agency IEE : Initial Environmental Examination IPP : Indigenous Peoples Plan ISF : Irrigation Service Fee Lao PDR : ’s Democratic Republic LACR Land Acquisition and Compensation Approach LFNC : Lao Front for National Construction LWU : Lao Women’s Union MAF : Ministry of Agriculture and Forestry MOM : Management, Operation and Maintenance NRI or NRIDSP : Northern Rural Infrastructure Development Sector Project NSC : National Steering Committee NPMO : National Project Management Office O&M : Operation and Maintenance PAFO : Provincial Agriculture Forestry Office PPO : Provincial Project Office PPTA : Project Preparatory Technical Assistance SIA : Social Impact Assessment SIR : Subproject Investment Report Villagers : Refers to people residing in a village in general. “Consulted villagers” in this report means representatives of village authorities, LWU, LFNC, youth, men, women and ethnic groups WUA : Water User Association WUG : Water User Group

A10 - v Annex 10 Northern Rural Infrastructure Development Sector Project Feasibility Study on Nam Ngaene Thongpaene Irrigation Subproject, Luang Namtha District, Luang Namtha Province

EXECUTIVE SUMMARY

A. Introduction

1. This Ethnic Groups Development Plan (EGDP) is prepared for the Nam Ngaene Thongpaene Irrigation Subproject located in Luang Namtha District, Luang Namtha Province under the Northern Rural Infrastructure Development Sector Project (NRIDSP). The EGDP is prepared in accordance with the Lao PDR Constitution, relevant laws and policies, the ADB’s Safeguards Policy Statement (SPS) 2009 and the Indigenous People Planning Framework (2000) developed for NRIDSP. Sources of data and information for the EGDP include: i) Annex 7 – Social Impact Assessment of the Feasibility Study Report for the Subproject; ii) Annex 8 – Initial Environmental Assessment of the Feasibility Study Report for the Subproject; iii) Annex 9 – Land Acquisition and Compensation Report of the Feasibility Study Report for the Subproject; and (iv) the Rapid Social Assessment for ethnic groups in the subproject area conducted on July 2014.

2. The objectives of the EGDP are to:

a. address appropriate requirements for, including consultations with, the affected ethnic groups in the subproject areas; b. ensure that the benefits are culturally appropriate and equally distributed for the ethnic groups within the subproject coverage; c. avoid potentially adverse impacts on ethnic groups; d. minimize, mitigate or compensate for such effects when they cannot be avoided; e. provide implementation measures to strengthen social, legal and technical capabilities of government institutions in addressing ethnic group issues; and f. specify monitoring and evaluation of the EGDP implementation.

3. This EGDP highlights how the subproject will bring about positive benefits for the ethnic groups that are culturally appropriate and distributed equitably. Actions are specified to ensure that the Executing Agency (EA) and engaged specialists carry out appropriate measures to achieve beneficial results for the ethnic groups and avoid negative impacts. The EGDP will be implemented in synergy with the project’s Gender Action Plan (GAP), which addresses women’s participation in the project to ensure that gender equality measures reach women in ethnic groups in the subproject areas.

4. The Nam Ngaene Thongpaene Irrigation Subproject was selected from the list of eligible subprojects identified during the NRIDSP PPTA based on the district priorities and as approved by ADB. The subproject involves rehabilitation and improvement of an existing irrigation system and the farms within the subproject coverage are existing irrigated and rainfed lowland farms which are currently owned or under cultivation by HHs. The NRIDSP does not include in its scope land redistribution and hence, the direct beneficiaries of the subprojects will be limited to HHs currently cultivating/owning the lands under irrigation and the irrigation expansion areas.

5. The series of consultations and meetings with various stakeholders and ethnic groups within the subproject area conducted during the subproject identification and feasibility stage revealed that the proposed subproject is supported by the people/ethnic groups within the subproject coverage. The subproject will not be associated with any negative impacts to people/ethnic groups. It will not involve land acquisition and there are no physical relocation or associated form of removal of assets along the irrigation channels. Furthermore, the subproject will not affect or interfere with the ethnic groups’ way of using land and natural resources.

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B. The Nam Ngaene Thongpaene Irrigation Subproject

6. The subproject covers the four (4) villages of Ban Khone, Ban Luang, Donekhoun, and Phiang Ngam, with 791 HHs and a population of 4,235.

7. The existing Nam Ngaene Thongpaene Weir is a stone masonry weir (W = 48.00m, H = 1.70m) with an open intake (no gate) at the right bank and two (2) stop log type sluice gates, originally constructed by the government in 1992, then repaired by EU in 1995. The weir basin is seriously silted limiting the flow of water to the intake at the left side of the weir. The main canal is silted, eroded and irregular in shape and depth. There are no water control and regulation structures at the intake and along the main canal. The main canal (MC) of the scheme is an earth canal with a length of about 2,600 meters (m). There are 6 earth secondary canals (SC1 about 700 m, SC2 about 1,000 m, SC3 about 1,600m, SC4 about 1,100m, SC5 about 1,300m and SC6 about 1,000m). There are no turnout gates along the SCs and no farm ditches from these canals to distribute irrigation water to farms.

8. The present cropping system is -rice with limited areas planted with corn, watermelon and pumpkin during the dry season due to low water supply.

9. The proposed rehabilitation works for the Nam Ngaene Thongpaene Irrigation Subproject will include: i) construction/improvement of the Headworks; ii) desilting, rehabilitation, and improvement of the main canal; iii) selective concrete lining of canals; and iv) installation of water control and regulation structures at the intake and along the main and secondary canal.

10. Besides the irrigation rehabilitation works, productivity and impact enhancement initiatives will be delivered by the Project. These initiatives will comprise of compulsory and optional initiatives. The compulsory initiatives will include (i) support for WUG/WUA re- establishment to operate and maintain the rehabilitated facilities; and (ii) water catchment identification and zoning/ and irrigation block mapping. During the implementation of the subproject, strengthening and registration of the WUG as WUA will be pursued to include the formulation of WUA Rules, Roles and Regulations and capability development on topics such as WUG/WUA management, financial accounting and operation and maintenance. Optional initiatives will be discussed with the beneficiaries/ethnic groups during the detailed design stage and could be selected from production, post-harvest technologies, processing and the development of market linkage initiatives.

C. Ethnic Groups in the Subproject Areas

11. There is wide diversity of ethnic groups in Luang Namtha province. The RSA data shows that 29% of the HHs are of the Lao-Tai Ethno-Linguistic Group; 29% are of the Mone- Khmer Ethno-Linguistic Group; 8% are Hmong-Iumien Ethno-Linguistic Group; and 34% are Tibeto-Chinese Ethno-Linguistic Group.

12. The Lao-Tai is composed of 11% Tai (Tai Dam, Tai Deng, Tai Khao and Tai Eth), 14% Lue (Kuen, Taiyou, Taikhum), <1%Yang, 2% Gnouane and 2% Tai Neua. The Mone- Khmer is composed of 25% Khmu (Ou, Youn, Lock, Khoen, Muchoung), <1% Bith or Bid, 2% Lameet or Lamed, <1% Samtao and <1% Oedou. The Hmong-Iumien is composed of 5% Hmong (Khao, Lai, Dam) and 3% Iumien (Lanten and Yao). The Tibeto-Chinese group is composed of 27% Akha or Ko (Chicho, Poule, Ko Phe, Panna, Lakho, Ko Phousang and Ko Yoye), 3% Phunoi, 3% Lahou or Lahu (Mouser Dam, Lahou Na, Khuy Loung) and <1% Seda or Sila and 1% Hor (Hor and Hor Luang). The different ethnic groups have their own languages but most are speaking the Lao national language.

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13. In Luang Namtha District there are about 19 ethnic groups or probably more: i) 47% of HHs belong to 8 ethnic groups and sub-ethnic groups under the Lao-Tai Ethno-Linguistic Group (Lao, Lue, Tai Dam, Tai Deng, Tai Khao, Tai Et, Tai Neua and Nhuane); ii) 17% of HHs are of 3 ethnic groups and sub-ethnic groups; under the Hmong-Iumien Ethno- Linguistic Group (Hmong, Lanten and Iumien); iii) 8% of HHs are of 4 ethnic groups under the Tibeto-Chinese Ethno-Linguistic Group (Phunoi, Hor, Sila, and Pana); and iv) 28% of HHs belong to 4 ethnic groups under the Mone-Khmer Ethno-Linguistic Group (Khmu, Lamed/Lameet, Bid and Samtao), . Majority of the population are of the dominant Lao-Tai Ethno-Linguistic Group and minority are of the Tibeto-Chinese Ethno Linguistic Group.

14. Based on the result of the Socio-Economic Survey conducted in September to October 2013 and the RSA done in June 2014, the 791 HHs in the subproject coverage are found to be composed of: i) 86% Lao-Tai Ethno-Linguistic Group divided into ethnic groups of 59% Nhuane, 4% Lao, 20% Tai Deng, and 4% Tai Dam; ii) 6% Khmou ethnic group classified under Mone-Khmer Ethno-Linguistic Group; iii) 6% Phunoi ethic group under the Tibeto-Chinese Ethno-Linguistic group; and iv) about 2% Hmong ethnic group under the Hmong-Iumien Ethno-Linguistic group.

D. Socio-Economic Status

15. The main source of income in the area is agriculture. The main crop is rice and some produce corn, cassava, sweet potato, pineapple, pumpkin, watermelon, onion, garlic, chili, and rubber trees. Extra income comes from gathering and sale of broom grass and non-timber forest products. Some still do shifting cultivation particularly those without farms in the lowlands. There are few HHs who take care and sell livestock and poultry. A few farmers are doing contract farming with Chinese businessmen for crops such as pumpkin and watermelon. Few farmers had their farms rented by Chinese businessmen for the production of banana and rubber trees.

16. Based on the SIA conducted in October 2013, 269 HHs (34%) of the 791 HHs in the four villages are deficit with rice and about 63 (8%) are reported be poor having income of less than 85,000 kips per person per month, and 682 HHs (86%) are reported to be having income within the range of 85,000 to 180,000 kips per person per month, considered as middle income level. Only 46 HHs (6%) are considered at high income level (above 180,000 kips per person per month).

17. Poverty is highest among the Phunoi ethnic group with 23 HHs (51%). There are 18 poor Nhuane HHs, 1 poor Lao HHs, 13 poor Tai Deng HHs, 4 poor Khmu HHs and 4 poor Khmu HHs.

a. Land Issues

18. The subproject will not in any way affect land ownership or the right of land cultivation of people/ethnic groups in the area. Instead, it will encourage increased activities on land cultivation with the expected improvement in water availability due to the rehabilitation and improvement of the existing irrigation system.

