Environmental and Social Management Framework (ESMF)
Public Disclosure Authorized
Lao: Water Supply and Sanitation Project (P164901)
Public Disclosure Authorized
Prepared by: Department of Water Supply, Ministry of Public Works and Transportation (as a leading implementing agency), in consultation with the Department of Hygiene and Health Promotion, Ministry of Health
Public Disclosure Authorized
Second draft 31 October 2018
Public Disclosure Authorized
ABBREVIATIONS AND ACRONYMS
AP Affected Persons ARAP Abbreviated Resettlement Action Plan CERC Contingency emergency response CITES Convention on International Trade in Endangered Species CLTS Community Led Total Sanitation CMU Component Management Unit DEDP Division of Environment and Disaster Protection DMS Detailed Measurement Survey DONRE District Office of Natural Resources and Environment DPWT Provincial Department of Public Works and Transport DWS Department of Water Supply EA Environmental Assessment ECC Environnemental Compliance Certificat ECoP Environmental Code of Practice EIA Environmental Impact Assessment EGDF Ethnic Groups Development Framework EGDP Ethic Groups Development Plan EHS Environmental Health and Safety EMMP Environmental Management and Monitoring Plan EPL Environmental Protection Law of 1999 ESF Environmental and Social Framework ESMF Environmental and Social Management Framework ESMP Environmental and Social Management Plan GOL Government of Lao PDR GRC Grievance Redress Committee GRM Grievance Redress Mechanism IBA Important Bird Areas IEE Initial Environmental Examination IEM Independent External Monitor LWU Lao Women’s Union masl Meters above sea level MOH Ministry of Health MONRE Ministry of Natural Resources and Environment MPI Ministry of Public Investment MPWT Ministry of Public Works and Transport NBCA National Biodiversity Conservation Area NGOs None Government Organizations NPA National Protected Area NPSE Nam Papa State Enterprise NTFP None Timber Forest Products OP/BP The World Bank’s Operational Policy/Bank Procedure OPWT District Office of Public Works and Transport PCB Polychlorinated biphenyls PFA Protection Forest Area PIU Project Implementation Unit PMU Project Management Unit PNP Provincial Nam Papa PONRE Provincial Office of Natural Resources and Environment PSC Project Steering Committee RAP Resettlement Action Plan RPF Resettlement Policy Framework SBCC Social Behavior Change and Communications VDC Village Development Committee WASH Water Supply, Sanitation and Hygiene WREA Water Resources and Environment Administration WSSP Water Supply and Sanitation Project WTP Water Treatment Plant
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WWF World Wild Life Foundation
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Table of Contents
1 Executive Summary ...... 1 2 Introduction ...... 2 2.1 Need for an Environmental and Social Management Framework ...... 3 2.2 Objective, scope, and method ...... 3 3 Project Description ...... 3 3.1 Scope of the Project ...... 3 3.2 Project Description ...... 5 3.3 Non-eligible Sub-project Activities ...... 8 3.4 Project Implementation and Management ...... 9 4 Policy, Legal and Administrative Framework ...... 9 4.1 Responsible Agencies ...... 9 4.2 Lao PDR Environmental and Social Legislation for Water Supply ...... 9 4.2.1 Environmental Protection Law (2012) ...... 9 4.2.2 Law on Water and Water Resources (2017) ...... 9 4.2.3 Law on Water Supply (2009) ...... 10 4.2.4 Forestry Law (2007) ...... 10 4.2.5 Wildlife and Aquatic Law (2008) ...... 10 4.2.6 Land Law (2003) ...... 10 4.2.7 Ministerial Instruction No. 8029 ...... 11 4.2.8 Drinking Water Quality Standards ...... 11 4.2.9 Discharge Standards ...... 11 4.2.10 Law on Hygiene, Disease Prevention and Health Promotion ...... 11 4.2.11 Decree #84 on Compensation and Resettlement of People Affected by Development Projects (2016)...... 12 4.2.12 Technical Guidelines on Compensation and Resettlement of People Affected by Development Project (2005) ...... 12 4.2.13 Decree on the Preservation of Cultural, Historical and Natural Heritage (1997) .... 12 4.2.14 Guideline on Consultation with Ethnic Groups (2013) ...... 12 4.2.15 Decree 333 on Protection Forest (2010) ...... 12 4.3 World Bank Safeguards Policies...... 13 4.3.1 Other Requirements ...... 13 4.3.2 World Bank Safeguard Policies Triggered for the Project...... 13 5 Existing environmental and social condition ...... 15
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5.1 Houaphan Province ...... 15 5.2 Xieng Khouang Province ...... 16 5.3 Oudomxay Province ...... 18 5.4 Phongsaly Province ...... 19 6 Potential Environmental and social Impact ...... 20 6.1 The project components ...... 20 6.1.1 Component 1b: Water supply infrastructure...... 20 6.1.2 Component 1b: Environmental Impacts and Management: ...... 20 7 Proposed environmental and social mitigation measures and Management ...... 22 8 Principles for Impact Mitigation ...... 29 8.1 Step 1: Environmental and Social Screening...... 30 8.1.1 Eligibility Safeguard Screening ...... 30 8.1.2 E&S Screening (Determination of sub-project Category and Safeguard Instrument Requirement) ...... 31 8.2 Step 2: Impact Assessment (Determination Type of Safeguard Instrument Requirements) ...... 32 8.3 Step 3: Appraisal with Environmental and Social Safeguard Instrument ...... 33 8.3.1 Mitigation Measures and Public Consultation ...... 33 8.4 Step 4: Monitoring and Reporting ...... 34 9 Grievance Redress Mechanism ...... 37 10 ESMF Implementation and Monitoring Arrangement ...... 39 10.1 Implementation ...... 39 10.2 Monitoring and Reporting ...... 41 11 Capacity Building ...... 42 11.1 Justification of institutional capacity assessment ...... 42 11.2 Human Resource Capacity Requirements ...... 43 11.3 Capacity Building and Training ...... 43 12 Contingency emergency response ...... 44 13 CONSULTATION AND INFORMATION DISCLOSURE ...... 44 13.1 Requirement of Consultations ...... 44 13.2 Requirement of consultations at Provincial and Village Levels ...... 44 15.3 Public Consultation Results ...... 45 15.4 Disclosure ...... 46 14 COSTS AND BUDGET FOR ESMF IMPLEMENTATION ...... 46
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List of Annexes:
Annex 1: Safeguard Screening and Project categorization Annex 2: ESMP-WASH Annex 3: ECOP Annex 4: Negative List Annex 5: Environmental and Social Background of the Project area Annex 6: Resettlement Policy Framework Annex 7: Ethnic Group Development Framework Annex 8: Water Quality Standard Annex 9: Chance Find Procedures Annex 10: Minutes of Consultation meeting in Oudomxay
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1 EXECUTIVE SUMMARY
1. This document is the Environmental and Social Management Framework (ESMF) for the Lao PDR Water Supply and Sanitation Project (WSSP) (P164901) which is being prepared by the Ministry of Public Works and Transport (MPWT), who will lead implementation, overall supervision, execution, and management of the project. This has been prepared in consultation with Ministry of Health, who is responsible for the sustainability of community water supply, sanitation and hygiene support. 2. A Stakeholder Engagement Assessment was commissioned January 31 to February 16, 2018. The World Bank team had the opportunity to discuss the water supply and sanitation project initiatives with the Department of Water Supply of MPWT and the Nam Saat of the Ministry of Health (MOH). 3. The project will support improved water supply service delivery, sanitation and hygiene, and implementation support and sector capacity building. The project will be implemented in twelve districts in Xieng Khouang, Houaphan, Oudomxay, and Phongsaly provinces. The project will include construction of small scale water supply system and sanitation infrastructure which may cause adverse environmental or social impacts. In June 2018 feasibility studies were undertaken to identify candidate water supply sub-projects within the recipient provinces. Five villages were identified in Houaphan, these include B. Phanxan, B. Meung Na, B. Pue, B. Lan Xieng and B. Soplao. In Oudomxay two villages were identified B. Ano and B. Mouteun. In Phongsaly four villages were assessed: B. Longnakao, B. Sophun,B. Sinxay and B. Namly. And in Xieng Khouang two villages were assessed B. Namtea and B. Phienghong. Different ethnic groups such as Khmu, Akha, Hmong, Lao Phong, Tai-dam, and Lao Lum will be the beneficiaries of this Project. 4. The Environmental Code of Practice (ECoP) has been developed in Annex 3 for project activities such as the construction and rehabilitation of water supply and sanitation facilities. The ECoPs aim to ensure compliance with the nation laws and World Bank OP 4.01 environmental safe guard policy and province guidance to good engineering and housekeeping practices. It sets out standard practices and procedure for managing the potential negative impacts on local environment and rural communities of all civil works to be carried out for small scale subprojects in the villages or Kumbans. 5. Since the SG policies area triggered, the ESMF is therefore prepared to address the impacts to meet the requirements of the Lao Government and the World Bank’s safeguard policies on Environmental Assessment (Ministerial Instructions No. 8029 (for IEE) and No. 8030 (for EIA), WB’s OP/BP 4.01), Indigenous Peoples (WB’s OP/BP 4.10), Physical Cultural Resources (WB’s OP/BP 4.11), Involuntary Resettlement ( Decree No. 86/GoL and WB’s OP/BP 4.12 and Projects on International Waterways WB’s OP/BP 7.5. 6. The ESMF is designed to describe the process that will address possible environmental and social impacts of all investments and activities to be financed under the Project once specific locations and technical details of the selected investments are identified for Project implementation. The ESMF describes the safeguard screening and review process as well as safeguard actions to be carried out to mitigate potential negative impacts, while the annexes provide background information and technical guidelines for the preparation of site specific Environmental and Social Management Plan (ESMP) for a large subproject, in the emerging towns along with other requirements. 7. The ESMF includes an Ethnic Groups Development Framework (EGDF) and a Resettlement Policy Framework (RPF) to be applied for the subproject that involves ethnic groups and/or land acquisition and resettlement to be implemented under the Project. After the World Bank
1 | P a g e clearance the final ESMF and annexes (both in English and Lao) will be disclosed again in MPWT website and make it available in the Project provinces. 8. In order to ensure that the environmental and social issues are addressed properly in accordance and in compliance with the World Bank Safeguards Policies, all project activities in particular the construction of new water supply system including raw water intakes, water treatment plants, storage tanks or towers, and pumping stations; new pipe laying or pipe replacement (usually along road alignments); and construction of public sanitation facilities shall undergo screening, assessment, review, and clearance process before execution of the physical activities shall undergo screening, assessment, review, and clearance process before execution of the physical activities. The project will use a structured approach to environmental and social management to allow the project development process, follow the hierarchy of avoidance, minimization, compensation/mitigation for negative impacts and enhancement of positive impacts where practically feasible and advantageous. This document describes the process for ensuring that environmental and social concerns are adequately addressed through the institutional arrangements and procedures used by the project for managing the identification, preparation, approval, and implementation of subprojects. Detailed environmental and social safeguard process are in given.
2 INTRODUCTION
9. This document is the ESMF for the WSSP which is being prepared by the MPWT through the Department of Water Supply, Nam Papa State Enterprises in the 4 target provinces, ESD/PTI for possible financing by the World Bank. This has been prepared in consultation with Ministry of Health, who is responsible for the sustainability of community water supply, sanitation and hygiene support. 10. The project will explore the potential for implementation through the MPWT organizational structure and its institutional arrangements by harmonizing with the Bank financed Lao Road Sector Project which will also be implemented in the same project provinces of Xieng Khouang, Houaphan, Oudomxay and Phongsaly. This will allow the project to leverage the existing capacity of the MPWT in implementing projects in accordance with World Bank procedures and processes, including environmental and social safeguards. 11. The ESMF has been prepared to meet the World Bank’s environmental and social safeguard policies. The ESMF is designed to describe the process that will identify and address possible environmental and social impacts of all investments and activities to be financed under the Project once specific locations and technical details of the selected investments are identified. The ESMF describes the safeguard screening and review process as well as safeguard actions to be carried out to mitigate the potential negative impacts while the annexes provide background information and technical guidelines for the preparation of site specific ESMP and ECoP for a subproject as well as other requirements. The ESMP will be developed for the large subprojects to be constructed in the emerging towns while the ECOPECOP is developed and will be used for the smaller scale subprojects in the communities and/or Kumban levels. 12. This ESMF also includes an EGDF and a RPF to be applied for the subproject that involves ethnic groups and/or land acquisition and resettlement to be implemented under the Project. 13. The WSSP will improve the performance of Provincial NPSEs and expand access to safe piped water supply, sanitation and hygiene for residents of small towns and villages in 12 districts of Xieng Khouang, Houaphan, Oudomxay, and Phongsaly provinces in consistent with the Government’s urban water supply and sanitation sector policy and investment plan. The project will include small scale water supply system and sanitation infrastructure. 14. This document sets out the responsibilities and procedures for environmental and social assessment of WSSP subprojects based on relevant laws of the Government of Lao PDR 2 | P a g e (GOL) as stated in the Environmental Protection Law (EPL) of 1999 as amended in 2013 including the Lao Initial Environmental Examination (IEE) Instruction of 2013, and the World Bank Safeguard Policies. 15. The guidelines in this document are intended to provide for effective integration of environmental and social assessment, management and planning into the preparation and implementation of subprojects.
2.1 NEED FOR AN ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK
16. To be eligible for World Bank financing, the Project will have to comply with the World Bank policies on environmental and social safeguards and information disclosure. Given the small nature of works for NPSEs to be implemented, the potential negative impacts of the Project on local environment and local communities are expected to be minor, localized, temporary, and could be mitigated. The ESMF requires safeguard screening and categorization as well as preparation of an ECoP, ESMP, a RAP or abbreviated RAP (ARAP) if land acquisition and/or involuntary resettlement is involved, and an EGDP if ethnic groups are present in the Project area.
2.2 OBJECTIVE, SCOPE, AND METHOD
17. The main objective of the ESMF is to ensure that the Project activities will not create adverse impacts on local community and/or local environment and the residual and/or unavoidable impacts will be adequately mitigated through the mitigation measures proposed for the Project. The ESMF provides guidance to the Project team, especially the provincial Department of Public Works and Transport (DPWT), NPSEs, Nam Saat of Department of Hygiene and Health Promotion and their consultants, on safeguard actions to be applied during the implementation of the Project. The ESMF was prepared in line with the GOL related regulations and World Bank safeguard policies. The ESMF will be publicly disclosed in the MPWT’s, MOH’s, and WB’s website. This document is considered a living document and can be modified in close consultation with the World Bank, and the World Bank clearance of the revised ESMF will be necessary.
3 PROJECT DESCRIPTION
3.1 SCOPE OF THE PROJECT
18. The project will support improvement of water supply service delivery system, sanitation and hygiene, and implementation support and sector capacity building. The project will be implemented in twelve districts in Xieng Khouang, Houaphan, Oudomxay, and Phongsaly Provinces. Preliminary list of the target districts and villages is summarized in Table 3.1. Table 3-1: Initial subprojects location
No. Province/District Village Population Water sources 2015 I Xiengkhuang Province 1. Kham District 1. Namthea 2884 Houay Koxor 2. Nonghed District 2. Phienghong 1075 Houay Namlan II Oudomxay 3. Namo District 3. Mouteun 1150 Houay Pung or Houay Sa 3 | P a g e 4. La District 4. Ano 1717 Houay Saphouk located lower than village III Houaphanh 5. Houameuang District 5. Lan Xieng 1938 Houay Sadug 6. Sop Lao 1032 Houay Lao 6. Xon District 7. Meuang Peu, Na 1565 Houay Pung or Houay Kwien, Sop Tiew Keun 7. Xamtai District 8. Phamxam 1652 Houay Saneng 8. Kouan District 9. Meuang Na 1009 Houay Kouang IV Phongsaly 9. Mai District 10. Sophun 726 Houay Tam 10. Koua District 11. Sinxay 616 Houay Phea 11. Samphan District 12. Namly 1026 Houay Chaloung 12. Bountai District 13. Longnaikao 973 Houay Lean Figure 3-1: Map of the proposed target provinces
Source: World Bank
4 | P a g e 3.2 PROJECT DESCRIPTION
19. The project will adopt a demand responsive approach, where communities will agree upfront to the project principles. The project has the following four components:
Component 1: Community empowerment and integrated WASH delivery
1 (a) Implementation of integrated WASH project cycle Two types of water supply systems: (i) community-based systems, managed by the communities themselves and supported by a sustainability unit within Nam Saat; and (ii) larger villages, kumban, emerging towns managed by PNPs will be constructed. The implementation of the project will take place systematically through the integrated project cycle that incooperates water supply, sanitation, hygiene and nutrition behavior change. Community members will be involved in all stages of project cycle: promotion, design, Community Led Total Sanitation (CLTS), construction, post civil works and post construction support. 1 (b) Water supply infrastructure The water supply system for the emerging towns, kumban, large villages will include a water intake, water treatment plant and raw water transmission line, storage tanks and distribution systems. Most systems will be gravity fed. The project will finance works, either construction of new water supply systems or rehabilitation of existing systems. 1 (c) Capacity building of Department of Water Supply (DWS) for sustainability The project will support the establishment of support units within the PNPs at provincial, district and subdistrict levels, to enable them to fulfill their roles for planning, asset management, and monitoring. Technical assistance activities will include the development of Provincial Business Plans, development of tariff policy, and technical assistance and training for the establishment of a unit to support the sustainability of emerging town systems. The selection of appropriate monitoring instruments, training on its use and maintenance, the storage and processing of the data for decision making and the quality control and assurance will be developed. The project will support corporate planning, training for O&M and on the job training through the implementation of the project. Component 2: Community water supply, sanitation and hygiene
This component will finance: (i) capacity building for sustainability of community water supply and support for Component 1 implementation; (ii) guidelines for self supply for remote villages, (iii) guidelines for sanitation and SBCC, (iv) district-wide sanitation plans; (v) strengthening of sanitation supply chains; (vi) water quality monitoring and surveillance system, (vii) sector M&E system; (viii) national awareness campaigns; (ix) orientation and training of provincial and district staff; (x) rolling out CLTS curriculum at schools and universities.
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6 | P a g e 2 (a) Monitoring This sub-component will finance a series of activities to develop and test a comprehensive sector-wide monitoring system for functionality and sustainability that includes data collection, quality assurance and quality control, data reporting and use and guidelines for a water quality monitoring and surveillance system. 2 (b) Capacity building of Nam Saat for sustainability of community water supply systems Sustainability units within provincial and district-level Nam Saat centers will be established to provide decentralized technical support to all VDCs at the district and provincial levels in the target four provinces. The role of Nam Saat will include technical assistance to rural communities, regulation of rural services and service providers with performance mechanisms appropriate for small rural operators that fall under Naam Saat’s mandate. 2 (c) Policy for sanitation and hygiene The project will support: (i) orientation and training of provincial and district staff on issues related to the sustainable water, sanitation, and hygiene services; (ii) training on post construction support for district and provincial staff; (ii) strengthening of government provincial and district resource teams for the implementation and facilitation of the community-level sanitation and hygiene activities; and, (iii) instruments and equipment for water quality and quantity monitoring in each of the provinces. Component 3: Implementation support, sector development and coordination
The project will finance the establishment of a project management unit, component management unit, and district project offices. These will be supported by technical team of consultants for overall project management, monitoring of implementation, outputs and outcomes, and technical and financial reporting for sustainable WASH, capacity building, institutional strengthening, social and environmental safeguards and community empowerment. 3(a) Project Management Unit Project management unit and district project offices will be established. These will be supported by a technical team of consultants for overall project management, monitoring of implementation, outputs and outcomes, and technical and financial reporting for sustainable WASH, capacity building, institutional strengthening, social and environmental safeguards and community empowerment. 3(b) Component Management Unit Component Management Unit (CMU) to support the implementation of Component 2 by MoH. The CMU will be supported by technical team of consultants for overall project management, monitoring of implementation, outputs and outcomes, and technical and financial reporting.
7 | P a g e Component 4: Contingency emergency response (CERC)
This component will allow for a reallocation of credit proceeds from other components to provide emergency recovery and reconstruction support following an eligible crisis or emergency at the national or sub-national level. In light of the Project design, the CERC would be expected to be operationalized through a reallocation from Component 1 and 2 to provide emergency recovery and reconstruction support.
20. Activities under component 1 will are most likely to be applied under the ESMF actions as it will involves the construction of the water supply and sanitation infrastructure that may create negative impacts to the local environment and communities.
3.3 NON-ELIGIBLE SUB-PROJECT ACTIVITIES
21. The following are activities prohibited from funding under this project: • Relocation or demolition of any permanent houses or businesses. • Land acquisition that affect relocation of more than 200 people or 20 households. • Not applying demand responsive approach by imposing ideas and changing priorities identified by the community and endorsed at the Kumban level meeting without community consultation. • Likely creation of adverse impacts on ethnic groups within the village and/or in neighboring villages or unacceptable to ethnic groups living in an ethnic homogenous village or a village of mixed ethnic composition. • Production or trade in any product or activity deemed illegal under Lao PDR laws or regulations or international conventions and agreements, or subject to international bans, such as pharmaceuticals, pesticides/herbicides, ozone depleting substances, PCBs, wildlife or products regulated under the Convention on International Trade in Endangered Species (CITES). • Production or trade in unbonded asbestos fibers. This does not apply to purchase and use of bonded asbestos cement sheeting where the asbestos content is less than 20%. • Production or activities involving harmful or exploitative forms of forced labor /harmful child labor. • Commercial logging operations for use in primary tropical moist forest. • Production or trade in wood or other forestry products other than from sustainably managed forests. • Transboundary movements of waste prohibited under international law (Basel Convention). • Activities prohibited by legislation of Lao PDR or by international conventions relating to the protection of biodiversity resources or cultural heritage (Bonn Convention, Ramsar, World Heritage Convention and Convention on Biological Diversity). • Shipment of oil or other hazardous substances in tankers that do not comply with International Maritime Organization (IMO) requirements (MARPOL, SOLAS and Paris MOU).
8 | P a g e 22. Further, The World Banks Operational Policies (OP) also prohibit the conversion or degradation of critical natural habitats (OP4.04), significant conversion or degradation of critical forest areas (OP4.36). OP4.09 prohibits the use of specified categories of pesticides under certain circumstances; OP 4.12 prohibits involuntary land acquisition absent specified pre-conditions; and OP 4.11 prohibits certain activities adversely affecting physical cultural resources.
3.4 PROJECT IMPLEMENTATION AND MANAGEMENT
23. PMU of DWS, MPWT will be the lead project implementing agency responsible for the overall supervision, execution, and management of the project. Nam Saat and DHHP Ministry of Health will provide (a) technical advice during the implementation of integrated WASH project cycle to support the design and implementation of the water supply systems and the sanitation and hygiene component; (b) carry out periodic water quality testing and surveillance; (c) carry out the tasks as described under Components 2.
4 POLICY, LEGAL AND ADMINISTRATIVE FRAMEWORK
4.1 RESPONSIBLE AGENCIES
24. The draft Strategy for Rural Water Supply, Sanitation and Hygiene (WASH) in Lao PDR, which is in the final stages of approval, identifies the need for improving the quality and speed of delivery of water supply systems, and extending sanitation and hygiene behavior change towards achieving Sustainable Development Goal (SDG) targets. While the Ministry of Public works has been traditionally mandated with the planning and development of urban water supply and sanitation systems, it also increasingly takes care of water supply schemes for rural clusters. As urbanization increases and villages consolidate into larger clusters, the strategy allows for survey and design of gravity-fed piped schemes to be increasingly transferred to DWS and with time, increasing numbers of systems moving to the purview of the water utilities, or NPSEs. At the same time, even though the development of small water supply schemes remains within the mandate of MOH, the focus will increase on the reduction of open defecation, promotion of sanitation and hygiene, water quality improvement, and collection and validation of sector information.
4.2 LAO PDR ENVIRONMENTAL AND SOCIAL LEGISLATION FOR WATER SUPPLY
25. Key government legislation applicable to the project includes the following.
4.2.1 Environmental Protection Law (2012) 26. The law governing the protection of the environment, including the assessment and management of projects in Lao PDR is the Environmental Protection Law (EPL) amended in 2012. EPL specifies necessary principles, rules and measures for managing, monitoring, restoring and protecting the environment from pollution that are man-made or natural. The aim is to protect the public, natural resources and biodiversity, and to ensure the sustainable socio- economic development of the nation. Article 2 defines "environment", whereas article 3 defines "environment protection". Basic principles of environment protection are set out in article 5. Article 8 states the applicability of the law to all citizens and non-citizens active in the Lao PDR. Part III concerns prevention of environmental degradation.
4.2.2 Law on Water and Water Resources (2017) 27. The Law on Water and Water Resources amended in 2017, defines principles, regulations, and measures relating to the protection, administration, exploitation, use and development of water 9 | P a g e and water resources, protection damage to water or water resources, rehabilitation of the effected areas to ensure the quality, quantity and sustainability of water resources. The water resource needs to be sufficient (i) for the people's living requirements, (ii) to support agriculture and industry, (iii) to ensure that the natural and social environments are protected, (iv) to develop the nation sustainably and (v) to support the socio-economic development. The Law bestows ownership of water and water resources in “the national community whom the State represents” (Article 4). Provision is made for water resource allocation, but not in detail. Article 11 states that “The allocation of water sources and catchments shall be based on surveys and on data collected, in order that water and water resources are distributed, managed and used effectively and in accordance with their purposes”. The law separates water use into small, medium and large-scale use. The definition of medium-scale use including constructing small- scale intake structures for water (Article 16) and for large-scale includes the construction of medium or large-scale reservoirs. Provision for approvals is made in Article 18, which states that water and water resources shall be centrally managed, that large-scale use shall be approved by government, and that medium-scale use shall be approved by a relevant agency (“relevant agency” is not defined in the law).
4.2.3 Law on Water Supply (2009) 28. The Water Supply Law (2009) allocates priority to water supply. Article 18 of the Water Supply Law states that “individuals or organizations may have the rights of possession and use of water sources for water supply production only if they have received the authorization from the sectors concerned with the approval of the water resources and environment sectors at the same level.” From this it is understood that approval for water use by the NPSEs requires the approval of the Provincial PONRE (the provincial water resources and environmental sector).
4.2.4 Forestry Law (2007) 29. The Amended Forestry Law, No. 06/NA (Dec. 2007) stipulates the basic principles, regulations and measures concerning forest conservation, management, and use. It aims to make the forests and forestland a stable source of livelihood and use for the people, by ensuring sustainable preservation of water sources, preventing soil erosion and maintaining soil quality, conserving plant and tree species and wildlife species, preserving the environment, and contributing to national socioeconomic development.
4.2.5 Wildlife and Aquatic Law (2008) 30. The Wildlife and Aquatic Law restricts and regulates the management, monitoring, conservation, and protection of wildlife and aquatic species in their natural habitats to promote the sustainable regeneration and utilization of wildlife and aquatic life, without any harmful impact on natural resources or habitats and decreasing species and the extinction of wildlife and aquatic life. Wildlife and aquatic species living within the territory of the Lao PDR are considered property of the national community, with the State representing the national community in managing those species throughout the country. If an individual or organization has permission to raise and reproduce any of these species, it is then considered their own property as long as they abide by the laws and regulations.
4.2.6 Land Law (2003) 31. The Land Law was enacted on 23 October 2003. The law determines the management, protection and use of land to ensure its efficient use and to conform with land-use objectives, with other laws and regulations, to contribute to national socio-economic development, and to contribute to the protection of the environment.
10 | P a g e 4.2.7 Ministerial Instruction No. 8029 32. The responsibilities and procedures for environmental monitoring of projects are set out in the Ministry of Natural Resources and Environment (MONRE) Ministerial Instructions No. 8029 (for IEE) and No. 8030 (for EIA) issued on 17 December 2013. Under the Agreement No. 8056 as issued by MONRE on 17 December 2013, investment projects are categorized according to a schedule or list of projects such that for Category 1 or small-scale projects, an IEE is required and for Category 2 or large-scale projects, an EIA report is prepared. Under the Ministerial Agreement No. 8056/MONRE, (Item 3.35) water supply facilities fall under Category 1, therefore an IEE is required. 33. The Ministerial Instructions No. 8029 requires (i) appropriate screening, based on project categorization, of the required level of environmental assessment, (ii) environmental assessments to identify direct and indirect physical, biological, socioeconomic and cultural resources, (iii) presentation of alternatives (where an EIA is required), (iv) analysis to identify ways of avoiding and/or mitigating negative impacts and enhancing positive impacts, (v) extensive stakeholder consultation, (vi) disclosure to the public, (vii) preparation, approval, implementation and verification of environmental management and monitoring plans, (vi) specific provision for national biodiversity conservation areas and (vii) engagement of competent expertise for environmental impact assessment and management planning. 34. The Ministerial Instructions No. 8029 stipulates responsibilities for the key stakeholders involved in the process. These are listed as MONRE, local administrations, development project responsible agencies (taken to mean, essentially, the line agency either at central, provincial and district level), concerned sector bodies and project developers. The tasks required, from inception through to approval, are investigations, field inspections, information dissemination, public consultation, review of draft IEEs, updating IEEs in response to comments and the issuance of certificates of compliance. 35. Project developers are defined as any person, legal entity or organization, from the public or private sector, who/which is licensed to undertake study, survey, design, construction and operation of an investment project. In this case the developer is the Ministry of Public Works and Transport.
4.2.8 Drinking Water Quality Standards 36. The MOH has issued the Water Quality Standard for Management for Drinking and Domestic Use in March 2014 in accordance with Decision 561/MOH, 2014 (Annex 8). The MOH has the responsibility of overseeing and monitoring drinking water quality in Lao PDR. The NPSEs and Nam Saats are required to monitor drinking water quality to ensure water safety and protect consumer health through regular water quality sampling and laboratory analysis of the gathered samples. As stipulated in the MOH Drinking Water Quality Standards, 2014, the PNPs are required to conduct regular water quality monitoring.
4.2.9 Discharge Standards 37. The Agreement on National Environmental Standards 2010, Water Resources and Environment Administration (WREA) of 2009, defines the discharge standards for industrial wastewater discharges from manufacturing facilities which covers a comprehensive range of parameters (Annex 8).
4.2.10 Law on Hygiene, Disease Prevention and Health Promotion 38. The Law on Hygiene, Disease Prevention and Health Promotion has the function to determine the principles, regulations and measures relating to the organisation of activities on hygiene, disease prevention and health promotion to maintain the good health, quality of life and longevity of the people thus contributing to national preservation and development.
11 | P a g e 4.2.11 Decree #84 on Compensation and Resettlement of People Affected by Development Projects (2016). 39. Decree on Compensation and Resettlement of People Affected by Development Projects No.84/GoL, dated April 5, 2016. This Decree provides principles, regulations and standards on the management, monitoring of compensation of losses and the management of resettlement activities in order to properly and effectively implement development projects with the aims to ensure that the affected people are compensated, resettled and are assisted with permanent livelihood alternatives leading to improving of living conditions to be better off or to be at the same level as they were before as well as to ensure that the projects can contribute to the socio-economic development of the nation in sustainable manners.
4.2.12 Technical Guidelines on Compensation and Resettlement of People Affected by Development Project (2005) 40. Pursuant to Prime Ministerial Decree No. 192/PM, GOL endorsed the Technical Guidelines on Compensation and Resettlement of People Affected by Development Projects, first issued in November 2005. These guidelines adopted under the Decree 192 are currently under review and revision to be in line with the new Decree 84 and expected to be approved in 2018. In the meantime, the guidelines prepared under Decree 192 remain applicable. Any discrepancies and gaps identified between the GOL legislation and the World Bank’s policy on Involuntary Resettlement (OP/BP4.12), the latter will override. This legislation provides procedure for the assessment, planning, and mitigation of environmental as well as social impacts from development projects. These guidelines include detailed procedures for the conduct of public consultation and other participatory processes, to inform affected people of the environmental and social impacts, and to assure their involvement in all aspects of the mitigation and compensation process, from planning to implementation.
4.2.13 Decree on the Preservation of Cultural, Historical and Natural Heritage (1997) 41. This decree outlines the regulations and measures for the management, conservation and use of the national heritage, including for upgrading of movable and immovable assets with historical or cultural or natural value into national heritage with the view of raising the spirit of patriotism, people’s democracy, awareness and ownership of the fine national and ethnic cultures. This decree requires that in order to prevent exploitation of relics and antiquities, any person who discovers archaeological relics or a cultural site must inform the provincial and district offices within three days.
4.2.14 Guideline on Consultation with Ethnic Groups (2013) 42. The guideline on Consultation with Ethnic Group launched by the Lao Front for National Construction (LFNC) in 2013 aims to (a) ensure that the implementation of consultation with ethnic groups follows effective principles and processes in line with the relevant national Laws and regulations, (b) ensure that the rights and lost assets of the ethnic people affected by development projects are fairly compensated by development projects, and (c) to prevent or mitigate the potential environmental and social impacts on ethnic groups generated by development project and ensure that the project is properly designed for the sustainability.
4.2.15 Decree 333 on Protection Forest (2010) 43. This Decree defines the principles, the procedures, and the measures on the management, the protection and conservation, the development, and the sustainable use of the protection forest, with the aims of bringing the richness to the protection forests and the protection of forestry lands, ensuring the protection of the environment, the water sources, prevention of soil erosion, and safeguarding the soil quality, the strategic national defense and public security forests, including the restoration, the encouragement, the monitoring and assessment of the laws in
12 | P a g e order to contribute to the improvement of the living standards of the people and the national socio-economic development.
4.3 WORLD BANK SAFEGUARDS POLICIES 44. The World Bank Environmental and Social Safeguards policies are designed to ensure that Environmental and Social issues are addressed throughout the project cycle of a Bank’s financed project. The safeguards policies are applied to all World Bank’s financed projects. All safeguard related reports, assessments and plans must be developed by the country (borrower) and cleared by the Bank, and disclosed at both borrower’s and World Bank’s website and a hard copies much be available at the MPWT at the central, province and district levels, before project appraisal can take place. The environmental and social impact assessment report must explain all possible impacts on local community and environment, and mitigation measures.
4.3.1 Other Requirements
4.3.1.1 Environmental, Health, and Safety (EHS) Guidelines 45. MPWT will take note of the Environmental, Health, and Safety (EHS) requirement for Water and Sanitation projects. It is a technical reference document with general and industry-specific examples in the guideline provided as a Good International Industry Practice. The EHS Guidelines contain the performance levels and measures that are generally considered to be achievable in new facilities by existing technology at reasonable costs. Application of the EHS Guidelines existing facilities may involve the establishment of site-specific targets, with an appropriate timetable for achieving them.
4.3.2 World Bank Safeguard Policies Triggered for the Project 46. The Water Supply and Sanitation Project is classified as Category B status as it may involve minor adverse impacts on local environment and communities. The Project will trigger up to five of the World Bank safeguard policies as presented in Table 4.1. Table 4-1: List of WB safeguard policies triggered for the Project
WB Safeguard Policies Triggered? Safeguard instruments 1 Environmental Assessment OP/BP 4.01 Yes ESMF/ESMP/ECoP 2 Natural Habitats OP/BP 4.04 No 3 Forests OP/BP 4.36 No 4 Pest Management OP 4.09 No - 5 Physical Cultural Resources OP/BP 4.11 Yes ECoP 6 Indigenous Peoples OP/BP 4.10 Yes EGDF/EGDP 7 Involuntary Resettlement OP/BP 4.12 Yes RPF/RAP/ARAP 8 Safety of Dams OP/BP 4.37 No - 9 Projects on International Waterways OP/BP Yes The World Bank, on behalf 7.50 of, and at the request of, the Lao PDR government has notified the Mekong riparian countries including China, Vietnam, Myanmar, Thailand and Cambodia.
13 | P a g e 10 Projects in Disputed Areas OP/BP 7.60 No
47. Environmental Assessment – OP/BP 4.01 – Potential environmental impacts resulting from project activities include soil erosion during construction of intake structures, pipe installation, construction of water distribution and sanitary systems, and pollution of surface and ground water. Given the small-scale nature of planned water supply and sanitation infrastructure in component 1, environmental impacts are expected to be minor, temporary, and site specific and can be managed through implementation of appropriate mitigation measures. Within the ESMP a matrix of mitigation measures will be created that presents all the required measures and monitoring responsibilities corresponding to the impacts as assessed in the IEEs. The mitigation measures required cover all stages of the subproject and are separated into pre- construction, construction and operation phases. The ESMP matrix will be based on the type, extent and duration of the environmental impacts identified at the design stage. In the event that unexpected changes occur during design and implementation, the ESMP will be amended to take into account of these unexpected impacts, and mitigation measures will be amended as necessary. Potential impacts during the construction period include dust dispersion, noise, traffic obstruction and access, construction and road safety, etc. Mitigation measures for these impacts during construction have been incorporated into the generic ECoP (Annex 3.). 48. Indigenous People’s - OP/BP 4.10 – District level data from the census on ethnicity confirms the presence of ethnic groups in the project target areas and meet eligibility criteria under OP/BP 4.10. The Hmong, Khmu, Mien, Akha, Lao Phong, Tai-dam and Lao Lum are living in the Project’s target districts. These are considered to be vulnerable ethnic groups in Lao PDR as their livelihood is primarily based on subsistence agriculture and natural resources. The impact of the water supply and sanitation project on these communities is generally positive, however, any negative impacts that may occur are addressed in the EGDF (Annex7). Need for preparation of EGDP will be identified during the safeguard screening. WB approval of EGDP will be required 49. Physical Cultural Resources - OP/BP 4.11 – This policy is triggered as a precaution in case of any chance finds occurring during water supply and sanitation infrastructure construction. There is likely to be numerous sites of local importance in villages including temples, spirit houses, swings and village gates in the Akha communities, natural features, and natural environments that have become part of the cultural landscape. During the preparation of ESMP or ECoP potential negative impacts will be identified and mitigation measures undertaken. A “chance find” procedures will also be included in the construction contracts’ specifications. 50. Involuntary Resettlement - OP/BP 4.12 – While Component 1a will promote improvements in sanitary, and drainage and collection systems, and component 1b will finance spring collection structures, water supply pipes, groundwater recharge structures, groundwater well, pumps and pump stations, it is not expected that these investments will result in significant land acquisition. The project may involve minor land acquisition for the installation of the main pipes of raw water, pump stations, water intake, and water treatment plant. Pipe networks installation may affect trees and front yards, but no major loss of private assets including land would occur. Resettlement Policy Framework has been prepared (Annex 6) describing policies and procedures to avoid, minimize or mitigate impacts associated with the project investments. Need for preparation of RAP and ARAP will be identified during the safeguard screening to be conducted for the sub-projects in each target province. World Bank approval of RAP and ARAP will be required. International Waterways OP7.50 – The policy is trigged because some of the project sub- projects would be implemented along tributaries of the Mekong River, which is an international waterway, in accordance with the World Bank’s Operational Policy for Projects on International Waterways (OP 7.50). OP7.50 applies to the Project and requires that notification be made to
14 | P a g e all riparian states of the Mekong River. At the request of the Government of Lao PDR, the World Bank is providing a notification to China, Myanmar, Vietnam and Thailand in accordance with Paragraph 4 of OP 7.50. In the World Bank’s assessment, the proposed investments would not adversely affect the flow, quantity or quality of the Mekong River’s waters. All sub-projects will be of small scale and have no discernable effects on the international waterway.
5 EXISTING ENVIRONMENTAL AND SOCIAL CONDITION
5.1 HOUAPHAN PROVINCE
51. Population1, Location and Topography: Houaphan Province is inhabited by 289,393 people from different ethnic groups such as Lao Loum, Lao Phong, Lao Phouan, Tai Deng, Tai Dam, Hmong, and other minority groups. The province is located in the north east of Laos. It has an area of 17,363 km2 and borders Vietnam to the east, Luang Prabang to the northwest and Xieng Khouang to the southwest. The landscape of Houaphan is dramatic. Rugged mountains dominate the landscape and rise to an altitude of 2079m at Phou Pan-Gai. 52. Land and Forest Resources: Only 6% of its land surface is flat, and this area coupled with land sloping less than 35 degrees (4%) is the primary production area for its population. Forest area covers about 1,209,572 ha (69%) of total land in the province of which 462,214 ha (or 26.4%) are assigned as national, provincial, and district protected forest areas. In addition, about 171,441 ha covering 8 villages have been assigned as production forests, from which native trees are harvested for timber products. 53. Biodiversity: Houaphan has two important national protected areas, the Nam Et-Phou Louey National Biodiversity Conservation Area (NBCA) and the Nam Xam NBCA with a total area of 390,000 ha. These protected areas have high biodiversity including high value tree species, diversified plant, and wild life species and some of them are classified as endangered species such as Bengal tiger, bear, chamois, bull, elephant, monkeys, gibbon, and birds, aquatic animals and various type of insects. Species populations and densities are unknown and the risks to them from illegal poaching and habitat destructions is of ongoing concerns. Biodiversity studies are rare. Some of the listed species, such as the Bengal tiger, may no longer have viable populations within the province. 54. There are a number of Important Bird Areas (IBA) including the Nam Neun IBA (85,450 ha) in Nam Et which is adjacent to the NBCA. The habitat is characterized as mixed deciduous forest, as well as dry evergreen forest, with stands of bamboo, and occasional conifers; cleared areas have been replaced by areas of secondary grassland. Key avifauna includes Great Hornbill Buceros bicornis and Blyth's Kingfisher Alcedo hercules. 55. There are five national Protection Forest Areas (PFAs) in the province all of which have not been subject to detailed surveys, and maybe home to endangered plants and animal species. The PFAs are important sources of TFP and non-timber forest products (NTFP) for local communities and agriculture, such as swidden rice, is practiced within their boundaries. • Laeng Nam Ma (1665 km2) • Nhot Nam Et – Nam Xam (1310 km2) • Laeng Nam Nean (545 km2) • Nam Xam (997 km2)
1 2015 Population Census 15 | P a g e • Soppaen-Houay Ko (1088 km2) 56. Water Resources: Houaphan is abundant with water resources of good quality and the key rivers include; Nam Xam, Nam Ma, Nam Ma Ad, Nam Neun, Nam Khan, and Nam Sim. The Nam Ma, Houaphan’s largest river is an unregulated (international) river that originates in Vietnam entering in Laos at Et (Ad) District and flows in a south-east direction through XiangKhor District and then Sopbao District before reentering Vietnam. The Nam Ma river flows for about 83 km in Laos, entirely within Houaphan Province. 57. Climate: The climate in the Houaphan is characterized by two seasons; dry and wet seasons. Based on data averages collected from Xamneua airport met station, the coolest months are December and January with an approximate minimum average of 9.4 Co and the warmest months being June and July with a monthly maximum average of 29.3 oC. The dry season occurs between November and February while the wet season occurs between May and October. August is typically the wettest month with an average rainfall of 322.5 mm compared to December the driest month with only 17.4 mm. Annual rainfall of 1,165-1,966 mm with 80% of the rainfall occurring during the monsoon (May to September) season. 58. Cultural Heritage: The province is the home to the Viengxay caves, an extensive network of caves used by the Pathet Lao. Wat Pho Xai or Wat Pho Xaysanalam is on the outskirts of Sam Neua. Hintang Archaeological Park, a UNESCO World Heritage Site, is one of the most important pre-historic sites in northern Laos, dotted with about 2,000-year-old menhirs (standing stones) or megaliths, which were unearthed in 1931. 59. As works for the water treatment plants will be conducted within and close to village settlements it is most likely such activities will come into contact with areas of religious ceremony, contain religious artifacts, spirit forests, cemeteries, temples and places of worship.
5.2 XIENG KHOUANG PROVINCE
60. Population2, Location and Topography: Xieng Khouang Province is a mountainous area covering some 16,850 km2 but is sparsely populated with less than 250,000 people of 5 main ethnic groups: Lao Loum, Thai Phuan, Hmong, Khmu and Tai Dam. Xieng Khouang Province is located in the north east of Laos on the Xieng Khouang Plateau. The province borders with Luang Prabang in the northwest, Houaphan to the northeast, Vietnam to the east, Bolikhamxay to the southeast and Vientiane Province to the southwest. 61. Land and Forests: Apart from floodplains, the largest area of level land in Laos is located on the Xieng Khouang Plateau. This area is categorized by rolling hills and grasslands with an altitude of 1,300 meters above sea level (masl). The provincial capital city, Phonsavanh, has an elevation of 1,000 masl and Kham district is situated in a low laying basin of 600 masl. 62. Geographically, Xieng Khouang Province is characterized as a mountainous area (90%), with a plateau area (8%) and lowland paddy area (2%). The province is located between 500 to 2,280 masl. The average altitude is around 1300 masl, and the highest peak is Phou Bia at 2,820 masl, which is also the highest in Laos. 63. Approximately 55% of the total areas are steep mountainous with scattered forest cover of some 900,000 ha or 58% of the provincial land area. Arable land covers some 7%. Xieng Khouang Province is known for its grassland area (295,000 ha), used for extensive livestock raising of mainly cattle. 64. Biodiversity: Approximately 43% of the province is covered by forest. The province has two NBCA: Phou Sa Bot - Phung Chong NBCA covering two districts: Kham and Nong Het with a total area of 149,000 ha (18.7 percent total land area) and a small proportion of Nam Et - Phou
2 2015 Population Census 16 | P a g e Leoi NBCA (8,000 ha) bordering Houaphan and Luang Prabang provinces. There are five National Protection Forest Areas, principally for water protection, totaling 761,200 hectares, and three National Production Forest Areas totaling 310,600 ha. Furthermore, there are three District Conservation Forests: Phou Pha Xay, Phou Nang Non and Phou Pha Tung and twelve Provincial Forest Conservation Areas totaling of 47,800 ha. 65. Protection of forests, including pine (Pinus kesiya) and hing (Keteleeria evelyniana) forests, as well as rivers and watershed systems have a high priority, although widespread slash and burn agriculture has some negative effects to the forests and biodiversity. The demand for and consumption of natural resources has increased in both domestic and international markets and has resulted in a decreasing biodiversity and disappearances of species. The decrease is also due to various other factors such as slash and burn cultivation, uncontrolled and illegal logging and hunting, unsustainable harvesting of non-timber forest products (NTFPs), land concessions, and infrastructure developments. 66. The mining industry is active with approximately 15 mining companies exploring various minerals including gold, copper, iron, aluminum, zinc, lignite, and coal. Several hydropower plants are also operating or being developed. Additionally, and there is an increasing number of tourists are arriving for among others visiting the Plain of Jars. 67. The province is rich in natural resources and has a climate that is suitable for diversified agriculture. Soils are relatively infertile and extensively used as grassland for cattle, but the province is also known for its rice varieties (Khoa Kai Noi), as well as a number of temperate and subtropical fruits. Most farmers are growing various vegetables but are also making good use of a larger number of medicinal plants and non-timber forests products providing supplementary food and income. Nearly 600,000 ha (approximately 40%) of the province is grouped as high risk for soil erosion, land with moderate erosion risk covers more than 700,000 ha (45%) and slight erosion risk covers 20,000 ha or 0.1%. 68. Apart from paddy and upland rice, a great number of other field crops are cultivated including maize, sesame, jobs tears, and groundnut. Wild tea is cultivated in a few areas, as well as subtropical and temperate fruits, including peach and pear. Normally, the markets have a large variety of vegetables herbs. Xieng Khouang is also known for large cattle breeds, but also for raising native poultry and pigs. 69. Water Resources: There are several major tributaries of Mekong originating from Xieng Khouang Province including the Nam Ngum, Nam Xan, Nam Ngiep, Nam Hang and more than 102 smaller streams flowing through the province before discharging into the Mekong River. In addition, Nam Neun River is an international river flowing through the province to Vietnam. There are a total of 80 fish conservation zones, 46 fishponds and 38 reservoirs. 70. Climate: The province experiences two seasons, a dry (winter) and a rainy season. The dry season lasts from October to March and the rainy season is from April to September with the heaviest rain from June to August. The average temperature is 20.5oC, the rainfall is 1,500 mm/year, the humidity averages around 40%. 71. Cultural Heritage: There are many notable landmarks in the province. The tourism department of Laos has listed 63 sites of which 32 are natural sites, 18 are cultural sites, and are 13 historical sites. The most prominent and popular sites are Plain of Jars which consist of urns of large stone of height varying from 1–3 m. They are found throughout the province at many locations throughout the provinces in bunches of 300 jars at each location. 72. As works for the water treatment plants will be conducted within and close to village settlements it is most likely such activities will come into contact with areas of religious ceremony, contain religious artifacts, spirit forests, cemeteries, temples and places of worship.
17 | P a g e 5.3 OUDOMXAY PROVINCE
73. Population, Location and Topography: Oudomxay has the population3 of 307,622 people. The main ethnic groups living in the province include Khmu, Lao Loum, Akha, Leu, Hmong, Ewmien and other minority groups. The province covers an area of 15,370 km2 and is located in the northwest of Laos. It borders China to its north and the provinces of Phongsali, Xayaboury, Phonsaly, Luang Namtha and Bokeo. The topography is mountainous with altitudes varying between 300-1,800 masl. Due to Oudomxay’s location as the most important traffic junction in northern Laos (the only road from Luang Prabang up north crosses Oudomxay). 74. Land, Forests and Biodiversity: According to estimations of the IUCN, approximately 12% of Oudomxay forests are primary forests, 48% secondary forests. There are no NBCAs within the province but there is the Upper Lao Mekong Important Bird Area (IBA) of 10,980 hectare in size that spans the provinces of Oudomxai, Bokeo, and Xayboury. The altitude is 300-400 masl. Oudomxay has 130,000 ha of National Protection Forests and 3 Production Forests with the total area of 220,695 ha. 75. Households undertake different livelihood activities around the year, including paddy cultivation, upland cultivation of rice and other crops, fishing, collection of other aquatic organisms and plants, riverbank gardening, raising livestock, hunting, collection of NTFP, and planting of industrial trees such as teak. The collection of NTFP is an important livelihood activity or all villagers living in the province whether it is for food for home consumption or sale, or as medicinal plants. Many species have high commercial value and are sold for cash income. Tourism also plays an important part of the local economy to the province as it is a traffic junction between five provinces, and with China. 76. Climate: Oudomxay has a moderate monsoonal climate, with a distinct wet season between May and October and a pronounced dry season for the rest of the year. Annual rainfall is between 1,900-2,600 mm while evaporation rates represented 66% (879 mm). Around 84% of the total rainfall occurs during the wet season, with the highest rainfall occurring in the months of July and August. The hottest months are from April to June. Temperatures are lowest in December and January. Temperatures in February and March average between 18 and 19°C, from April to May temperatures climb over 31°C. Due to high altitudes there are more variations in temperature during the year and a colder dry season in northern Laos as in the rest of the country. 77. Water Resources: There are approximately 60 river systems in the province, the largest being the Nam Ou. In the Oudomxay districts along the Nam Ou river, more than 90 villages have 35 conservation pools and 101 protection pools, figures from the 2017 provincial validation workshops show. Local regulations prohibit the use of explosives, electrofishing, and biocides (poison) to catch fish; however, these activities are still undertaken in some communities. 78. Heavy rain in August 2016 has caused flash flood in 7 districts of Oudomxay and 132 villages were affected with 12,200 people affected. Meuang La appears to be the district most affected by flash flooding, with three big recorded events in 1975, 1991, and 2008. 79. Cultural Resources: As works for the water treatment plants will be conducted within and close to village settlements it is most likely such activities will come into contact areas of religious ceremony, contain religious artifacts, spirit forests, cemeteries, temples and places of worship.
3 2015 Population Census 18 | P a g e 5.4 PHONGSALY PROVINCE
80. Population4, Location and Topography: Phongsaly Province is resided by 177,989 people. The ethnic groups in the province include Akha, Phou Noi, Lao Loum, Lolo, Hor and other minority groups. The province covers an area of 16,270 square kilometers, out of which 77% has forest cover. The province borders China to the north and west, Vietnam to the east, Luang Prabang Province to the south, and Oudomxai Province to the southwest. The highest mountain in the province is Phou Doychy with an elevation of 1,842 masl. 81. Land, Forest and Biodiversity: In Phongsaly there are two NBCA forest: Phou Den Din – 222,000 Ha and Phou Hipfi 87,000 ha. The 126,880 ha Phou Den Din Important Bird Area (IBA) is located within the Phou Den Din NBCA. There are five national protection forests, primarily for water source protection, and two district protection forests covering a total area of 797,409 ha, and two production forests covering a total of 158,573 ha. The Phou Pha Provincial Conservation Forest is located on forested mountain slopes adjacent to the provincial administrative center of Phongsaly and covers around 200 ha. The area is protected primarily to conserve the township’s water resources. The area is also managed as a district protection forest by the Phongsaly District Agriculture and Forestry Office. 82. Climate: Phongsaly is characterized by a relatively cool climate. Weather in the province is described as “four seasons in a single day” with cold mornings and evenings, humidity during the day, and rains in the afternoon. It is a moderate tropical monsoon, with a distinct wet season between May and October and a pronounced dry season for the rest of the year. Average annual rainfall is 1,752 mm at Phongsaly, the provincial capital, while evaporation rate is 43% (747.8 mm). Around 84% of the total rainfall occurs during the wet season, with the highest rainfall occurring in the months of July and August. 83. Temperatures at Phongsaly recorded average maximum temperatures of 26°C to 35°C from 1988 to 2006. The hottest months are April to June. Average minimum temperatures range is from 0.4-12.4°C. Temperatures are lowest in December and January. In December and January, temperatures can drop below zero degrees. Prolonged periods of up to 10 days of cold weather have been recorded in several years, most recently in 2016. 84. Water Resources: The main river system in the province is the Nam Ou. The Nam Ou Basin lies within the Northern Indochina subtropical terrestrial eco-region as defined by World Wide Fund for Nature (WWF). The basin also lies within the moist, sub-tropical broadleaf forest biome. The tributaries of the Nam Ou can be classified as medium-sized rivers based on their mean annual flow of 10-100 m3/sec with high seasonal flow variability. 85. In Phongsaly, three major floods have taken place since 2001: • 2016 Nam Lan and Nam Leng in Boun Tai. • 2011 Meuang Mai and all tributaries of the Nam Neua. • 2001 In Meuang Gnot Ou, the urban area close to the river was flooded with significant damage, including the concrete irrigation water pipe. 86. Households undertake different livelihood activities around the year, including paddy cultivation, upland cultivation of rice and other crops, fishing, collection of other aquatic organisms and plants, riverbank gardening, raising livestock, hunting, collection of NTFP, and planting of industrial trees such as teak. The collection of NTFP is an important livelihood activity or all villagers living in the province whether it is for food for home consumption or sale, or as medicinal plants. Many species have high commercial value and are sold for cash income.
4 2015 Population Census 19 | P a g e 87. Cultural Resources: In the province are the Wat Ou-Tai Temple, the Wat Luang Ou-Neua Temple and the That Phou Xay Stupa. Additionally, as works for the water treatment plants will be conducted within and close to village settlements it is most likely such activities will come into contact areas of religious ceremony, contain religious artifacts, spirit forests, cemeteries, temples and places of worship.
6 POTENTIAL ENVIRONMENTAL AND SOCIAL IMPACT
88. The subprojects will provide direct and indirect benefits for all people living and working in the beneficiary villages. Principal benefits include a secure and continuous supply of safe, clean water. The new water supply will also enable commercial establishments which in turn will provide employment. The subprojects will also provide investment to improve local village drainage systems, improve capacity of villagers’ household sanitation practices, improve sanitary facilities at selected schools, markets and households, and improve government capacity to manage and maintain their new water treatment and supply system. 89. Since not all the subproject locations are known before appraisal, in addition, it is possible that the project activities may create negative impacts, however, due to the nature of project activity, there is no specific environmental issue that would require high attention. Standard implementation of an ESMP will be developed to meet environmental conditions appropriate to the national and international laws, guidelines and regulations. It is anticipated that the negative impacts are temporary and can be mitigated to acceptable levels during construction phase. Positive impacts on public health, quality of life and economic development are expected during project operation phase and significantly increase through the expansion of safe water supply and sanitation.
6.1 THE PROJECT COMPONENTS
90. The project will support improved water supply service delivery, sanitation and hygiene, and implementation support and sector capacity building. The project will be implemented in twelve districts in Xieng Khouang, Houaphan, Oudomxay, and Phongsaly provinces. The project will include small scale water supply and sanitation infrastructure which may cause minor environmental or social impacts. The project component 1 will be applicable for the implementation of this ESMF as it involves the construction of water supply system and sanitation infrastructure that may post negative impacts to local environment and community.
6.1.1 Component 1b: Water supply infrastructure 91. The project will finance construction of new water supply systems, rehabilitation of non- functioning systems, and improvement of existing systems to improve performance. The project will adopt a demand driven approach to improving service levels. For example, drinking water treatment systems could be added or upgraded in a second phase beyond the basic services, piped schemes with neighborhood tap points could be upgraded to household connections, or the number of wells that serve a community could be gradually increased. The project will finance feasibility studies and detailed design for infrastructure investments such as small scale expansion of existing water treatment plants, new and rehabilitation of distribution systems; pump stations and primary, secondary and tertiary supply pipelines.
6.1.2 Component 1b: Environmental Impacts and Management: 92. The subprojects are unlikely to cause any adverse permanent impacts on water and land resources. Temporary negative impacts can be expected from: i. Sedimentation of water ways and receiving environments. 20 | P a g e ii. Air pollution from fugitive dust and construction fumes. iii. Noise and vibration increase from construction activities. iv. Clearing of vegetation for facilities water infrastructure siting. v. Impacts on private gardens and trees for infrastructure placement and/or construction activity requirements. vi. Generation of construction wastes. vii. Generation of domestic (camp) wastes. viii. Use and disposal of hazardous materials. ix. Competition for local resources (NTFP and TFP) from migrant labor force. x. Risks to biodiversity from the illegal trade and consumption of wildlife. xi. Risks to archeological sites and relics. xii. Disruption to traffic and pedestrians’ access to properties xiii. Occupational health and safety of workers and villagers. 93. These impacts are expected to be short-term, localized, and can be mitigated through the application of specific requirements which will be included in the ESMP and/or ECoP for the large scheme in the emerging towns and for the small schemes in the villages respectively, and close supervision of subproject owner (DPWT). Appropriate compensation provisions will be necessary for loss of private vegetation and garden assets. Mitigation measures through the application of specific requirements included in the ESMF and/or ECoP, and close supervision of subproject owner (DPWT) will be required. 94. During operation phase impacts will be avoided or limited through complementary or new preventive operation and maintenance related procedures of the new water supply system and existing sanitation scheme. Environmental Management Plans or ECoPs will include health and safety measures as complementary steps for minimizing disturbances to nature and people. Typical operational phase environmental impacts may include: i. Generation of backwash water and sediments at water treatment plants. ii. Water extraction to supply beneficiary villages can impact on the hydrological needs of local fisheries. iii. Water supply infrastructure such as the design and location of intakes and weirs, may impact on fishery conservation zones. iv. Generation of operational related general waste. v. Use and disposal of hazardous materials. vi. Septic sludge management / disposal. vii. Occupational health and safety of workers viii. Community health and safety. 95. Water Source Protection: There are norms of prohibition of clearing upstream forests or polluting rivers. The Stakeholder Engagement and Assessment Framework of June 2018 revealed that it is possible that there will be forest clearance, agricultural and mining activities that may create impact on the water quality therefore it will be critical that government, principally PONRE and DONRE in consultation with DEDP/PTI and DWS, support water source protection schemes with full participation of beneficiary and near-by communities. Protecting and enhancing existing vegetation cover and limiting developments in water source catchments is essentially to maintaining supply and reducing treatment costs.
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7 PROPOSED ENVIRONMENTAL AND SOCIAL MITIGATION MEASURES AND MANAGEMENT
96. This section details mitigation and management measures by phase corresponding to potential impacts detailed in Section 6
Table 7-1: Environmental and social mitigation measures and management for pre- construction phase
SOCIAL AND RESPONSIBLE ENVIRONMENTAL MITIGATION MEASURES MONITORING BUDGET OFFICE IMPACT
I. PRE-CONSTRUCTION PHASE Impact on Develop and implement land External RAP NPSEs PIU Communities’ land acquisition and compensation plan monitoring report. operations and assets (RAP). The plan has to be approved cost Loss of community by the World Bank. assets due to land Design access roads to minimum acquisition and necessary width and installation of damage to properties pipelines within the Right-of-Way by construction when feasible. activities. Water pollution Establish water quality baseline, a See Annex 8 on NPSEs CMU sample must be collected at the Water Quality operations intake location. Samples should be Standard cost collected at least once during dry season and once in the wet season. Impact on other water The abstraction rate for water supply River level NPSEs PMU, CMUNPSEs users due to diverting to a subproject will be limited to assessments at the operations away of raw water maintain other river services and intake on a monthly cost Downstream river support downstream users. basis uses such as River flow rate irrigation, bathing, measurement on a washing, and fishing monthly basis. will be affected if excessive water abstraction will occur. Impact to natural Cutting of trees will be undertaken as Conduct inventory N/A PMU resources and per approved design and only upon of trees to be protected areas approval. Avoid cutting of trees as affected. Impact on natural much as possible and minimize resources and damage to native vegetation. Trees protected areas from that need to be cut in private land, cutting/clearing of the owner of the trees will be trees and other compensated in cash by the PMU in vegetation for accordance with the approved Land construction activities. Acquisition and Compensation Plan. Orient workers about restrictions and prohibitions on harvesting of natural resources from protection areas. Impact on Historical The Contractor will ensure that the Accidental finds NPSEs PIU, NPSEs and Archaeological workforce are briefed that in the operations Sites event of accidental finds relics they cost should immediately cease any works
22 | P a g e SOCIAL AND RESPONSIBLE ENVIRONMENTAL MITIGATION MEASURES MONITORING BUDGET OFFICE IMPACT Damage to relics and in the area and promptly report the artefacts during the find to their supervisor. conduct of the works. Environmental Submit the IEE to PONRE and Approved ECC NPSEs PIU, NPSEs compliance secure an Environmental Compliance secured from operations Certificate (ECC) prior to subproject PONRE cost implementation. UXO contamination UXO clearance plan must be UXO clearance NPSEs PIU, NPSEs, valid prepared and implemented prior to plan, complete operations UXO clearance the subproject implementation clearance report cost consultant firm, and certificate and NRA (National Regulatory Authority).
Table 7-2: Environmental and social mitigation measures and management for construction phase
II. Construction Phase ENVIRONMENTAL RESPONSIBLE MITIGATION MEASURES MONITORING BUDGET IMPACT OFFICE Temporary disruption of Walking access will be maintained to Contract documents Included in PIU, NPSEs existing community roads, affected properties and access routes to include the ECoP civil works pathways, and accesses will be temporarily lined with timber or with health and cost Pipe laying will cause similar material. Particular attention safety provisions temporary disruption of will be given to ensuring safety along monitoring. If an community services and roads and paths used by school ESMP needs to be access to properties. children. prepared for a Particularly at pipe road Side street parking of construction subproject then that crossings, construction vehicles on prolonged basis will not would be included activities along narrow be allowed. through the roads may lead to Install barriers and safety warning Construction temporary blockage or signs on road sections and if Supervisor’s closure of roads and necessary deploy traffic aides/ flag reports. hamper movement of persons at affected locations. Report any vehicles and people in the Information boards at blocked roads complaint received emerging towns. will provide information about the from the community Community access to temporary closure of roads, schedule to PIU areas in the vicinity of the of works and the traffic-rerouting WTP, pump station, plan. reservoir, and intake will Require the contractor to immediately be affected. rehabilitate the excavated areas and Community access to any damaged road and path areas in the vicinity of sections. schools, temples, village Enclose the WTP; pump station, offices, market places and reservoir, and intake perimeters so meeting halls will be that pathway use and stream access affected during remains unimpeded. construction of public Enclose the latrine construction site latrines for schools and to prevent access and limit disruption health centers. for the use of the schools and public buildings.