19. Generally, HHs in the area do not have land ownership titles. Land document held by HHs in the area are Land Tax Certificates (LTC) which are reported to be in the name of both spouses in some cases and in the name of only the husband in some cases. The LTCs are recognized by the village, district and provincial authorities for the security of tenure on the land being cultivated by HHs. Land titling (ownership) is now recognized and approved by the Lao Government in the name of both spouses.

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20. The 791 HHs in the 4 villages are involved in cultivating agricultural lands 1. Of the total of 841.38 hectares of agricultural lands, only 31.38 has. are owned/cultivated by Khmu ethnic group HHs, 53.25 has. are owned/cultivated by Phunoi ethnic group HHs and 34.10 has. are owned/cultivated by Hmong ethnic group HHS. This shows that 85% of the total agricultural lands are owned/cultivated by the dominant Lao-Tai ethnic group, and only 15% of agricultural lands are owned by other ethnic groups combined.

21. There are 484 (61%) HHs presently benefiting from irrigation. The total currently irrigated area reported is 343.48 hectares. The irrigation beneficiaries are composed of 302 Nhuane HHs (217.67 has.), 105 Tai Deng HHs (71.44 has.), 30 Khmu HHs (20.94 has.), 19 Tai Dam HHs (15.61 has.), 15 Lao HHs (9.55 has.), 7 Hmong HHs (5.35 has.) and 6 Phunoi HHs (2.92 has.).

b. Language Issues

22. Literacy in the area is low at an overall 50%. Literacy is lowest among the Hmong ethnic groups at 32%. Literacy among the other ethnic groups ranges from 47% to 54%.

23. The Lao ethnic group speaks the Lao national language. The other ethnic groups under the Lao-Tai ethno-linguistic group (Nhouane, Lue, Tai Deng and Tai Dam) speak similar languages with Lao and can readily understand Lao.

24. The Khmu, Phunoi and Hmong have their own distinct language/dialect and many of the old generation of these ethnic groups do not speak Lao. Hence, measures must be undertaken to ensure the presence of project staff who can speak the local languages to help in translation during consultations, discussions, meetings, training and other forum involving these ethnic groups.

c. Gender Issues

25. Women’s and participation has steadily advanced in Lao PDR. Women’s rights are recognized in the legal system, and women’s political representation in the National Assembly has grown nearly 20% since 1990. It is now the highest in the region. However, this has not filtered down to the provincial and local levels where significant gender gaps in representation persist, despite the efforts of the Lao Women’s Union (LWU) in reaching out to women at the national to village levels 2.

26. In all the four villages, the leadership (heads/chiefs) of the village administration committees/organizations which include, the Lao National Front for Construction (LNFC), the Lao Youth Union (LYU), the Lao Women’s’ Union (LWU), Village Security and Army Units, are dominated by men except the Lao Women Union being an organization for women. Based on results of sample household interviews, household works are mainly performed by women. Work distribution for agriculture production is generally shared by men and women with those considered as “muscle” work such as land preparation, irrigation, pesticide/herbicide application and hauling/transport mainly performed by men. Women are considered to perform the selling of products. Decision-making responsibilities are generally considered shared responsibilities between men (husband) and women (wife).

1 These could be irrigated land, rainfed lowland, upland, home garden, fishpond, fruit tree farm and rubber tree farm. 2 Country Gender Assessment for Lao PDR – Reducing Vulnerability and Increasing Opportunity, World Bank, 2012

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27. For the different ethnic groups, men are considered the head of the family. This is very prominent among the Hmong ethnic group, whose culture holds prominent dominance of males over females and thus, a father is always considered the head in each household.

28. Particularly for Khmu women, the results of a study4 show that they experience barriers to participation in project activities. The barriers include language; education; cultural norms; health issues; workload; resettlement; poverty; low self-esteem; staff and project approach; the village administrative structure; fewer opportunities with development projects; and limited formal access and control over assets. To overcome these barriers and to participate in development projects Khmu women would benefit from greater support from project staff such as teacher/trainer; learner; follower; advisor; demonstrator/role model and advocate. To empower women to overcome barriers themselves and participate more fully in community development requires both men and community to provide support and acceptance.

d. Social Health Issues

29. The villages have access to water supply system, dispensary/health clinic and hospital. All HHs have sanitary latrines.

30. There are no serious concern on health and sanitation in the area at the writing of this report. Reported diseases are the usual seasonal illnesses such as cold, cough and fever. There is good sanitation and hygiene in the villages. A future concern is the increasing use of chemicals for agriculture production particularly in banana plantations and in contract farming by Chinese businessmen.

31. The construction of the subproject may bring about health hazards such as: (i) dust and noise pollution; (ii) danger from construction material storage and construction sites; and (iii) construction and workers’ waste disposal/management. These, however, are temporary in nature, and mitigation measures are included in the Environmental Management Plan (EMP) developed for the subproject included in Annex 8 – Initial Environmental Examination of the Feasibility Study Report for the subproject.

32. During the Operation and Maintenance (O&M) stage of the subproject, potential health hazard may result from the effects of intensified use of chemical fertilizers and pesticides. However, these can be minimized, if not eliminated through the timely and correct implementation of the proposed measures contained in the EMP mentioned above.

E. Potential Benefits and Negative Impacts

33. All of the consulted villagers, which included village authorities, men and women focus groups, youth representatives, LWU, LFNC, and clan leaders/representatives were unanimous in their support of the rehabilitation and improvement of the irrigation system.

34. The subproject promotes the enhancement of agricultural production and aims to equitably distribute benefits within the subproject’s coverage while ensuring the active participation of ethnic groups, including women. It is expected to bring about the following positive benefits to ethnic groups:

(i) Potential increase in income and food security due to higher agricultural yields (ii) Empowerment through representation in water user groups and farmer production groups (iii) Increase in technical know-how from capacity-building programs (iv) Improved marketing of produce

A10 - 5 Annex 10 Northern Rural Infrastructure Development Sector Project Feasibility Study on Nam Ngaene Thongpaene Irrigation Subproject, Luang Namtha District, Luang Namtha Province

(v) Alternative sources of income/livelihood

35. Additional benefits will be derived from productivity and impact enhancement initiatives that will be delivered through the Subproject. These initiatives will comprise of compulsory and optional initiatives. The compulsory initiatives will include: (i) support for WUGs established to operate and maintain the rehabilitated facilities; and (ii) water catchments identification and zoning. Optional initiatives will be further discussed with the villagers/ethnic groups during detailed design stage and could be selected from production, post-harvest handling, processing and the development of market linkage initiatives.

36. An indirect impact of the subproject is the labor generation due to increase of agriculture production activities, such as, labor for land preparation, planting/transplanting and harvesting of crops which will offer alternative source of income for poor ethnic group HHs.

37. The Nam Ngaene Thongpaene Irrigation Subproject involves rehabilitation of existing irrigation facilities and structures. At feasibility study stage, it was determined that there are no acquisition requirements of private and/or public land and it will not affect crops/trees. This is described in detail in the Land Acquisition and Compensation Report (LACR), Annex 9 of the Subproject Feasibility Report. The LACR was prepared between September 2013 and February 2014. It was prepared on a consultative and participative approach.

38. Potential impact on the environment that may be brought about by the construction activities such as noise and dust pollution as well as hazard from construction waste materials. During the irrigation operation and maintenance phase, there is potential increase on the use of agricultural chemicals due to more active agricultural production as a result of irrigation improvement. However, mitigation measures for these impacts are prescribed in the Environmental Management Plan (EMP) for the subproject as contained in Annex 8 – Initial Environmental Examination of the Feasibility Study Report for the Subproject.

39. Considering that the subproject is a rehabilitation and improvement of an existing community-managed irrigation system and the subproject and is being planned and will be implemented in consultation to the beneficiaries/ethnic groups, the subproject will not affect the traditions and culture of the ethnic groups within the area.

F. Consultation and Disclosure

40. Initial consultations and information disclosure had already been done during the feasibility stage of the subproject. These involved social impact assessment, initial environmental examination, irrigation system pre-engineering evaluation and land acquisition and compensation. Furthermore, the subproject will ensure that continued consultations with men, women and ethnic groups are conducted at various stages of subproject implementation. Such had been done at feasibility stage and will continue during the detailed engineering stage, construction stage and the operation and maintenance (O&M) stage at subproject completion. Consultations will be done in the local ethnic group’s language using interpreters to translate from Lao to the ethnic group’s language. The subproject will ensure equal participation of men and women, and where information is needed for specific purposes rather than providing general information, separate discussions for women and men will be conducted as women are often reluctant to participate in mixed group settings. Furthermore, the subproject will ensure that training and other capacity building activities are conducted in the ethnic groups’ languages to avoid exclusion/inability to participate in the subproject activities.

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41. Important results of consultations, plans and studies/surveys shall be disclosed through meetings in local dialects as well as written excerpts posted in public places in the two villages covered.

G. Monitoring

42. Internal monitoring and collection of information on the subproject’s progress, effectiveness and results will largely be the responsibility of PPO in cooperation with DCO. There will also be an emphasis on the identification of activities to enhance agricultural production whilst recognising constraints so as to provide appropriate remedial actions. Internally the provincial and district officers from the different departments will jointly prepare monitoring reports, which in turn the PPO will use to prepare monthly reports for the NPMO. The NPMO will validate these reports and include in the project’s progress reports progress reports. The project has engaged an external monitoring in charge of social and environmental safeguards, participation, and gender. The external monitoring entity submits quarterly monitoring reports on these aspects.

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1. PROJECT DESCRIPTION

1.1 Objectives of the Ethnic Groups Development Plan (EGDP)

45. This Ethnic Groups Development Plan (EGDP) is prepared for the Nam Ngaene Thongpaene Irrigation Subproject located in Luang Namtha District, Luang Namtha Province under the Northern Rural Infrastructure Development Sector Project (NRIDSP). The EGDP is prepared in accordance with the Lao PDR Constitution, relevant laws and policies, the ADB’s Safeguards Policy Statement (SPS) 2009 and the Indigenous People Planning Framework (2000) developed for NRIDSP. Sources of data and information for the EGDP include: i) Annex 7 – Social Impact Assessment of the Feasibility Study Report for the Subproject; ii) Annex 8 – Initial Environmental Assessment of the Feasibility Study Report for the Subproject; iii) Annex 9 – Land Acquisition and Compensation Report of the Feasibility Study Report for the Subproject; and (iv) the Rapid Social Assessment for ethnic groups in the subproject area conducted on July 2014.