Air pollution Require the contractor to cover Contract documents Included in PIU is Dust and air emissions materials with tarpaulin or other to include the EMP civil works responsible for from earthworks and suitable materials while in transit to with health and cost monitoring all movement of vehicles can avoid spillage of materials. safety provisions contract work 23 | P a g e pose nuisance to nearby Moisten earthen roads during dry and monitoring through activities, while communities dusty conditions, particularly roads the Construction the contractor is near residences and through the Supervisor’s responsible for town core area. reports. implementing Impose speed limits on construction Report any mitigations, vehicles. complaint received including Conduct regular maintenance on from the community rehabilitation construction equipment and vehicles to PIU to control air emissions during vehicle operation. Noise Limit construction activities, Include EMP in bid Included in PIU is responsible Operation of construction particularly operation of noise documents and civil works for monitoring all equipment such as generating equipment at night. contract. cost contract work jackhammer will cause Position any stationary equipment Report any activities, while excessive noise resulting that produce high noise levels such complaint received the contractor is in nuisance to as diesel generators as far as from the community responsible for communities. practical from sensitive receptors. to PIU. implementing Erect temporary barriers around mitigations, construction sites especially near including schools, hospitals, and houses. rehabilitation Install noise suppression devices to noise generating equipment. Require drivers to minimize blowing of horn and to comply with speed limits. Provide information to community on schedule of construction activities through billboard/signs. Impact of borrow The contractor will be prohibited from Include EMP in bid Included in PIU is responsible materials quarrying materials directly from documents and civil works for monitoring all Quarrying of aggregates rivers. contract. cost contract work on rivers will cause Construction materials will be Report any activities, while siltation and affect the procured from Government-permitted complaint received the contractor is ecological condition of the sources / suppliers only. from the community responsible for river. to PIU implementing mitigations, including rehabilitation Impact on ecological The contractors will prohibit activities Include EMP in bid Included in PIU is responsible resources such as cutting wood for cooking, documents and civil works for monitoring all Construction workers may hunting of wildlife for consumption contract cost contract work undertake hunting of and trading. Report any activities, while wildlife and cutting of complaint received the contractor is wood upstream of the from the community responsible for intake. to DPWT or implementing sustainability Unit. mitigations, of Nam Saat. including rehabilitation Clearing of vegetation Cutting of trees will be undertaken as Include EMP in bid Included in PIU is responsible Poor planning and per approved design and only upon documents and civil works for monitoring all execution of tree approval of relevant authorities. contract cost contract work clearing/vegetation Avoid cutting of trees as much as Report any activities, while removal at project possible and minimize damage to complaint received the contractor is facilities and along native vegetation. Trees that need to from the community responsible for pipeline alignments can be cut in private land, the owner of to PIU implementing result in loss of vegetation the tress will be compensated in cash mitigations, and general landscape. by the PMU in accordance with the including approved Land Acquisition and rehabilitation Compensation Plan. Roads and paths to the intake, WTP, and reservoir will only be sufficiently wide to accommodate construction
24 | P a g e vehicles/equipment to minimize land take. Manual labor will be utilized in sloping terrain where use of heavy equipment would cause unnecessary damage. Steep exposed slopes will be graded and covered with bush and grass to minimize erosion. Implement landscaping and planting of trees/vegetation at WTP site. Water pollution - Construct silt traps, deviation Include EMP in bid Included in PIU is responsible Sediment runoff channels, mounting barriers or documents and civil works for monitoring all Sediment runoff trenches around the stockpiles of contract cost contract work undertaken during materials. Report any activities, while excavation, earthworks complaint received the contractor is and grading in the rainy from the community responsible for season will cause siltation to PIU implementing of rivers. mitigations, including rehabilitation Water Pollution - Worker’s Provide adequate water supply and Include EMP in bid Included in PIU is responsible camp temporary toilet facilities at the documents and civil works for monitoring all Domestic wastewater worker’s camp. contract cost contract work from worker’s camp would Report any activities, while result to the discharge of complaint received the contractor is sewage into drainage from the community responsible for canals. to PIU implementing Unsanitary conditions at mitigations, the worker’s camp will including occur without the rehabilitation provision of necessary sanitation arrangements. Water pollution - Follow the recommended dosage of Include EMP in bid Included in PIU is responsible Generation of residual chlorine during the disinfection of documents and civil works for monitoring all chlorine during pipeline pipes and reservoir. Discharge of contract cost contract work and reservoir disinfection water with high chlorine activities, while Prior to commissioning, concentration to soil at the end of the contractor is disinfection will be pipelines to be controlled to minimize responsible for undertaken on the soil erosion. implementing pipeline and reservoir. mitigations, Discharge of residual including chlorine above the rehabilitation allowable limits is toxic to fish and other aquatic life. Generation of construction During pipe laying, excavated Include EMP in bid Included in PIU is responsible waste - Generation of material will be utilized to backfill the documents and civil works for monitoring all excavated soil trench. The contractor will be contract cost contract work Generation of excavated required to properly reinstate the Report any activities, while materials during pipe excavated trench after completion of complaint received the contractor is laying and foundation pipe laying. from the community responsible for works for WTP tanks and Surplus excavated material/cut soil to PIU implementing reservoirs. from construction of the WTP and mitigations, reservoir will be used as backfill including material for low-lying areas that have rehabilitation been identified by the village authority. Generation of construction Provide appropriate segregation bins Include EMP in bid Included in PIU is responsible wastes – Solid, Inert and or areas for construction wastes. documents and civil works for monitoring all Hazardous Wastes Secure and control storage of all contract cost contract work Solid wastes, inert hazardous materials including fuels. Report any activities, while construction wastes, and complaint received the contractor is hazardous wastes during responsible for 25 | P a g e construction will result to Reuse recyclable construction from the community implementing pollution of land and wastes such as wood, steel, and to CMU mitigations, receiving water bodies. scaffoldings or sell to junk shops. including Solid waste to be collected and rehabilitation disposed in approved disposal site of the District. Community health and Install barricades/barriers and sturdy Include EMP in bid Included in PIU is responsible safety plate covers in open excavations documents and civil works for monitoring all Community may be during non-working time. contract cost contract work exposed to dangers of Install warning signs in the area. Report any activities, while open excavation complaint received the contractor is from the community responsible for to PIU implementing mitigations, including rehabilitation Occupational health and Require the contractor to implement Contract documents Included in PIU is responsible safety the construction health and safety to include the EMP civil works for monitoring all Construction activities plan in accordance with the World with health and cost contract work may pose hazards to Bank EHS Guidelines safety provisions activities, while workers because of the (http://www.ifc.org/ehsguidelines) as and a code of the contractor is use of heavy equipment, a minimum standard. The contractor conduct which will responsible for lifting of heavy loads, and will appoint an environment, health be monitored implementing exposure to open and safety officer to ensure through the mitigations. excavations and implementation of the plan. The plan Construction chemicals. will at minimum include: Supervisor’s Potential conflict with local Provision of first-aid facilities reports. people will occur if readily accessible by workers. Report any migrant workers will be Provision of personal protective complaint received brought to the site. equipment (PPEs) such as hard from the community hats, gloves, rubber boots, etc., to PIU. Wearing of PPEs while working onsite will be a mandatory requirement for workers. Posting of safety signs/reminders in strategic areas within the construction area. Installation of sufficient lighting at night. Employ only trained personnel in handling chlorine during the line disinfection process. Ensure that vehicle and equipment operators are properly licensed and trained. Provide staff with communicable disease and HIV-related awareness training. The contractor will be required to provide priority hiring of qualified construction workers from the villages and consult with the local authority to avoid conflict if migrant workers will be brought into the site.
26 | P a g e Table 7-3: Environmental and social mitigation measures and management for operation phase
III. Operation Phase ENVIRONMENTAL RESPONSIBLE MITIGATION MEASURES MONITORING BUDGET IMPACT OFFICE Generation of As project policy, water connection Monitor the Part of NPSEs incremental waste will be provided only if the household number of NPSEs water and increased has an approved sanitation facility to households with operations burden on drainage cope with the increased wastewater latrines and with cost systems generated. water connections, Increased water supply The public institution shall sign a population served, to public buildings and service and management agreement and billed water households will before construction and have volume. generate additional sufficient funds to maintain the Monitor that the quantities of facility. service and wastewater. management agreements are followed and facilities are properly maintained. Deterioration of water Monitor community activities in the Monitor the Part of NPSEs quality catchment area that may cause following NPSEs Potential deterioration contamination of raw water quality. parameters: operations in quality of raw water Provide laboratory test equipment Daily at the inlet to cost supply and of treated and training to allow the NPSEs to the treatment water conduct regular monitoring of raw plant: turbidity, pH Potential risk on public and treated water quality parameters. Daily after the health in deterioration Follow O&M standard operating reservoir: pH, of treated water quality procedures in accordance with the turbidity, residual due to use of poor- water treatment plant manuals. chlorine, quality treatment Use of potable grade chemicals, temperature chemicals especially PAC, and request a Weekly at several Supplier product specification data locations in the sheet signed off by a reputable network: residual external laboratory. chlorine, pH, turbidity. Annually after Clearwater tank for parameters in the annex 8-Standard Water Quality.
High Pressure and This risk will be minimized by: (i) the Daily visual Part of NPSEs Leaks on the Pipeline use of durable standard pipes for the monitoring of NPSEs The proposed main and secondary (rider mains) pipelines. operations distribution network will lines, (ii) use of pressure reducing Occasional cost have sections located valves for the rider mains, (iii) careful pressure at low elevations which construction supervision by the monitoring will also may experience high Project Implementation Assistance be applied. water pressure which Consultants PIA to ensure that pipe may potentially result in laying and jointing is done to the leakages in the line and highest standard by the contractor, ultimately water loss and (v) regular inspection of the network and prompt isolation and repair when leaks occur. Occupational health Provide secure, dry and well Training Part of NPSEs and safety ventilated storage facilities for undertaken for NPSEs Potential hazards to chlorine and other hazardous staff on chemicals operations WTP workers due to chemicals. handling and cost monitoring and 27 | P a g e III. Operation Phase ENVIRONMENTAL RESPONSIBLE MITIGATION MEASURES MONITORING BUDGET IMPACT OFFICE accidental release of Use chlorine compounds in power reporting of chlorine form, which is safer than gas. incidents Training of staff and allocation of responsibility to ensure that materials are properly handled. Community health and Facilities (Intake, WTP and Daily log of Part of NPSEs safety Laboratory, Office and Reservoir) security personnel NPSEs Potential hazards to properly fenced and secured and operations residents and school watchmen/security personnel to be cost children near the WTP employed on a 24 hour basis. site.
28 | P a g e 8 PRINCIPLES FOR IMPACT MITIGATION
97. In order to ensure that the environmental and social issues are addressed properly in accordance and in compliance with the World Bank Safeguards Policies, all project activities in particular the construction of new water supply system including raw water intakes, water treatment plants, storage tanks or towers, and pumping stations; new pipe laying or pipe replacement (usually along road alignments); and construction of public sanitation facilities shall undergo screening, assessment, review, and clearance process before execution of the physical activities shall undergo screening, assessment, review, and clearance process before execution of the physical activities. The project will use a structured approach to environmental and social management to allow the project development process, follow the hierarchy of avoidance, minimization, compensation/mitigation for negative impacts and enhancement of positive impacts where practically feasible and advantageous. This chapter describes the process for ensuring that environmental and social concerns are adequately addressed through the institutional arrangements and procedures used by the project for managing the identification, preparation, approval, and implementation of subprojects. Detailed environmental and social safeguard process are in Table 8-1.
Table 8-1: Steps for E&S Screening, E&S impact Assessment, Appraisal, Monitoring and Reporting
WSSP E&S Capacity & Responsible Resource / Toolkit * Sub-projects Process Entity/person Step 1: E&S Screening and Review
PMU together with Annex 4: Non-eligible activities 1.1 Eligible screening DPWT, NPSEs • Check against non-eligible activities and DHHP 1.2 E&S Impact/Risk screening PMU together with • Table 8-2: Site Sensitivity and Safeguard • Safeguard screening DPWT, NPSEs Policies • Identify sub-project Category and if safeguard and DHHP • Annex 1: Safeguard Screening & Project instrument will be required. (No safeguard categorization instrument will be required for Category C sub- o Form A: Initial screening project) o Form B: Environmental Assessment Category Screening Form for Water Supply and Sewage Treatment Maintenance o Form C: Ethnic group screening o Land Acquisition & Resettlement (LAR) Screening Form for Water Supply and Sanitation Project Step 2: E&S Impact Assessment PMU together with • Annex 1: Safeguard Screening & Project • Identify environmental and social impacts and DPWT, NPSEs categorization determine safeguard instruments and DHHP o Form A: Initial screening • First public consultation o Form B: Environmental Assessment Category Screening Form for Water Supply and Sewage Treatment Maintenance o Form C: Ethnic group screening o Land Acquisition & Resettlement (LAR) Screening Form for Water Supply and Sanitation Project
29 | P a g e WSSP E&S Capacity & Responsible Resource / Toolkit * Sub-projects Process Entity/person Step 3: Appraisal with Environmental and PMU, PIU with the Social Safeguard instrument assistance of registered • Prepare IEE and get clearance from PoNRE if environmental and the sub-project required IEE social consultants • Annex 3: Environmental Code of • Prepare Environmental Code of Practices to prepare IEE Practice (ECoP) (ECoP), RAP/ARAP and EGDP • Appendixes 3 & 4 in Annex 6: • Second public consultation (as necessary) Resettlement Policy Framework • Annex 7: Ethnic Groups Development Framework (EGDF)
Step 4: Monitoring and Reporting PMU, PIU • STEP 4- Monitoring and Reporting • Annual E&S Report from PIU DEDP/PTI • E&S Supervision/Audit Report • Annual PMU/DWS Report to WB
* All referenced tools and guidance are found in the Annex and separate Social safeguard instrument.
8.1 STEP 1: ENVIRONMENTAL AND SOCIAL SCREENING 98. This screening is essential to quickly assess potential environmental and social impacts of the subproject interventions. The screening identifies the consequences of the proposed subprojects in the broader sense, without having very much detailed investigation. Critical issues are also identified through the screening which needs detailed investigation during the impact assessment. Based on the extent of environmental and social impact obtained from the screening result, the decision for further environment and social impact assessment will be taken. The screening includes eligibility screening and E&S impact screening for assessment of potential impacts, policies triggered and instruments to be prepared. The E&S impact screening needs to be carried out all the major components of the subprojects.
8.1.1 Eligibility Safeguard Screening 99. The project aims at improving water supply system and sanitation in rural villages and emerging towns in northern provinces of Lao PDR. This is done through (a) rehabilitation of existing water supply systems (water intake, water treatment plants, building of PUI offices, installation of pipe networks etc.); (b) construction of public sanitation facilities; (c) support capacity building/strengthening of DPWT, DWS, Nam Saat/DHHP; (d)support establishment/strengthening of Village Development Committee to effectively operate and maintain small scale water supply infrastructure. Screening will be based on an assessment of subprojects and site sensitivity. List of non-eligible activities was provided in Annex 5. It is anticipated that some subprojects for the emerging towns will require IEE as per Lao PDR Law and thus an IEE needs to be prepared and submitted to PoNRE for its clearance and ECC should be obtained before physical construction can start. The project will finance IEE required sub- projects with the condition that IEE was approved by PoNRE prior to sub-project.
30 | P a g e 8.1.2 E&S Screening (Determination of sub-project Category and Safeguard Instrument Requirement) 100. After subprojects are determined to be eligible for financing, a E&S impact screening will be carried out. The purposes of the E&S screening are to: (i) identify the World Bank safeguard policies triggered; (ii) classify subprojects into B or C categories as per site sensitivity matrix in Table 8-2 and Guidance to classify level of impact from the sub-project activities; and (iii) to determine if the safeguard instrument needs to be prepared for the sub-project. 101. The screening also provides brief descriptions of the nature and extent of potential negative impacts on natural and environmental resources and local people related to land acquisition, resettlement, land donation, and/or involvement with ethnic minority. For the Category C sub- project, no safeguard instrument will be required and form B in Annex 1 will be filled up as an attachment to the sub-project proposal. For the sub-project type that requires IEE, it is likely to be classified as Category B sub-project. However, it is unlikely that the small scale water supply systems for one single village be required IEE. Form B Annex 1 will be used to screen sub-project category and assess the project and identify type of safeguard instrument needs to be prepared and implemented by the subproject.
Table 8-2: Site Sensitivity and Safeguard Policies
SITE SENSITIVITY
Safeguard Policy or Site Low Sensitivity Medium Sensitivity High Sensitivity Characteristic
Natural Habitats No natural habitats No critical natural habitats; Critical natural habitats present present of any kind other natural habitats occur (OP 4.04)
Forest No production, Production forest present Conservation and protection conservation and but no conservation and forest present (OP 4.36) protection forest present protection forest present of any kind
Physical Cultural No known or suspected No physical cultural Physical cultural resources as Resources (OP 4.11) physical cultural resources resources (PCR) as per OP per OP 4.11 including sacred as per OP 4.11 including 4.11 including sacred grove grove present sacred grove present present but has historical record from villagers or local authorities’ potential to chance find the PCR
Resettlement No new sites are required. Project site has tenant Project site will entail Project site is already renters. Yet to be acquired. resettlement of vulnerable or (OP 4.12) acquired and is free of required land more than 10% squatter; legal tenure is of agriculture land well- defined.
Indigenous Peoples No indigenous population Dispersed and mixed Indigenous territories and indigenous populations; reserves; vulnerable (OP 4.10) mainstream (highly indigenous populations acculturated) indigenous populations
31 | P a g e Natural hazards Flat terrain; no potential Medium slopes; some Mountainous terrain; steep vulnerability; floods, stability/erosion problems; erosion potential. Medium slopes; unstable soils; high soil stability/erosion no known risks to erosion. erosion and land slide volcanic/seismic/flood potential; volcanic, seismic or risks volcanic/seismic/flood/ flood risks hurricanes
8.2 STEP 2: IMPACT ASSESSMENT (DETERMINATION TYPE OF SAFEGUARD INSTRUMENT REQUIREMENTS) 102. After an E&S impact screening was conducted and the sub-project Category was identified, the sub-project category B detailed impact assessment will be carried out. The purpose of the impact assessment is to identify from the level of the impact and determine the type of safeguard instrument that needs to be prepared for the subproject (e.g. IEE, or ESMP or ECoP). The impact assessment will be used as an input to set scope of mitigation measures. The impact assessment will give the environment and social issues due importance in the decision- making process by clearly evaluating the environmental and social consequences of the proposed sub-project before action is taken. Early identification and characterization of critical environmental and social impacts allows the public and the government to form a view about the environmental and social acceptability of a proposed development sub-project and what conditions should apply to mitigate or minimize those risks and impacts. The scope of the impact assessment will depend on the screening results. Data collection, field survey, and consultation with local communities and affected population will be carried out. 103. As the water supply and sanitation project is small scale in nature, it is unlikely that the proposed sub-projects will be classified as Category A of which will require EIA. However, it is anticipated that as per the requirement of the Lao government, an IEE will be required for the subprojects in the emerging towns. Where no IEE is required, ECoP, ARAP/RAPs and/or EGDPs will be prepared in line with this ESMF, RPF and/or EGDF which has been developed for the Project. Due attention should also be given to address the issues related to gender, ethnic groups, and other vulnerable groups. 104. In brief, depending on the results of the screening exercise and level of the Category B - subproject impact, following documents will be required at subproject level: • Initial Environmental Examination (IEE) • Environmental Codes of Practice (ECoP); • Abbreviated Resettlement Action Plan (ARAP) • Resettlement Action Plan (RAP); • Ethnic Group Development Plan (EGDP); • Gender Action Plan, including Gender Monitoring Plan that are integrated into any applicable instruments (ARAP/RAP/EGDP).
32 | P a g e Table 8-3: Definition of required subprojects’ safeguard document
Type of Category B Sub- Level of Impact Required Safeguard Project Instruments Type and size of project that Likely significant negative impact Initial Environmental Examination required IEE that can be mitigated through (IEE) appropriate mitigation measures
Type and size of project that Moderately negative impact that Environmental and Social not required IEE can be mitigated through Management Plan appropriate mitigation measures
Type and size of project that Low negative impact that can Environmental Code of Practices not required IEE easily mitigate through code of practices to be attached as part of contractor contract
105. The key steps of impact assessment are: planning, scoping, impact assessment and consultation. The impact assessment will clarify: (i) how will the particular subproject activity give rise to an impact? (ii) how likely is it that an impact will occur? (iii) what will be the consequence of each impact? and (iv) what will be the spatial and temporal extent of each impact? The assessment of impacts largely depends on the extent and duration of change, the number of people or size of the resource affected and their sensitivity to the change. Potential impacts can be both negative and positive (beneficial), and the methodology defined in Step 3 will be applied to define both beneficial and adverse potential impacts and propose mitigation measures.
8.3 STEP 3: APPRAISAL WITH ENVIRONMENTAL AND SOCIAL SAFEGUARD INSTRUMENT 106. After the subproject categorization and the safeguard instrument/s is/are identified, those instruments will be prepared and completed before project implementation.
8.3.1 Mitigation Measures and Public Consultation
107. Mitigation Measures: Appropriate mitigation measures will be identified according to the nature and extent of the potential negative impacts. ECoP for specific type of sub-projects will be used to minimize adverse impacts and enhance positive impacts. For all Category C subprojects to be implemented under the project, the ECoP should be a part of the Contract Document.
108. Public Consultation: Preparation and implementation of the subproject safeguards documents during project preparation need to follow the Bank requirements for public consultation under OP 4.01. The objectives of consultation are to generate public awareness by providing information about a sub-project to all stakeholders, particularly the sub-projects affected persons (PAPs) in a timely manner and to provide opportunity to the stakeholders to voice their opinions and concerns on different aspects of the project. Consultation would help facilitate and streamline decision making whilst fostering an atmosphere of understanding among individuals, groups and organizations, who could affect or be affected by the subprojects.
109. Consultation is a continuous process by which opinion from public is sought on matters affecting them. The opinions and suggestions of the stakeholders would assist PIU/DPWT in taking appropriate decisions for effective environmental and social management of the sub- 33 | P a g e projects. It would help facilitate and streamline decision making whilst fostering an atmosphere of understanding among individuals, groups and organizations, who could affect or be affected by the subprojects. The specific objectives of public consultation are: • To keep stakeholders informed about the sub-projects at different stages of implementation, • To address the environmental and social concerns/impacts, and device mitigation measures taking into account the opinion/ suggestions of the stakeholders, • To generate and document broad community support for the sub-projects, • To improve communications among interested parties; and • To establish formal complaint submittal/resolution mechanisms.
110. At least 2 stages of consultation with the project affected people, project beneficiary and relevant stakeholders will need to be carried out. The first stage consultation for environmental and social impact assessment is required during the subproject E&S screening level. The second level consultation should be carried out once the impacts are clearly identified and draft management plan are prepared. If required, more than two consultations should be carried out. The following are the guidelines for carrying out consultation: • The mode of consultation will be either public consultation (PC) or focus group discussion (FGD). The consultative meeting or discussion will provide opportunity to the participants to raise their concerns freely about the sub-projects and their impacts on their life, livelihood and their community as a whole. Discussion will also be focused on subproject(s) specific environment and social issue, so that stakeholders can contribute their knowledge on better environmental and social management. • The composition of participants may differ depending on the nature and location of the sub- projects. A stakeholder analysis needs to be carried out to identify the key stakeholders and Project Affected Persons (PAPs). Depending on the social formation and interest of different groups, separate meetings should be organized. • Information on the PC/FGD needs to be announced locally using loud speakers and putting notices in public important places at least 7 to 10 days prior to the consultations. In general, it must be ensured that the PAPs and other stakeholders are informed and consulted about the sub-project, its impact, their entitlements and options, and allowed to participate actively in the development of the subproject. This should be done particularly in the case of vulnerable PAPs, such as affected ethnic groups. This exercise should be conducted throughout the sub-project preparation, implementation, and monitoring stages. An open- door policy should be maintained for community people, so that stakeholders feel comfortable approaching DPWT/OPWT directly to ask questions and raise concerns on environmental and social issues. Create a responsive management system should be created for recording and responding to comments and concern on environmental and social issues. It should be ensured that the DPWT/OPWT and its consultant capable of responding to questions/comments, appropriately.
8.4 Step 4: Monitoring and Reporting
111. Monitoring Plan: The primary objective of the environmental and social monitoring is to record environmental and social impacts resulting from the sub-project activities and to ensure implementation of the “mitigation measures” identified earlier to reduce adverse impacts and enhance positive impacts from project activities. Apart from general monitoring of mitigation/enhancement measures, important environmental and social parameters will be monitored during the construction and operation phases of the subprojects. The requirement and frequency of monitoring would depend on the extent and scope of subproject and field situation.
34 | P a g e RAP Monitoring 112. Monitoring is a continuous evaluation process of the project implementation which is related to the unified implementation schedule on the use of the project inputs, infrastructures and services. Monitoring provides concerned agencies with continuous reflections on the implementation status. Monitoring determines the reality, successful possibility and arising difficulties as soon as possible to facilitate the due adjustment in the project implementation. Monitoring includes 2 following purposes: (i) Monitor whether the project activities complete efficiently or not, including quantity, quality and time. (ii) Assess whether these activities reach the objectives and purpose of the Project or not, and how much do they reach. 113. The executing agency (PMU/DWS) with the support of the DEDP/PTI shall monitor and supervise the RAP implementation regularly.
Internal Monitoring 114. Internal monitoring of the ARAP/RAP implementation of the Subprojects is the main responsibility of the implementation agency with the assistance of the project consultants. The implementation agency will monitor the progress of RAP preparation and implementation throughout the regular progress reports. The criteria of internal monitoring include but not limit (i) Compensation payment for affected households for the different types of damage pursuant to the compensation policies described in the resettlement plans (ii) Implementation of technical assistance, relocation, allowance payment and relocation assistance. (iii) Implementation of income recovery and entitlement to recovery assistance. (iv) Dissemination of information and consultation procedures. (v) Monitoring of complaint procedures, existing problems that require the manageable attention. (vi) Prioritizing affected persons on the proposed selections. (vii) In coordination to complete RAP activities and award construction contract. 115. The PMU/DWS will collect information every month from the different resettlement committees. A database tracking the resettlement implementation of the Project will be maintained and updated monthly. The PMU/DWS will submit internal monitoring reports on the ARAP/RAP implementation as a part of the quarterly report they are supposed to submit PTI and the WB. The reports should contain the following information: (i) Number of affected persons according to types of effect and project component and the status of compensation, relocation and income recovery for each item. (ii) The distributed costs for the activities or for compensation payment and disbursed cost (iii) for each activity. (iv) List of outstanding Complaints (v) Final results on solving complaints and any outstanding issues that demand management agencies at all levels to solve. (vi) Arisen issues in the implementation process. 35 | P a g e (vii) RP Schedule is actually updated.
36 | P a g e 9 GRIEVANCE REDRESS MECHANISM
116. Part VI of Decree 84/GoL requires the Project to establish an effective mechanism for grievance resolution. A well-defined grievance redress and resolution mechanism will be established to resolve grievances and complaints in a timely and satisfactory manner. The objective of the grievance redress mechanism is to resolve complaints as quickly as possible and at the local level through a process of conciliation; and, if that is not possible, to provide clear and transparent procedures for appeal. All affected persons will be made fully aware of their rights, and the detailed grievance redress procedures will be publicized through an effective public information. 117. A grievance redress and resolution mechanism will be established to resolve grievances and complaints in a timely and satisfactory manner. The objective of the grievance redress mechanism is to resolve complaints as quickly as possible and at the local level through a process of conciliation; and, if that is not possible, to provide clear and transparent procedures for appeal. All affected persons will be made fully aware of their rights, and the detailed grievance redress procedures will be publicized through effective public information. For the purposes of grievance redress and resolution, the Project will rely on the existing district offices and village arbitration units. District grievance redress committee will be composed of the Chief or Deputy Chief of the District, Head of OPWT, Head of District Health Office, Head of DONRE, Head of DAFO, head of LWU Office, Head of Lao Front, head of District Justice Office and head of the target villages. Village arbitration units will be established in subprojects areas that do not yet have existing units. The village arbitration unit generally consists of the village chief and/or deputy chief, village elders and village representatives of the Lao Women’s Union (LWU), Lao Front for National Construction (LFNC), and the police; the unit is responsible for settling disputes between villagers through conciliation and negotiation. At the district and provincial levels, the district and provincial resettlement committees that are composed of concerned departments, local officials, village chiefs and mass organizations will act as grievance officers. 118. The grievance mechanism is based on key principles that will protect the rights and interest of project participants; ensure that their concerns are addressed in a prompt and timely manner, and that entitlements are provided in accordance with GoL and Bank safeguard policies. PIU/DPWT will ensure that communities directly affected by the Project have a full understanding of the GRM and ways to access it especially on (i) the concept of compensation for any involuntary acquisition of land and/or assets and (ii) ensuring environmental and social mitigation measures in the ESMP’s are implemented as planned. APs are entitled to lodge complaints regarding any aspect of the environmental and social impacts associated with the Project. The AP’s complaints can be made verbally or in written form to the GRC or, alternatively, raise his/her voice in a public or individual meeting with project staff. 119. The proposed grievance redress procedures during the WSSP can be summarized below:. a. Stage 1: In the first instance, APs will address complaints on any aspect of compensation, relocation or unaddressed losses to the village arbitration unit (VAU) or other designated village grievance officers. The VAU will organize a meeting with the complainants to resolve the issue using its traditional methods of conciliation and negotiation; the meeting will be held in a public place and will be opened to other APs and villagers to ensure transparency. The VAU aims at clarification and amicable solution agreed with the subproject. b. Stage 2: If after 10 days of lodging the complaint, no understanding or amicable solution can be reached or no response is received from the village arbitration unit, the complainant can bring the complaint to the District/provincial GRC. The District/provincial GRC will be involved to meet with the complainant and VAU to discuss the complaint, and provide a decision at mutual arrangement within 15 days of receiving the appeal.
37 | P a g e c. Stage 3: If the AP is still not satisfied with the decision of the PRC, or in the absence of any response within the stipulated time, the complainant can submit his/her grievance to Department of Water Supply. The DWS will act on behalf of the MPWT. It may consider to seek external opinion on this matter and the appeal must be solved within 20 days of receiving the appeal. d. Stage 4: As a last resort, the AP may submit his/her case to the Court of Law. The complaint will be lodged with the Court of Law; the decision of the Court will be final.
Figure 10-1: Grievance Procedures
120. It is recognized that in many cases, APs do not have the writing skills or ability to express their grievances verbally, however, APs are encouraged to seek assistance from the family
38 | P a g e members, friends, village heads or village unit chiefs to have their grievances recorded in writing and to have access to relevant documentation, and to any survey or valuation of assets, to ensure that where disputes do occur all the details have been recorded accurately enabling all parties to be treated fairly. In the case of verbal complaints, a written record of the complaint will be made during the first meeting with the AP. APs who present their complaints within the prescribed procedures will be exempt from all administrative fees incurred. In addition, APs who lodge complaints and appeals to provincial courts will be provided with free legal representation. 121. Recording and processing of grievances: All submitted complaints and grievances will be entered into a database/project files which will be updated regularly. Each complaint and grievance should be ranked, analyzed and monitored according to type, accessibility and degree of priority. The status of grievances submitted and grievance redress will be reported by PIU/DPWT to PMU/DWS. Right of local authority, mass organization, and/or individual to file the grievance and receive attention will be publicly informed/communicated to the local residents and general public through appropriate media (poster, website, etc.). The GRM procedures to be followed for all subprojects will be printed out in poster and posted at the village halls so that they are easily accessible to all stakeholders and made available by the DPWT. All complaints and resolutions will be properly documented by the concerned resettlement committee and be available for the public and review for monitoring purposes. 122. Safeguard monitoring reports will include the following aspects pertaining to progress on grievances: (a) number of cases registered with the Grievance Redress Committee (GRC), level of jurisdiction (first, second, and third tiers), number of hearings held, decisions made, and the status of pending cases; and (b) lists of cases in process and already decided upon may be prepared with details such as name, identification with unique serial number, date of notice, date of application, date of hearing, decisions, remarks, actions taken to resolve issues, and status of grievance (i.e. open ,closed or pending). 123. The Independent External Monitor (IEM) that can be DEPD/PTI will be responsible for checking the procedures for and resolution of grievances and complaints. The IEM may recommend further measures to be taken to redress unresolved grievances. 124. Communities and individuals who believe that they are adversely affected as a result of Water Supply and Sanitation project, as defined by the applicable policy and procedures, may submit complaints to the existing program grievance redress mechanism or the WB’s Grievance Redress Service (GRS). The GRS ensures that complaints received are promptly reviewed in order to address pertinent concerns. Affected communities and individuals may submit their complaint to the WB’s independent Inspection Panel which determines whether harm occurred, or could occur, as a result of WB non-compliance with its policies and procedures. Complaints may be submitted at any time after concerns have been brought directly to the World Bank's attention, and Bank Management has been given an opportunity to respond. For information on how to submit complaints to the World Bank’s corporate Grievance Redress Service (GRS), please visit http://www.worldbank.org/GRS. For information on how to submit complaints to the World Bank Inspection Panel, please visit www.inspectionpanel.org.
10 ESMF IMPLEMENTATION AND MONITORING ARRANGEMENT
10.1 IMPLEMENTATION
125. The implementation of the environmental and social safeguard will follow the Project Implementation arrangement. The project implementing agencies will be MPWT, MoH, and the four project provinces. At central level, MPWT will be responsible for overall implementation and effectiveness, coordination with concerned ministries, including Ministry of Finance and Ministry of Planning and Investment, to process necessary legal amendments or project restructuring to 39 | P a g e facilitate project implementation, enhance disbursement, and improve the efficiency of the use of IDA. 126. WSSP is joining implementing by MPWT and MoH. MPWT- is the central agency responsible for coordination with concerning stakeholders and overall project implementation.
127. DWS/MPWT - is core of implementing agency of the Project. The Project Management Unit under DWS will work closely with the national and international consultants for preparing the ESMP, ARAP/RAP, EGDP in coordination with PIUs. In addition, PMU will also conduct consultations and make local authorities and target communities understand and follow safeguard policy; and lead PUI to monitor project activities.
128. DEDP/PTI/MPWT- will support DWS in annual external monitoring of compliance with safeguard policy in this ESMF.
129. MoH - is part of the project responsible for implementing their respective activities under Components 1and 2. Hence, MoH assign Nam Saat/DHHP to coordinate with PIU/DPWT to support community water supply and hygiene. The activities amongst others include (i) capacity building for sustainability of community water supply and support for Component 1 implementation, including water safety, and sanitation and hygiene in communities, schools and health centers; (ii) guidelines for self supply for remote villages, (iii) guidelines for sanitation and SBCC, (iv) district-wide sanitation plans; (v) strengthening of sanitation supply chains; (vi) water quality monitoring and surveillance system, (vii) sector M&E system; (viii) national awareness campaigns; (ix) orientation and training of provincial and district staff; (x) rolling out CLTS curriculum at schools and universities.