46. The objectives of the NRIDSP Subproject EGDP are to:

(i) address appropriate requirements for, including consultations with, the affected ethnic groups in the subproject areas; (ii) ensure that the benefits are culturally appropriate and equitably distributed for the ethnic groups within the subproject coverage; (iii) avoid potentially adverse impacts on ethnic groups; (iv) minimize, mitigate or compensate for such effects when they cannot be avoided; (v) provide implementation measures to strengthen social, legal and technical capabilities of government institutions in addressing ethnic group issues; and (vi) specify monitoring and evaluation of the EGDP implementation

47. The EGDP will be implemented in synergy with the subproject’s Gender Action Plan (GAP), which addresses women’s participation in the project to ensure that gender equality measures reach women in ethnic groups in the subproject areas.

1.2 The Northern Rural Infrastructure Development Sector Project (NRIDSP)

48. The NRIDSP is operating in four Lao PDR Northern : i) Bokeo; ii) Oudomxay; iii) Luang Namtha; and iv) Phongsaly. In each of these provinces, 2-3 districts have been selected to be covered by NRIDSP, and in each of these districts, a number of subprojects are identified.

49. The Project will provide rural infrastructure and associated initiatives to support increased commercialization of agriculture. The NRIDSP’s main aim is to provide the rural community with access to, and participation in, the market economy. This is to be realized through increase in incremental production of saleable commodities and the promotion of agricultural productivity.

50. The NRIDSP has the following main outputs:

a. Production and productivity enhancing rural infrastructure constructed and/or rehabilitated. b. Productivity and impact enhancing initiatives adopted. c. Capacities of national, provincial and district agencies strengthened to enable a sector development approach. d. Efficient and effective delivery of subprojects and project management.

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1.3 The Nam Ngaene Thongpaene Irrigation Subproject

51. The Nam Ngaene Thongpaene Irrigation Subproject is located in the District of Namtha, Luang Namtha Province (Figure 1). The scheme is about 4 km Northwest of Luang Namtha Provincial Capital by road. Nam Ngaene Thongpaene is an existing scheme that diverts water from the Nam Ngaene River to irrigate farms at the right side of Nam Ngaene River. The total present irrigated area is about 343.23 hectares owned/cultivated by 484 HHs.

52. The subproject covers the (4) villages of Ban Khone, Ban Luang, Donekhoun, and Phiang Ngam with 791 HHs and a population of 4,235.

53. The existing Nam Ngaene Thongpaene Weir is a stone masonry weir (W = 48.00m, H = 1.70m) with an open intake (no gate) at the right bank and two (2) stop log type sluice gates, originally constructed by the government in 1992, then repaired by EU in 1995. The weir basin is seriously silted limiting the flow of water to the intake at the left side of the weir. The main canal is silted, eroded and irregular in shape and depth. There are no water control and regulation structures at the intake and along the main canal.

54. The main canal (MC) of the scheme is an earth canal with a length of about 2,600 meters (m). There are 6 earth secondary canals (SC1 about 700 m, SC2 about 1,000 m, SC3 about 1,600m, SC4 about 1,100m, SC5 about 1,300m and SC6 about 1,000m). There are no turnout gates along the SCs and no farm ditches from these canals to distribute irrigation water to farms.

55. Presently, irrigation scheme maintenance is carried out through group work of irrigated farmers three times per season with the irrigated HHs contributing one (1) labor/day of work. The present cropping system is rice-rice with limited areas planted with corn, watermelon and pumpkin during the dry season due to low water supply. Farmers use traditional rice varieties. They claim such has better eating quality compared to other improved varieties.

56. There is an existing informal WUG but such is weak and inactive. The group has no WUG policy, rules and regulation on the O&M of the irrigation system. There is no existing system on water distribution and cropping schedule. ISF collection was done in CY2007 - CY2008 at the rate of 50,000 kips/ha/year collected during the wet season but such was discontinued due to farmers’ complaints of insufficient irrigation water. The main problems cited on the irrigation scheme are the poor and deteriorated state of the scheme and low prices of agricultural produce of farmers.

57. The proposed rehabilitation works for the Nam Ngaene Thongpaene Irrigation Subproject will include: i) construction/improvement of the Headworks; ii) desilting, rehabilitation, and improvement of the main canal; iii) selective concrete lining of canals; and iv) installation of water control and regulation structures at the intake and along the main and secondary canal.

58. Besides the irrigation rehabilitation works, productivity and impact enhancement initiatives will be delivered by the Project. These initiatives will comprise of compulsory and optional initiatives. The compulsory initiatives will include (i) support for WUG/WUA re- establishment to operate and maintain the rehabilitated facilities; and (ii) water catchment identification and zoning/ and irrigation block mapping. During the implementation of the subproject, strengthening and registration of the WUG as WUA will be pursued to include the formulation of WUA Rules, Roles and Regulations and capability development on topics such as WUG/WUA management, financial accounting and operation and maintenance. Optional initiatives will be discussed with the beneficiaries/ethnic groups during detailed

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design stage and could be selected from agriculture production technology, post-harvest technologies, processing and the development of market linkage initiatives.

2. LEGAL FRAMEWORK

2.1 Ethnic Groups in Lao PDR

59. Lao PDR has the most ethnically diverse population on the Southeast Asian mainland, which was officially identified in the 2005 census as consisting of 49 ethnic groups. The Ministry of Information and Culture of currently promotes the use of an ethno-linguistic classification system to distinguish the various ethnic groups in the country. The major ethno-linguistic groups in Lao PDR are Lao Tai, Mon-Khmer, Chinese-Tibetan and Hmong Mien.

60. The Lao-Tai dominate politically, culturally and economically and generally inhabit the river plains, particularly along the River. According to the United Nations Permanent Forum on Indigenous Issues, the majority of the other ethnic groups inhabit the rugged mountain territory that covers about 79 percent of the country and experience high- levels of marginalization. The lifestyle of these non-Lao-Tai ethnic groups reflects the working definition of Indigenous Peoples used by the ADB’s Safeguards Policy Statement (SPS).

61. Although there are 49 ethnic groups, the National Assembly‘s official Agreement N˚213 of 24 November 2008 only recognized Lao nationality, and therefore regardless of which ethnic background people come from, they are all Lao citizens. The government promotes equal rights and opportunities among all Lao citizens and has declared that all ethnic groups are equal by law in terms of dignity and rights. For this reason the term ‘ethnic minority’ is not used and instead the term ethnic group has been officially accepted.

62. The government has made efforts to promote equality among Lao citizens, but apart from the lowland Lao-Tai, most of the other ethnic groups, experience perpetual poverty and lack infrastructure and government services. This is partly because they are mostly living in the most remote and least accessible areas of the country. These factors create elements of structural marginalization associated with a lack of education, healthcare, opportunities, political participation and representation. In order to tackle these challenges, the Government is officially committed to embracing a multi-ethnic dimension in development issues and to improving people’s living conditions as well as to continue promoting equality of all Lao people in the country.

Table A10-1. List of Ethnic Groups by Ethno-Linguistic Group in Lao PDR

Hmong- Chinese- Lao-Tai Mon-Khmer Iumien Tibetan

1. Lao 9. Khmou/Khmu 18. Khmer 26. Oey 34. Taoey 41. Hmong 43. Akha or Ko 2. Leu 10. Pray 19. Moy 27. Kadang 35. Katu 42. Iumien 44. Singsily/Sila 3. Xaek 11. Xingmoon 20. Phong 28. Lavy 36. Kriang 45. Hor 4. Tai 12. Katang 21. Thene 29. Toum 37. Suay 46. Phounoy 5. Nhuane 13. Yru 22. Eudou 30. Kree 38. Pako 47. Lahou 6. Tai 14. Yae 23. Makong 31. Bid 39. Nguane 48. Hayi Neua 15. Hahak 24. Triang 32. Lamed 40. Tri 49. Lolo 7. Phutai 16. Jeng 25. Brao 33. Samtao 8. Yang 17. Nhaheun Source: The Ethnic Committee, National Assembly‘s Official Agreement N˚213 of 24 November 2008

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2.2 Ethnic Groups and Development: Policy Context

63. The Constitution of Lao PDR ratified in 1991, uses the term “citizens of all ethnicity” throughout the document. It specifically recognizes the need to incorporate the concerns of ethnic groups in developing policy in all sectors, and has reaffirmed its commitment to strengthen the rights of all ethnic groups in various congresses, conferences, decrees, and laws since the 1980s (Articles 8 and 22). Article 75 of the constitution specifically indicates that “the and are the official language and script”.

64. Constitutionally, Lao PDR is recognized as a multi-ethnic society, and Article 8 of the 1991 constitution states, “All ethnic groups have the right to preserve their own traditions and culture, and those of the nation. Discrimination between ethnic groups is forbidden.” Furthermore Article 8 declares that:

“The State pursues the policy of promoting unity and equality among all ethnic groups. All ethnic groups have the right to protect, preserve and promote the fine customs and cultures of their own tribes and of the nation. All acts of creating division and discrimination among ethnic groups are forbidden. The State implements every measure to gradually develop and upgrade the economic and social level of all ethnic groups.”

65. The 1992 Ethnic Group Policy, Resolution of the Party Central Organization Concerning Ethnic Group Affairs in the New Era, focuses on gradually improving the lives of ethnic groups, while promoting their ethnic identity and cultural heritage. It is the cornerstone of current national ethnic group policy. The general policy of the Party concerning ethnic groups can be summarized as follows:

(i) Build national sentiment (national identity). (ii) Realize equality between ethnic groups. (iii) Increase the level of solidarity among ethnic groups as members of the greater Lao family. (iv) Resolve problems of inflexible and vengeful thinking, as well as economic and cultural inequality. (v) Improve the living conditions of the ethnic groups step by step. (vi) Expand, to the greatest extent possible, the good and beautiful heritage and ethnic identity of each group as well as their capacity to participate in the affairs of the nation.

66. The Ethnic Groups Committee under the National Assembly is charged with the responsibility to draft and evaluate proposed legislation concerning ethnic groups, lobby for its implementation as well as the implementation of socio-economic development plans. Ethnic group research is the responsibility of the Institute for Cultural Research under the Ministry of Information and Culture. The lead institution for ethnic affairs is the mass (political) organization, the Lao National Front for Construction (LFNC), which has an Ethnic Affairs Department.

67. In terms of the development of the agricultural sector, the government has for a long- time acknowledged that ethnic groups in rural villages are highly dependent on agriculture. According to the National Agricultural Census and the National Population Census 2012, the sector generated and contributed over 30 percent of the GDP and provided employment for more than 80 percent of the people in rural areas. Most of those employed in agriculture are self-employed or unpaid family workers and almost 66 percent of all the people’s work hours

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are on their own farms. The sector is dominated by smallholder farming families engaged mainly in subsistence production.

2.3 ADB Safeguards for Indigenous Peoples

68. The ADB Safeguards Policy Statement (SPS) affirms that environmental and social sustainability is the cornerstone of economic growth and poverty reduction in Asia and the Pacific. ADB’s goal as outlined in its SPS is to promote the sustainability of project outcomes by protecting the environment and people from the projects’ potential adverse impacts. ADB’s safeguard objectives are to:

(i) avoid adverse impacts of projects on the environment and affected people, where possible; (ii) minimize, mitigate, and/or compensate for adverse project impacts on the environment and affected people when avoidance is not possible; and (iii) help borrowers/clients to strengthen their safeguard systems and develop the capacity to manage environmental and social risks.

69. ADB safeguard objective for indigenous people is to design and implement projects in a way that fosters full respect for Indigenous Peoples’ identity, dignity, human rights, livelihood systems, and cultural uniqueness as defined by the Indigenous Peoples themselves so that they: (i) receive culturally appropriate social and economic benefits; (ii) do not suffer adverse impacts as a result of the projects; and (iii) can participate actively in projects that affect them.

70. ADB’s SPS uses the term indigenous peoples (ethnic groups in the Lao context) to refer to a distinct, social and cultural group who self-identify as members of a distinct indigenous cultural group and recognition of this identity by others; have collective attachment to geographically distinct habitats or ancestral territories in the project area and to the natural resources in these habitats and territories; have customary cultural, economic, social or political institutions that are separate from those of the dominant society and culture; and a distinct language, often different from the official language of the country or region. These definitions apply directly to some of the populations classified in Lao PDR as ethnic groups particularly the ethnic groups outside the Lao-Tai Ethno Linguistic Group.

2.4 Indigenous Peoples Planning Framework (IPPF) for NRIDSP 2000

71. The EGDP for Nam Xang refers to the Indigenous People Planning Framework (IPPF) for NRIDSP. The IPPF was developed in CY2000 as a guideline for developing EGDP for all subprojects planned to be implemented under the NRIDSP. The IPPF sets out the requirements for pre-screening of subprojects and for processes to be followed in the preparation of each subproject. Analysis of present situations within the NRIDSP covered areas found that ethnic minorities are the majority population in the participating provinces and that certain groups have significantly higher levels of poverty and associated disadvantages. The main concerns are communication difficulties, particularly for women, together with opportunity to access project benefits. Recommended mitigation measures include effective consultation requirements, employment during the construction phase, membership of committees and capacity building for disadvantaged and vulnerable ethnic minorities. All monitoring and evaluation data are required to be disaggregated for the four major ethno-linguistic groups. The IPPF specified potential concerns and recommendations for loss of land, communication and social cohesion. It also provides guidance on conduct of socio-economic surveys for beneficial as well as mitigating measures, capacity building, grievance and redress mechanism, institutional arrangements, consultation and disclosure, monitoring and evaluation, and the budget and financing.

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3. SOCIAL IMPACT ASSESSMENT

3.1 Ethnic Groups in the Subproject Areas

72. According to data and information gathered during the RSA in July 2014 shown in Table A10-2, there is wide diversity of ethnic groups in Luang Namtha province. The RSA data shows that 29% of the HHs are of the Lao-Tai Ethno-Linguistic Group; 29% are of the Mone-Khmer Ethno-Linguistic Group; 8% are Hmong-Iumien Ethno-Linguistic Group; and 34% are Tibeto-Chinese Ethno-Linguistic Group. The Lao-Tai HHs is composed of Tai (11%), Lue (14%), Yang (<1%), Gnouane (2%) and Tai Neua (2%). The Mone-Khmer is composed of Khmu (25%) and minority of Bith or Bid (<1%), Lameet or Lamed (2%), Samtao (<1%) and Oedou (<1%). The Hmong-Iumien is composed of Hmong (5%) and Iumien (3%). The Tibeto-Chinese group is composed of Akha or Ko (27%), Phunoi (3%), Lahou or Lahu (3%), Seda or Sila (<1%) and Hor (1%). The different ethnic groups have their own languages but most are speaking the Lao national language.

73. In Luang Namtha District there are about 19 ethnic groups or probably more: i) 47% of HHs belong to 8 ethnic groups and sub-ethnic groups under the Lao-Tai Ethno-Linguistic Group (Lao, Lue, Tai Dam, Tai Deng, Tai Khao, Tai Et, Tai Neua and Nhouane); ii) 17% of HHs are belong to 3 ethnic groups and sub-ethnic groups under the Hmong-Iumien Ethno- Linguistic Group (Hmong, Lanten and Iumien); iii) 8% of HHs are of 4 ethnic groups under the Tibeto-Chinese Ethno-Linguistic Group (Phunoi, Hor, Sila, and Pana); and iv) 28% of HHs belong to 4 ethnic groups under the Mone-Khmer Ethno-Linguistic Group (Khmou, Lamed/Lameet, Bid and Samtao), . Majority of the population are of the dominant Lao-Tai Ethno-Linguistic Group and minority are of the Tibeto-Chinese Ethno Linguistic Group.

74. Based on the result of the Socio-Economic Survey conducted in September to October 2013 and the RSA done in June 2014, the 791 HHs in the subproject coverage are found to be composed of: i) 86% Lao-Tai Ethno-Linguistic Group divided into ethnic groups of 59% Nhuane, 4% Lao, 20% Tai Deng, and 3% Tai Dam; ii) 6% Khmou ethnic group classified under Mone-Khmer Ethno-Linguistic Group; iii) 6% Phunoi ethic group under the Tibeto-Chinese Ethno-Linguistic group; and iv) 2% Hmong ethnic group under the Hmong- Iumien Ethno-Linguistic group.

Table A10-2. Ethnic Groups in the Subproject Areas

Ethnic Groups in Luang Namtha Province

Lao-Tai (29%) Mone-Khmer (29%) Hmong-Iumien (8%) Tibeto-Chinese (34%) 1. Tai: Dam, Deng, Khao 6. Khmu: Ou, Youn; 11. Hmong: Khao, 13. Akha or Ko: Chicho, Poule, & Eth (11%) Lock, Khoen, Lai, Dam (5%) Ko Phe, Panna, Lakho, Ko 2. Lue: Kuen, Taiyou, Muchoung (25%) 12. Iumien: Lanten, Phousang, Ko Yoye (27%) Taikhum (14%) 7. Bid (<1%) Yao (3%) 14. Phunoi (3%) 3. Yang (<1%) 8. Lamed (2%) 15. Lahou (Mouser Dam, 4. Gnouane (2%) 9. Samtao (<1%) Lahou Na, Khuy Loung 5. Tai Neua (2%) 10. Oedou (<1%) (3%) 16. Seda/Sila (<1%) 17. Hor: Hor, Hor Luang (1%)

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Ethnic Groups in Luang Namtha District

Lao-Tai (47%) Mone-Khmer (28%) Hmong-Iumien (17%) Tibeto-Chinese (8%) 1. Lao (7%) 9. Khmu (26%) 13. Hmong (8%) 16. Phunoi (5%) 2. Leu (6%) 10. Lamed/Lameet 14. Lanten (5%) 17. Hor (1%) 3. Tai Dam (24%) (<1%) 15. Iumien (4%) 18. Sila (1%) 4. Tai Deng (2%) 11. Bid (1%) 19. Pana (1%) 5. Tai Khao (<1%) 12. Samtao (<1%) 6. Tai Et (1%) 7. Tai Neua (<1%) 8. Nhuane (7%)

Ethnic Groups in Nam Ngaene Thongpaene Irrigation Subproject

Lao-Tai (86%) Mone-Khmer (6%) Hmong-Iumien (2%) Tibeto-Chinese (6%)

1. Nhuane (59%) 5. Khmu (6%) 6. Hmong (2%) 7. Phunoi (6%) 2. Lao (4%) 3. Tai Deng (20%) 4. Tai Dam (3%) Source: Rapid Social Assessment, July 2014

75. The Nhuane 3 Ethnic Group is part of the Tai-Kadai linguistic family, which includes the Lao peoples. Nhuane ethnic group includes two sub-ethnic groups, the Kalom and Ngaio. The Tai Nhuane present settlements are in Northern such as Luang Namtha, Bokeo, Oudomxay and Phongsaly. Tai Yuan or Nhuane speak a language in the same family of Tai Lue ethnic. Nhuane people believe in and spirits. Social ethnic society of the ethnic group is similar to the Lue ethnic group.

76. The Lao4 are an ethnic group native to Southeast Asia, belonging to the family of . The etymology of the word Lao is uncertain, although it may be related to tribes known as the Ai Lao who appear in Han Dynasty records in and as a people of what is now Province. Tribes descended from the Ai Lao included the Tai tribes that migrated to Southeast Asia. The English word Laotian, used interchangeably with Lao in most contexts, comes from the French Laotien/Laotienne. The dominant ethnicity of north eastern who descends from the Lao are differentiated from the Lao of Laos and by the Thais by the term people or Thai Isan. The ethnic Lao in Laos form the bulk of the ("Lowland Laotians"). The Lao language is the official language of the Lao People's Democratic Republic and its official script is the Lao alphabet. As the dominant language of most of the Lao Loum and therefore, most of the Lao population. Although spelling is not fully uniform, despite several reforms to move the language closer to phonetical systems, it helped stabilize the language. No official standard exists, but the dialect of is considered “de facto”, the official language. Lao people claim to be Buddhists, but many traditions are derived from Hindu and Buddhist practices.

77. Ancestors of Luang Namtha’s Tai Dam3 migrated to the Nam Sing Valley from northwest Vietnam in the late 19th century. The Tai Dam originate from the vicinity of Dien Bien Phu, in Vietnam, the original area of occupation of the Tai people in the early history of the Tai settlement of Southeast Asia according to the legend of , the legendary progenitor of the Tai-speaking peoples. Although their culture is male-dominated, women play an important part in Tai Dam society. Women have the responsibility of maintaining

3Lao News Agency: http://www.kpl.net 4Wikipedia, the Free Encyclopedia

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altars to deceased parents. The ethnic group's name originates from the traditional black skirts and headdresses worn by Tai Dam women. The black silk is embroidered with flowers and beautiful patterns. The belt is typically bright green. Tai Dam women still wear the traditional clothing, especially at ceremonies. The Tai Dam religion consists of spirit worship, and the spirits of ancestors are especially important to them. They wear white at funerals as a symbol of grief. This practice originates from the belief the person's dead spirit may need to produce payment into the spirit realm. The Tai Dam language became infused with Lao. The traditional house building style, especially the distinctive semi-circular turtle-shaped roof, has been given up by the majority of the Tai Dam, nowadays constructing their roofs in a rectangular shape. They make potent “lao lao” - rice alcohol, and produce fine silk and cotton textiles.