130. DPWT – will take a lead responsible role at provincial level to supervise E&S consultant and PMU to conduct screening process, review and endorse sub-project proposal, monitor compliance of subproject proposal implementation. For sub-project proposal that required IEE, DPWT will communicate with PoNRE to set out line and timeframe for IEE approval process to ensure the subproject will be completed within the project closing date. DPWT together with OPWT and PMU as well as E&S will conduct regular meeting with PoNRE and other line agencies related to subproject implementation to receive feedback if any recommendation to support the project implementation or any complaint arise due to the sub-project implementation and provide way to resolve the issues.
131. NPSEs - will be responsible for the technical design, contracting and supervision of water supply works. It will monitor together with the site engineer supervision consultant contractor ‘s compliance with the ECoP/ESMP.
132. OPWT – will take a lead responsible role at district level to supervise E&S consultant and PMU to conduct screening process, review and endorse subproject proposal, monitor compliance of subproject proposal implementation. For subproject proposal that required IEE, OPWT will communicate with PoNRE to set out line and timeframe for IEE approval process to ensure the subproject will be completed within the project closing date. OPWT together with DPWT and PMU as well as E&S will conduct regular meeting with PoNRE to receive feedback if any complaint arise due to the subproject implementation and provide way to resolve the issues.
133. E&S Consultant- E&S consultant will work closely with PMU to provide support in E&S screening and prepare appropriate safeguard instrument. E&S consultant will also supervise and monitor the implementation of the ECoP.
134. PMU - Project Management Unit under DWS will take a coordinator role and provide technical support to E&S consultant to ensure safeguard compliance of sub-project. PMU will supervise 40 | P a g e the implementation of the ECoP, ESMP, araP/RAP, and or EGDP and will contract qualified laboratory for the monitoring including laboratory testing of water and reporting. PMU will contact PoNRE to determine if the project implementation is meeting all specified ESMF, IEE and ECoP and related social safeguard requirements. PMU will perform supervision site visit during construction works to confirm the ECoP are being adequately implemented.
10.2 MONITORING AND REPORTING
135. To ensure effective implementation of the ESMF requirements, PMU will put in place the following monitoring and reporting system which includes both internal and external monitoring and reporting.
136. Internal monitoring and reporting: At subproject/provincial level, PIU/DPWT staff, together with district and village authorities will be responsible for monitoring the implementation of mitigation measures as approved in the ECoP, ESMP, ARAP/RAP, and or EPDP. Monitoring information together with other information collected from various stakeholders together with observations of project activities will be reported monthly to the DPWT using standard reporting forms. Monthly monitoring reports from PIU/DPWT will include: a. List of consultations held, including locations and dates, name of participants and occupations. b. Main points arising from consultations including any agreements reached. c. A record of grievance applications and grievance redress dealt with. d. Monitoring data on environmental and social measures detailed in ESMPs. e. Number of construction supervision reports that include assessment of contractor’s compliance with safeguards in accordance with ECoP. f. Number of trainings of community groups in environmental and social issues (if any).
137. PMU/DWS will prepare a consolidated six month monitoring reports from the 4 provinces for DWS and PTI which in addition to the above data will include: a. Number of national, regional, and/or provincial staff and counterparts trained on ESMF compliance. b. Number of ESMPs prepared and number of ESMPs cleared by WB. c. Number of technical recommendations provided during supervision and monitoring that have been implemented.
138. These reports will be filed to permit easy retrieval and indicators will be incorporated into the Project M&E system.
139. External monitoring: An external monitoring of both environmental and social measures will be conducted annually by DEDP/PTI in close coordination with PONRE/DONRE. Efforts will be made to invite representatives from local communities and mass organizations to participate in the process. The external monitoring will assess whether (i) the ESMF process, including RPF and EGDF (if relevant), is being correctly adhered to (ii) relevant mitigation measures have been identified and implemented effectively and (iii) the extent to which all stakeholder groups are
41 | P a g e involved in subproject implementation. The technical audit will also indicate whether any amendments are required in the ESMF approach to improve its effectiveness and ensure that the project investment ESMPs are developed/cleared and effectively implemented. The external monitoring report will be submitted to DWS and WB for information and comments.
140. Table 10-1 presents the ESMF monitoring that will cover the following aspects of the Project and subprojects:
Table 10-1: ESMF monitoring and reporting requirements
Objectives Actions Responsibility Schedule Ensure compliance Monitor the ESMPs preparation and PIU/DPWT quarterly with ESMF and implementation of subproject ESMPs
Review and update ESMP, and submit PMU/DWS Annually revisions to the World Bank for approval Communication Develop procedures and schedule for PIU/DPWT Prior to implementation structures between coordination and reporting Project and local agencies in place Reporting Prepare monthly report PIU/DPWT For the subprojects Prepare six-month report PMU/DWS For the 4 Project provinces Prepare annual report PMU/DWS For the 4 Project provinces Prepare ad-hoc reports PMU/DWS As required
11 CAPACITY BUILDING
11.1 JUSTIFICATION OF INSTITUTIONAL CAPACITY ASSESSMENT 141. Effective implementation of this Environment and Social Management Framework (ESMF) will require technical capacity in the human resource base of implementing institutions as well as logistical facilitation. Implementers need to understand inherent social and environmental issues and values and be able to clearly identify indicators of these. Even with existence of policies and laws such as the Environmental Protection Law (EPL, 2013) evidence on the ground, still indicates that there is significant shortcoming in the abilities of local and district level stakeholders to correctly monitor, mitigate and manage environmental performance of development projects.
142. Sufficient understanding of the mechanisms for implementing the ESMF will need to be provided to the various stakeholders implementing subprojects of WSSP. This will be important to support the teams appreciate their role in providing supervision, monitoring and evaluation including environmental reporting on the projects activities.
143. There are few officials at DWS who have professional training and affiliation with safeguard operation of ADB supported water supply and sanitation projects. In order to ensure proper ESMF
42 | P a g e implementation and supervision, additional consultant support required at both provincial and central levels during the project implementation phase..
11.2 HUMAN RESOURCE CAPACITY REQUIREMENTS 144. Human capacity challenges for stakeholders involved in the implementation of the ESMF are of two types: • Low technical capacity of current staff, and • Inadequate (low) numbers of staff. 145. While adequacy in staffing requirements was found to be varied between the various stakeholders, there is very limited presence of directly trained and dedicated staff for environmental and social management purposes within institutions, in particular at the local levels. Staffs from other departments are usually assigned duties related to environmental and social management. As a result, sufficient knowledge on environmental and social management principles, project screening, impact mitigation, monitoring and follow up action was limited within most institutions. In many institutions, staffs have been retained for core activities leaving little if any human resources to directly oversee environmental and social management activities. As a result, this portfolio which in many cases is given little attention is handled by staff members not adequately conversant with it.
11.3 CAPACITY BUILDING AND TRAINING
146. Awareness creation, training and sensitization will be required for personnel of the following institutions: • PMU/DWS, PTI • PIU/DPWT, NPSE, OPWT • Nam Saat/DHHP • Nam Saat/District Health Office • VDC members e.g. village leaders, women’s Unions, youth unions, leaders of ethnic groups, • Contractors managers and personnel 147. Training will concern: • Environmental and social impact screening process and using ESMF screening forms/checklist o Screening process o Assignment of environmental categories o Rationale for using Environmental and Social Checklists o The importance of public consultations and participation of households in the screening and planning process o How to monitor ESMF implementation • Safeguard policies, procedures, and sectoral guidelines o Review and discussion of national environmental policies, procedures, and legislation o Review and discussion of the Bank’s safeguard policies • Selected topics on environmental protection and social safeguards o Air, water, and soil pollution o Health and safety o Waste management and disposal o Natural resource utilization o Selection of viable, small and medium-scale water supply systems o Resettlement and compensation o Ethnic development plan o Negotiation (Conflict Solving)
43 | P a g e o Public participation, consultation and information dissemination
148. Selection of training courses should identify potential guidelines or good practice documents on environmental management for the key sectors to be financed. World Bank environmental safeguard specialists will be requested to provide periodic supervision and training relative to the identification and management of environmental risk in project evaluation and implementation. 149. During the implementation, further capacity development need assessment will be carried out and the capacity building program will be redesigned according to the need and targeted improvement in project implementation.
12 CONTINGENCY EMERGENCY RESPONSE
150. Contingency Emergency Response is Component 4 of the Project that will allow for a reallocation of credit proceeds from other components to provide emergency recovery and reconstruction support following an eligible crisis or emergency at the national or sub-national level. In light of the Project design, the CERC would be expected to be operationalized through a reallocation of funds from the project to provide emergency recovery and reconstruction support. To ensure that there is capacity an Emergency Response Manual (ERM) will be developed by the Department of Water Supply for specific eligible disasters, detailing fiduciary, safeguards, monitoring and reporting, and any other necessary implementation arrangements. The ECoP needs to be applied during repair and rehabilitation of the damaged infrastructure
13 CONSULTATION AND INFORMATION DISCLOSURE
13.1 REQUIREMENT OF CONSULTATIONS
151. The WB requires consultations held with the project affected peoples, local community and other relevant stakeholders. This consultation should provide information on the following aspects: a) purposes of the project; b) results of the environmental and social assessment; and c) presentation of the complementary studies required in the case that they apply. The ESMF has been prepared through a detailed consultative process both at the provincial and central levels.
152. Consultations were undertaken for the ESMF 29 October 2018 in Oudomxay Province. Participants were representatives from the district and provincial concerned department and offices and mass organizations. See list of participants in Annex 10. These consultations provided valuable information to validate the project objectives, its components, environmental and social assessment as well as the ESMF (see Annex10. for minutes of meeting).
13.2 REQUIREMENT OF CONSULTATIONS AT PROVINCIAL AND VILLAGE LEVELS 153. The WB requires consultations held with the local community. This consultation should provide information on the following aspects: a) purposes of the project; b) results of the
44 | P a g e environmental and social assessment; and c) project implementation plan. The results of consultation were summarized in respective documents, including RPF and ESMF.
154. Consultation through a community outreach during implementation is a good practice that can be adopted to ensure that the potential negative impacts and concerns are properly addressed during construction and operation of a project. Extensive consultations with affected population and ethnic minority are required when the activities involve land acquisition, temporary environmental impact that affected the income generation activities/livelihoods/agricultural production of local people, including people from ethnic groups.
15.3 Public Consultation Results
15.3.1 Environmental Consultation Process and Results 155. According to the OP4.01, the environmental assessment process should be available to the public. As such, DWS consulted with all relevant stakeholders in Oudomxay province on project safeguard documents (draft ESMF) during the process of preparation of the safeguards documents. The final RSMF with all annexes will be posted (i.e. RPF, EGDF, ECoP.) will be circulated and posted on the MPWT website in both English and Lao language.
156. The consultations aimed at: (i) providing background information to various stakeholders on the WSSP, (ii) receiving feedback from concerned stakeholders, both targeted communities/enterprises and concerned government agencies, as well as civil society and NGOs to take into an account gender aspects on issues and proposed mitigation measures and institutional arrangements pertaining to the ESMF of WSSP; and (iii) discussing ways to maximize WSSP environmental and social performance.
157. At the consultation meeting, the consultant presented (i) project overview and components (ii) project provinces and proposed activities (iii) National legal framework and World Bank safeguard policies (v) existing and potential environmental issues and ESMF’s contents.
158. Summary of comments received at the meeting are summarized as below. Overall, representative from Ministries and provincial departments made positive comments about the content of the presentation including the ESMF and RPF that presented by consultants. Comments, questions and observations made during the plenary sessions are summarized below (details are presented in Annex 11):
• The participants agreed that impacts from the project will be overall positive. Potential negative impacts are envisaged to be minor: limited, localized, manageable and reversible. • The participants agreed with the environment safeguard tools including ESMF and ECoP for mitigating potential environmental issues during subproject implementation. • Water sources both both gravity feed or ground water must be clean and free of chemical contamination. • Compensation costs must be not included in the construction costs. • Civil works during both construction and operational phases must be carried out during official working hours of the government. • With regard to those affected land or assets that are going be affected equal or more than 10% of the total area or structure are identified as severely affected households by the project. This issue must be reconsidered that compensation should be calculated according to the 45 | P a g e affected portion. However, if the AH could not use the remaining area full replacement cost for compensation must be e based on the investigation and approval of the resettlement committee. • Compensation should be paid in cash. If government fund would be used for this purpose supporting documents and detailed budget needs to be prepared for requesting budget allocation according to the financial regulations and routines of the Ministry of Finance. • Grievance redress mechanism and procedures must be revised for instance time for grievance resolution must reflect the allocated time by the juridical sector. The members of the GRM must include relevant provincial and district departments and offices for instance local courts. • Coordination and monitoring of environmental and social impacts must include PoNRE. • World Bank should include budget for compensation in addition to the budget for construction of the systems. • Submission of project plan for budget allocation from the government must be in line with the timeline government annual budget allocation. . 15.4 Disclosure
159. In line with the Bank’s Public Consultation and Disclosure Policy, for the WSSP, the draft ESMF and its annexes have been revised to incorporate feedback from consultation held in Oudomxay on October 29 2018 and is disclosed in English on MPWT website. The final version will be translated into Lao language distributed to relevant department and offices in 4 provinces and 12 districts and uploaded on the website of MPWT.
14 COSTS AND BUDGET FOR ESMF IMPLEMENTATION
As the technical details of sub-projects have not yet been finalized for the project investments, activities to be potentially funded include preparation the IEE/ECoP/ESMP and implementation of the ESMP at the subproject level with training and technical assistance as relevant.
46 | P a g e ANNEX 1 Safeguard Screening Forms
1. This form will be filled by MPWT during the identification of the subprojects. The signed will be properly signed and attached to the subproject proposal which is to be reviewed by PMU.
FORM A: Project Concept Safeguards Checklist Province: District: Location – sketch map attached (Mark )
YES NO
Village:
Located within NPA Located near NPA Located near important physical culture resource (PCR) sites
Brief description of works/activities: [i.e. need/purpose of works, proposed works (list/explain activities), number of population to benefit]
Checklist Yes No Explanation/Comments 1. Will the works require any land acquisition? 2. Will the works require taking land from people who are using it for agriculture (even if they do not own/have title to the land)? 3. Will the works require any households to move structures (include, houses, small shops, rice bins etc.) for project facilities? 4. Are there ethnic people living in the area? If yes, how many different groups (list)? 5. Are the works, located in or near a cultural/heritage area? 6. Are the works, located in or near an area known to have special significance to the people of the area? 7. Are the works, located near or in a protected area (or a buffer zone of a protected area)? 8. Are the works likely to generate sedimentation, dust or create a dust problem? If yes, for how many months (during which season)? 10. Will the works be located near a river, stream or waterway? 11. Will any of the works require the use of toxic chemicals, herbicides, and/or explosives? 12. Other information: map, additional issues or impacts etc. should be specified on the attached sheet: List attachments:
Distribution of ESMF Initial Screening Form:
Distributed to Yes No Date MPWT PONRE DONRE Nampapa Nam Saat Others (list below)
ESMF Initial Screening Form compiled by:
Name: Duty:
Signature: Date:
ESMF Initial Screening Form verified by:
Name: Duty:
Signature: Date:
Attachments (For map, sketches, other information, issues, potential impacts, etc as mentioned in item 13 above)
As required
FORM B: Environmental Assessment Category Screening Form for Water Supply and Sewage Treatment Maintenance
Province: District: Location – sketch map attached (Mark ) YES NO TYPE of works/activities (Mark ) Sanitation Water Supply
TYPE of works/activities (Mark ) Upgrading/reconstruction Rehabilitation
Improvement Maintenance
Brief description of works/activities and project area: [i.e. need/purpose of works, proposed works (list/explain activities), number of villages (approx. population) to benefit, describe site sensitivity based on criteria in Form A]
Screening Questions Yes No Explanation/Com ments
Is the project area within or adjacent to any of the following areas?
Cultural/heritage area
Protected area
Buffer zone of a protected area
Wetland
River, stream or waterway
Estuary
Location and nature of Protected Area (PA)
Location and nature of Protection Forest Area (PFA)
Will secondary forest be affected?
Are there rare or endangered species of flora or fauna in the project area? Will the project alter surface water hydrology of waterways or streams? Will the project increase soil erosion?
Will the project generate dust or noise? Will the project require the establishment of a camp for construction workers? Will the project require the creation of material stockpiles? INFORMATION ON ENVIRONMENTAL IMPACT
Information Explanation
What is the predominant type of vegetation to be affected by the project? What is the estimate of the total area of this type of vegetation to be affected? Are there any other proposals or projects which could increase the significance of any of the impacts (cumulative impacts)?
Will the project require the acquisition or temporary use of people’s land? If yes, also complete LAR SCREENING FORM ( Form D) Will the project require the relocation of structures? If yes, also complete LAR SCREENING FORM ( Form D)
Is the project located in area where ethnic minority groups are known to live or use? If yes, also complete ethnic group SCREENING FORM ( Form C)
PROJECT CATEGORIZATION FOR ENVIRONMENTAL IMPACTS
Based on the definition of impacts in the Environmental and Social Operation Manual, what is the category?
[ ] CATEGORY B – non-significant environmental impact, an IEE is required
[ ] CATEGORY C – minimal or no environmental impact, no EA required, generic ESMP and technical specifications will apply
Indicators of Site Sensitivity see in Form B below
Distributed to Yes No Date
MPWT
PONRE
DONRE
Nampapa
Nam Saat
Others (list below)
EA Screening Form compiled by:
Name: Duty:
Signature: Date:
EA Screening Form verified by:
Name: Duty:
Signature: Date:
FORM C: Ethnic Groups (ethnic group) Screening Form Province: District: Location – sketch map attached
(circle one)
YES NO
TYPE of works/activities (Mark ) Sanitation Water Supply
Brief description of works/activities and project area: [i.e.need/purpose of works, proposed works (list/explain activities), number of villages (approx. population) affected, describe communities to be affected]
ETHNIC MINORITY ISSUES SCREENING
Screening Questions Yes No Explanation/Comments
1. Are there ethnic minority groups present in the subproject area?
2. If yes, how many different groups?
3. Do they live in mixed communities with non-ethnic minority people?
4. Do they maintain distinctive customs or economic activities?
5. If yes, do any of these customs or economic activities may make them vulnerable to hardship?
6. Will the project restrict their economic or social activity?
7. Will the project affect or change their socio-economic and cultural integrity?
8. Will the project disrupt their community life?
9. Will the project positively affect their health, education, social activity, livelihoods or security?
10. Will the project negatively affect their health, education, social activity, livelihoods or security?
11. Will the project alter or undermine the recognition of their knowledge?
12. Will the project preclude customary behavior or undermine customary institutions?
13. If impacts on ethnic minority groups are expected: 14. Are there sufficient skilled staff in the Executing Agency for preparing an assessment and identifying suitable mitigation measures (preparing an Ethnic Groups Development plan [EGDP]?
15. Are training and capacity-building interventions required prior to EGDP preparation and implementation?
16. In case of no disruption to ethnic minority community life as a whole, will there be loss of housing, land, crops, trees or access to resources owned, controlled or used by ethnic minority households?
Anticipated Impacts on Ethnic People
e Anticipated negative Project activity Anticipated positive effect effect
PROJECT CATEGORIZATION FOR ETHNIC GROUP (ethnic group) IMPACTS
Based on the definition of impacts in the Environmental and Social Operations Manual what is the category?
[ ] CATEGORY B – Impacts related to land acquisition only, specific action to be included in the
RAP or abbreviated RAP is required
[ ] CATEGORY C – No impact, no EGDP or Specific Action is required, generic social impact mitigation specifications will apply
Distributed to Yes No Date
MPWT
PONRE
DONRE
Nampapa
Nam Saat
Others (list below)
ethnic group Screening Form compiled by:
Name: Duty:
Signature: Date: ethnic group Screening Form verified by:
Name: Duty:
Signature: Date:
FORM D: Land Acquisition & Resettlement (LAR) Screening Form for Water Supply and Sewage Treatment Province: District: Location – sketch map attached
( )
YES NO
TYPE of works/activities (Mark ) Water Supply Sewage Treatment
Brief description of works/activities and project area: [i.e. need/purpose of works, proposed works (list/explain activities), number of villages (approx. population) affected, describe communities to be affected]
LAND ACQUISITION AND RESETTLEMENT SCREENING
Screening Questions Yes No Explanation/Com ments
1. Is land acquisition likely to be necessary?
2. Is the site for land acquisition known?
3. Is the ownership status and current usage of the land known?
4. Will easements be utilized within an existing right-of-way?
5. Are there any non-titled people who live or earn their livelihood at the site or within the right-of-way?
6. Will there be loss of housing?
7. Will there be loss of agricultural plots?
8. Will there be losses of crops, trees, and fixed assets?
9. Will there be loss of businesses or enterprises?
10. Will there be loss of incomes and livelihoods?
11. Will people lose access to facilities, services, or natural resources?
12. Will any social or economic activities be affected by land userelated changes?
13. If involuntary resettlement impacts are expected:
- Will coordination between government agencies be required to deal with land acquisition?
- Are there sufficient skilled staff in the Executing Agency for resettlement planning and implementation?
- Are training and capacity-building interventions required prior to resettlement planning and implementation?
INFORMATION ON AFFECTED PEOPLE
14. Any estimate of the likely number of households that will be affected by the project? [ ] Yes;
[ ] No
15. If yes, approximately how many households?
16. Are any of the households vulnerable i.e. households that (i) are headed by divorced or widowed females with dependents and low income; (ii) include disabled or invalid persons; (iii) include persons falling under the generally accepted indicator for poverty as defined by the Ministry of Labor and Social Welfare, or the landless; and/or, (iv) are elderly with no means of support? [ ] Yes; [ ] No
If yes, approximately how many households?
If yes, briefly describe their situation:
17. Are any of the households from ethnic minority groups? [ ] Yes; [ ] No
If yes, briefly describe their situation:
PROJECT CATEGORIZATION FOR RESETTLEMENT IMPACTS
Based on the definition of impacts in the Environmental and Social Operations Manual, what is the category?
[ ] CATEGORY B – marginal or non-significant resettlement impact, an abbreviated RAP is required
[ ] CATEGORY C – minimal or no resettlement impact, no resettlement is required, generic social impact mitigation specifications will apply
Distributed to Yes No Date
MPWT
PONRE
DONRE
Nampapa
Nam Saat
Others (list below)
LAR Screening Form compiled by:
Name: Duty:
Signature: Date:
LAR Screening Form verified by:
Name: Duty:
Signature: Date:
Annex2: Preparation of ESMP for WASH Subprojects
1. This annex presents guidelines for preparation of environmental safeguard documents to meet the World Bank safeguard requirement triggered for the Subproject to be implemented under Component 1. If an Initial Environmental Examination (IEE) is required by the Government the scope and content of the report will follow an agreement with the local authority (PONRE). Nonetheless, if an IEE is not required, an ESMP will be prepared using the Subproject Sheet approach.
Guideline for preparation of an ESMP 2. The Subproject Sheet approach has been prepared as part of the ESMP for WASH subproject being implemented by MPWT for many years and it is found to be practical and easy for monitoring. The Subproject Sheet approach will therefore be used during the preparation of the ESMP of the proposed WASH subproject to be implemented under Component 1. Below presents a general principles that should be considered during the preparation of an Environment and Social Subproject Sheet. (a) During the planning: 3. The environmental analysis, design, and preparation of an ESMP for each subproject must be conducted in close connection with the feasibility and engineering design of the subproject and/or each individual segment. As the proposed subprojects will involve mainly water supply works, the works should concentrate on environmental and social issues associated with direct impacts along water supply routes, power supply routes, building infrastructure locations, including storage tanks, intakes and treatment plants. If any realignment or new location is needed, the ESMP report should include a detailed justification for all minor works to improve the geometry or other technical features of the water supply system. Alternatives for any major readjustments must be compared on technical, economic, environmental, and social merits. (b) Environmental and Social Impacts: 4. The most significant and potentially adverse direct impacts associated with the proposed water supply works would be related to: (i) sensitive environmental and social sites (ROW) such as natural habitats, protected areas, wetlands, cultural resources; (ii) potential minor resettlement of families and the potential economic impact on small business and/or informal economic activities; (iii) the interaction of construction workers with local communities, especially ethnic minorities, potential damages to private property and community infrastructure, and nuisances to communities caused by construction activities; (iv) localized environmental impacts due to new alignments (if necessary), and construction activities with significant slope instability and erosion, impact on drainage patterns; Although resettlement issues, if any, will be addressed through specific resettlement plans, resettlement issues must be included in this analysis. (c) Key elements of the ESMP and monitoring plan: 5. To mitigate the potential negative impacts, the ESMP should comprise, but not limited to, the following key elements: (i) Specific environmental management plans through the preparation of the Environment and Social Subproject Sheets for each subproject; (ii) Management of construction activities through the finalization of the generic ECOP provided in Annex 3 so that it can be included in the bidding document and contract document. Budget for implementation of the mitigation measures responsible by the contractor will be part of the contract cost; (iii) Preparation of a Community Relations Plan focusing on mitigation of potential impacts due nuisance and other disturbance to local residents. This requirement has been incorporated into the generic ECOP; and (iv) Supervision and monitoring mechanisms to be applied throughout the construction period. The ESMP will provide a section identifying the responsible entity for ensuring effective implementation of the ESMP including budget allocation which will be considered as part of the subproject cost. (v) It is noted that cost for land acquisition and other compensation will be paid by the subproject owners and/or local government. (d) Environmental and Social Alignment Sheets 6. Each WASH subproject will be subject to a detailed environmental and social screening (see Annex 1). The social and environmental screening will include, but not be limited to, the analysis of available information concerning the general population distribution, concentrations of tribal or cultural groups, concentrations of low-income communities, areas of significant subprojects encroachment, sensitive and/or critical natural habitats (e.g. national parks, reserves, wildlife sanctuaries, sacred groves, protected areas, forests, wetlands, etc.), major rivers and waterways, recorded cultural heritage sites, and any other potentially sensitive areas, based on recent census, official data and information from NGOs (such as WWF), and detailed site visits. 7. Through a detailed survey of the final sub project footprint, the Environmental and Social Subproject Sheets will be prepared for the whole subproject if information is available. These sheets will include: • Identification of all physical, environmental, and social issues; • Identification of mitigation measures; • The instrument in which the mitigation measures will be included (design, resettlement plan, construction specifications, bidding documents, community consultation plan, etc.); • The agency responsible for implementation; • The timing for the implementation of the mitigation measure (before construction, during construction, during planning, etc.); • The sources of funding for implementing the mitigation measure. 8. The Subproject Sheet will be presented in maps at appropriate scales (both profile and overhead) and in schematic summary tables. Issues to be addressed in this manner include: • Slope stability, major earth cuts; • Natural hazards areas (flooding, instability); • Erosion; • Direct and indirect effects on houses, crops, businesses, and informal economic activities; • High gradients; • Community infrastructure (water supply, irrigation, access roads etc.); • Community use of resources (for instance, use of water/creek for bathing, washing clothes); • Scenic areas (waterfalls, for instance); • Areas of special safety concern. 9. For each environmental and social problem identified and evaluated, mitigation measures must be identified. These may include: • Slope stabilization; • Erosion control and re-vegetation of main pipe networks; • Resettlement plan; • Construction of areas; • Relocation and reconstruction of affected community infrastructure; • Landscaping of scenic areas; (e) Environmental Specifications for water supply Construction (ECoP) 10. All mitigation measures for direct impacts should be incorporated into project design and will be included in project costs. In addition, all the environmental requirements for subproject construction will be incorporated in an environmental annex (Environmental Specifications for Subproject Construction) which will be part of bidding documents. 11. The Consultants will identify and propose environmental and social mitigation measures that are necessary to mitigate the impacts and nuisances from construction activities and that are common in construction of water supply and water treatment projects. 12. The proposed mitigation measures should be described in easily understandable terms, identifying best practices, timing for implementation (before, during, after construction) and illustrated with sketches, diagrams, and pictures as necessary. The measures should be standardized in such a way to allow their application to any type of construction activity. 13. The specifications will establish specific rules for minimizing environmental impacts during construction and provide guidance on the design of specific environmental mitigation measures such as slope stability, construction waste disposal and erosion control. Examples of topics that are included in the environmental specifications annex are: (i) explicit prohibitions and environmental behavior guidelines for work crews, especially along sensitive areas and near rural communities; (ii) proper selection, management, and restoration of quarries, borrow pits, gravel extraction sites in rivers and streams; (iii) the rehabilitation of affected areas through soil replacement and re- vegetation; (iv) selection of camp sites (with specific guidelines on distance to communities according to their population), management of camp wastes, and guidelines for camp dismantling and abandonment; (v) proper disposal of excavated earth and spoil materials to avoid pollution of streams; (vi) management of health issues for road workers; (vii) storage, management, and use of explosives; and (viii) proper disposal of wastes from construction machinery and equipment. 14. The specifications will address social issues such as: (i) chance finding procedures for archaeological and/or paleontological artifacts; (ii) the management of noise in or near urban or peri urban areas; (iii) minimization of disruptions of community activities in the vicinity of the right of way from the influx of workers and increased traffic of heavy machinery, from potential damages to property, and from conflicts with the local population; (v) communications programs during the construction period. (f) Community Relation Plan (CRP) 15. Construction works may disrupt the communities in the vicinity of the right of way as there will be an influx of workers, increased traffic of heavy machinery, potential damages to private property, and conflicts with the local population. The ESMP should identify community participation mechanisms (for instance, a committee with representatives from different communal leaders) to address social issues during the construction period. At present general requirements for establishing community relations has been incorporated in the ECOP. Supervision and Monitoring 16. The Project owner (PMU/DWS) will assign the Construction Supervision Consultant (CSC) and/or filed engineer to be responsible for day-to-day supervision and monitoring of contractor performance and include the results in the subproject progress report. PIU will conduct monthly monitoring while PMU and/or its environmental consultant will conduct 6 month and annual monitoring.
ANNEX: 3
Environmental Code of Practice (ECOP)
The Environmental Code of Practice is develop for project activities such as the construction and rehabilitation of water supply and sanitation facilities. The ECOPs aim to ensure compliance with the nation laws and World Bank OP 4.01 environmental safe guard policy and province guidance to good engineering and housekeeping practices. It sets out standard practices and procedure for managing the potential negative impacts on local environment and rural communities of all civil works to be carried out.
1 GENERAL PRINCIPLES AND PLANNING
1.1 PREPARATION OF THE INITIAL ENVIRONMENTAL EXAMINATION (IEE) In the In the preparation of the IEE, relevant primary and secondary data will be gathered that includes surface water flows during the wet and dry season, water quality, upstream and downstream catchment characteristics, among others. The assessment will include analysis of potential impacts of water abstraction on water reliability for downstream users. An assessment of project impacts and risks on biodiversity and natural resources will also be undertaken for subprojects and components located near or within critical habitats or legally protected areas. Issues regarding natural and critical habitats will be covered in the IEE report. Pollution prevention for conservation of resources particularly technology for management of process wastes will be addressed in the IEE report.
1.2 ENVIRONMENTAL MANAGEMENT PLAN (EMP) A Project Environmental Management Plan (EMP) will be prepared for each Sub project (Village Cluster). The EMP will identify the major construction activities. Project EMPs will also identify the mitigation measure/best practice for each environmental impact. This is to include any mitigation required as condition of the IEE. The project EMP will set out how the contractor intends to manage construction and will set out specific control measures necessary to deliver the requirement of this ECOP and any other mitigation measure that have been committed to by the project owner that relate specifically to the construction phase of the project.
Occupational health safety and community health safety will be properly addressed in the EMP section of the IEE report. Climate change and natural hazard impacts on the project (especially in the design of components/activities) shall be considered and integrated. The document will also reflect meaningful consultation and disclosure process with a provision of grievance redress mechanism.
1.3 CONTRACTOR RESPONSIBILITY The contractor is responsible for marking best effort to reduce and mitigate the potential negative impact on local environment and local resident including making payment for all damages the may occur. Performance of the Contractor will be closely supervised and monitored by the Construction Supervision Consultant (CSC) and/or qualified field engineer as well as periodic monitored by a qualified consultant to be assigned by the Department of Water Supply (DWS). Results of the ECOP compliance monitoring will be included as part of the subproject progress report. Compliance with ECOP will be required throughout the construction period.
1.4 NON-COMPLIANCE REPORTING PROCEDURES The contractor must comply with the final ECOP. To ensure that necessary action has been undertaken and that steps to avoid adverse impacts and/or reoccurrence have been implemented. The CSC, DWS and/or contractor must advise the Project Steering Committee (PSC) within 24 hours of any serious incidents of non-compliance with the final ECOP that may have serious consequence. The contractor must keep records of any incidents and any ameliorative action taken. The records on non-compliance that could be practically addressed (not cause serious impacts) will be reported to the PSC on monthly basis.
1.5 COMMUNITY RELATIONS The contractor shall be ensured that local residents nearby the construction sites will be informed in advance of works taking place, including the estimated duration. In the case of work required in response to emergency, local residents shall be advised as soon as reasonably practicable that emergency work is taking place.