78. The Tai Deng ethnic group originated in the Meuang Daeng district of Thanh Hoa province in Vietnam, and immigrated to Laos around 100 – 200 years ago. Today, there are about 30,000 Tai Daeng in Laos, most of them living in the north eastern provinces of Houaphan, Xieng Khouang, and Phongsaly. The name Tai Daeng, translated as Red Tai, may refer to their original homeland, the color of their clothing, or the Red River near their original settlement in Vietnam. The Tai Daeng have a spoken language that is similar to that of other Tai groups, but they don’t have a separate written language. They practice animism and shamanic rituals, although some have adopted Buddhism or Christianity. The Tai Daeng are master weavers of silk and cotton, and possess complex weaving techniques and dyeing skills. Their textiles often feature motifs of animals, trees, leaves, and human figures, on scarves, blankets, and spirit cloths.

79. The Khmu 5 are an ethnic group of Southeast Asia. The majority (88%) live in northern Laos where they constitute one of the largest minority ethnic groups, comprising eleven percent of the total population. The Khmu were the indigenous inhabitants of northern Laos. It is generally believed that the Khmu once inhabited a much larger area but after the influx of Thai/Lao peoples into the lowlands of Southeast Asia, the Khmu were forced to higher ground (Lao Theung), above the rice-growing lowland Lao but below the Hmong/Mien groups (Lao Sung) that inhabit the highest regions, where they practiced swidden agriculture. The Khmu of Laos resides mainly in the North, ranging across 10 provinces including , Phongsaly, Oudomxay, Bokeo and Lung Namtha Provinces. The Khmu language belongs to the Austro-Asiatic , in which several closely related languages are grouped together forming the Khmuic branch. The Khmu are an agricultural society, although gathering, hunting, trapping and fishing are parts of the Khmu lifestyle. Khmu crops include rice (especially white and black sticky rice), corn, bananas, sugar cane, cucumbers, beans, sesame and a variety of vegetables. Most of the agricultural work in Khmu villages is done communally, so as to combine the strength and finish the work quickly. Harvesting of wild rice is generally performed by the village women. Rice is stored outside the village in elevated structures to protect from mice and rats. Khmu elders are traditionally the most important people of the village, and are responsible for resolving all village disputes. Village leaders included the shaman (knowledgeable in spiritual medicine), the medicine man (knowledgeable in herbal medicine), the priest (based on family lineage of priesthood), and the village headman (in modern times chosen by the Laotian government). Laotian Khmu communities generally have localized justice systems administered by the village elders. Although the Khmu is the second largest ethnic group in Laos, they are also the poorest. Throughout the , the Khmu have lacked political power, education and a role in administration 6. The results of a study4 on Khmu women show that they experience barriers to participation in project activities. The barriers include language; education; cultural norms; health issues; workload; resettlement; poverty; low self-esteem;

5Wikepedia, The Free Encyclopedia 6 Women's Participation in Community Development Projects: The Case of Khmou , Thesis on Master of Applied Science, Vixathep K., Lincoln University

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staff and project approach; the village administrative structure; fewer opportunities with development projects; and limited formal access and control over assets. To overcome these barriers and to participate in development projects Khmu women would benefit from greater support from project staff such as teacher/trainer; learner; follower; advisor; demonstrator/role model and advocate. To empower women to overcome barriers themselves and participate more fully in community development requires both men and community to provide support and acceptance.

80. The Phunoi or formerly called Khong in Vietnam are a tribal people of Lao, Northern Thailand and Vietnam. They speak Phunoi, a Tibeto-Burman language that is classified as one of the . Ancestors of the Phunoi migrated from the Tibetan highlands bringing a religion based on animism and ancestor worship. They settled near streams in forested mountain areas, build houses on stilts and live on slash and burn farming, gathering forest products and hunting. They also produce variety of handicrafts, most notably rattan baskets and mats.

81. The Hmong are an Asian ethnic group from the mountainous regions of China, Vietnam, Laos, and Thailand. Hmong are also one of the sub-groups of the Miao ethnicity in southern China. The Hmong culture usually consists of a dominant hierarchy within the family. Males hold dominance over females and thus, a father is considered the head in each household. The Hmong migrated from southern China sometime during the nineteenth century and established hilltop villages. They belong to the Hmong-Iumien ethno-linguistic group. Hmong are skilled at hunting, mixing herbal medicines and raising animals, particularly horses. Hmong believe in a variety of natural, ancestral and supernatural spirits and their religious practices incorporate elements of ancestor worship. Intricate embroidery and heavy silver jewelry adorn their clothes. The Hmong New Year in December/January features top-spinning competitions and courting couples tossing “mak kone” (small fabric balls).The Hmong began migrating from the central and southern parts of China into Laos in the19th century. Today, they inhabit the northern and central parts of Laos, including Xieng Khouang, Luang Prabang, Oudomxay, Luang Namtha, Xayaboury, Vientiane and Bolikhamxay provinces. Many Hmong villages can be found around . The Hmong have their own spoken and written language, and constitute the third largest ethnic group in Laos, with about 8% of the population. In the past, the Hmong used to be called the Miao or Lao Soung. Lao Soung means “Lao of the mountaintops.” The expression refers to where the Hmong traditionally liked to live. However, these names are no longer considered appropriate, and the Hmong prefer to be called by their ethnic group name. The Hmong are a proud ethnic group, maintaining their distinctive culture and traditions. They cannot marry within their clan, or even a person of their own family name. This means that men and women often have to find a spouse from outside of their village. Traditionally after marriage, a woman will then follow her husband and severe ties with her parents. Traditionally, the Hmong practiced the shifting cultivation of unirrigated upland crops; buckwheat, barley, and millet were grown at the highest altitudes, and rice and corn (maize) at lower elevations. Virgin forest was cleared and burnt off for the planting of new fields; when soil fertility declined (usually after several decades), the entire village would relocate. New villages could be a considerable distance away from a group’s previous locale. In the late 19th century the opium poppy was introduced into the highlands by outside traders, and the Hmong began to cultivate it in an integrated cycle together with corn and dry rice. They sold opium to itinerant traders, usually Chinese, in return for silver. The silver was used in bride wealth payments, and the trading system often involved a loan against a future opium harvest. By the late 20th century, shifting cultivation had become impracticable except in a few remote areas. In response to government programs in Thailand, Laos, and Vietnam, the Hmong have now largely abandoned shifting cultivation and opium production. They have instead turned to the permanent-field cultivation of crops such as rice and corn or the gardening of flowers, fruits, and vegetables, which they sell in lowland markets.

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3.2 Socio-Economic Status

82. As mentioned above, the four villages are inhabited with mix ethnic groups classified under the four major ethno-linguistic groups of Lao-Tai, Mone Khmer, Hmong-Iumien and Tibeto-Chinese. The 791 HHs in the subproject coverage are found to be composed of: i) 86% Lao-Tai Ethno-Linguistic Group divided into ethnic groups of 59% Nhuane, 4% Lao, 20% Tai Deng, and 4% Tai Dam; ii) 6% Khmu ethnic group classified under Mone-Khmer Ethno-Linguistic Group; iii) 6% Phunoi ethic group under the Tibeto-Chinese Ethno-Linguistic group; and about 2% Hmong ethnic group under the Hmong-Iumien Ethno-Linguistic group. The total population of the 4 villages is 4,235 with 2,038 females (Table A10-3).

Table A10-3. Ethnic Groups Population in Nam Ngaene Thongpaene Irrigation Subproject No. of Population Households Village Ethnic Groups Women Men Total No. % No. % No. % No. %

1. Khone 205 25.92 491 24.09 495 22.53 986 23.28 Nhuane (Lao-Tai) 190 24.02 458 22.47 460 20.94 918 21.68 Lao (Lao-Tai) 9 1.14 21 1.03 23 1.05 44 1.04 Tai Deng (Lao-Tai) 4 0.51 7 0.34 7 0.32 14 0.33 Tai Dam (Lao-Tai) 1 0.13 3 0.15 2 0.09 5 0.12 Khmu (Mone-Khmer) 1 0.13 2 0.10 3 0.14 5 0.12 2. Luang 341 43.11 898 44.06 997 45.38 1,895 44.75 Nhuane (Lao-Tai) 154 19.47 398 19.53 419 19.07 817 19.29 Lao (Lao-Tai) 6 0.76 14 0.69 20 0.91 34 0.80 Tai Deng (Lao-Tai) 103 13.02 272 13.35 314 14.29 586 13.84 Tai Dam (Lao-Tai) 21 2.65 57 2.80 60 2.73 117 2.76 Khmu (Mone-Khmer) 14 1.77 28 1.37 42 1.91 70 1.65 Phunoi (Tibeto-Chinese) 43 5.44 129 6.33 142 6.46 271 6.40 3. Phiang Ngam 73 9.23 192 9.42 223 10.15 415 9.80 Nhuane (Lao Tai) 13 1.64 32 1.57 35 1.59 67 1.58 Lao (Lao-Tai) 5 0.63 13 0.64 10 0.46 23 0.54 Tai Deng (Lao-Tai) 29 3.67 63 3.09 81 3.69 144 3.40 Khmu (Mone-Khmer) 7 0.88 16 0.79 12 0.55 28 0.66 Hmong (Hmong-Iumien) 19 2.40 68 3.34 85 3.87 153 3.61 4. Donkhoun 172 21.74 457 22.42 482 21.94 939 22.17 Nhuane (Lao-Tai) 107 13.53 293 14.38 291 13.25 584 13.79 Lao (Lao-Tai) 8 1.01 22 1.08 28 1.27 50 1.18 Tai Deng (Lao-Tai) 23 2.91 54 2.65 66 3.00 120 2.83 Tai Dam (Lao-Tai) 6 0.76 21 1.03 18 0.82 39 0.92 Khmu (Mone-Khmer) 26 3.29 57 2.80 72 3.28 129 3.05

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No. of Population Households Village Ethnic Groups Women Men Total No. % No. % No. % No. %

Phunoi (Tibeto-Chinese) 2 0.25 10 0.49 7 0.32 17 0.40 Total 791 100.00 2,038 100.00 2,197 100.00 4,235 100.00 Nhuane (Lao-Tai) 464 58.66 1,181 57.95 1,205 54.85 2,386 56.34 Lao (Lao-Tai) 28 3.54 70 3.43 81 3.69 151 3.57 Tai Deng (Lao-Tai) 159 20.10 396 19.43 468 21.30 864 20.40 Tai Dam (Lao-Tai) 28 3.54 81 3.97 80 3.64 161 3.80 Khmou (Mone-Khmer) 48 6.07 103 5.05 129 5.87 232 5.48 Phunoi (Tibeto-Chinese) 45 5.69 139 6.82 149 6.78 288 6.80 Hmong (Hmong-Iumien) 19 2.40 68 3.34 85 3.87 153 3.61

83. The main source of income in the area is agriculture. The main crop is rice and some produce corn, cassava, sweet potato, pineapple, pumpkin, watermelon, onion, garlic, chili, sugarcane and rubber trees. Extra income comes from gathering and sale of broom grass and non-timber forest products. Some still do shifting cultivation particularly those without farms in the lowlands. There are few HHs who take care and sell livestock and poultry. A few farmers are doing contract farming with Chinese businessmen for crops such as pumpkin and watermelon. Few farmers had their farms rented by Chinese businessmen for the production of banana and rubber trees.