The contractor shall be managed the work sites, work camps and worker in a way that is acceptable to local resident and will not create any social impact due to workers. Any construction worker, office staff, contractor’s employees, or any other person related to the Project found violating the “prohibition” activities listed in section 1.1.8 below may be subject to disciplinary action that can range from a simple reprimand to termination of his/her employment depending on the seriousness of the violation.
1.6 IMPLEMENTATION OF THE ENVIRONMENTAL HEALTH AND SAFETY (EHS) GUIDELINE In line with World Bank (WB) safeguard policy, the Contractor is required to comply with Environmental Health and Safety Guideline (EHSG) established for the project investment with financial support from the WB group (WBG). The EHSG provinces general guidance on the pollution prevention and abatement measures and workplace and community health and safety guidelines that are normally acceptable in Bank-supported project, particularly in case where the borrowing country does not have standards, or when its standards fall significantly short of international or industry-wide norms. The EHSG are divided in two parts: general guidelines on health and safety and pollution prevention and abatement, including general standards for air and water quality, and a set of sector-specific guideline for various types of development projects. For the Project, the contractor will prepare an EHS plan with an aim to identify the potential impacts and develop a mechanism for the environmental health and safety of project activities during the construction. The EHS Plan will be incorporated into the Contractor’s own Standard Operating Procedures (SOPs). At a minimum the following EHS rule will be strictly followed:
Site EHS Rules:
• EHS orientation session before starting work; • Wearing of personal protective equipment (gloves, helmets, safety shoes, dungarees, goggles, etc); • Follow the message and instruction displayed on EHS notice boards installed on site; • Promptly reporting all accidents to the concerned authority; • Maintain appropriate barricades as required; • Vehicles must be driven at a safe speed, observing speed limits of 30km/h and designated routes as mentioned in Contractor’s Mobility Map; • Drivers must have a valid driving license for the class of vehicle they are operating; • Vehicles shall only be parked in designated parking area; and • Mine clearance of the project investment area.
Health and Hygiene:
• Provision of adequate medical facilities to the staff; • Provision of cooling and heating facilities to the staff; and • Provision of drainage, sewerage and septic tanks in camp area.
Security:
• Regular attendance and a controlled time keeping of all employees; • Restriction of un-authorized persons to the residential and work areas; • Restriction of carrying weapons and control hunting by employees; and • Provision of boundary walls/fence with proper exits to the camp.
1.7 IMPLEMENTATION OF “CHANCE FIND” PROCEDURES. If the contractor discovers archeological sites, historical site, remains and objects, including graveyards, and/or individual graves during excavation or construction, the Contractor will carry out the following steps:
• Stop the construction activities in the area of the chance find; • Delineate the discovered site or area; • Secure the site to prevent any damage or loss of removable objects. In cases of removable antiquities or sensitive remains, a night guard shall be arranged until the responsible local authorities or the National Culture Administration take over; • Notify the project engineer, supervisor (CSC), and/or PSC who in turn will notify the responsible local authorities and the provincial Culture Department immediately (within 24 hours or less); • Responsible local authorities and the provincial Culture Department would be in charge of protecting and preserving the site before deciding on subsequent appropriate procedures. This would require a preliminary evaluation of the findings to be performed by the archeologists of National Culture Administration. The significance and importance of the findings should be assessed according to the various criteria relevant to cultural heritage; those include the aesthetic, historic, scientific or research, social and economic values. • Decisions on how to handle the finding shall be taken by the responsible authorities and the provincial Culture Department. This could include changes in the layout (such as when finding an irremovable remain of cultural or archeological importance) conservation, preservation, restoration and salvage; • Implementation for the authority decision concerning the management of the finding shall be communicated in writing by relevant local authorities; and • Construction work could resume only after permission is given from the responsible local authorities or the provincial Culture Department concerning safeguard of the heritage.
1.8 PROHIBITIONS The following activities are prohibited on or near the subproject sites:
• Cutting of trees for any reason outside the approved construction area; • Hunting, fishing, wildlife capture, or plant collection. • Buying of wild animals for food; • Having caged wild animals (especially birds) in camps; • Poaching of nay description; • Explosive and chemical fishing; • Disturbance to any ting with architectural or historical values; • Building of fires; • Use of unapproved toxic materials, including lead-based paints, asbestos, etc.; Use of firearms (except authorized security guards); • Use of alcohol by workers in office hours; • Driving in an unsafe manner in local roads; • Washing cars or machinery in streams or creeks; • Maintenance (change of oils and filters) of cars and equipment outside authorized areas; • Creating nuisances and disturbances in or near communities; • Disposing garbage in unauthorized places; • Indiscriminate disposal of rubbish or construction wastes; Littering the site; • Spillage of potential pollutants, such as petroleum products; • Collection of firewood; • Urinating or defecating outside the designated facilities; and • Burning of wastes and/or cleared vegetation.
2 GENERAL SITE OPERATION
2.1 OBJECTIVE The works will be carried out in such a way as to limit, as far as reasonable practicable, the adverse environmental impact of the construction activities.
2.2 SITE SPECIFIC REQUIREMENT The contractor will be responsible to comply with, but not limited to the following: • The contractor shall be installed the Work Camp on area far enough from water points, house and sensitive area in consultation with the community. Good quality sanitary equipment should be installed in the Work Camp. • The contractor shall be managed all activities in compliance with laws, rules and other permits related to site construction regulations and will protect public properties. Degradation and demolition of private properties will be avoided. Paying compensation to damage to the public facilities and/or private property will be required. • The contractor is responsible for protection of local environment against dust, air, noise, vibration, exhaust fuels and oils and other solid residues generated from the work site. The contractor shall be managed waste properly and do not burn them on site and will also provide proper storage for construction materials, organize parking and displacement of the machines in the site. Used oil and construction waste materials mu be appropriately disposed and adequate waste disposal and sanitation services will be provided at the construction site next to the generated area. In order to protect soil, surface and ground water the Contractor must be avoid any wastewater discharge, oil spill and discharge of any type of pollutants on soils, in surface or ground water, in sewers and drainage ditches. • The contractor shall be responsible for maintaining good hygiene, safety, and security of the work sites, including protection of health and safety of staff and workers. The contractor will prevent standing water in open construction pits to avoid potential contamination of the water table and the development of a habitat for disease-carrying vector and insects. • The contractor shall be prohibited for quarrying material directly from the River. The contractors shall be procured construction materials from government-permitted source/suppliers only. • During construction, the contractor must be take serious action to control dust by using water or through other means and the construction site will be cleaned on a daily basis. • The Contractor will work with local authority and management local traffic effectively and ensure traffic access of road safety of local residents and road users during the works. Speed limit at work sites and community area will be applied to all vehicles and cars. All vehicles and their drivers must be identified and registered and the drivers are properly trained. • Install barriers and safety warning signs on road sections and if necessary deploy traffic aides/ flag persons at affected locations. Information boards at blocked roads will provide information about the temporary closure of roads, schedule of works and the traffic-rerouting plan. • The contractor should install signaling of work, ensure no blockage of access to households during construction and/or provide alternative access. • The contractor must be immediately rehabilitate the excavated areas and any damaged road and path sections;
2.3 HOUSEKEEPING The Contractor will follow a ‘good housekeeping’ policy at all times. This will include, but not necessarily be limited to the following:
• Ensure considerate site behavior of the Contractor’s staff; • Open fires will be prohibited at all times; • Ensure that appropriate provisions for dust control and road cleanliness are implemented; • All site areas will be kept in clean and tidy condition, rubbish and food waste will be removed frequently; • Wheel washing facilities will be brushed or sprayed clean frequently; • Storage sites, fixed plant and machinery, equipment and temporary buildings will be located to limit adverse environmental effects • Frequently inspect, repair and re-paint as necessary all site hoardings to comply with the local conditions and local regulations, all flying post/board is to be removed as soon as reasonably practicable and within 24 hours of notice; • Adequate toilet facilities will be provided for all site staff;
2.4 WORKING HOURS Core working hours will be from 08:00 to 16:00 on weekdays and 0800 to 1300 on weekend. Individual site requirements which differ from the above will be considered on a site by site basis. Noisy operations shall not take place outside these hours without prior approval from delegated agencies and local authorities.
In the case of work required in response to tan emergency (or which if not completed would be damaging and unsafe), the relevant local authority will be advised as soon as is reasonably practicable of the reasons for and likely duration of such works.
3 WORKS MANAGEMENT
3.1 ENVIRONMENTAL CODES OF PRACTICE APPLICABLE TO CONSTRUCTION AND REHABILITATION OF WATER SUPPLY ENVIRONMENTAL MITIGATION MEASURES IMPACT Impact on land • Develop and implementation the land acquisition and compensation acquisition and plan. community assets • Provide the compensation for the loss of community assets due to land acquisition and damage to properties based on the land acquisition and compensation. • Design access roads to minimum necessary width and installation of pipelines within the Right-of-Way when feasible. Impact of location of • Shall be selected the raw water resource that substantial flow year- raw water intake on round to ensure sufficient water for water supply and other water other water users uses. • The abstraction rate for the water supply system shall be limited to the designed capacity of the WTP. • Impact to Natural • Cutting of trees will be undertaken as per approved design and only resources and upon approval. protected areas • Avoid cutting of trees much as possible and minimize damage to native vegetation. • Trees that need to be cut in private land will be compensated in cash in accordance with the approved Land Acquisition and Compensation Plan Impact on Historical • The Contractor will ensure that the workforce are briefed on the and Archaeological implementation of “Chance find” Procedure. As state in section 5 Sites above in the event of accidental finds any historical, archaeological site and/or relics they should immediately cease any works in the area and promptly report the find to their supervisor. Temporary disruption • Walking access will be maintained to affected properties and access of existing community routes will be temporarily lined with timber or similar material. roads, pathways, and Particular attention will be given to ensuring safety along roads and accesses paths used by pedestrians. • Side street parking of construction vehicles on prolonged basis will not be allowed. • Install barriers and safety warning signs on road sections and if necessary deploy traffic aides/ flag persons at affected locations. Information boards at blocked roads will provide information about the temporary closure of roads, schedule of works and the traffic- rerouting plan. • Require the contractor to immediately rehabilitate the excavated areas and any damaged road and path sections. • Enclose the WTP, reservoir, and intake perimeters so that pathway use and stream access remains unimpeded. Air pollution • Require the contractor to cover materials with tarpaulin or other suitable materials while in transit to avoid spillage of materials. • Moisten earthen roads during dry and dusty conditions, particularly roads near residences and through the town core area. • Impose speed limits on construction vehicles. • Conduct regular maintenance on construction equipment and vehicles to control air emissions during vehicle operation. • Do not burn site clearance debris (trees, undergrowth) or construction waste material. • Keep stockpile of aggregate material covered to avoid suspension or dispersal of fine soil particles during windy days or disturbance from stray animals Noise • Limit construction activities, particularly operation of noise generating equipment at night. • Position any stationary equipment that produce high noise levels such as diesel generators as far as practical from sensitive receptors. • Erect temporary barriers around construction sites especially near schools, hospitals, and houses. • Install noise suppression devices to noise generating equipment. • Require drivers to minimize blowing of horn and to comply with speed limits. • Provide information to community on schedule of construction activities through billboard/signs. Impact of borrow • The contractor will be prohibited from quarrying materials directly materials from the River. • Shall be procured construction materials from Government-permitted sources/ suppliers only. Impact on ecological The contractors will prohibit activities such as collection of firewood for resources cooking, hunting, or wildlife trade.
Clearing of vegetation • Cutting of trees will be undertaken as per approved design and only upon approval of relevant authorities. • Avoid cutting of trees as much as possible and minimize damage to native vegetation. • Trees that need to be cut in private land will be compensated in cash accordance with the approved Land Acquisition and Compensation Plan. • Roads and paths to the intake, WTP, and reservoir will only be sufficiently wide to accommodate construction vehicles/ equipment to minimize land take. • Manual labour will be utilized in sloping terrain where use of heavy equipment would cause unnecessary damage. Steep exposed slopes will be graded and covered with bush and grass to minimize erosion. • Implement landscaping and planting of trees/vegetation at sites of the proposed facilities. Water pollution - Construct silt traps, deviation channels, mounting barriers or trenches Sediment runoff around the stockpiles of materials.
Water Pollution - • Provide adequate water supply and temporary toilet facilities (septic Worker’s camp tank and latrines) at the worker’s camp. • Ensure that (i) washing areas, demarcated and water from washing areas and kitchen is released in sumps, (ii) septic tanks of appropriate design have been used for sewage treatment and outlets are released into sumps and must not create a pond of stagnant water, and (iii) the latrines, septic tanks and sumps are built at a safe distance from water body, stream, or dry streambed, and the sump bottom is above the groundwater level.
Water pollution - • Follow the recommended dosage of chlorine during the disinfection Generation of residual of pipes and reservoir. chlorine during pipeline • Ensure the discharge water with residual chlorine is below the and reservoir allowable limits. disinfection
• Use chlorine test kit and use 10x15x dilution with distilled water or use high range chlorine test kit with high range tablets to detect chlorine residual before flushing. Generation of • During pipe laying, excavated material will be utilized to backfill the construction waste - trench. The contractor will be required to properly reinstate the Generation of excavated trench after completion of pipe laying. excavated soil • Surplus excavated material/cut soil from construction of the WTP and reservoir will be used as backfill material for low-lying areas that have been identified by the village authority. Generation of • Provide appropriate segregation bins or areas for construction construction wastes – wastes. Solid, Inert and • Secure and control storage of all hazardous materials including fuels. Hazardous Wastes • Reuse recyclable construction wastes such as wood, steel, and scaffoldings or sell to junk shops. • Solid waste to be collected and disposed in approved disposal site of the District. • Train workers on correct transfer and handling of fuels and other substances and require the use of glove, boots, aprons, eyewear and other protective equipment for protection in handling highly hazardous materials. • Maintain waste (including soil for foundation) at least 300meters from rivers, streams, lakes and wetlands. Community health and • Install barricades/barriers and sturdy plate covers in open excavations safety during non-working time. • Install warning signs in the area.
Occupational health Provision of first-aid facilities readily accessible by workers. and safety Provision of personal protective equipment (PPEs) such as hard hats, gloves, rubber boots, etc., Wearing of PPEs while working onsite will be a mandatory requirement for workers. Posting of safety signs/reminders in strategic areas within the construction area. Installation of sufficient lighting at night. Employ only trained personnel in handling chlorine during the line disinfection process. Ensure that vehicle and equipment operators are properly licensed and trained. Provide staff with communicable disease and HIV-related awareness training.
3.2 ENVIRONMENTAL CODES OF PRACTICE FOR LATRINES INSTALLATION Issues Environmental Measures Latrine Location • Should be located more than 30 meter of an existing water supply wells or surface water body, unless a lack of available site area. • Located downstream from water resources wherever possible • Should be located in a place where is odor cannot reach the house or the kitchen • The latrine pits should be at least two meters above water table, particularly where groundwater is used for drinking. The site should be well drained and above flood level. • Should not be built upstream of a well, particularly in area of fissured rocks such as limestone, since feace pollution may be carried directly to a well through cracks and joints in the rocks to a well. Latrine • Enclose the latrine construction site to prevent access and limit Installation/Operation disruption for the use of the schools and public buildings. • Earth up soil/pave concrete around sub-foundation to avoid stagnant water accumulation around the latrine. • Keep the latrine floor clean by cleaning with water supply • Provide hand washing facilities (water, soap) near the latrine at all time.
Annex 4: Negative List
The project’s negative list—meaning activities that are prohibited from receiving financing—
i. Water treatment, water supply, sewage treatment or other works with serious adverse effects on wetlands or natural waterways, through pollution or hydrological changes. ii. Significant conversion or degradation of natural habitat or where the conservation and/or environmental gains do not clearly outweigh any potential losses. iii. Use of pesticides on the World Health Organization's Hazardous Pesticides List. iv. Works which would adversely affect significant cultural property, including archaeological and historical sites. v. Purchase or lease of land which has unclear titles. vi. Trade in wildlife and wildlife products prohibited under the CITES convention. vii. Release of genetically altered organisms into the natural environment. viii. Radioactive products ix. Purchase of asbestos-containing products. x. Purchase and or trade in weapons. xi. Activities likely to create adverse impacts on ethnic groups within the village and/or in neighboring villages or unacceptable to ethnic groups communities living in a village of mixed ethnic composition.
Annex 5 Environmental and Social Background of the Project area.
The project area will be covered of 13 village clusters within ten districts of four provinces (Xiengkhoun, Odomxay, Houaphan and Phongsaly Province). The environmental and social background of each village cluster are following:
1 XIENGKHOUN PROVINCE
1.1 NAMTHEA VILLAGES CLUSTER
1.1.1 Description of the Environment Location and Topography: Namthea village cluster is located approximately 24Km of Kham District Centre and there is a road connect to Pek-Kham-Nonghed District. The topography is mountainous with altitude varying. The Namthea village cluster is consisting of six villages.
Water Resources: During preparation the proposal for this sub project, two surface water resources were investigated which is included Phoukhorxor spring water and Phouphahinsone Spring water
(i) Phoukhorxor Spring Water
As a spring water, the water quality is good, clean and clear with sufficient year-round base for the capacity of Water Treatment Plan (WTP), the average water flow rate is 84 l/s or 7,257 m3/day. The natural water flow never dry up with is adequately to be the raw water resource for water treatment plan to provide the clean and safe water supply to the villagers. The proposed water intake is located at N=19 29°91’3’’, E=103 36°25’4’’ and an elevation of 1,225masl, approximately 9.85Km of Water Treatment Plan. The elevation of the water intake is approximately 324 m higher than the elevated of the WTP.
(ii) Phouphahinsone Spring water
It is the spring water from the cliff and located at N = 19 30°12’ 93’’, E=103 35°24’59’’ and an elevation of 1,138masl and about 5.5 m far from WTP and the elevated at a higher elevation approximately 145 elevate from WTP. The average water flow rate is 12 l/s or 1,036 m3/day and sufficient water flow for a
100% capacity of the WTP. However the water quality is very high total hardness (CaCO3), extremely excessed the water quality standard.
Based on the proposal the Phoukorxor Spring water was selected as the raw water resource for water supply due to this spring water is sufficient water year-round base flow, good water quality and don’t have any village is located upstream of water intake structure, the elevation of intake is higher than the elevation of the WTP and service villages area with can supply water by gravity flow from the elevated intake to the WTP. 1.1.2 Social-Economic Condition The Namthea village clusters is consisting of six large villages and under administration of Kham district Xiengkhoung Province. The Namthea village cluster has a total population of 2,848 people, 402 families, most of people are farmer and raising livestock, only some people are owned small business. The average income is approximately 14,000,000 LAK/person/year.
1.2 PHIENGHONG VILLAGE
1.2.1 Description of the Environment Location and Topography: Phienghong village is located approximately 47Km of Nonghed District Centre and connection to the Xamtai District via Provincial Road. The topography is mountainous with altitude varying.
Water Resources: During preparation the proposal for this sub project, two surface water resources were investigated which is included Nam Lan River and Nam Neun River
(i) Houay Lan River
The Houy Lan River has a clear water, sufficient natural year-round flow that never dry up and good water quality. The average water flow rate is approximately 450 l/s or 38,880m3/day that sufficient year-round base flow for the capacity of the WTP. The Lan River is adequately to be the raw water resource for WTP to provide the clean and safe water supply to the villagers. The proposed water intake is located at N=19 42°48’2’’, E=104 05°14’3’’ and an elevation of 493masl and approximately 7.5Km distances from WTP. The elevation of the water intake is approximately 16m higher than the elevation of the WTP.
(ii) Nam Neun River
Nam Neun River is main river flow into Vietnam, the water intake is located on the Nam Nuen River bank at N= 19 41°43’92’’, E=104 02°41’79’’, and an elevation 403 masl and approximately 0.05 Km of WTP. The elevation of water intake is approximately 50m lower than WTP elevation. The average water flow rate is more than 10,000l/s or 864,000 m3/day with sufficient water year-round base flow for the capacity of the WTP. The water pumps station is needed and will be use pumping system for supply the raw water to the WTP.
Based on the proposal, Nam Houy Lan was selected as the raw water resource for water supply due to Nam Pak River is bigger and sufficient water year-round base flow, good water quality and don’t have any village is located upstream of water intake structure, the elevation of the intake location is higher than the WTP and service villages area with could be supply water by gravity flow from the elevated intake to the WTP.
1.2.2 Social-Economic Condition The Namthea village is a large village, has a total population of 1,075 people, 116 families, most of people are farmer and raising livestock, only some people are owned small business. The average income is approximately 3,230,000 LAK/person/year 2 OUDOMXAY PROVINCE
2.1 MOUTUEN VILLAGE
2.1.1 Description of the Environment Location and Topography: Moutuen village is located approximately 52 Km North of Xay District and 38Km south of Nammor District Oudomxay Province. There is a National Road No.13-North connection to Xay and Na Mo District, LuangNamtha Province and China border. The topography is mountainous with altitude varying.
Water Resources: During preparation the proposal for this sub project, two surface water resources were investigated which is included Nam Pak and Nam Kor River
(i) Nam Pak River
The Pak River has a clear water, sufficient natural year-round flow that never dry up and good water quality. The pesticide and herbicide never been used within this watershed area. So this river is adequately to be the raw water resource for WTP to provide the clean and safe water supply to the villagers. The average water flow rate is approximately 70 l/s or 6,048m3/day that sufficient year-round base flow for the capacity of the WTP. The proposed water intake is located at N= 344658.33; E=791770.73 and an elevation of 3179 masl; approximately 7.5Km of WTP. The elevation of the water intake is approximately 116m higher than elevation of WTP.
(ii) Nam Kor River
The Pak River has a clear water, sufficient natural year-round flow that never dry up and good water quality. The pesticide and herbicide never been used within this watershed area. So this river is is adequately to be the raw water resource for WTP to provide the clean and safe water supply to the villagers within this area.
Based on the proposal, Nam Pak River was selected as the raw water resource for water supply due to Nam Pak River is bigger and sufficient water year-round base flow, good water quality and don’t have any village is located upstream of water intake structure, the elevation of the intake location is higher than the WTP and service villages area with could be supply water by gravity flow from the elevated intake to the WTP and short raw water transmission main.
2.1.2 Social-Economic Condition The Mouteun village or Phoulakham village is a one of villages which is under administration of Na Mor District Oxdomxay Provice, has a total population of 1,150 people, 272 families, most of people are farmer and raising livestock, only some people are owned small business.
2.2 ANNO VILLAGE
2.2.1 Description of the Environment Location and Topography: Ano village is located approximately 28 Km north-east of Xay District Oudomxay Province and 32.5 Km distance from Lar District Centre. This village. There is a National Road No.2E connection this village to Xay District, Phogsaly Province and Vietnam border. The topography is mountainous with altitude varying.
Water Resources: During preparation the proposal for this sub project, two surface water resources were investigated which is included NamSaphouk and Nam Khod River
(i) Nam Saphouk River
The Nam Saphouk River has a clear water, sufficient natural year-round flow that never dry up and good water quality. The pesticide and herbicide never been used within this watershed area. So this river is is adequately to be the raw water resource for WTP to provide the clean and safe water supply to the villagers. The proposed water intake is located at N= 2309673.74, E=214878.15 and an elevation of 3625 masl and approximately 1.2 Km distances of WTP. The elevation of the intake location is approximately 306 m lower than WTP elevated.
(ii) Nam Khod River
The Nam Khod River has a clear water, sufficient natural year-round flow that never dry up and good water quality. The pesticide and herbicide never been used within this watershed area. So this river is is adequately to be the raw water resource for WTP to provide the clean and safe water supply to the villagers.
Based on the proposal, Nam Saphouk River was selected as the raw water resource for water supply due to Nam Pak River is bigger and sufficient water year-round base flow, good water quality and don’t have any village is located upstream of water intake structure, the elevation of the elevation the water intake location is lower than the WTP and service, about 4 km of the villages area, so have to install the pumping station to pump the raw water into the WTP.
2.2.2 Social-Economic Condition The Ano village is a one of villages which is under administration of La District Oxdomxay Province, has a total population of 1,865 people, 405 families. They are AKA ethnic group and most of people are farmer and raising livestock, only some people are owned and run their small business.
3 HOUAPHAN PROVINCE
3.1 SOPLAO VILLAGES CLUSTER
3.1.1 Description of the Environment Location and Topography: SopLao village cluster is located along Nam Neun River which is approximately 50 Km distance of Houameung District Centre and there is a National Road No.06 connect to Xiengkhoung Province. The topography is mountainous with altitude varying.
Water Resources
The proposed of raw water resource is Nam Neun River, which is the main water resource close to village and a large river with substantial flow year-round that never dry up, clear water and good water quality with is adequately to be the raw water resource for water treatment plan to provide the clean and safe water supply to the villagers. The proposed water intake is located at N=103°39’54.75’’, E=20°2’44.27’’ and an elevation of 558 masl and approximately 7.78Km of the WTP. The elevation of the water in is approximately 26m higher than the elevation of the WTP.
3.1.2 Social-Economic Condition The SopLao village clusters is under administration of Houameung District Houaphan Province and has a total population of 1,032 people and 193 families. Most of people are farmer and raising livestock, only some people are owned small business.
3.2 LANXIENG VILLAGE
3.2.1 Description of Environment Location and Topography: Ban Lan Xieng is located along Nam Neun River which is approximately 70km distance of Houameung District Centre and from the junction of the National Road No.06 approximately 20km. The topography is mountainous with altitude varying.
Water Resource
Water Resources: During preparation the proposal for this sub project, two surface water resources were investigated which is included Nam Neun and Nam Peun River
Nam Neun River is a large river with substantial flow year-round that never dry up, clear water and good water quality with is adequately to be the raw water resource for water treatment plan to provide the clean and safe water supply to the villagers. The proposed water intake is located at N=20°1’6.51’’, E=103°48’57.90’’and an elevation of 500 masl and approximately 11.7Km distances of the WTP. The elevation of the water in is approximately 26m higher than the elevation of the WTP.
Nam Peun River has a clear water and substantial flow year-round that never dry up and good water quality with is adequately to be the raw water resource for water treatment plan to provide the clean and safe water supply to the villagers. The proposed water intake is located at N=19°59’29.54’’, E=103°52’53.6’’and an elevation of 500 masl and approximately 6.5Km distances of the WTP. The elevation of the water in is approximately 26m higher than the elevation of the WTP.
Both of water resource is suitable for designing of water supply system for the villager in the town due to both of rivers have a substantial flow year-round, good water quality and no any impact to the residents area upstream of water intake and could be distributed to the villages by gravity flow.
3.2.2 Social-Economic Condition The Lan Xieng village clusters is under administration of Houameung District Houaphan Province and has a total population of 1,938people and 300 families. Most of people are farmer and raising livestock, only some people are owned small business. 3.3 BAN MEUNGNA
3.3.1 Description of Environment Location and Topography: Ban MeungNa is located approximately 18km of Kouan District centre, Houaphan Province. The topography is mountainous with altitude varying.
Water Resource
The proposed of raw water resource is Houy Ma River, which is a large river, clear water and substantial flow year-round that never dry up and good water quality with is adequately to be the raw water resource for water treatment plan to provide the clean and safe water supply to the villagers. The proposed water intake is located at N=20°8’3.85’’, E=104°33’59.44’and an elevation of 460 masl and approximately 10.4Km distances of the WTP and the elevation of the water in is approximately 26m higher than the elevation of the WTP and service area with supply water by gravity flow from the elevated intake to the WTP and gravity distribution to village server area.
3.3.2 Social-Economic Condition The Meungna village clusters is under administration of Koun District Houaphan Province and has a total population of 1,009 people and 175 families. Most of people are farmer and raising livestock, only some people are owned small business.
3.4 PHANXAM VILLAGE CLUSTER
3.4.1 Description of Environment Location and Topography: Ban Phanxam is located along Road 3206 which is approximately 20km of Xam-Tai District centre, Houaphan Province. The topography is mountainous with altitude varying.
Water Resource
The proposed of raw water resource is Nam Xam River, which is a large river, clear water and substantial flow year-round that never dry up and good water quality with is adequately to be the raw water resource for water treatment plan to provide the clean and safe water supply to the villagers.
3.4.2 Social-Economic Condition The Phanxam village clusters is under administration of Xam-Tai District Houaphan Province and has a total population of 1,652people and 239 families. Most of people are farmer and raising livestock, only some people are owned small business.
3.5 MEUNG PEU VILLAGE
3.5.1 Description of the Environment Location and Topography: MeungPeu village cluster is located approximately 45 Km distance of Xon District Centre and there is a Road connect to Darveng-SeunLa Vietnam. The topography is mountainous with altitude varying.
Water Resources The proposed of raw water resource is Houay Poung River. Houay Poung is clear water, substantial flow year-round that never dry up and good water quality with is adequately to be the raw water resource for water treatment plan to provide the clean and safe water supply to the villagers. The proposed water intake is located at N=20°44’7.74’’, E=103°21’22.59’’and an elevation of 712masl. Approximately 6.5 Km distances of the WTP and the elevation of the water in is approximately 35m higher than the elevation of the WTP
3.5.2 Social-Economic Condition The Meungpeu village clusters is under administration of Xon District Houaphan Province and has a total population of 1,565 people and 247 families. Most of people are farmer and raising livestock, only some people are owned small business.
4 PHONGSALY PROVINCE
4.1 SINXAY VILLAGE
4.1.1 Description of the Environment Location and Topography: Sinxay village is located approximately 35Km of Koua District Centre Phongsaly Provice which is a national road No. 2 connect to Xay District Oudomxay Province and Deinbienfu, Vietnam. The topography is mountainous with altitude varying.
Water Resources: During preparation the proposal for this sub project, two surface water resources were investigated which is included Nam Houy Pair River and Houy PouLou River
(i) Houay Pair River
The Houy Pair River has a clear water, sufficient natural year-round flow that never dry up and good water quality. The average water flow rate is approximately 26,000m3/day (Measured on 13 November 2018) that sufficient year-round base flow for the capacity of the WTP. The Houy Pair River is adequately to be the raw water resource for WTP to provide the clean and safe water supply to the villagers. The proposed water intake is located at N=212078, E=2335833 and an elevation of 445masl. The elevation of water intake is approximately 30 m higher than the elevation of the WTP.
(ii) Houy PouLou River
Nam Houy PouLou has a clear water, sufficient natural year-round flow that never dry up and good water quality. The average water flow rate is approximately 13,000m3/day (Measured on 13 November 2018) that sufficient year-round base flow for the capacity of the WTP. The Poulou River is adequately to be the raw water resource for WTP to provide the clean and safe water supply to the villagers. The proposed water intake is located at N=2328614, E=211965 and an elevation of 463masl, and it is approximately 38 m higher than the elevation of the WTP.
Based on the proposal, Houy Pair River was selected as the raw water resource for water supply due to Nam Pak River is bigger and sufficient water year-round base flow, good water quality and don’t have any village is located upstream of water intake structure, the elevation of the intake location is higher than the WTP and service villages area with supply water by gravity flow from the elevated intake to the WTP. While Houy PouLou has lower water flow than Houy Pair and the water intake location is far away from the WTP.
4.1.2 Social-Economic Condition The Sinxay village is under administration of Kuoa District Phongsaly Province and has a total population of 616 people, 140 families, most of people are farmer and raising livestock, only some people are owned small business. The average income is approximately 5,671,000 LAK/person/year.
4.2 SOPHOUN VILLAGE
4.2.1 Description of the Environment Location and Topography: Sophoun village is located approximately 15Km of Koua District Centre Phongsaly Province which has a national road No. 2 connect to Deinbienfu, Vietnam. The topography is mountainous.
Water Resources: During preparation the proposal for this sub project, two surface water resources were investigated which is included Nam Houy Tam and Houy Yen River
(i) Houay Tam River
The Houy Tam River has a clear water, sufficient natural year-round flow that never dry up and good water quality. The average water flow rate is approximately 35,000m3/day that sufficient year-round base flow for the capacity of the WTP. The Houy Pair River is adequately to be the raw water resource for WTP to provide the clean and safe water supply to the villagers. The proposed water intake is located at N=2343728, E=0276384 and an elevation of 514masl and approximately 5.6 km of WTP. The elevation of the water intake is approximately 89 m higher than the elevation of the WTP.
(ii) Houy Yen River
Nam Houy Yen River has a clear water, sufficient natural year-round flow that never dry up and good water quality. The average water flow rate is approximately 11,000m3/day that sufficient year-round base flow for the capacity of the WTP. The Houy Yen River is adequately to be the raw water resource for WTP to provide the clean and safe water supply to the villagers and approximately 9.1 km of WTP. The elevation of the intake approximately 5 m higher than the elevation of the WTP.
Based on the proposal, Houy Tam River was selected as the raw water resource for water supply due to Nam Pak River is bigger and sufficient water year-round base flow, good water quality and don’t have any village is located upstream of water intake structure, the elevation of the intake location is higher than the WTP and service villages area with supply water by gravity flow from the elevated intake to the WTP. While Houy Yen has lower water flow than Houy Tam River and the water intake location is more far away from the WTP.
4.2.2 Social-Economic Condition The Sophoun village is under administration of Koua District Phongsaly Province and has a total population of 726 people, 170 families, most of people are farmer and raising livestock, only some people are owned small business. The average income is approximately 5,327,000 LAK/person/year. 4.3 NAM LEE VILLAGE
4.3.1 Description of the Environment Location and Topography: NamLee village is located approximately 60Km of Koua District Centre Phongsaly Province which has a national road No. 1B connect to Xay District Oudomxay Province. The topography is mountainous.
Water Resources: During preparation the proposal for this sub project, two surface water resources were investigated which is included Nam Houy Jaluang and Houy Tersith River
(i) Houay Jaluang River
The Houy Jaluang River has a clear water, sufficient natural year-round flow that never dry up and good water quality. The average water flow rate is approximately 45,000m3/day that sufficient year- round base flow for the capacity of the WTP. The Jaluang River is adequately to be the raw water resource for WTP to provide the clean and safe water supply to the villagers. The proposed water intake is located at N=2349719, E=0197571 and an elevation of 818masl and approximately 6.9 km of WTP. The elevation of the water intake is approximately 33 m higher than the elevation of the WTP.
(ii) Houy Tersith River
Nam Houy Tersith River has a clear water, sufficient natural year-round flow that never dry up and good water quality. The average water flow rate is approximately 11,000m3/day that sufficient year-round base flow for the capacity of the WTP. The Houy Yen River is adequately to be the raw water resource for WTP to provide the clean and safe water supply to the villagers. The water intake is located at the N=234884, E=0198901 and an elevation of 793masl and approximately 4.7 km of WTP. The elevation of the intake approximately 8 m higher than the elevation of the WTP.
Based on the proposal, Houy Jaluang River was selected as the raw water resource for water supply due to Houy Jaluang River is bigger and sufficient water year-round base flow, good water quality and don’t have any village is located upstream of water intake structure, the elevation of the intake location is higher than the WTP and service villages area with supply water by gravity flow from the elevated intake to the WTP. While Houy Yen has lower water flow than Houy Jaluang.
4.3.2 Social-Economic Condition The Namlee village is under administration of Samphan District Phongsaly Province and has a total population of 1,026 people, 237 families, most of people are farmer and raising livestock, only some people are owned small business. The average income is approximately 6,112,000 LAK/person/year.
4.4 LONGNAIKAO VILLAGE
4.4.1 Description of the Environment Location and Topography: Longnaikao village is located approximately 23Km of Bountai District Centre Phongsaly Province which has a provincial road No. 1202 connect to Namo District Oudomxay Province. The topography is mountainous.
Water Resources: During preparation the proposal for this sub project, two surface water resources were investigated which is included Nam Houy Lin River and Houy Ban River (i) Houy Lin River
The Lin River has a clear water, sufficient natural year-round flow that never dry up and good water quality. The average water flow rate is approximately 21,000m3/day that sufficient year-round base flow for the capacity of the WTP. The Lin River is adequately to be the raw water resource for WTP to provide the clean and safe water supply to the villagers. The proposed water intake is located at N=2349736.83, E=805328.18 and an elevation of 1087masl. The water intake is located approximately 2.8 km of WTP and approximately 253 m higher than the elevation of the WTP.
(ii) Ban River
Nam Ban River is quite large stream that pass through village. So far this river has significant for villager’s livelihood. This river also the natural water resource for fishery and the agriculture production.
Based on the proposal, Houy Lin River was selected as the raw water resource for water supply due to Nam Pak River is bigger and sufficient water year-round base flow, good water quality and don’t have any village is located upstream of water intake structure, the elevation of the intake location is higher than the WTP and service villages area with supply water by gravity flow from the elevated intake to the WTP. While Houy Ban is unsuitable to be the raw water resource for WTP due to pumping station is needed.
4.4.2 Social-Economic Condition The Longnaikao village is under administration of Bountai District Phongsaly Province and has a total population of 713 people, 204 families, most of people are farmer and raising livestock, only some people are owned small business. The average income is approximately 5,273,000 LAK/person/year.
Annex 6: Resettlement Policy Framework (RPF)
Page 1 of 54
LAO PEOPLE’S DEMOCRATIC REPUBLIC PEACE INDEPENDENCE DEMOCRACY UNITY PROSPERITY
Ministry of Public Works and Transport Department of Water Supply
Draft Resettlement Policy Framework (RPF)
Lao: Water Supply and Sanitation Project (WSSP). (P164901)
Vientiane, 25 October 2018
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Abbreviation and Acronyms
ARAP Abbreviated Resettlement Lao PDR Action Plan Lao People's Democratic Republic DMS Detail Measurement Survey LAR Land acquisition and resettlement DoR Department of Road LACR Land acquisition and compensation report DONRE District Office of Natural LFNC Lao Front for National Construction Resources and Environment District Resettlement LWU Lao Women Union DRC Committee DPWT Provincial Department of MoNRE Ministry of Natural Resources and Public Works and Transport Environment EIA Environmental Impact MPWT Ministry of Public Works and Transport Assessment EG Ethic Groups NPSE Nam Papa State Enterprises EGDF Ethnic Groups Development OP/BP Operation Policy/Bank Procedure Framework EGDP Ethic Groups Development PRC Provincial Resettlement Committee Plan ESD/PTI Environmental and Social PTI Public Works and Transport Institute Division of PTI ESMF Environmental and Social RAP Resettlement Action Plan Management Framework ESOM Environmental and Social RMF Road Maintenance Fund Operations Manual ESU Environmental and Social RMD Road Maintenance Division Unit Feedback and Mediation RoW Right of ways FMC Committee Free, prior, and informed RPF Resettlement Policy Framework FPIC consultation GoL Government of Laos SA Social Assessment GRC Grievance Redress Committee SIA Social Impacts Assessment GRM Grievance Redress VRC Village Resettlement Committee Mechanism GRMS Grievance Redress WASH Water Sanitation and Hygiene Mechanism Services IEE Initial Environmental WB World Bank Examination
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Table of Contents 1 Introduction ...... 7 1.1 The Project ...... 7 1.2 Need for RPF ...... 7 1.3 Project Description Related to OP/BP 4.12 ...... 7 2 Policy, Legal, and Institutional Settings ...... 8 2.1 National Legal and Regulatory Framework ...... 8 2.2 World Bank Policy on Involuntary Resettlement (OP/BP 4.12) ...... 9 2.3 Key Differences in Lao PDR Law and World Bank Policies ...... 9 3 Potential Project Impacts ...... 13 3.1 Social Background ...... 13 4 Risks and Potential Impacts ...... 14 5 Strategy for Compensation and Mitigation of Project Impacts ...... 14 5.1 Policy Objectives ...... 14 5.2 Key Principles of RPF ...... 15 5.3 Preparation and Approval of RAPs/ARAPs ...... 16 5.4 Entitlement Policy ...... 17 5.5 Rehabilitation Measures ...... 19 5.6 Consultation and Information Disclosure ...... 19 6 Implementation Arrangement ...... 19 6.1 Responsible Agencies ...... 19 6.2 Cost and Budget ...... 20 6.3 Monitoring and Evaluation ...... 20 6.4 Grievance Redress Mechanism (GRM) ...... 21 6.5 RPF Consultation and Information Disclosure ...... 24
List of Appendixes
Appendix 1: The Entitlement Matrix ...... 25 Appendix 2: Land Acquisition and Resettlement Screening Form ...... 31 Appendix 3: Outline for Abbreviated Resettlement Action Plan (ARAP) ...... 33 Appendix 4: Outline for a Resettlement Action Plan (RAP) ...... 34 Appendix 5: Standard Inventory List of Loss ...... 36 Appendix 6: Questionnaire For SESAH and PMS (Preliminary Measurement Survey) ...... 40 Appendix 7: Consultation/Meeting Record Format ...... 49 Appendix 8: Affected Assets and Income loss Registration following DMS ...... 50 Appendix 9: Affected Assets Values and Income Loss Declaration Form for the Water Supply and Sanitation Project ...... 52 Appendix 10: Voluntary Contribution Consent Declaration...... 54
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Definitions and Terms
• Beneficiary - All persons and households from the villages who voluntarily seek to avail of and be part of the Project
• Compensation - payment in cash or in kind of the replacement cost of the acquired assets.
• Cut-off Date - the date prior to which the ownership or use establishes eligibility as displaced persons for compensation or other assistance. The cut-off date is established in the RP. It normally coincides with the date of the census of affected persons, or the date of public notification regarding the specific civil works that would cause displacement. Persons coming into the project area after the cut-off date are not eligible for compensation or other assistance.
• Displaced persons - refers to all of the people who, on account of the activities listed above, would have their (1) standard of living adversely affected; or (2) right, title, interest in any house, land (including premises, agricultural and grazing land) or any other fixed or movable asset acquired or possessed temporarily or permanently; (3) access to productive assets adversely affected, temporarily or permanently; or (4) business, occupation, work or place of residence or habitat adversely affected; and “displaced person” means any of the displaced persons.
• Entitlement – range of measures comprising compensation, income restoration, transfer assistance, income substitution and relocation which are due to affected people, depending on the nature of their losses, to restore their economic and social base.
• Household - means all persons living and eating together as a single social unit. The census used this definition and the data generated by the census forms the basis for identifying the household unit.
• Income restoration - means re-establishing income sources and livelihoods of PAPs to a minimum of the pre-project level.
• Improvements – structures constructed (dwelling unit, fence, waiting sheds, pig pens, utilities, community facilities, stores, warehouses, etc.) and crops/plants planted by the person, household, institution, or organization.
• Land acquisition - the process whereby a person involuntary loses ownership, use of, or access to, land as a result of the project. Land acquisition can lead to a range of associated impacts, including loss of residence or other fixed assets (fences, wells, tombs, or other structures or improvements that are attached to the land).
• Project Affected Persons (PAPs) - includes any person or entity or organization affected by the Project, who, on account of the involuntary acquisition of assets in support of the implementation of the Project, would have their (i) standard of living adversely affected; (ii) right, title or interest in all or any part of a house and buildings, land (including residential. commercial, agricultural, plantations, forest and grazing land) water resources, fish ponds, communal fishing grounds, annual or perennial crops and trees, or any other moveable or fixed assets acquired or possessed, in full or in part, permanently or temporarily; and (iii) business, profession, work or source of income and livelihood lost partly or totally, permanently or temporarily.
• Rehabilitation - the process by which displaced persons are provided sufficient opportunity to restore productivity, incomes and living standards. Compensation for assets often is not sufficient to achieve full rehabilitation.
• Replacement cost - is the method of valuation of assets which determines the amount of compensation sufficient to replace lost assets, including any necessary transaction costs. Compensation at replacement cost is defined as follows: For agricultural land, it is the pre-project or pre-displacement, whichever is higher, market value of land of equal productive potential or use Page 5 of 54
located in the vicinity of the affected land, plus the cost of preparing the land to levels similar to those of the affected land, plus the cost of any registration and transfer taxes. For land in urban areas, it is the pre-displacement market value of land of equal size and use, with similar or improved public infrastructure facilities and services and located in the vicinity of the affected land, plus the cost of any registration and transfer taxes. For houses and other structures, it is the market cost of the materials to build a replacement structure with an area and quality similar to or better than those of the affected structure, or to repair a partially affected structure, plus the cost of transporting building materials to the construction site, plus the cost of any labor and contractors' fees, plus the cost of any registration and transfer taxes. In determining the replacement cost, depreciation of the asset and the value of salvage materials are not taken into account, nor is the value of benefits to be derived from the project deducted from the valuation of an affected asset. Where domestic law does not meet the standard of compensation at full replacement cost, compensation under domestic law is supplemented by additional measures so as to meet the replacement cost standard. Such additional assistance is distinct from resettlement measures to be provided under other clauses in OP 4.12, Para. 6.
• Resettlement – is the general term related to land acquisition and compensation for loss of asset whether it involves actual relocation, loss of land, shelter, assets or other means of livelihood.
• Vulnerable Groups - are distinct groups of people who might suffer disproportionately or face the risk of being further marginalized by the effects of resettlement and specifically include: (i) households headed by women, the elderly or disabled, (ii) households living below the poverty threshold, (iii) the landless, and (iv) ethnic groups.
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1 Introduction
1. This document is the Resettlement Policy Framework (RPF) for the Water Supply and Sanitation Project (WSSP or the Project) which is being prepared by the Ministry of Public Works and Transport (MPWT) through the Department of Water Supply (DWS) and Ministry of Health through Nam Saat for possible financing by the World Bank (WB).
1.1 The Project
2. The Project activities will be implemented through the following components:
Component 1: Community empowerment and integrated WASH delivery 1 (a) Implementation of integrated WASH project cycle 1 (b) Water supply infrastructure 1 (c) Capacity building of Department of Water Supply (DWS) for sustainability
Component 2: Community water supply, sanitation and hygiene 2 (a) Monitoring 2 (b) Capacity building of Nam Saat for sustainability of community water supply systems 2 (c) Policy for sanitation and hygiene
Component 3: Implementation support, sector development and coordination 3(a) Project Management Unit 3(b) Component Management Unit
Component 4: Contingency emergency response
1.2 Need for RPF
3. Given the proposed Project activities, the Project will not involve major physical relocation of permanent structure and/or involve major resettlement of peoples. The policy is triggered because the Project may involve minor land acquisition for the new intakes, water treatment plant, raw water transmission pipe, Nam Papa branch office in the emerging towns and pipe distribution system. There is a possibility of impacts related to temporary land acquisition including potential restriction of access. Given that the exact list of such subprojects has not yet been defined, it is necessary to prepare a Resettlement Policy Framework (RPF) in line with the WB safeguard policy on Involuntary Resettlement (OP/BP 4.12). The RPF describes policies and procedures to avoid, minimize or mitigate negative impacts that may result from the Project investments including defining scope of a Resettlement Action Plan (RAP) or an abbreviated RAP1 (ARAP) which will be required when involuntary land acquisition occurs. Need for preparation of RAP or ARAP will be identified during the safeguard screening to be conducted as part of the feasibility study of each subproject. Government and WB approval of RAP/ARAP will be required. The RPF is an integral part of the Environment and Social Management Framework (ESMF) and is included as an annex to the ESMF.
1.3 Project Description Related to OP/BP 4.12
4. Under the Component 1, two types of water supply system will be constructed that will include (i) community-based systems, managed by the communities themselves and supported by a sustainability unit within Nam Saat; and (ii) larger villages, kumban, emerging towns managed by PNPs. The system will include a water treatment plant and raw water transmission line and distribution systems. Most systems will be gravity fed. In some areas groundwater may be used. Interventions will be modified based on the existing water supply and sanitation access levels and the interventions required to bring them to the required service levels
1 In Lao PDR, per the Decree 84/GoL, preparation of a Land Acquisition and Compensation Report (LACR) is needed when the impacts are small and scope of the report is similar to the abbreviated RAP (ARAP) as defined in WB OP/BP 4.12 (as defined in OP/BP 4.12, Annex A). Page 7 of 54
2 Policy, Legal, and Institutional Settings
2.1 National Legal and Regulatory Framework
5. The key legislation and policies of the Government of Lao PDR relevant to social safeguards for the Project include the following. • Lao PDR Constitution, dated 1991, describing very generally among others the (a) socio-economic system, (b) fundamental rights and duties of citizens, (c) local administrations, and (d) judicial organs.
• Lao National Land Law, dated 2003, including among others (a) defining land use and land ownership, (b) describing land tenure system, (c) providing the regulation framework for compensation of land but also including relocation of people that are affected by development schemes.
• Lao National Road Law dated 1999, including among other (a) describing public roads and road activities, (b) defining management and land use for roads, (c) water supply pipelines must be laid outside the road limit of National, Provincial, District or Rural Roads outside of designated urban areas. For example, in districts where the water supply pipeline will be laid along national roads outside of the urban area, the pipeline must be laid no closer than 25m to the road centerline, notwithstanding that the road formation is only 20m wide. i.e. the water supply pipeline must be located at least 15m from the edge of the road. Only in special circumstances does the Road Department of MPWT (which is the authority for National Roads) give permission for pipelines outside of urban areas to be laid within the road limits. Where permission is not given, pipelines usually have to run in the fields alongside the road, not within the road limits.
• Decree No.192/PM of the Prime Minister, dated 7 July 2005, concerning the compensation and resettlement of people affected by development projects. This decree has been replaced by a new improved Decree No.699/PMO of the Prime Minister Office 12 March 2010 on Compensation and Resettlement of Development Projects. Decree No. 84 dated 05/04/2016 on Compensation and Resettlement Management in Development Project is meant to replace the Decree No. 192.
• Decree No. 84 provides principles, regulations and standards on the management, monitoring of compensation of losses and the management of resettlement activities in order to properly and effectively implement development projects with the aims to ensure that the affected people are compensated, resettled and are assisted with permanent livelihood alternatives leading to improving of living conditions to be better off or to be at the same level as they were before as well as to ensure that the projects can contribute to the socio-economic development of the nation in sustainable manners.
• Implementation Guideline for the Decree of the Prime Minister on Compensation and Resettlement of People Affected by Development Projects (No.2432/STEA, dated 11 November 2005), are currently assumed remaining valid and to be applied.
• Public Involvement Guideline by MONRE, 2012
• Ministerial Instruction No. 8030/MONRE on Environmental and Social Impact Assessment (ESIA) and Initial Environmental Examination (IEE) of Investment Project (2013)
• The Law on Handling of Petitions (Grievance Redress) No 035/President, revised and approved in 2015 provides objectives, principles and process of applying and handling different types of grievance, petition and complaints that may be raised PAPs by or those who believe they are PAPs. The Law on Handling of Petitions, which has superseded the old version dated November 5, 2005 applies and protects rights and interest of all citizens and entities, state organizations, community and individuals with the aim to ensure justice, social security and order.
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2.2 World Bank Policy on Involuntary Resettlement (OP/BP 4.12)
6. The OP/BP 4.12 is triggered for this Project. It requires that all investments and activities financed under the Project comply with the policy whether or not they are directly funded in whole or in part by the World Bank funds. The OP/BP 4.12 provides essential guidance on objectives and principles that are applicable in projects generating land acquisition and resettlement-related impacts. Key objectives and definitions are as follows:
• Every reasonable effort will be made to avoid or minimize the need for “land acquisition”, and to minimize all resettlement-related adverse impacts. If land acquisition and associated adverse impacts cannot be avoided, the principle objective of the RPF is to ensure that all persons subjected to adverse impacts (“displaced persons”) are compensated at “replacement cost” for lost land and other assets and otherwise provided with any “rehabilitation” measures or other forms of assistance necessary to provide them with sufficient opportunity to improve, or at least restore, their incomes and living standards.
• The definitions on “displaced persons”, “replacement cost”, “land acquisition”, “rehabilitation”, and “cut-off-date” provided in this report will be used.
7. The WB policy on Public Consultation and Information Disclosure (OP/BP 17.50), which defines the Bank’s requirements for giving the public access to project information and documentation, will also apply.
2.3 Key Differences in Lao PDR Law and World Bank Policies
8. Laws of Lao PDR address most requirements of WB’s Involuntary Resettlement Policy (OP/BP 4.12. The main objective of the project in relation to land acquisition is to the PAP and PAH to restore their livelihoods, at least, to the level equal to their pre-project level. However, definition of severely affected APs varies between World Bank’s policy at 10% and the Government’s Decree 192/PM (Article 8) at 20% of productive and/or income generating assets affected. The provisions of resettlement policies for other projects that have been agreed between Government and international donors (ADB and World Bank), the definition of severely affected – as people losing 10% or more of their productive or income generating assets – will be adopted as part of the Project’s resettlement. Detailed gap analysis between World Bank (OP/BP 4.12) and the Decree 84/GoL is summarized Table 1-1.
Table 2-1: Gap between Lao PDR 2016 Decree 84 on Compensation and Resettlement of People Affected by Development Projects and the World Bank Involuntary Resettlement Policy (OP/BP 4.12)
Subject Compensation and WB OP/BP 4.12 Gap/project measures resettlement decree No. 84/GoL (2016) I. Land Property 1.1 Policy PAPs are compensated and PaPs should be assisted OP 4.12 Policy Procedures objectives assisted to improve or in their efforts to improve will be applied. maintain their pre-project their livelihoods and Cash compensation at incomes and living standards, standards of living or at replacement cost for land and and are not made worse off least to restore them, in structures will be paid without than they would have been real terms, to pre- deduction for depreciation or without the project displacement levels or to salvageable materials. levels prevailing prior to Also – income additional the project, whichever is payments will be made to higher restore incomes, crops, trees as well as moving costs 1.2 Support PAP who do not have legal Financial assistance to all OP 4.12 Policy Procedures for AHs with land title, land use certificate project affected persons will be applied. no legal or other acceptable to achieve the policy possession of documentation indicating their objective (to improve their PAPs who do not have legal land they are land use right, including livelihoods and standards title, land use certificates or
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Subject Compensation and WB OP/BP 4.12 Gap/project measures resettlement decree No. 84/GoL (2016) occupying customary and traditional land of living or at least to other acceptable use right, only provides the restore them, in real documentation certificates or right to claim compensation terms, to pre- other acceptable for their lost assets such as displacement levels or to documentation indicating their house/structures, trees and/or levels prevailing prior to land use right will still be crops, and not land. the project, whichever is entitled to Financial higher assistance to achieve the objective of the involuntary resettlement policy (to improve their livelihoods and standards of living or at least to restore them, in real terms, to pre- displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher).
Vulnerable PAPs will receive special assistance. 1.3 PAP who do not have legal Compensation at full cost OP 4.12 Policy Procedures Compensation land title, land use certificate for all structures will be applied. for illegal or other acceptable regardless of legal status structure documentation indicating their of the PAP’s land and Compensation at full land use right, including structure. replacement cost will be given customary and traditional land for all structures affected, use right, only provides the regardless of legal status of right to claim compensation the land and structure. for their lost assets such as Provide moving allowance house/structures, trees and/or based on structure types. crops, and not land. II. Compensation 2.1 Methods Article 2: Compensation for lost OP 4.12 Policy Procedures for land and other assets will be applied. determining The compensation shall be in should be paid at full compensation the form of land, material or replacement cost rate money for the land, Land valuation: agricultural products, livestock • Land value obtained and incomes that are affect by from village heads development projects based • Land value obtained on compensation value. from those who recently sold their land Article 4: prior to the feasibility Compensation value means study the value calculated in the Lost structures valuation: form of material, money or • Market price of land, constructed facilities, replacement materials agricultural products, livestock • Labor costs for and incomes which have been dismantling affected by development • Labor costs for projects rebuilding/fixing • Transport costs for Article 9: relocation Project owners, in collaboration with the committee for compensation Appraised by the Consultant and resettlement at the local for full replacement costs level, must estimate the value for compensation for land, constructed facilities, crop products, livestock and potential incomes and organize consultations with affected people by selecting Page 10 of 54
Subject Compensation and WB OP/BP 4.12 Gap/project measures resettlement decree No. 84/GoL (2016) the right and appropriate options based on prices applied by the state, market prices or average prices applicable for period of compensation and based on the types of properties and locations.
The prices applied by the state (middle prices) are the prices specified in a separate regulation which are identified and regulated by the Ministry of Natural Resources and Environment from time to time.
2.2 Article 9: Loss of income sources Loss of income will be minor Compensation should be compensated and it is expected to be during Provision of agriculture land in for loss of (whether or not the the pipe lay out in the appropriate ways including the income affected persons must emerging towns due to access creation of new livelihood sources or move to another location) constraint and thus: options and stable income means of generation activities and livelihood Loss of income of shops promotion of local during pipe lay out: crafts/industry in addition to • Daily net income multiply agricultural production by number of days of activities for the affected business disruption. people.
2.3 Article 13: Provision of livelihood The disruption is expected to Livelihoods restoration and be minor, income restoration restoration In parallel with the assistance to achieve the will be addressed on a case and establishment of resettlement policy objectives by case basis, with additional assistance plan as prescribed in article payments being made to 10 of this decree, the project restore incomes and owner must coordinate with livelihoods to pre- the compensation and displacement rates settlement committee at the local level to collect information on livelihood and income generation matters of the affected people in details to establish the livelihood rehabilitation plan to contribute to the management and monitoring social and environmental impacts within the project development framework.
2.4 Participation in planning OP 4.12 Policy Procedures Article 5: Consultation and implementation, will be applied. The compensation and and disclosure specially confirming the resettlement shall be carried eligibility criteria for Once specific civil works out in compliance with the compensation and subprojects have been following principles: assistance, and access to identified, PAP will be • Protection of the rights grievances redress consulted for the project and and legitimate benefits of mechanisms encouraged to participate in affected people; the consultation meetings, in • Ensure equality, order to ensure they clearly correctness, understand the Project and its Page 11 of 54
Subject Compensation and WB OP/BP 4.12 Gap/project measures resettlement decree No. 84/GoL (2016) transparency, compensation policies. disclosure and Continued consultation and fairness; participation will be conducted • Ensure implementation of the coordination, consultation and subprojects. participation between the project owner, AP, state agencies and other relevant stakeholders III. Grievance Redress Mechanism 3.1 Article 23: Grievance redress Grievances from PAP and Procedures mechanism should be PAHs in connection with the In case the affected view that for recording under Government implementation of the the project owner does not and Officials Responsibilities RAP/ARAP will be handled comply with the plan for processing for handling grievances through negotiation with the compensation, resettlement grievances with clear procedures for aim of achieving consensus. and rehabilitation of people’s recording and processing Complaints will go through livelihood in accordance with grievances three stages before they may this decree or other related be elevated to a court of law plans that affect their as a last resort. interests, they are entitled to
request to related authorities to solve the request(s) according to the procedures stipulated in paragraph 1, article 24 of this decree. IV. Monitoring & Evaluation Internal and external Internal: the PMU in close Article 27: independent monitoring coordination with District are required Grievance Committee will The project owner must set up conduct internal monitoring on a management unit of resettlement implementation. compensation and The monitoring will include resettlement to take charge of progress reports, status of the monitoring and examination RAP/ARAP implementation, by himself other than other information on location and parties. The unit is obliged to numbers of people affected, make reports to the state compensation amounts paid audit-inspection organizations by item, and assistance concerning the monitoring and provided to PAHs. The report examination of the of monitoring results will be implementation of the plan for prepared by PMU and compensation, allocation and submitted to DWS and WB on relocation, and rehabilitation a quarterly basis. of people’s livelihood of the External: An independent development project as external monitoring will be stipulated in the overall plan, recruited for clearance of at each period. compensation prior to construction of the each subproject and an annual monitoring of the implementation of the RAP/ARAP and compliance with this RPF.
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3 Potential Project Impacts
3.1 Social Background
11. Environment and social background of the Project provinces is presented in ESMF Annex 5 and key information on social aspects is highlighted as follows:
• XiengKouang (XK): The province (15,880 km2) is located in the north east of the country on the XK Plateau which is a large area of level land in the country. The province is mountainous and borders with BKX, Vientiane Province, Luang Phabang, Houaphan, and Vietnam. The area is characterized by rolling hills and grassland at altitude averages 1,300 meters (m) including the country's highest peak, PhouBia (2,820 m) and a Plain of Jars (located in the plateau's center). Nam Et-Phou Louey is an important national protected area. The province comprises 07 districts (Paek, Kham, Nonghed, Khoune, Morkmai, Phoukoud, and Phaxay) with a total population (in 2014) was 231,254 including 113,809 women. XK has 3 main ethnic communities Lao Loum (Tai Dam,Tai Daeng, Tai Phuan), Khmu, and Hmong. Tai Dam,Tai Daeng, and Tai Phuan belong to the Lao-Tai linguistic family (Laos majority), comprising over 50% of the total population in the province. XK is one of the main maize producing areas of Laos and is famous for tourism development. The main centre for trade and tourism is Phonsavan (capital) in Paek district. There are many important landmarks and tourism spots (for natural, cultural, and historical sites) in the province. The Plain of Jars archaeological site is the most prominent and popular sites (it has been proposed for listing in UNESCO world heritage site).
• Houaphan (HP): This mountainous province (17,363 km2, about 700–1,800 m above sea level) is located in the north-eastern part of the country about 650 km from Vientiane Capital. The province is bordered by Vietnam, XK, and Luang Phabang. Most of the terrain especially on the western side is rugged with dense mountainous forest with a small area of flat land (6% of total area). HP has two national protected areas (Nam Et-Phou Louey and Nam Xam). HP comprises 8 districts (Xam Neua, Xiengkhor, Viengthong, Viengxay, Houa Meuang, Xam Tai, Sop Bao, and Et, Kuan, Xone), 717 villages, 47,310 households and Xam Neua is the provincial capital. In 2014, the total population is 291,473 with 142,737 women. There are 9 ethnic communities i.e. Lao or Lao Tai, Hmong, Khmu, Lao Fong, Singmoun, Iumien or Yao, Moy or Meuang, and Chin or Hor. HP is one of the poorest in Lao PDR. However, local livelihoods have been improved. National Road #6 is the main road running through the province. The province is famous for tourism especially regarding to ethnic culture and handicrafts.
• Oudomxay (ODX): The province (15,370 km2) borders China and five Lao provinces (Phongsaly, Luang Phabang, Xayabouly, Bokeo, and Luang Namtha). The province is mountainous, between 300–1,800 m above mean sea level, and the Upper Lao Mekong Important Bird Area (IBA) (10,980 ha) is an important protected area. The province comprises 07 districts (Muang Xay, Muang La, Namo, Nga, Pak Beng, Houne, and Beng) and a population of about 265,128 (in 2005). There are about 14 different ethnic communities comprising mainly Khmu (60–80%), Lao Loum (25%), and Hmong (15%). Other ethnic communities include Akha, Phouthai, Phou Noy, Lao Houy, Phouan, Ly, Yang, Ikho and Ho. Most mountainous area has limited road access and economic development. About 40,000 ha of land are cultivated and rice is the main crop (other crops are corn, soybeans, fruits, vegetables, cassava, sugarcane, tobacco, cotton wool, tea and peanuts). In the province, most people still practices subsistence agriculture using mainly "slash-and-burn" agriculture (often linked with growing mountain rice) while limited cultivable areas in the lowlands are irrigated by natural rainfalls. Corn, onions, watermelons and tobacco are exported. About 40,000 ha of land are forested or used as meaDWSs for livestock. According to estimations of the IUCN, approximately 12% of Oudomxay forests are primary forests, 48% secondary forests. For the population, the forests are not only source of wood, but also contribute to family incomes providing fruits, herbs and meat. It is also common that Lao cultivable land is rented to Chinese, which then is tilled by Chinese migratory labours.
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• Phongsaly (PSL): Phongsaly (16,270 km2) is located in the northern end of Lao PDR. It is a mountainous province (about 700–1,800 m above sea level). The province borders China, Vietnam, and two Lao provinces (Luang Phabang and Oudomxai). About 77% of the land area is covered with forest. Key protected areas include Phou Dene Din and Nam Lan. The province comprises 7 districts (Phongsaly, May, Khoua, Samphanh, Boun Neua, Yot Ou, and Boun Tay) with a total population (in 2014) of about 291,473 with 142,737 women. The northernmost district of the province is Yot Ou (about 25,000 peoples) spread over 98 villages made up of 11 ethnic communities. Near the Lao-Chinese Border (checkpoint at Lan Tui) there are 13 minority ethnic communities with independent language and culture identity (Khmu, Tai Dam, Tai Daeng, Yao, Leu, Hor, Hmong, Akha, Yang, Bid, Lolo and others). Each group has its own practices in respect to marriage customs as well as specific handicrafts, silverware and jewelly. Agriculture is the main source of income of the people of the province. Phongsaly is the primary trade gateway between Laos and China, exporting lumber and importing several types of finished goods. There are also several Chinese manufacturing companies in the province, along with other foreign investments including for energy sector (mini hydro-power projects with pico-turbines in 24 villages). In spite of government ban on opium poppy cultivation, Phongsaly has the maximum number of districts below the poverty line, and is one of the major opium producing provinces in the country. There is a program to reduce opium growing. There are important landmarks and tourism spots in the province.
4 Risks and Potential Impacts
12. The Project will not involve major physical relocation of permanent structure and/or involve major resettlement of peoples and this has been explicitly included in the list of ineligible activities (see “negative list” in ESMF Annex 4). The policy is triggered because the Project may involve land acquisition for the construction of raw water intakes, water treatment plants, storage tanks or towers, and pumping stations; new pipe laying or pipe replacement (usually along road alignments); and construction of public sanitation facilities that may result in the permanent loss of small areas of land; minor damage to structures, crops and trees, and temporary loss or disruption of the use of land or other assets caused by construction works and the movement of construction plant and materials to and from work sites. Few, if any, households will need to be physically displaced or will lose 10% or more of their productive assets and therefore be severely affected according to World Bank criteria. Some businesses and households, especially those located close to roads where pipes will be laid, may be temporarily affected. Since the Project will finance small scale water supply system, therefore the risk related to involuntary resettlement and land acquisition is considered “low”. Key principle and process are presented in Section 5 below.