84. Based on the SIA data, 269 HHs (34%) of the 791 HHs in the four villages are deficit with rice and about 63 HHs (8%) are reported be poor having income of less than 85,000 kips per person per month, and 682 HHs (86%) are reported to be having income within the range of 85,000 to 180,000 kips per person per month, considered as middle income level. Only 46 HHs (6%) are considered at high income level (above 180,000 kips per person per month).

85. Poverty is highest among the Phunoi ethnic group with 23 HHs (51%). There are 18 poor Nhuane HHs, 1 poor Lao HHs, 13 poor Tai Deng HHs, and 4 poor Khmu HHs.

3.2.1 Land

86. The 791 HHs are involved in cultivating agricultural lands 7. Of the total of 841.38 hectares of agricultural lands, only 31.38has. are owned/cultivated by Khmu ethnic group HHs, 53.25 has. are owned/cultivated by Phunoi ethnic group HHs and 34.10 has. are owned/cultivated by Hmong ethnic group HHS. This shows that 85% of the total agricultural lands are owned by the dominant Lao-Tai ethnic group, only 15% of agricultural lands are owned by other ethnic groups combined.

87. There are 484 (61%) HHs presently benefiting from irrigation. The total currently irrigated area reported is 343.48 hectares. The irrigation beneficiaries are composed of 302 Nhuane HHs (217.67 has.), 105 Tai Deng HHs (71.44 has.), 30 Khmu HHs (20.94 has.), 19 Tai Dam HHs (15.61 has.), 15 Lao HHs (9.55 has.), 7 Hmong HHs (5.35 has.) and 6 Phunoi HHs (2.92 has.).

7 These could be irrigated land, rainfed lowland, upland, home garden, fishpond, fruit tree farm and rubber tree farm.

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88. Land ownership document in the area are generally Land Tax Certificates (LTC), which is reported to be in the name of both spouses in some cases and in the name of only the husband in some cases. The LTCs are recognized by the village, district and provincial authorities for the security of tenure on the land being cultivated by HHs. Land titling, however, is now recognized and being implemented by the Lao Government under the name of both spouses.

89. It must be noted, that the subproject will not in any way interfere with land ownership or the right of land cultivation. The subproject will not support nor result in displacement of ethnic groups/households from their lands or from the land they are presently cultivating. Instead, it will intensify cultivation of lands due to improved availability of irrigation water supply.

90. The poor HHs will potentially benefit from labor during subproject construction, increase demand of agriculture labor due to intensive farming resulting from the improvement of irrigation, and from associated initiatives that will be planned and identified during the detailed design and implementation of the subproject in consultation with villagers/ethnic groups.

3.2.2 Language

91. Literacy in the area is low at an overall 50%. Literacy is lowest among the Hmong ethnic groups at 32%. Literacy among the other ethnic groups ranges from 47% to 54%.

92. The Lao ethnic group speaks the Lao national language. The other ethnic groups under the Lao-Tai ethno-linguistic group (Nhouane, Lue, Tai Deng and Tai Dam) speak similar languages with Lao and can readily understand Lao.

93. The Khmu, Phunoi and Hmong have their own distinct language/dialect and many of the old generation of these ethnic groups do not speak Lao. Hence, measures must be undertaken to ensure the presence of project staff who can speak the local languages to help in translation during consultations, discussions, meetings, training and other forum involving these ethnic groups.

3.2.3 Gender

94. Women’s voice and participation has steadily advanced in Lao PDR. Women’s rights are recognized in the legal system, and women’s political representation in the National Assembly has grown nearly 20% since 1990. It is now the highest in the region. However, this has not filtered down to the provincial and local levels where significant gender gaps in representation persist, despite the efforts of the Lao Women’s Union (LWU) in reaching out to women at the national to village levels 8.

95. In all the four villages, the SIA in October 2013 found that the leadership (heads/chiefs) of the village administration committees/organizations which include, the Lao National Front for Construction (LNFC), the Lao Youth Union (LYU), the Lao Women’s’ Union (LWU), Village Security and Army Units, are dominated by men except the Lao Women Union being an organization for women. Based on results of sample household interviews, household works are mainly performed by women. Work distribution for agriculture production is generally shared by men and women with those considered as “muscle” work such as land preparation, irrigation, pesticide/herbicide application and

8 Country Gender Assessment for Lao PDR – Reducing Vulnerability and Increasing Opportunity, World Bank, 2012

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hauling/transport mainly performed by men. Women are considered to perform the selling of products. Decision-making responsibilities are generally considered shared responsibilities between men (husband) and women (wife).

96. For the different ethnic groups, men are considered the head of the family in general. This is very prominent among the Hmong ethnic group, whose culture holds prominent dominance of males over females and thus, a father is always considered the head in each household.

97. Particularly for Khmu women, the results of a study4 show that they experience barriers to participation in project activities. The barriers include language; education; cultural norms; health issues; workload; resettlement; poverty; low self-esteem; staff and project approach; the village administrative structure; fewer opportunities with development projects; and limited formal access and control over assets. To overcome these barriers and to participate in development projects Khmu women would benefit from greater support from project staff such as teacher/trainer; learner; follower; advisor; demonstrator/role model and advocate. To empower women to overcome barriers themselves and participate more fully in community development requires both men and community to provide support and acceptance.

98. There are 64 Female-Headed HHs (FHHs). The 64 FHHs are composed of 44 Nhuane, 1 Lao, 10 Tai Deng, 2 Tai Dam, 5 Khmou and 2 Phunoi. Of the 64 FHHs, 5 are classified as poor, 4 Nhuane and 1 Phunoi. The rest of the FHHS are classified at middle income level.

3.2.4 Health and Hygiene

99. The villages are highly accessible to the District/Provincial Center within short distances ranging from 2 km to 8 km, hence, villagers have good access to market, schools and medical facilities, communication, and sources of income such as employment and business.

100. The villages have access to electricity, water supply system, schools (primary, elementary and high school), dispensary/health clinic and hospital, market, mobile phone signal. Land line telephone service is available in three (3) of the four (4) villages (except Phiang Ngam). All HHs have sanitary latrines.

101. There are no serious concern on health and sanitation in the area at the writing of this report. Reported diseases are the usual seasonal illnesses such as cold, cough and fever. There is good sanitation and hygiene in the villages. A future concern is the increasing use of chemicals for agriculture production particularly in banana plantations and in contract farming by Chinese businessmen. Such must be closely monitored by the Village, District and Provincial government in cooperation with the HHs in the four villages.

102. The project had conducted information campaign/workshops/trainings on sanitation and sanitation awareness campaign, HIV/AIS/STI prevention, safety handling of chemicals and gender in development awareness campaign in the four villages.

103. The construction of the subproject may bring about health hazards such as: (i) dust and noise pollution; (ii) danger from construction material storage and construction sites; and (iii) construction and workers’ waste disposal/management. These, however, are temporary in nature, and mitigation measures are included in the Environmental Management Plan (EMP) developed for the subproject included in Annex 8 – Initial Environmental Examination of the Feasibility Study Report for the subproject.

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104. During the Operation and Maintenance (O&M) stage of the subproject, potential health hazard may result from the effects of intensified use of chemical fertilizers and pesticides. However, these can be minimized, if not eliminated through the timely and correct implementation of the proposed measures contained in the EMP mentioned above.

3.2.5 Social Impact and Inequality

105. During the RSA conducted in July 2014, the participants represented by village authorities, women, men, youth, LWU, LFNC and different ethnic groups in the 5 villages, informed that they are aware of the project and that they are fully supporting its implementation.

106. The ethnic groups in the four villages are also aware that the subproject may affect some lands during construction, however, they expressed willingness to contribute portions of lands affected is such is unavoidable. They also expressed willingness to contribute labor during construction and to maintain the system after completion as what they are doing at present.

107. The Subproject was requested by the farmers (ethnic groups) particularly those with irrigated lands through the Village, District and Provincial Authorities.

108. It is accepted that not all households will directly benefit the irrigation subproject. Others may indirectly benefit from the productivity and impact enhancement initiatives that will be delivered for the Subproject. The compulsory initiatives will include: (i) support for WUGs established to operate and maintain the rehabilitated facilities; and (ii) water catchments identification and zoning. Optional initiatives will be discussed with the beneficiaries/ethnic groups during the detailed design stage and could be selected from agricultural production technology, post-harvest handling, processing and the development of market linkage initiatives.

109. The Nam Ngaene Thongpaene Irrigation Subproject involves rehabilitation of existing irrigation facilities and structures. At feasibility study stage, it was determined that there are no acquisition requirements of private and/or public land and it will not affect crops/trees. This is described in detail in the Land Acquisition and Compensation Report (LACR), Annex 9 of the Subproject Feasibility Report. The LACR was prepared between September 2013 and February 2014. It was prepared on a consultative and participative approach.

110. Additional impact on the environment that may be brought about by the construction activities such as noise and dust pollution as well as hazard from construction waste materials. During the irrigation operation and maintenance phase, there is potential increase on the use of agricultural chemicals due to more active agricultural production as a result of irrigation improvement. However, mitigation measures for these impacts are prescribed in the Environmental Management Plan (EMP) for the subproject as contained in Annex 8 – Initial Environmental Examination of the Feasibility Study Report for the Subproject.