5 Strategy for Compensation and Mitigation of Project Impacts
13. This section provides general details on RPF objectives and key principles to be applied to the Project. To ensure that the loss of private assets including, but not limited to, private land will be avoided, minimized or fully mitigated, the RPF describes the objectives and key principles in line with OP/BP 4.12 taken into account the requirements of Decree 192/PM. The RPF describes a process whereby communities are consulted on, and can meaningfully participate in, the planning and decision making activities when land acquisition and/or relocation of assets will be necessary. Issues that are likely to be identified include the loss of land, assets, and/or income due to improvement of the water supply system and sanitation. Preparation of RAP or ARAP will be required.
14. The RAP/ARAP ensures that any such potential impacts are minimized, and that any persons affected by such impacts are provided ample opportunity, through provision of compensation or other forms of assistance, to improve or at least restore their incomes and living standards.
5.1 Policy Objectives
15. Main objective of the RPF is to ensure that all persons subjected to adverse impacts (displaced persons or PAPs) are compensated at replacement cost for lost land and other assets and otherwise provided with any rehabilitation measures or other forms of assistance necessary to provide them with sufficient opportunity to improve, or at least restore, their incomes and living standards. Given the nature of the Project activities which will be limited to water supply and sanitation maintenance/rehabilitation and Page 14 of 54
minor specific areas may need land acquisition and/or compensation to improve water supply and sanitation, compensation and resettlement policies will be applied to address temporary impacts and RAP or ARAP will be prepared. If there is any inconsistency between the laws and regulations of Lao PDR and this policy framework, the domestic law or regulation shall be waived to the extent necessary to achieve RPF requirements and this will be included in the legal document of the Project.
5.2 Key Principles of RPF 16. Basic principles: Both the procedures and principles described in the GoL’s Decree 84/PM on the Compensation and Resettlement of People Affected by Development Projects (2016) and the WB Operational Policy on Involuntary Resettlement (OP/BP 4.12) will be applied, however with an adoption of the 10% definition of severely affected as discussed above. In this regard the following principles and objectives would be applied:
• Acquisition of land and other assets will be minimized as much as possible; resettlement of people and structure demolition of homes and business will not be allowed unless WB prior clearance is provided.
• Project Affected Persons (PAPs) are all households who are identified in the Project impacted areas on the date of the Detailed Measurement Survey (DMS). They are entitled to be provided with rehabilitation measures sufficient to assist them to improve or at least maintain their pre- project living standards, income earning capacity and production levels. Lack of legal rights to the assets lost will not bar the PAP from entitlement/compensation to such rehabilitation measures.
• The rehabilitation measures to be provided are: (i) cash compensation at replacement cost without deduction for depreciation or salvage materials for houses and other structures; (ii) agricultural land for land of equal productive capacity acceptable to the PAP ; (iii) replacement of residential and commercial land of equal size acceptable to the PAP; (iv) and transfer and subsistence allowances.
• Replacement residential and agricultural land will be as nearby as possible to the land that was lost, and acceptable to the PAP. Plans for acquisition of land and other assets and provision of rehabilitation measures will be carried out in consultation with the PAPs, to ensure minimal disturbance. The compensation and rehabilitation activities will be satisfactorily completed before awarding of contract of civil works under each sub-project
• The sources of funding for the compensation and rehabilitation of PAPs will be funded as follows: compensation for productive, residential and commercial land will come from the village land or neighboring villages through the approval of the responsible Government Agency, and cash compensation for structures, trees, crops, income loss and rehabilitation assistance will come from the provincial counterpart fund in the Project.
17. Voluntary Donation: OP/BP 4.12 does not encourage voluntary donation. However, community members have the right to make a contribution of their land or other assets, without seeking or being given compensation as suggested in the CR Decree 192/PM. This can often be justified because the subproject can improve water supply as well as sanitation and hygiene conditions of the affected people. Voluntary contribution is an act of informed consent. The Project must assure that voluntary contributions are made with the prior knowledge on the part of the person who would donate assets that other options are available, and are obtained without coercion or duress. Voluntary donation is allowed only if the criteria and procedures provided below are followed.
18. Under this Project, voluntary donation will not be applied except for very minor losses of assets. For small strips of land, the following criteria will be strictly complied with: the PAPs total land area is not less than 300 m2; if the PAPs total land area is more than 300 m2, the strip of land that can be donated cannot be more than 5% of the total land area; and there are no houses, structures or fixed assets on the affected portion of land.
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19. Where voluntary donation is applied, documents which show (i) that the affected people are aware that they are entitled for compensation and (ii) that all applicable criteria mentioned above are met, and (iii) which are signed by both husbands and wives of the affected households, should be kept in the project file. Also, where voluntary donation is applied, the following procedures and requirements need to be followed:
• The document showing the informed consent for asset donation (signed by both husband and wife) should be prepared in a manner that is legally accepted under the current relevant law of Lao PDR; • Full disclosure of the RPF and consultation with project affected persons should be conducted prior to the signing by affected parties of the documents mentioned above, in order to ensure that they clearly understand the compensation/ assistance that they are entitled to as per project’s RPF; • Feedback and Mediation mechanisms of the project should apply; and • Assets of the poor and vulnerable households should not be acquired as per voluntary donation.
20. Compensation and rehabilitation measures under the Project: Persons affected under the Project are entitled for the following list of compensation or rehabilitation measures:
• Replacement of land with an equally productive plot or other equivalent productive assets; or • The cash compensation based on replacement value; and • Materials and assistance to replace fully solid structures that will be demolished; and • Replacement of damaged crops, at market value; and • Special assistance or allowance to vulnerable / poor affected HHs; and • Other acceptable in-kind compensation.
21. Relocation and Income Restoration Strategy: Relocation of permanent houses and/or people will be avoided. In an unlikely event that minor physical relocation is unavoidable, affected households that have to relocate will participate in identifying and selecting options to relocate on their existing plots, or to move to plots provided by the district or to receive cash compensation and to make their own arrangements for relocation. In the case that any businesses have to relocate, they will be assisted to find viable new sites. Households who are severely affected through the loss of 10% or more productive assets will be provided with replacement land or assisted to purchase replacement land. PAPs will also be provided with farm inputs to increase productivity on remaining land and/or replacement land. Given the nature of small works, livelihood restoration program is not expected. PAPs will not be displaced until the village allocates land within the same or neighboring village.
22. Vulnerability, Gender, and Ethnicity: The RPF recognizes that certain social groups may be less able to restore their living conditions, livelihoods and income levels; and therefore, at greater risk of impoverishment when their land and other assets are affected. The Project will identify any specific needs or concerns that need to be considered for the ethnic groups and other vulnerable groups such as landless, poor, and households headed by women, disabled, elderly or children without means of support. Ethnic group specific actions, as needed, in line with the Ethnic Group Development Framework (EGDF) will be included in the Resettlement Action Plan (RAP/ARAP). Gender integration will be considered during the planning and implementation of the ESMF, RPF, and EGDF processes.
5.3 Preparation and Approval of RAPs/ARAPs
23. Once it is determined that land acquisition or any associated impacts is essential to complete any subproject activities, and once siting criteria establish the land area to be acquired, resettlement planning should begin. The project owner (PMU/DWS) will carry out, or cause to be carried out, a census survey to identify and enumerate all displaced persons, and a socioeconomic survey to determine the range and scope of adverse impacts in the affected area. The census survey must cover 100% of the persons to be displaced; the socioeconomic survey may be undertaken on a sample basis. The surveys, which may be undertaken separately or simultaneously, determine whether a RAP or ARAP is necessary. When the number of persons affected exceeds 200, a full RAP is necessary. Where impacts on all displaced persons are relatively minor, or fewer than 200 people are affected, an ARAP may be prepared. Impacts
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are considered “minor” if the affected people are not physically displaced and less than 10% of their productive assets are lost.
24. If a RAP is necessary, it will be prepared in accordance with the policy principles and planning and implementation arrangements set forth in this RPF. The RAP is based on accurate baseline census and socioeconomic survey information, and establishes appropriate mitigation measures (e.g., compensation for assets, transitional assistance, and economic rehabilitation assistance) as appropriate for all categories of adverse impacts. Depending on the categories of impacts, the RAP specifically addresses the following:
• description of the activity causing land acquisition; • range and scope of potential adverse impacts; • socioeconomic survey and baseline census survey information including livelihood impacts; • review of relevant laws and regulations relating to land acquisition and resettlement; • specific compensation rates (or alternative measures) for all categories of affected assets; • other measures, if any, necessary to provide opportunities for economic rehabilitation of displaced persons; • eligibility criteria for compensation and all other forms of assistance; • relocation arrangements, if necessary, including transitional support; • site selection and site preparation, if necessary; • restoration or replacement of community infrastructure and services; • organizational arrangements for implementation; • consultation and disclosure arrangements; • resettlement implementation schedule; • costs and budget; • monitoring arrangements; • grievance procedures; and • summary entitlements matrix.
25. If an abbreviated RAP (ARAP) is to be prepared, it also must be based on principles and planning and implementation arrangements established in this RPF. An abbreviated RAP normally includes the following contents:
• a census survey of displaced persons, valuation of assets, and livelihood impacts; • description of compensation and other resettlement assistance to be provided; eligibility criteria; • consultation and disclosure arrangements; • organizational arrangements for implementation • timetable and budget; • monitoring arrangements; and • grievance procedures.
26. Any RAPs or ARAPs prepared in accordance with this RPF must be reviewed and approved by the Bank prior to awarding of contracts for the civil works causing the displacement.
5.4 Entitlement Policy
27. All displaced persons are eligible for compensation and/or other forms of assistance, as relevant to the nature of impacts affecting them (see details in Appendix 2). In general, people eligible for compensation would include those affected in the following ways:
• Land to be permanently acquired for the Project: This includes a) owners with formal legal title, b) land users eligible for formal legal title under Lao PDR law, and c) those residing on, or using, state land prior to an established cut-off date, usually the date of public notification regarding the specific civil works activity that would cause displacement. Displaced persons in categories a) and b) are entitled to compensation at replacement cost. In lieu of formal compensation, displaced persons in category c) are provided with alternative forms of assistance, in value equivalent to replacement cost.
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• Loss of houses, other structures and fixed assets, including trees and standing crops: Owners of houses and other assets (regardless of whether they hold land title or building permits for structures erected prior to the cut-off date).
• Losses associated with temporary impacts: This includes temporary loss of land, and transitional costs associated with moving, or disturbance to businesses during construction.
28. Specifically, displaced persons will be entitled to the following types of compensation and rehabilitation measures:
(1) Displaced persons losing agricultural land:
a) The preferred mechanism for compensation of lost agricultural land will be through provision of replacement land of equal productive capacity and satisfactory to the displaced person. If satisfactory replacement land cannot be identified, compensation at replacement cost may be provided.
b) Displaced persons will be compensated for the loss of standing crops at market price, for economic trees at net present value, and for other fixed assets (ancillary structures, wells, fences, irrigation improvements) at replacement cost.
c) Compensation will be paid for temporary use of land, at a rate tied to duration of use, and the land or other assets will be restored to prior use conditions at no cost to the owner or user.
(2) Displaced persons losing residential land and structures
a) Loss of residential land and structures will be compensated either in-kind (through replacement of house site and garden area of equivalent size, satisfactory to the displaced person, or in cash compensation at replacement cost.
b) If after partial land acquisition the remaining residential land is not sufficient to rebuild or restore a house of other structures of equivalent size or value, then at the request of the displaced person the entire residential land and structure will be acquired at replacement cost.
c) Compensation will be paid at replacement cost for fixed assets.
d) Tenants, who have leased a house for residential purposes will be provided with a cash grant of three months rental fee at the prevailing market rate in the area and will be assisted in identifying alternative accommodation.
(3) Displaced persons losing business
a) Compensation for loss of business will involve, as relevant: (i) provision of alternative business site of equal size and accessibility to customers, satisfactory to the displaced business operator; (ii) cash compensation for lost business structures: and (iii) transitional support for loss of income (including employee wages) during the transition period.
(4) Infrastructure and access to services
Infrastructure (such as water sources, roads, sewage systems or electrical supply) and community services (such as schools, clinics or community centers) will be restored or replaced at no cost to the communities affected. If new resettlement sites are established, infrastructure
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and services consistent with local standards will be provided at no cost to the relocated persons.
5.5 Rehabilitation Measures
29. Compensation may be sufficient to allow displaced persons to restore incomes if paid at replacement cost, assuming that replacement assets are available. Often, however, resettlement may require displaced persons to obtain new skills required for resuming production in a new environment, or to pursue new sources of income. The RAP/ARAP should assess the significance of impacts to be imposed on displaced persons, and provide measures to assist those significantly affected in adapting to new livelihood challenges. Terms for participation in such measures, including training, extension services, or employment, along with responsibility for providing them, should be specified in the RAP/ARAP.
5.6 Consultation and Information Disclosure
30. Once specific civil works subprojects have been identified, PAP will be consulted for the project and encouraged to participate in the consultation meetings, in order to ensure they clearly understand the Project and its compensation policies and thus to minimize the occurrence of grievances. However, during actual work, some problems may occur.
31. To promote active project engagement and adaptation to changed living circumstances, displaced persons should be provided with opportunities to participate in planning and implementation. At minimum, displaced persons should be consulted on preferences and concerns during the resettlement planning process. All displaced persons are to be informed regarding potential impacts and proposed mitigation measures, including compensation rates. The RAP/ARAP will be disclosed, in a manner and location accessible to displaced persons while in draft, and subsequently disclosed again following finalization.
6 Implementation Arrangement
32. The RAP/ARAP reviews organizational arrangements, to ensure that implementation procedures are clear, that responsibility is clearly designated for provision of all forms of assistance, and that adequate coordination among all agencies involved in RAP/ARAP implementation is assured. The RAP/ARAP must include a detailed implementation schedule, linking the project construction timetable to resettlement- related activities. The implementation timetable should establish that compensation (in cash or in kind) should be completed at least one month prior to initiation of civil works, and at least three months before residential structures are demolished. This section present responsible entities, budget, monitoring and evaluation, and grievance redress mechanism (GRM).
6.1 Responsible Agencies
33. The project will finance the establishment of a project management unit (PMU) under DWS and district project offices or project implementation unit (PIU) as well as CMU under Nam Saat/DoH. These will be supported by a technical team of consultants for overall project management, monitoring of implementation, outputs and outcomes, and technical and financial reporting for sustainable WASH, capacity building, institutional strengthening, social and environmental safeguards and community empowerment. The PIU (DPWT) will be responsible for preparation of RAP/ARAP in close consultation with PMU (DWS). A District Resettlement Committee (DRC) will be established in the district when the subproject will involve land acquisition and/or compensation. Organization chart for the resettlement and compensation process for subproject is provided in Appendix 5.
34. DWS will be responsible for monitoring and reporting of implementation every 6 months and prepare six month and annual safeguard monitoring reports on RAP/ARAP implementation. PMU will provide training to PIU/DPWT, CMU/DoH and the DRC as needed.
35. IF RAP is required, to ensure timely implementation of RAP, at subproject level, PUI/DPWT will nominate a resettlement coordinator to be responsible for day-to-day planning and implementation as well as to assist the District Resettlement Committee (DRC), the Village Resettlement Committees (VRC), and the relevant line departments as needed. Key roles of these committees are highlighted below.
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36. District Resettlement Committee (DRC): The Resettlement Committee of relevant districts governments are led by the relevant vice district governors, and composed of officials from relevant line offices (i.e., OPWT, Financial Office, District Land Management Office, Natural Resource and Environmental Office). The major responsibilities of the DRC are as follows:
• Participate in project impact investigation and assist the compilation of resettlement plan; • Organize public participation and publicize resettlement policies; • Implement, monitor and record the resettlement activities within its town; • Pay and manage land compensation fund; • Supervise the land acquisition process; • Report land acquisition compensation and resettlement situation to PRC; • Coordinate and solve any conflict and problem during the process.
37. Village Resettlement Committees (VRC): The resettlement committees of the affected villages are composed of the village chiefs, deputy chiefs, village elders/traditional leaders and PAP representative. Their responsibilities are as follows:
• Participate in social, economic and project impact survey; • Organize the public consultation and publicize land acquisition compensation policies; • Conduct land adjustment and allocation and other resettlement-related activities; • Report affected people’ opinions and suggestions to the superior authorities; • Acting as “first step” grievance officers and ensure that grievance are resolved; • Report the progress of resettlement; and • Provide help to vulnerable people affected by the land acquisition.
38. Relevant Line Departments: Under the national regulations, resettlement and land acquisition are the responsibility of the project owner (MPU/DWS/MPWT) and subproject owners (PIU/DPWT). As the project owner, PMU will play a major role in monitoring and coordination, including:
• Organize resettlement training for the resettlement coordinators and members of DRCs and VRCs; • Organize and coordinate the development and implementation of RAPs; • Guide, coordinate and supervise the resettlement activities and resettlement schedule; • Organize and check the internal monitoring activities, and compile land acquisition compensation and resettlement progress report; and • Identify the external monitoring organization and assist the external monitoring activities.
6.2 Cost and Budget
39. Each RAP/ARAP will include detailed cost of compensation and other rehabilitation entitlements and relocation of displaced persons, if that be the case, with a breakdown by agricultural land, residential land, business land, houses, businesses and other assets. The cost estimates will make adequate provision for contingencies. The RAP/ARAP will explicitly establish sources for all funds required, and will ensure that fund flow is compatible with the timetable for payment of compensation and provision of all other assistance. The cost for implementation of the RAP/ARAP will be responsible of the provincial or district authorities.
6.3 Monitoring and Evaluation
40. To ensure the smooth implementation of RAP/ARAP and achieve the objective of adequately rehabilitating affected people, the project will carry out resettlement monitoring and evaluation in the whole process of land acquisition, demolition and resettlement. If RAP is required, the monitoring and evaluation consists of two parts: the internal resettlement monitoring and the external resettlement monitoring and evaluation. For ARAP, only internal monitoring will be required.
41. Internal monitoring: The purposes of internal monitoring is to ensure the resettlement organizations at various levels can function soundly during the implementation of RAP/ARAP and ensure the legitimate
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interests of the affected people will not be violated and the engineering work can progress smoothly. The internal monitoring of the project land acquisition, compensation and resettlement work should be organized the PMU/DWS. The PMU will hire the supervision consultants including an environmental and social specialist who will assist on matters related to resettlement and land acquisition. To effectively monitor the work from inside, the personnel responsible for this work in the resettlement organizations will participate in the development and implementation of the RAP/ARAP. They will participate in the internal monitoring during the implementation of the RAP/ARAP. The contents of the internal monitoring include:
• Payment and use of the funds for land acquisition compensation and rehabilitation; • Supports to the ethnic and vulnerable groups; • Land readjustment and reallocation; • Quality and quantity of newly reclaimed land; • Schedule of the above activities; • Implementation of policies and rules in the resettlement plan; • Participation and consultation of the affected people during the RAP/ARAP implementation; • Staffing, training, work schedule and resettlement operation at various levels.
42. External monitoring and evaluation: The external monitoring and evaluation aims to provide regular monitoring and evaluation of resettlement implementation for the Project, in order to assess whether the objectives of the resettlement are achieved or not. Through formal surveys, interview with affected people, focus groups and other survey methods, the external monitoring and evaluation would look at the whole process of the resettlement and rehabilitation for the affected people. The external monitoring will also provide an early alarm system for the project management department and a complaint channel for the affected people. The external monitoring indicators will include:
• Progress: including the preparation of resettlement, and implementation of compensation, relocation and rehabilitation. • Quality: including to what extent the affected people are satisfied with compensation and rehabilitation. • Compensation fund: including the payment and use of the funds for land acquisition compensation and resettlement. • Affected people: including the household economic situation before and after the project and economic rehabilitation of the affected people.
43. A qualified external monitoring organization will come from an independent organization, such as an academic research institute or consultancy in Laos. However they will be selected by DWS to carry out resettlement monitoring and evaluation for the Project. Its major responsibilities include:
• Observe all the aspects of resettlement plan and its implementation; provide resettlement monitoring and evaluation report to the World Bank through the Project Resettlement Office. This responsibility is detailed in the chapter on external monitoring and evaluation; • Develop resettlement action plan and conduct production resettlement planning; and • Provide technical consulting services to the PMU, PIUs and DRCs in terms of data investigation and processing.
6.4 Grievance Redress Mechanism (GRM)
44. A grievance redress and resolution mechanism will be established to resolve grievances and complaints in a timely and satisfactory manner. The objective of the grievance redress mechanism is to resolve complaints as quickly as possible and at the local level through a process of conciliation; and, if that is not possible, to provide clear and transparent procedures for appeal. All affected persons will be made fully aware of their rights, and the detailed grievance redress procedures will be publicized through effective public information. For the purposes of grievance redress and resolution, the Project will rely on the existing village arbitration units. Village arbitration units will be established in subprojects areas that do not yet have existing units. The village arbitration unit generally consists of the village chief and/or deputy chief, village elders and village representatives of the Lao Women’s Union (LWU), Lao Front for National Construction (LFNC), and the police; the unit is responsible for settling disputes between villagers through
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conciliation and negotiation. At the district and provincial levels, the district and provincial resettlement committees that are composed of concerned departments, local officials, village chiefs and mass organizations will act as grievance officers.
45. The grievance mechanism is based on key principles that will protect the rights and interest of project participants; ensure that their concerns are addressed in a prompt and timely manner, and that entitlements are provided in accordance with GoL and Bank safeguard policies. PIU/DPWT will ensure that communities directly affected by the Project have a full understanding of the GRM and ways to access it especially on (i) the concept of compensation for any involuntary acquisition of land and/or assets and (ii) ensuring environmental and social mitigation measures in the ESMP’s are implemented as planned. APs are entitled to lodge complaints regarding any aspect of the environmental and social impacts associated with the Project. The AP’s complaints can be made verbally or in written form to the GRC or, alternatively, raise his/her voice in a public or individual meeting with project staff .
46. The proposed grievance redress procedures during the WSSP can be summarized below:
a. Stage 1: In the first instance, APs will address complaints on any aspect of compensation, relocation or unaddressed losses to the village arbitration unit (VAU) or other designated village grievance officers. The VAU will organize a meeting with the complainants to resolve the issue using its traditional methods of conciliation and negotiation; the meeting will be held in a public place and will be opened to other APs and villagers to ensure transparency. The VAU aims at clarification and amicable solution agreed with the subproject. b. Stage 2: If after 10 days of lodging the complaint, no understanding or amicable solution can be reached or no response is received from the village arbitration unit, the complainant can bring the complaint to the District/Provincial GRC. The District/Provincial GRC will be involved to meet with the complainant and VAU to discuss the complaint, and provide a decision at mutual arrangement within 15 days of receiving the appeal. c. Stage 3: If the AP is still not satisfied with the decision of the PRC, or in the absence of any response within the stipulated time, the complainant can submit his/her grievance to the court of law. The complaint will be lodged with the Court of Law and the decision of the Court will be final.
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Figure 10-1: Grievance Procedures Submission of complaint
Environmental and social impacts
Stage Complainant submits grievance to VGRC. Grievance resolution by Grievance to be VGRC solved at this level solved end - days within -10 day
Stage If grievance cannot be solved by VGRC or Not solved complainant is not satisfied with the resolution s/he can submit grievance to District/Provincial Grievance resolution by solved Grievance District/Provincial GRC end Committee. Grievance must be - days solved within 10-1 days
Not solved
Stage If grievance cannot be solved by VGRC or Court of law complainant is not satisfied with the resolution s/he can submit grievance to the court of law
47. It is recognized that in many cases, APs do not have the writing skills or ability to express their grievances verbally, however, APs are encouraged to seek assistance from the family members, friends, village heads or village unit chiefs to have their grievances recorded in writing and to have access to relevant documentation, and to any survey or valuation of assets, to ensure that where disputes do occur all the details have been recorded accurately enabling all parties to be treated fairly. In the case of verbal complaints, a written record of the complaint will be made during the first meeting with the AP. APs who present their complaints within the prescribed procedures will be exempt from all administrative fees incurred. In addition, APs who lodge complaints and appeals to provincial courts will be provided with free legal representation.
48. Recording and processing of grievances: All submitted complaints and grievances will be entered into a database/project files which will be updated regularly. Each complaint and grievance should be ranked, analyzed and monitored according to type, accessibility and degree of priority. The status of grievances submitted and grievance redress will be reported by PIU/DPWT to PMU/DWS in a monthly report. Right of local authority, mass organization, and/or individual to file the grievance and receive attention will be publicly informed/communicated to the local residents and general public through appropriate media (poster, website, etc.). The GRM procedures to be followed for all subprojects will be printed out in poster and posted at the village halls so that they are easily accessible to all stakeholders and made available by the DPWT. All complaints and resolutions will be properly documented by the concerned resettlement committee and be available for the public and review for monitoring purposes. Page 23 of 54
49. Safeguard monitoring reports will include the following aspects pertaining to progress on grievances: (a) number of cases registered with the Grievance Redress Committee (GRC), level of jurisdiction (first, second, and third tiers), number of hearings held, decisions made, and the status of pending cases; and (b) lists of cases in process and already decided upon may be prepared with details such as name, identification with unique serial number, date of notice, date of application, date of hearing, decisions, remarks, actions taken to resolve issues, and status of grievance (i.e. open ,closed or pending).
50. The Independent External Monitor (IEM) will be responsible for checking the procedures for and resolution of grievances and complaints. The IEM may recommend further measures to be taken to redress unresolved grievances
51. Project affected communities and individuals may also submit their complaints to the WB’s independent Inspection Panel which determines whether harms occurred, or could occur, as a result of WB non-compliance with its policies and procedures. Complaints may be submitted at any time after concerns have been brought directly to the WB’s attention, and Bank Management has been given an opportunity to respond. For information on how to submit complaints to the World Bank’s corporate Grievance Redress Service (GRS), please visit www.worldbank.org/grs. For information on how to submit complaints to the World Bank Inspection Panel, please visit www.inspectionpanel.org.
6.5 RPF Consultation and Information Disclosure
52. The RPF has been developed as part of the ESMF preparation and is an annex 6 to the ESMF. During the preparation of the ESMF, the draft ESMF including draft RPF have been consulted with the local authorities in October 2018. The draft RPF will be translated and disclosed in the MWPT website. The draft RPF will be reviewed by WB and the final RPF will be re-disclosed in the MPWT websites after WB clearance.
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Appendix 1: The Entitlement Matrix
Type of Losses Entitled Entitlements Implementation Issues Persons Productive Land Legal owner or • For marginal loss of 10% of • Legal owners are those who (paddy, garden, occupant land, cash compensation at received land use and Teak identified during replacement cost which is certificates or land titles from Plantation) census and equivalent to the current the Land Titling Project. tagging market value of land within • Voluntary donation will not the village, of similar type, be applied for any assets category and productive except for very minor losses capacity, free from of land holding or small transaction costs (taxes, trees as defined under this administration fees), or RPF • Replacement land of similar type, category and productive capacity of land within or nearby the village, with land title. • If the impacts on the total productive land is 10 % or more, as a priority, replacement land of similar type, category and productive capacity of land within or nearby the village, with land title, if Land Titling Project is ongoing in the area. If not, land use certificate to be issued. OR at the request of PAP, cash compensation at replacement cost plus assistance to purchase and register land
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Type of Losses Entitled Entitlements Implementation Issues Persons Residential Land Legal owner or • With remaining land • Legal owners are those who occupant sufficient to rebuild have land use certificates or identified during houses/structures: (i) Cash land titles from the Land census and compensation at Titling Project. tagging replacement cost which is • Voluntary donation of minor equivalent to the current strips of residential land will market value of land of only be allowed by the similar type and category, Project provided that the and free from transaction following criteria are strictly costs (taxes, administration complied with: (i) the PAP’s fees) and (ii) District total residential land area is government to improve not less than 300 m2; (ii) if remaining residential land at the PAP’s total residential no cost to PAPs (e.g. filling land area is more than 300 and leveling) so PAPs can m2, the strip of land that can move back on remaining be donated cannot be more plot. than 5% of the total land • Without remaining land area; and (iii) there are no sufficient to rebuild houses, structures or fixed houses/structures: (i) assets on the affected Replacement land equal in portion of land. area, same type and • Voluntary donation category, without charge for according to these criteria taxes, registration and land will follow the process in transfer, with land title if accordance with Land Titling Project is World Bank’s Operational ongoing in the area; if not, Policy, which is the same as land survey certificate, OR the Government’s Decree (ii) cash compensation at 84/GoL/2016. replacement cost which is equivalent to the current market value of land of similar type and category, free from transaction costs (taxes, administration fees) plus assistance to purchase and register land.
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Type of Losses Entitled Entitlements Implementation Issues Persons Fishpond Owner of • Cash compensation of • Adequate time provided for (Remaining area affected fishpond affected portion at PAPs to harvest fish stocks is still viable or replacement cost which is • Voluntary donation of can still meet equivalent to the current fishpond land will not be market value of fishpond, expected allowed by the Project. personal or labor and rent of equipment commercial to excavate fishpond, free yield) from transaction costs (taxes, administration fees) • If the currently held fish stocks will not be harvested before the project takes possession of the fishpond, then cash compensation for the projected mature value of fish stock held at the time of compensation. • District government to restore/repair remaining fishpond. If support cannot be provided by the contractor, the PAP will be entitled to cash assistance to cover for payment of labor and rent of equipment to restore/repair fishpond. Totally Affected Owners of • Cash compensation at • Adequate time provided for Houses/Shops, affected houses replacement cost for the PAPs to rebuild/repair their and Secondary whether or not entire structure equivalent to structures Structures land is owned current market prices of (i) • Affected houses and shops (kitchen, rice materials, with no deduction that are no longer viable are bins) for depreciation of the those whose remaining structure or salvageable affected portion are no Partially Affected materials; (ii) materials longer usable/habitable. Houses/Shops transport; and (iii) labor cost but no longer to cover cost for dismantling, transfer and rebuild; and viable (Will require • Timely provision of dump relocation) trucks for hauling personal belongings at no cost to the PAPs. Temporary Use Legal owner or • For agricultural and • The construction supervision of Land occupant residential land to be used consultant will ensure that by the civil works contractor the (i) location and as by-pass routes or for alignment of the bypass contractor’s working space, route to be proposed by the (i) rent to be agreed civil works will have the least between the land owner and adverse social impacts; (ii) the civil works contractor but that the land owner is should not be less than the adequately informed of unrealized income and his/her rights and revenue that could be entitlements as per the generated by the property Project resettlement policy; during the period of and (iii) agreement reached temporary use of the land; between the land owner and (ii) cash compensation at the civil works contractor are replacement cost for carried out. Page 27 of 54
Type of Losses Entitled Entitlements Implementation Issues Persons affected fixed assets (e.g., structures, trees, crops); and (iii) restoration of the temporarily used land within 1 month after closure of the by-pass route or removal of equipment and materials from contractor’s working space subject to the conditions agreed between the land owner and the civil works contractor. Partially Affected Owners of Cash compensation at Houses and affected houses replacement cost for the Shops and whether or not affected portion of structure secondary land is owned equivalent to current market structures prices of (i) materials and labor , with no deduction for (Will not require depreciation of the structure relocation) or for salvageable materials (ii) materials transport, and (iii) cost of repair of the unaffected portion; Loss of business Owners of shops For businesses (shops) cash It will take one day to move income during compensation equivalent to the shops if made of relocation or the daily net income (i.e., traditional materials during 10,000 kip /day) multiplied (bamboo)/movable (can be dismantling/repa by the number of days of carried without totally ir of affected business disruption. dismantling the structure). It portion (without will take about two days to relocation) remove and repair affected portion of shop made of permanent materials (such as good wood and concrete). The rate will be verified through interviews with informal shop owners to get an estimate of daily net profit.
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Type of Losses Entitled Entitlements Implementation Issues Persons Crops and Trees Owner of crops • If standing annual crops are and trees whether ripening and cannot be or not land is harvested, cash owned compensation at replacement cost equivalent to the highest production of crop over the last three years multiplied by the current market value of crops • For perennial crops and trees, cash compensation at replacement cost equivalent to current market value based on type, age, and productive capacity. • For timber trees, cash compensation at replacement cost equivalent to current market value based on type, age and diameter at breast height (DBH) of trees Permanent loss Villagers or village • Compensation at of physical households replacement cost for cultural present/existing structures resources/public based on its present value. structures/village or collective ownerships Graves located in Owners of graves Compensation for the removal, the affected excavation, relocation, areas reburial and other related costs will be paid in cash to each affected family. Electricity Poles Electricity • Cash compensation for cost Companies to dismantle, transfer and rebuild Transition Relocating • Relocating PAPs without subsistence households – any impact on business or allowance relocating on source of incomes will be residual land or provided with cash or in- to other sites kind assistance equivalent Severely affected to 16 kg of rice at current PAPs losing 10% market value for 3 months or more of their per household member productive land • Relocating PAPs with main source of income affected (i.e., from businesses) or PAPs losing more than 10% of their productive land will be provided with cash or in- kind assistance equivalent to 16 kg of rice at current market value for 6 months per household member
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Type of Losses Entitled Entitlements Implementation Issues Persons Transportation Relocating Provision of dump trucks to PAPs may also opt for cash allowance households – to haul all old and new building assistance. The amount (cost other sites materials and personal of labor and distance from possessions relocation site) to be determined during implementation Severe impacts Vulnerable • An additional allowance of 1 The poorest will be those below on vulnerable PAPs such as the month supply of rice per the national poverty line as PAPs poorest, or person in the household. defined in the poverty (Relocating PAPs households • Eligible to participate in partnership agreement and those losing headed by income restoration program with World Bank 10% or more of women, the • The contractors will make all their productive elderly, or reasonable efforts to recruit assets) disabled, and severely affected and
ethnic group vulnerable PAPs as laborers for the civil works
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Appendix 2: Land Acquisition and Resettlement Screening Form
Water Supply and Sanitation Project LAND ACQUISITION AND RESETTLEMENT CATEGORIZATION A. Introduction Each subproject of the Water Supply and Sanitation Project (WSSP) is assigned an involuntary resettlement category depending on the significance of the probable involuntary resettlement impacts.