3.3.6 Social Benefits

111. The proposed subproject has the following potential impacts:

(i) Increase household income and hence, reduce poverty; (ii) Improvement of the economic conditions of beneficiary households due to: a) improved irrigation water availability in irrigated areas; b) increase in irrigated area in both seasons; c) increase rice yield and production; d) promote production of high value crops during the dry season; and e) increase in income;

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(iii) Generate additional demand for hired labor due to increase in crop production activities in the area for two seasons; and (iv) Promote a more active economy for the villages due to increased production of rice and other crops, increased household income, potential commercialization of rice surplus and high value crops, and demand for production inputs. (v) Savings on labor, time and local materials for the beneficiary households from the frequent repair of the scheme particularly during the wet season; (vi) Increased empowerment of ethnic groups and women through their representation in the WUG/WUA, FPGs and other village committees, and involvement in subproject activities; and (vii) Improved cooperation and social cohesion among ethnic groups due to equal opportunities in representation and participation in the WUG/WUA, FPGs and other committees that will be established through the subproject, as well as in subproject activities.

112. Besides the benefits from irrigation, benefits from the productivity and impact enhancement initiatives that will be delivered by the project are:

(i) The establishment and capability development of a Water Users’ Association (WUA) that will be responsible for the MOM of the rehabilitated/improved irrigation system. (ii) Empowerment through representation of women and different ethnic groups in the WUG/WUA, Farmers Production Groups and other committees. (iii) Introduction of the collection of Irrigation Service Fees (ISF) as source of funds for the MOM of the Irrigation System for sustainability. (iv) Improved planning of cropping within irrigated as well as in rainfed and upland areas. (v) Increased technical know-how and improved capability of farmers on crop production and marketing technology. (vi) Improved management of the water catchment areas. (vii) Improved awareness on the importance and recognition of the role of women at home, in agriculture and in decision-making responsibilities. (viii) Additional benefits from other optional initiatives that will be identified to be delivered through the subproject. (ix) An institutionalized and active grievance redress mechanism through the Lao Front for National Reconstruction (LFNC).

3.3.7 Expected Sustainable Outcomes

113. The rehabilitation/improvement of the irrigation system will bring about improved water control and availability, increase irrigated area and irrigation water for two crop seasons.

114. To ensure sustainable operation of the irrigation system after completion, a WUA will be established and given capability development training on the management, operation and maintenance (MOM) of the irrigation system. To ensure proper representation of all beneficiaries and stakeholders, different ethnic groups and women will be required to be represented in the WUA management structure. The DAFO and PAFO will have to provide sustained monitoring and evaluation of the MOM of the irrigation system and provide technical assistance to the WUA. To provide advises and mediation, the LWU, the Village Chief and the LNFC Village Head will act as advisers to the WUA.

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115. As source of funds for the MOM of the irrigation system, Irrigation Service Fees (ISF) at rates agreed with the beneficiaries through the assistance of the DAFO, PAFO, LWU, Village Chiefs and LNFC shall be collected.

116. For the protection of the water source, water catchment identification and crop zoning is planned as one of the impact enhancement initiatives under the subproject. In addition, technical assistance on crop production and marketing will be provided to Farmers Production Groups.

117. The above had been consulted with the villagers and they expressed their support of the plans.

4. BENEFICIAL AND MITIGATING MEASURES

118. Prominent among the potential positive impacts is the increase in income due to increase in yield and production brought about by the irrigation subproject as well as additional source of income (labor) for poor households. The benefits are discussed in detail in Section 3.3.6 above. The main expected negative impact is the potential loss of assets (land and crops) due to subproject construction. Additional potential impact is dust and noise pollution during construction and increase in the use of agricultural chemicals during the O&M stage of the subproject.

119. The Subproject Intervention Strategies in Table A10-4 will be applied to the subprojects. The subproject will ensure that consultations that are to be conducted at any stage with each of the ethnic groups will be in the local ethnic group’s language using interpreters to translate from Lao to the ethnic group’s language. Where information is needed for specific purposes rather than providing general information, separate discussions for every ethnic group, women and men will be conducted to encourage greater participation. Furthermore, the subproject will ensure that training and other capacity building activities are conducted in the ethnic groups’ languages to avoid exclusion/inability to participate in the subproject activities.

120. The subproject will pay special attention to avoid discrimination and inequality. Instead the subproject will address positive measures to ensure the representation of ethnic minority groups on all management committees, especially WUA as well as other working groups. Additionally, the subproject will closely monitor the construction of the irrigation system to ensure that there are equal employment opportunities for ethnic groups, men and women. Furthermore, special attention will be given to those who are poor and most in need of help to gain access to work. The project will also closely monitor the performance of the subcontractor and closely collaborate with the related local authorities in order to avoid future conflicts and ensure maximum benefits. The following table sets out the specific intervention strategies to be addressed during the subproject implementation period.

Table A10-4. Subproject Intervention Strategies

IPPF Requirements for Project Irrigation Improvement and Subproject Intervention Strategies Component Development 1. Production • Evidence of consultation with • The subproject has strong support and ethnic groups (women and from all the ethnic groups in the four productivity men), demonstrating their villages. Evidence was recorded enhancing support prior to subproject during the feasibility study, the social rural infrastructure approval. assessment, village consultations

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IPPF Requirements for Project Irrigation Improvement and Subproject Intervention Strategies Component Development constructed and groups’ discussions. and/or • Ensure mutual decision making and rehabilitated. that an agreement has been reached on the design details, including irrigation channels and alignments as well as the location of the water gate to each village by the following three parties: the project, the District Agriculture Departments and the clan representatives from the four villages. • Ensure evidence of a prior agreement regarding the equal distribution of the irrigation system’s water supply to each village by the four villages’ representatives to avoid future conflict between the villages. • The subproject will ensure that the • Selection criteria for selected subcontractor develops a subprojects should ensure the labor management plan that consists use of local labour and of: (i) criteria for labour selection and avoidance of construction impose zero tolerance for child camps. labour; (ii) equal access to work and • Local contractors will equal pay for the same type of work preferentially employ women for ethnic men and women; and (iii) and men from poor ethnic special attention to the poor ethnic group households in families in the subproject areas that construction activities. need help. • Equal access to work and • Ensure the established WUA has equal pay for women and men received the following training: (i) for work of equal type. understanding of the nature of the • Safe working conditions for irrigation system, including the both men and women workers. operational function of the irrigation • Local contractors will not system and its expected life span; (ii) employ child labor. management and maintenance to ensure long-term usage; and (iii) financial management in relation to the collection of water fees. 2. Productivity • Sustainable management, • The subproject will ensure that each and impact operation and maintenance ethnic group (particularly the Khmou enhancing (MOM) of the completed ethnic group) will field a initiatives representative to the WUA using irrigation system adopted. their own processes for selection. • Representation of the ethnic The subproject will ensure that groups and women ethnic group representatives will (particularly the Khmou have equal status and voice the in women) in the WUG/WUA and decision making regarding the all subproject management irrigation system. • committees (Marketing WUA guidelines will be simplified and/or translated into the languages Committees, Farmers’ of the ethnic groups (Lao and Production Groups (FPGs). Khmou languages).

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IPPF Requirements for Project Irrigation Improvement and Subproject Intervention Strategies Component Development • Ensure the established WUA including the ethnic groups have received the following training: (i) understanding of the nature of the irrigation system, including the

operational function of the irrigation system and its expected life span; (ii) management and maintenance to ensure long-term usage; and (iii) financial management in relation to the collection of water fees. • The training in the enhancement of • Capacity building for ethnic agricultural production, including groups to enable participation agricultural market extension in subproject and community services, soil improvement decision-making delivered in techniques, introduction of suitable the local language and using crops and sustainable use of the appropriate methodology (i.e. irrigated water system will be participation and negotiation provided for each village including ethnic groups. This training will training, marketing skills and include marketing skills, agricultural numeracy training). knowledge/information and • Representation of ethnic observation techniques for better groups and women negotiation and numeracy skills. (particularly the Khmou • Workshop on agricultural knowledge women) in meetings, trainings, exchange will be conducted by the project study tours and other subproject to: (i) strengthen the interrelationship between villages capability development and the seven ethnic; (ii) promote activities. the exchange of agricultural • Extension services designed production knowledge by the for and delivered to ethnic different ethnic groups; (iii) groups and women. (Ensure encourage ethnic groups from that Khmou women are different ethnic backgrounds to engage in social functions and public represented in these). meetings with other groups; (iv) promote ethnic women’s groups (particularly the Hmong and Khmou) to expose them to other people outside of their own village; and (v) encourage the ethnic groups’ confidence, especially the Hmong and Khmou women, in communicating and negotiating with other people. 3. Capacities of • Safeguards (EGDP) training for • Safeguard (EGDP) training is national, implementing agencies at provided for key responsible persons provincial and national, provincial and district of the project’s implementing district agencies levels (i.e. NPMO, PPOs, agencies at the central, provincial strengthened to enable a sector DCOs and other stakeholders). and district levels development • On-going training and • The project has recruited national approach. mentoring by international and and international IP safeguards and national specialists will be gender specialists to safeguard provided to national and ethnic groups’ rights to development provincial staff to enable and access to equal opportunities in

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IPPF Requirements for Project Irrigation Improvement and Subproject Intervention Strategies Component Development effective preparation and the subproject areas. monitoring of individual EGDP • The project will closely collaborate for each subproject. with local authorities, including the • Assistance (budgets) provided Lao Front for National Construction for capacity building of the (LFNC) and Village Mediation Village Mediation Committees Committees if and when ethnic where these have not had the groups’ (particularly the 3 Khmou recent round of training. HHs) express concerns, provide • Assistance (budgets) provided feedback and suggestions to the for capacity building of village project. It should be done in a timely and district level committees of manner and appropriately take into the Lao Front for National account the ethnic groups traditional Construction (LFNC) where this culture when dealing with any issues relates to promoting and that arise. meeting the needs of ethnic • The project will provide key staff to minority groups in subproject closely work and collaborate with the areas. ethnic groups in the four villages and other stakeholders during the construction of the irrigation system. • Safeguards specialists in different fields are engaged during the subproject’s implementation period. 4. Efficient and • Safeguard (gender/indigenous • International and national IP and effective delivery peoples) specialists included in gender safeguards specialists are of subprojects national, provincial and district engaged by the project during the and project levels (NPMO, PPO, DPO) subproject’s implementation period. management. • Focal persons for social safeguards are designated at the NPMO, PPO and DCO to assist in coordinating and ensuring the benefits of ethnic groups as well as overseeing other social safeguards. • Social Impact Analysis and an • Social impact assessment, ethnic IPP will be prepared for each group consultations, focus groups subproject. discussions are conducted and the subproject commits itself to continued consultations with different ethnic groups during the implementation period. • All monitoring and evaluation • Subproject monitoring and reporting data disaggregated by ethnic of EGDP implementation groupings. performance indicators including • NPMO and PPOs responsible participation, training, and for monitoring and reporting of employment targets will include data EGDP performance indicators, and information disaggregated by including ethnic group ethnic groups and gender. participation, training and employment targets. • EGDP implementation

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IPPF Requirements for Project Irrigation Improvement and Subproject Intervention Strategies Component Development performance indicators included in mid-term reviews.

5. INFORMATION DISCLOSURE, CONSULTATION AND PARTICIPATION

121. Several consultations and information disclosures have been conducted with the four villages since 2013 on: (i) the potential irrigation project; and (ii) the potential impacts, including land loss, as well as crop and timber production. Each consultation, minutes of meetings, participants’ lists, photos and official correspondence were recorded by the project. The villagers from all of the four villages confirmed during the assessment that they have received relevant information about the subproject’s initial design and purpose. In each of the consultations, participants were asked to indicate/provide their views on the potential beneficial impacts and risks of the subproject.

122. Formally, the Lao government sets out a number of specific requirements in respect of consultation with, and participation of, communities and stakeholders, in the EIA/SIA process. Decree 112/PM on Environmental Impact Assessment sets out the rights and duties of project affected people and stakeholders, which include receiving information about a project along with the potential adverse impacts or benefits they may experience if the project goes ahead. Involvement in the EIA/SIA process is required through provision of appropriate and sufficient information to people and communities affected. The instructions state that consultation will take the form of: (i) interviews with village leaders, focus group discussions (FGDs) and household interviews/surveys; (ii) discussions about impacts and mitigation measures, and where impacts are identified, discussions about how a negative impact can be minimized during the project’s implementation; and, (iii) provision of the opportunity to review, respond to, or comment on the safeguards documents.

123. All of the villagers are aware that they may not be engaged as laborers because the district authorities have informed them that the excavation of the irrigation channels will be done by machinery instead of by manual labour. The villagers have proposed a cooperative management and maintenance of the system and not of having each village manage their own section of the irrigation channel. The project strongly supports this view and will address mutual decision making during its implementation.

124. Although most of the people in the villages speak the Lao national Language, during the implementation period the project is committed to providing sufficient interpreters for non-Lao speaking ethnic groups so that they understand any changes related to the progress or time frame from the project’s side. The interpreters will consist of both men and women to accurately deliver information and gather feedback, concerns and suggestions from the villagers.

125. Table A10-5 suggests consultation forums within each subproject stage/phase. To ensure involvement, participation and representation of the ethnic groups, and women in these forums, the involvement/participation and/or representation of these groups must be required. The involvement of the end-users must be complemented with the participation and technical assistance of the DAFO, PAFO, LWU, Village Authorities and the LNFC (as the focal person for ethnic affairs). The LNFC will assume critical role in assuring proper representation of ethnic groups and in the grievance redress mechanism.

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Table A10-5. Consultation, Participation and Disclosure

Focus and Description of Subproject Stage Consultation and Participation Disclosure (C&P) Feasibility Study Project Orientation in May 2013 Results of studies, surveys, assessments, etc. were discussed Village Consultation in July 2013 during subproject consultations and meetings. Socio-Economic Survey in October 2013 involving interview of village Excerpts of the Feasibility Study, SIA, authorities, sample HHs and Focus LACR and EGDP will be translated Group Discussions with men, women into Lao for dissemination. and ethnic groups, intended for the SIA of the subproject For non-Lao speaking/reading ethnic groups, consultations and meetings were done and will be continuously done with the help of staff who can speak the local dialects. Detailed Engineering Consultation meetings where the The Subproject design and plan will Design subproject design and plan is be finalized and presented to the discussed to villagers with same audiences before representation of men, women and implementation. ethnic groups. During these meetings, the PAFO, DAFO, village Before the start of construction, pre- authorities, LWU and LNFC are construction meetings with the same invited to participate. audience must be done where the PMU and Contractor will discuss construction works, methodology, schedule and labor requirements. Implementation During subproject implementation, Agreed actions should be copied to all regular (monthly or more frequent, if stakeholders as basis for monitoring necessary) Project Coordination and evaluation. Meetings will be conducted with the same audience above to be For the Khmou, Hmong and Phunoi facilitated by the PMU and the ethnic groups, the meetings must be Contractor. During these meetings, arranged with the assistance of topics to be discussed should interpreters. include among others: a) progress of construction; b) issues, problems and constraints; c) actions to resolve identified issues, problems and constraints.

The WUG/WUA should be allowed to conduct daily monitoring visits of on- going works jointly with project engineers of the PMU and Contractor.

Collect feedback, concerns and recommendations from WUGs, FPG and women. O&M Stage (Women and Ethnic Groups represented in the WUA Structure)

Pre-Cropping Season Meeting to: a) Copies of developed cropping plan develop cropping plan for the season are posted in public places within all (decide what to plant, where to plant, villages involved. when to plant and when to harvest);

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Focus and Description of Subproject Stage Consultation and Participation Disclosure (C&P) b) develop repair and maintenance The project will facilitate dissemination plan for the irrigation system; c) of information in Lao, Khmou, Hmong develop water allocation and and Phunoi ethnic groups’ languages distribution schedules for the system; via interpreters. and d) develop ISF Collection program and budget for the season.

In-Season Meetings to identify issues and concerns/problems and agree on solutions to such.

Post-Season Meetings to assess the past season and develop plans for the next season. (Same as the Pre- Cropping Season Meeting).

6. COMPLAINTS AND GRIEVANCE REDRESS MECHANISM

126. Ethnic Groups in the two villages were informed during the village meetings about their rights related to grievance and the procedures that are in place. In relation to the grievance redress mechanism (GRM), the two ethnic groups share the same view that if any issue arises, regardless of this subproject, they will firstly consider amongst them whether the issue can be resolved internally. This first stage of mediation is preferred by all of them so as not to bring up issues unnecessarily and avoid complications. If the issue cannot be dealt with internally, they will then bring it up verbally with the village authorities. The village authorities often seek the advice of the villager elders and call for a meeting which includes the complainants and the elders as mediators. If the issue cannot be resolved then the next formal step involves the village authority to either assist in drafting a written complaint or the complainant will be asked to draft by the complaint by themselves. It then will go through the village authorities for comments and a referral letter will then be sent to the district authorities. The district authorities will then take up the case, investigate and mediate with the complainants and village authorities. If the issue still cannot be solved then the same steps are taken at the provincial level. If the provincial authorities cannot solve the issue, then they will be referred to the provincial courts. All of the consulted villages share the same view on both informal and formal grievance procedures.

127. The Lao National Front for Construction (LFNC) represents ethnic groups and at village level also leads the Village Mediation Committee. In general, people in the villages respect the LFNC members (“Neo Hom”) and often turn first to them for assistance on both domestic and civil matters. Assistance will be provided for training of the Committees where this has not already occurred through the current program being implemented. An information campaign will be conducted to ensure that all community members understand the revised role and responsibilities of the Mediation Committees.

7. INSTITUTIONAL ARRANGEMENT

128. To ensure inter-agency cooperation at the national level, a National Steering Committee (NSC) has been established. The NSC will meet annually or as required to review overall implementation progress, approve annual work-plans and budgets, and provide overall policy guidance. The National Project Management Office (NPMO) will provide secretariat services to NSC. Provincial Steering Committees (PSCs) have been established to ensure inter-agency coordination at the provincial level. The PSCs are chaired by provincial vice governors with equivalent representation to that for the NSC, including

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governors from the participating districts. The PSC will meet bi-annually or as required to review implementation progress and to ensure adequate levels of coordination between key agencies for project coordination. Subproject Investment Reports (SIRs) shall be approved by PSCs after obtaining the necessary concurrence of ADB for social and environmental safeguards. The PPO will provide secretariat services to PSCs.

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

130. The executing agency for the subproject will be the provincial governor’s office which will delegate responsibility for subproject implementation to its Provincial Agriculture and Forestry Office (PAFO). The PAFO will, in turn, designate responsibility for day to day implementation and monitoring of the subproject to the provincial project office (PPO) established within its premises. If external consultants are required for survey and design of the scheme, recruitment of consultants to prepare the detailed subproject design and construction supervision will be managed by the National Project Management Office (NPMO). Works contracts will be procured by the NPMO based on provincially and NPMO certified and approved designs. PAFO, through its PPO, will be involved both in project management of the subproject but also in confirming the technical specifications of the rehabilitated weir and canals for the schemes. The associated investments will be delivered by established district agriculture and forestry offices under a performance based contract to the PPO under the supervision of the NPMO.

131. The DAFO works closely with the following four departments at the district level: (i) the Lao Women’s Union (LWU) to ensure equal engagement of women and members of ethnic groups so that their concerns and feedback are taken into consideration; (ii) the Department of Natural Resources and the Environment (DoNRE) which mostly deals with the inspection and control of chemicals as well as contract farming licenses; (iii) the National Lao Front for Construction (NLFC) to specifically focus on ethnic groups and development issues; and (iv) the District Cabinet Office to ensure that all activities are coordinated and reported to the district governors and its administration. To develop this EGDP, the DAFO invited all of these aforementioned departments to partake in the assessment and therefore they participated in village meetings and the focus groups discussions. These key officials from the various departments are therefore responsible for overseeing the different aspects of the project’s implementation and progress. For instance, DoNRE oversees the social and environmental measures, NLFC looks after the benefits and interests of the ethnic groups, and the LWU ensures women’s engagement and supports their interests. Meanwhile DAFO, through DCO, oversees the project’s overall development, especially related to agricultural extension services.

8. BUDGET AND FINANCING PLAN

132. Estimated EGDP implementation costs are set out and financed from the Grant. Detailed budgets will be included in subproject costings during implementation stage.

A10 - 30 Northern Rural Infrastructure Development Sector Project Annex 10 Feasibility Study on Nam Ngaene Thongpaene Irrigation Subproject, Luang Namtha District Luang Namtha Province

9. MONITORING

9.1 Internal Monitoring

133. Internal monitoring and collection of information on the subproject’s progress, effectiveness and results will largely be the responsibility of PPO in cooperation with DCO. There will also be an emphasis on the identification of activities to enhance agricultural production whilst recognising constraints so as to provide appropriate remedial actions. Internally the provincial and district officers from the different departments will jointly prepare monitoring reports, which in turn the PPO will use to prepare monthly reports for the NPMO. The NPMO will validate these reports and include in the project’s progress reports progress reports.

9.2 External Monitoring

134. The project has engaged an external monitoring in charge of social and environmental safeguards, participation, and gender. The external monitoring entity submits quarterly monitoring reports on these aspects.

135. To validate results of internal monitoring, engagement of an external (independent) monitor is required by ADB, which has been carried out for 2013 and 2014 subprojects, and will be continued in the following project years.

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