B. Information on WSSP Subproject
Subproject town / district
Province
Scope of subproject (description of the nature and scope of works)
a) Water supply system
b) Sanitation
c) Other
C. Screening Questions for Resettlement Categorization Initial screening for involuntary resettlement is to be conducted during preparation of the WSSP Feasibility Study for the subproject (based on preliminary engineering design).
Probable Involuntary Resettlement Effects Not Yes No Remarks Known Involuntary Acquisition of Land
1. Will there be land acquisition?
2. Is the site for land acquisition known?
3. Is the ownership status and current usage of land to be acquired known?
4. Will easement be utilized within an existing Right of Way (ROW)?
5. Will there be loss of shelter and residential land due to land acquisition?
6. Will there be loss of agricultural and other productive assets due to land acquisition?
7. Will there be losses of crops, trees, and fixed assets due to land acquisition?
8. Will there be loss of businesses or enterprises due to land acquisition?
9. Will there be loss of income sources and means of livelihoods due to land acquisition? Involuntary restrictions on land use or on access to legally designated parks and protected areas
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10. Will people lose access to natural resources, communal facilities and services?
11. If land use is changed, will it have an adverse impact on social and economic activities?
12. Will access to land and resources owned communally or by the state be restricted?
Information on Displaced Persons2:
Any estimate of the likely number of persons that will be displaced by the Project? [ ] No [ ] Yes If yes, approximately how many?
Are any of them poor, female-heads of households, or vulnerable to poverty risks? [ ] No [ ] Yes Are any displaced persons from indigenous or ethnic groups? [ ] No [ ] Yes
D. Involuntary Resettlement Category After reviewing the answers above, the PIU and District Resettlement Committee agree subject to confirmation, that the subproject is a: [ ] Category B, Not significant* land acquisition and resettlement impacts: a Resettlement Action Plan (RAP) is required. RAP to be submitted to WB by [insert date]
* Not significant: Less than 200 people (approximately 35 households) will experience major impacts that are defined as (i) being physically displaced from housing and/or shops or (ii) losing 10% or more of productive land or other income-generating assets. [ ] Category C, No RAP is required but ARAP will be developed.
Prepared By: Verified by:
Signature: Signature: Name: Name: Position: Position: Date: Date:
2 In the context of involuntary resettlement, displaced persons are those who are physically displaced (relocation, loss of residential land, or loss of shelter) and/or economically displaced (loss of land, assets, access to assets, income sources, or means of livelihoods) as a result of (i) involuntary acquisition of land, or (ii) involuntary restrictions on land use or on access to legally designated parks and protected areas
Appendix 3: Outline for Abbreviated Resettlement Action Plan (ARAP)
▪ Project Description and Location ▪ Potential displacement due to proposed subprojects ▪ Legal Framework ▪ Census and socioeconomic survey of affected families, properties and businesses ▪ Impacts caused by displacement ▪ Entitlement Matrix ▪ Compensation Valuation Methodology ▪ Source of Funds and Cost Estimates ▪ Implementation Schedules ▪ Monitoring and Evaluation
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Appendix 4: Outline for a Resettlement Action Plan (RAP)3
I. Introduction ▪ Description of project components ▪ Summary Description of adverse impacts and assets acquisition ▪ Identification of principal stakeholders including social groups vulnerable to impoverishment or debilitation ▪ Indicate measures taken to minimize adverse impacts
II. Census and Socioeconomic Survey Results ▪ Review socio-economic characteristics of Project Affected Persons (PAPs), including: spatial distribution, household size and composition; age-sex structure; income levels, including primary occupation, supplementary sources of income, and subsistence activities; tenure and ownership status (land and structures); characteristics of collective land holdings, including area and qualitative characteristics; characteristics of structures, including construction types. ▪ Information should be provided disaggregated by ethnic groups, if any and gender ▪ Categories and numbers of PAPs by type and degree of impacts such as: o Severely affected households due to loss of productive assets and required to relocate o Severely affected households due to loss of residence, business premises o Partially affected households likely to be marginalized due to the loss of land, house, or business premises but not required to relocate o Households affected by minor impacts, receiving only easement compensation or “moving back” assistance o Tenants, laborers, employees, or other non-landed persons adversely affected by the project
III. Compensation Entitlement Criteria ▪ Description of objectives of compensation policy. ▪ Eligibility criteria for PAPs, including “cut-off date”, if necessary. ▪ Description of compensation entitlements and other forms of assistance for each category of PAPs. ▪ Description of specific measures to mitigate adverse impacts on vulnerable groups (if relevant). ▪ Entitlement Matrix.
IV. Relocation Plan (if necessary) ▪ Review of suitability of alternative relocation sites ▪ Site selection criteria ▪ Review of environmental protection and management at resettlement sites ▪ Preliminary relocation options of PAPs ▪ Review of options for provision of shelter, infrastructure and social services ▪ Review of consultation procedures with PAPs in selection of resettlement alternatives during implementation
3 Annex 3 of the Technical Guidelines on Compensation and Resettlement. These Resettlement Technical Guidelines, Nov. 200 . These Guidelines were prepared in accordance with the provisions of the Prime Minister’s Decree No 192/PM on Compensation and Resettlement, issued on 7 July 2005, and the Implementing Regulations on Compensation and Resettlement issued by the STEA.
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▪ Socioeconomic data gathering host population, if applicable
V. Income Restoration Measures (as necessary) ▪ Description of eligibility criteria for income restoration measures ▪ Feasibility analysis of any alternative income restoration programs including use of collective land compensation, training needs of PAPs in the context of employment opportunities and market demand, access to credit and micro-enterprise support for PAPs interested in small business development ▪ Institutional arrangements to finance and manage income restoration programs
VI. Public Participation, Consultation, Disclosure and Grievance Redress Mechanism ▪ Public Consultation exercises conducted during the RP preparation (provide details), including gender-specific consultation and information disclosure. This would include special attention to guarantee women’s assets, property, and land use rights and to ensure the restoration of their income and living standards ▪ Description of opportunities for PAPs to participate in resettlement planning and implementation ▪ Procedures adopted for filing complaints, review and decision-making ▪ Procedures for disclosing RAP and resettlement information on compensation and resettlement options to PAPs in a form and language that they can understand
VII. Organizational set-up ▪ Administrative set-up and plans for training and capacity building as needed
VIII. Monitoring and Supervision ▪ Listing of performance monitoring indicators ▪ Institutional responsibilities and procedures for internal project monitoring ▪ Discussion of role, if any, of Community based organization and non-benefit organizations ▪ Content and frequency of monitoring reports
IX. Cost Estimates and Budget ▪ Estimate of aggregate costs for each type of asset loss ▪ Estimated costs for income restoration programs, administration, supervision and monitoring ▪ Statement of financial responsibility for all resettlement-related costs ▪ Physical and Price Contingencies
X. Implementation Arrangement ▪ Timetable for implementation of all resettlement activities, tied to overall subproject timetable ▪ Procedures for implementation or delivery of key elements, as relevant: o Review of land-for-land arrangements, including timetable and funding for development of relocation sites and necessary services or other inputs o Review of procedures for payment of compensation o Procedures for assessing adequacy of compensation. o Operational procedures for job placement, or other income restoration programs
Page 35 of 54
Appendix 5: Standard Inventory List of Loss
Subproject:______District:______Names of Affected Current Ethnic No of Type of land Total Affected % of Affected Village address/village Group of people live land Area affected Household Heads of the AH majority of in the 1. Residential holdings (sq.m) Area (Last, household household 2. Paddy (sq.m) First Of members 3. Shifting Husband and cultivation wife 4. Garden No 5. Fallow 6. Fish pond Husband Wife
1 2 3 4 5 6 7 8 9 10
Type of Unit Total Renting fee Type of Estimated Cost Estimated Cost ownership price/m2 affected per month effect for Permanent for Temporary Estimated Cost for Partially affected houses/Structures land cost ( affected affected Land/House T=Temporaly houses/Structures houses/Structures Wall Roof Ground Posts Total ) P:Permanent 11 12 13 14 15 16 17 18 19 20 21 22
Type of Income Profit Profit for Repair shop/ Tax/Month Structures (fences, toilet, concrete ground,grave ) business Estimated Costs 3days*1 per per Type Characteristic Quantity costs Estimated Cost by month month m2*1 PIU if have to House/structure calculated close 23 24 25 26 27 28 29 30 31
Total cost Affected crops Affected tree Total affected cost Total w/out land Annual affected Type and Quantity/ Estimate Name of Quantity Transplanting Cost of Annual Total Cost for Yield in with m2 cost tree cost seedling Yield Value of temporary kg/m2 land Characteristic of crops trees loss 51 52 53 54 55 56 57 64 70 71
Appendix 6: Questionnaire For SESAH and PMS (Preliminary Measurement Survey)
SUBPROJECT Province District Village SURVEY Data collection Interviewer: HH ID: Accompanied by: Position:
HH members attending the interview: Role in HH:
1. 1. 2. 2. Data entering
Overview Date: Data enterer: STATEMENT We have been informed by the subproject authorities during the public meeting, houeshold Date: surveys, DMS survey and or preliminary of loss inventory survey of our right to entitlement to compensation of any loss of property (Land, trees, crops, structures) by the subproject. We have also been informed about this survey to be used as cutt off date requiring not to establish any fix or movable assets on the potentially affected land. The collected information on my household profile as provided by us for this survey is correct Name of potential AP: Witness: Nai Ban:
HEADS OF AFFECTED HOUSEHOLD Name of husband: Sex: Male Literate □ □ Age: Yes
□ Female □
ECONOMY No - Disable Yes Widow: Owner of land □ □ Yes □ SOCIO Yes No □ □ No □
No Occupation of husband Self employed Working for others Not working Please √ Farming Please √ Employee – Private sector Please √ No skill □ □ □ □ Fish farming □ Laborer – most of the year □ Disability: physical □ Livestock □ Laborer- seasonal □ Disability: mental Forest (NTFP) □ Government employee - Administration □ Retired Business/ shop □ Gorvernment employee – public service □ No interest Services
Name of wife: Sex: □ Male Literate □ Age: Yes
□ Female □ No Disable Yes Widow: Owner of land □ □ Yes □ Yes No □ □ No □ No Occupation of husband Self employed Working for others Not working Please √ Farming Please √ Employee – Private sector Please √ No skill □ □ □ □ Fish farming □ Laborer – most of the year □ Disability: physical
□ Livestock □ Laborer- seasonal □ Disability: mental Forest (NTFP) □ Government employee - Administration □ Retired Business/ shop □ Gorvernment employee – public service □ No interest Services
No. Name Sex (F, M) Age Highest level of education Please √ Current job Average annual income
Not Pri. Sec. High Vocational Uni/Col. None school
age
1.
2.
economy - 3.
Socio 4.
5.
6.
7.
8.
9.
AFFECTED HOUSEHOLDS ASSETS AND LOSS OF INCOME
1. Private productive land - Overall ownership and affected portion
Is land affected? Land holding area Ownership status Current use for what Land use purpose Please √
No (End Yes Total Area Affected area With land Rent/Leased By number of HH Number of year in of this title/certificat use section
1. Paddy land
2. Grazing land
3. SC Land (fallow)
4. Land along the feeder road
5. Fish pond (Man made)
6. Fish pond (Natural)
2. Private crops - Overall ownership and affected portion
Are crops affected? (Please √)
None (end of session) Yes Overview of affected quantity Ownership status Current use of Land use cultivated land Type of crops Total area Affected area With land Rent/Leased Since By how title/certificat how many may HH. years
1.
2.
3.
4.
5.
3. Private tree - Overall ownership and affected portion
Are trees affected? (Please √) Overview of affected quantity Ownership status Current tree Current use
None (end of session) Yes Total number of Affected No of With land Rent/leased Productive Non- Since By how trees trees certificate productive how many may HH. years
1.
2.
3.
4. Private residential land –Overview of affected portion
Are residential land affected? (Please √)
None (end of session) Yes Land holding area Ownership status Current use for what Land use purpose Total area Affected Land Rent/ lease Since By how area title/certificate how many may HH. years
1. Along the feeder road
2. Along the main road
3. Not along the road
5. Private structure – Overall affected portion
Are private structure affected? (Please √)
None (end of session) Yes Struture area Ownership status Structure affected Currrent use
Type of structure Total m2 Affected m2 Owner Rent/leased Partial Complete Since By how cannot be how many restored may HH. years
1.
2. Affected Assets Affected 3.
4.
6. Loss of private business and or other income
Are income generating activities affected? Please √
None (end of Yes Overall affected quantity Tax status No. of employee Average monthly session) net profit
1.
2.
3. Affected Income Affected
Mitigation measures Concerning affected Productive land what preference compensation do you have? Do you know the market value of your land? Comment Please √ If yes how much □ Land for land □ Yes □ No
□ Cash for land
□ Not yet decided Concerning affected Crops what preference compensation do you have? Please √ What is the average yield per year Comments □ Cash compensation Crops Ton/ha Kip □ Not yet decided 1. 2. 3. 4.
Concerning affected Trees what preference compensation do you have? Please √ What is the average yield per tree Comments □ Cash compensation Trees kg/tree Kip □ Not yet decided 1. 2. 3. Concerning affected Structure what preference compensation do you have? Please √ Do you know the market value of your structure? Comments □ House for house How much? □ Cash compensation □ yes □ No
□ Not yet decided Concerning affected income what preference compensation do you have? Please √ Could you provide us your monthly net profit? Comments □ Cash compensation Kip Compensation □ Not yet decided □ yes □ No
Appendix 7: Consultation/Meeting Record Format
Include this record of consultation meetings in the RAP/ARAP for each subproject, together with a record of attendees and photographs of meetings.
No. of Discussion / Responses / Outcomes Participants Date Location Agency Participants Follow-Up Actions with (No. of Responsibility Women)
xiv
Appendix 8: Affected Assets and Income loss Registration following DMS
Lao People Democratic Republic Peace Independence Democracy Unity Prosperity
Province______District______Village______
Affected Assets and Income loss Registration
We, Mr ______, Age______& Mrs ______Age______Ethnic______Occupation______Current address:______Village ______District ______Province, hereby, verify that the local authorities have informed us on the assets (i.e house, land , tree, other assets) and income locating at ______Village ______District that will be affected by the Water Supply and Sanitation Project.
I. Affected Land Category Total reas (m2) Affected Area Remark
Residential land
Shifting Cultivation Land
Paddy land
Fallow land
Other type of land
II. Affected Structures
Type Size (m2) Remark House
Extension
Cement slap
III. Affected Plants and Trees
Type Diameter (cm) Annual harvest (kg) Remark
IV. Loss of income
xv
Type of business Average daily net profit Remark
Therefore, I have composed and signed this certificate / document as the evidence of our affected assets and land areas.
Date…………………………………………………..
Owners of affected land/ assets:
Name and signature of Husband: Name and signature of wife:
…………………………………………………….. ……………………………………………………..
Witnesses:
Name and signature of Witness No 1: Name and signature of Witness No 2:
…………………………………………………….. ……………………………………………………..
Certified by: Chief Of Village (Name and Signature)
…………………………………………………….. ……………………………………………………..
Approved by: Chairman of Grievance Redress Committee
(Provincial/District Level)
…………………………………………………….. ……………………………………………………..
xvi
Appendix 9: Affected Assets Values and Income Loss Declaration Form for the Water Supply and Sanitation Project
Lao People Democratic Republic Peace Independence Democracy Unity Prosperity
Province______District______Village______
Declaration of Values of Affected Assets and Income loss
We, Mr ______, Age______& Mrs ______Age______Ethnic______Occupation______Current address:______Village ______District ______Province, hereby, verify that the local authorities have notified me in advance that I have the right to claim for compensation for the assets (i.e house, land , tree, other assets) and income that will be affected by the Water Supply and Saniation Project. For compensation purpose, I have no objection for the local authorities to valuate my affected lands, other assets and businesses locating at ______Village ______District.
Type of assets Areas (m2) / tree / Price per unit/ Total Remarks Lost/Affected: Business type Yields per year (Kip) /Average net income per day
Agricultural / Paddy Land
Gardening Land / Lawn
Structure (House/hut)
Fence
Other structure (extension to house, cement slap, well, pipes…)
Plant (specify)
Trees
Commercial / Business
Others
Total
xvii
Date…………………………………………………..
Owners of affected land/ assets:
Name and signature of Husband: Name and signature of wife:
…………………………………………………….. ……………………………………………………..
Witnesses:
Name and signature of Witness No 1: Name and signature of Witness No 2:
…………………………………………………….. ……………………………………………………..
Certified by: Chief Of Village (Name and Signature)
…………………………………………………….. ……………………………………………………..
Approved by: Chairman of Grievance Redress Committee
(Provincial/District Level)
…………………………………………………….. ……………………………………………………..
xviii
Appendix 10: Voluntary Contribution Consent Declaration
LAO PEOPLE’S DEMOCRATIC REPUBLIC Peace Independent Democracy Unity Prosperity
Province: ______District: ______Village: ______
We, Mr ______, Age______& Mrs ______Age______Ethnic______Occupation______Current address:______Village ______District ______Province, certify that we have been previously informed by the local authority of our entitlement to compensation for any loss of property (house, land and trees) that might be caused by the construction of water supply system in…………..…….. district, …………………. village. We confirm that we voluntarily accept the residential land of ………. square meters located in …………….... village to be provided to the local authority. We also confirm that We do not request any compensation for loss of …………….….. ( structures, trees, crops) and would request the local authority to consider this as my contribution to the project.
The proposed donations are directly linked to benefits we will receive and do not severely affect our living conditions, livelihoods and incomes; and, we are satisfied that community sanctioned measures are in place.
Type of Loss Area Unit Rates Total Comment (sqm)/Unit Residential land Houses Structures Crops Trees Other TOTAL
Therefore, we prepare and sign this certificate for the proof of our decision.
Date: ……………………. District………………………… Name and Signature of husband: Name and signature of husband: ……….………………………… ……….………………………… The owner/user of the land/house/structure/crops/trees
Witnesses (Name and signature):
1. ………………………………………….… 2. ………………………………………….…
Certified by: Chief of the Village (Name and signature): Chair person of DRC (Name and signature):
………………………………………….… ………………………………………….…
xix
Annex 7: Ethnic Groups Development Framework (EGDF) (04 November 2018)
LAO PEOPLE’S DEMOCRATIC REPUBLIC PEACE INDEPENDENCE DEMOCRACY UNITY PROSPERITY
Ministry of Public Works and Transport Department of Water Supply
Draft Ethnic Groups Development Framework (EGDF)
Water Supply and Sanitation Project (WSSP)
2
Vientiane, 03 November 2018
3
Abbreviations and Acronyms
ARAP Abbreviated Resettlement LAR Land acquisition and resettlement Action Plan
DEPD/PT Division of Environmental LACR Land acquisition and compensation I and Disaster Protection of report PTI Detail Measurement LFNC Lao Front for National Construction DMS Survey DoR Department of Road LWU Lao Women Union DONRE District Office of Natural MoNRE Ministry of Natural Resources and Resources and Environment Environment District Resettlement MPWT Ministry of Public Works and DRC Committee Transport DPWT Provincial Department of OP/BP Operation Policy/Bank Procedure Public Works and Transport EIA Environmental Impact PRC Provincial Resettlement Committee Assessment EG Ethic Groups PTI Public Works and Transport Institute EGDF Ethnic Groups RAP Resettlement Action Plan Development Framework EGDP Ethic Groups RMF Road Maintenance Fund Development Plan RMD Road Maintenance Division ESMF Environmental and Social RoW Right of ways Management Framework Free, prior, and informed RPF Resettlement Policy Framework FPIC consultation GoL Government of Laos SA Social Assessment GRC Grievance Redress Committee SIA Social Impacts Assessment GRM Grievance Redress VRC Village Resettlement Committee Mechanism IEE Initial Environmental WASH Water Sanitation and Hygiene Examination Lao PDR Lao People's Democratic WB World Bank Republic
4
Contents I. Introduction ...... 5 1.1 The Project ...... 5 1.2 Need for EGDF ...... 6 II. Project Description Related to OP/BP 4.10 ...... 7 III. Policy, Legal, and Institutional Settings ...... 8 3.1 Government Policy, Plan, and Program ...... 8 3.2 Institutional Arrangements ...... 10 3.3 World Bank Policy on Indigenous People (OP/BP 4.10) ...... 10 IV. Social Assessment and Potential Impacts ...... 11 4.1 Ethnic Community National Profile and Classification ...... 11 4.2 Ethnic Groups in Project Provinces ...... 12 4.3 Potential Project Impacts on the Ethnic Groups ...... 13 V. EGDF Principles and Procedures ...... 13 5.1 Basic Principles of the EGDF ...... 13 5.2 EGDF Objective and Procedure ...... 15 Step 1: Screening for ethnic people among beneficiary populations ...... 15 Step 2: Principles and procedures applied where the subproject involves ethnic groups 15 Step 3: Reporting, Monitoring, and Documentation ...... 16 5.3 Consultation Framework for Ethnic Groups under EGDF ...... 16 5.4 Grievance Redress Mechanism (GRM) ...... 17 5.5 EGDF Consultation and Information Disclosure ...... 19
Figure 1-1 GRM Process ...... 18
Appendix 1: Summary of Ethnic Communities in the Project Provinces ...... 20 Appendix 2: Rapid Social Assessment and Preparation of EGDP ...... 23 Appendix 3 : Grievance Registration and M&E Forms –04 November 2018 ...... 26 Appendix 4: . Implementation and Capacity Building (Extracted from sections 11 and 10 in the ESMF) ...... 35
Table 4-1: List of Ethnic Community under Lao-Tai Linguistic Group ...... 11 Table 4-2: List of Ethnic Groups under Mon-Khmer Linguistic Group ...... 11 Table 4-3: List of Ethnic Group under Hmong-Iumien Linguistic Group ...... 12 Table 4-4: List of Ethnic Groups under Chinese-Tibetan Linguistic Group ...... 12
5
I. Introduction
1. This document is the Ethnic Groups Development Framework (EGDF) for the Lao Water Supply and Sanitation Project (LRSP II or the Project) which is being prepared by the Ministry of Public Works and Transport (MPWT) through the Department of Water Supply (DWS), for possible financing by the World Bank (WB).
1.1 The Project
2. The Project activities will be implemented through the following components: (1) Community empowerment and integrated WASH delivery aiming to support rehabilitation of the existing and building of the new water supply system in the rural villages and emerging towns in northern Lao PDR using demand driven approach; (2) Support to Community Water Supply, Sanitation and Hygiene with he objective to (i) to strengthen the institutional capability of Naam Saat to support the sustainability of the community managed water supply systems; (ii) to create and test monitoring and evaluations systems, and (iii) to develop guidelines to support the sustainability and scaling up of sanitation and hygiene activities; (3) Implementation support, sector development and coordination, this component is related to the establishment of a project management unit, component management unit, and district project offices. These will be supported by technical team of consultants for overall project management, monitoring of implementation, outputs and outcomes, and technical and financial reporting for sustainable WASH, capacity building, institutional strengthening, social and environmental safeguards and community empowerment; and (4) Contingency Emergency Response, this component will allow for a reallocation of credit proceeds from other components to provide emergency recovery and reconstruction support following an eligible crisis or emergency at the national or sub-national level. In light of the Project design, the CERC would be expected to be operationalized through a reallocation from Component 1 and 2 to provide emergency recovery and reconstruction support. To ensure that there is capacity an Emergency Response Manual (ERM) will be developed by the Department of Water Supply for specific eligible disasters, detailing fiduciary, safeguards, monitoring and reporting, and any other necessary implementation arrangements.
3. The Project will be implemented by DWS that will establish Project Management Unit (PMU) and district project offices or Project Implementation Unit (PIU). These will be supported by a technical team of consultants for overall project management, monitoring of implementation, outputs and outcomes, and technical and financial reporting for sustainable WASH, capacity building, institutional strengthening, social and environmental safeguards and community empowerment. The Division of Environment and Disaster Protection of PTI (DEDP/PTI) is responsible for supervision and monitoring of environment and social safeguards.
4. Nam Saat of MoH will be responsible for the establishment of Component Management Unit (CMU) to support the implementation of Component 2. The CMU will be supported by technical team of consultants for overall project management, monitoring of implementation, outputs and outcomes, and technical and financial reporting. 6
1.2 Need for EGDF
5. Among the proposed Project activities, water supply infrastructure for a single big village or multiple villages in the emerging towns will be implemented under Component 1 that might involve potential land acquisition and/or resettlement impacts and/or ethnic minority (such as Hmong, Khmu, Iu Mien, Pong, Akha and others) who are known in Lao PDR as Ethnic Groups (EG) and meet WB eligibility criteria under OP/BP 4.10. To mitigate these impacts, OP/BP 4.10 requires that special planning measures be established to protect the interests of ethnic groups (i.e. social groups with a social and cultural identity distinct from the dominant society that makes them vulnerable to being disadvantaged in the development process). The EG are considered to be vulnerable ethnic communities in Lao PDR as their livelihood is heavily based on subsistence agriculture and forest. The presence and involvement of these EG triggers the WB operational policy on Indigenous Peoples (OP/BP 4.10). As a prerequisite to WB support, the Project must meet the requirements of OP/BP 4.10.
6. Project provinces are located in remote areas resided by different ethnic groups. Given that the Project aims to improve quality of water supply and sanitation in twelve districts of four northern provinces, all local population, including ethnic communities, will collectively benefit from the Project. However minor impacts may also occur and need special mitigation measures. OP/BP 4.10 requires for screening of EG community in the subproject area and if they are present preparation of an Ethnic Group Development Plan (EGDP)1 will be required. Free, prior, and informed consultation (FPIC) will be necessary during the planning and implementation.
7. Given that all the subproject works and locations are not finalised before appraisal and to ensure that affected EG populations will have opportunity to derive benefits under the Project and treated appropriated if they are negatively affected, an Ethnic Groups Development Framework (EGDF) has been developed describing the policy for consultation procedure (FPIC) for the subprojects to ensure that the EG can voice their concerns and their opinions are heard throughout the project preparation and implementation process.2 Need for preparation of an EGDP will be identified during the safeguard screening to be conducted as part of the road maintenance investment plan which will be prepared annually. WB approval of EGDP will be required. The EGDF is an integral part of the Environment and Social Management Framework (ESMF) and is included as an annex to the ESMF prepared for the Project. The Stakeholder Engagement Assessment and Framework for the Lao PDR: Water Supply and Sanitation Project developed by World Bank in June 2018 suggested that EG communities are present in most subproject areas and preparation of EGDP the subprojects will be required.
1 In Lao PDR, the term Ethnic Groups is used for ethnic minority and the term Ethnic Groups Development Plan is used for the Indigenous Peoples Development Plan (IPDP) as required by OP/BP 4.10.
2 The consultation procedure is in line with the National Guidelines on Consultation with Ethnic Groups in Lao PDR which was established in 2013 by the Lao Front for National Construction (LFNC) which is responsible for overseeing all matters related to ethnic communities in Lao PDR. 7
II. Project Description Related to OP/BP 4.10
8. Under the Component 1, Two types of water supply systems will be rehabilitated/ upgraded or constructed: (i) community-based systems, managed by the communities themselves and supported by a sustainability unit within Nam Saat; and (ii) larger villages, kumban, emerging towns managed by PNPs. It is expected the impacts will be minor and localized such as land take for the intake, water treatment plan, main pipe for raw water transmission and temporary impacts during pipe lay out work.
8
III. Policy, Legal, and Institutional Settings
3.1 Government Policy, Plan, and Program
8. GOL policy and plan for poverty reduction: In Lao PDR, the Five Year Plan from 2005-2010 aimed to eradicate the poverty with a target of reducing 50% of the poverty households by 2010 and 0% by 2020. To achieve this objective, a number of policies, plans, and programs have been implemented and those related to ethnic communities include: support for food security, commercial agriculture production, rural development, infrastructural development, external economic relations, and improve access to services. Since 2000, villages are responsible for data collection on the living condition of families. Data suggested that Mon-Khmer and Hmong-Mien and Sino-Tibetan ethnic communities are the poorest in the country and identifies several causes of poverty including problems pertaining in land availability for food production and income generation. The National Socioeconomic Development Plan (NSEDP 2001-2005) focused on poverty reduction in the poorest areas and links poverty reduction to stop “pioneer shifting cultivation or slash and burn new forest area”, however, the “rotational cultivation” may still be maintained. The sustainable land and forestry development programs are promoted by the GoL.
9. GOL Policy and Legislative Framework on Ethnic Community: The 1991 Constitution defined Lao PDR as a multi-ethnic state, with “equality among all ethnic communities” as described in the Constitution and the party policy as follows:
• The Constitution of Lao PDR (1991) defines that all "citizens of all ethnicity" have rights in education, health, land use and ownership, domicile of choice, and economic development regardless of sex, religion, social status, education, or ethnicity; as well as freedom of religion, freedom of speech; freedom to peacefully assemble and to protest. All citizens have the right to work and carry out their chosen livelihoods. Articles 8 and 22, guarantee that there will be no discrimination on the basis of ethnicity or gender. Articles in the Constitution where ethnic People are specifically mentioned are as follows: Article 1 – Lao PDR is a nation unified and indivisible of all ethnic communities; Article 2 - all power is of people, by people, and for the use of the multiethnic people; Article 3 - the right of a multi-ethnic people to be owners of the nation is exercised and guaranteed by the political system; Article 7 - mass organizations are the focal point for the solidarity and mobilization for citizens of all backgrounds and ethnicity as participating members in the safeguarding and edification of their rights and interests; Article 8 - the State will carry out a policy of unity and equality among the various ethnic communities. All ethnic communities have the right to preserve and improve their own traditions and culture and those of the nation. Discrimination between ethnic communities is forbidden. The state will carry out every means in order to continue to improve and raise the economic and social level of all ethnic communities; Article 13 - the economic system is for the purpose of improving the standard of living, materially and spiritually, of a multi-ethnic people; Article 19 - the State and the people will collaborate to build schools of all levels in order that a complete education system will be available to all, especially areas inhabited by ethnic People; and Article 22 9
- all Lao citizens, regardless of their sex, social position, education, beliefs or ethnicity, are equal before the law.
• The 1992 ethnic policy, Resolution of the Party Central Organization concerning Ethnic Affairs in the new Era, focuses on gradually improving the living conditions of the ethnic communities, while promoting their ethnic identity and cultural heritage. The general policy of the Party concerning the ethnic communities include: Build National Sentiment (national identity); Realize Equality among ethnic communities; Increase the Solidarity Level among ethnic communities as members of the greater Lao family; Resolve Problems of Inflexible and Harmful thinking, as well as economic and cultural Inequality; Improve the living Conditions of the ethnic communities step by step; 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.
10. Other GoL related policy and legislation: Given that most of ethnic minorities depends on subsistent agriculture and natural resources, they are also affected by other polices, and legislation related to land use and management of natural resources and the key ones are highlighted as follows:
• The 1997 Land Law: The GoL considers Land as the National Community Property that is administered by the State for use and as a mean for all Socio-Economic Development. All the lands must be used effectively and to be based on the macro level and micro-level development planning. There is no personal ownership of land, but the citizens are allowed to use it and have a customary right to its resources. The Land Law also stipulates that, in case of public infrastructure development projects cause damages to trees, crops or buildings of the private owners, the land owners have the rights to be compensated for the damages. Ethnic communities maintain land tenure user rights equal to all Lao citizens with certain specifications and even preferential access and customary user rights to certain forest products (Forestry Law, Article 30; MAF Regulation 535; MAF Orders 54 and 377). Customary rights on land use among the ethnic communities are passed down from generation to generation. Traditionally, no land titles were involved and no boundaries were officially demarcated. In remote rural areas, these customary rights are still practicing to the acceptance of the local authorities widely. Many ethnic communities have traditionally recognized certain areas of forest as sacred forest sites. In addition, among ethnic communities, individuals or households were considered to be the owners of specific trees, such as those used for resin-tapping or that may have ancestral spiritual significance. These are important aspects of village cultural and economic life that need to be investigated and strictly respected.
• However, as part of GoL efforts to allocate the land to individuals and to demarcate the village forest and land boundaries for proper land use planning and forest management in a sustainable way and the establishment of MoNRE and promulgation and/or revision of several 10
legislations, it is expected that there may be some changes in ways to manage and uses land, forest, and other natural resources. MoNRE is revising the land law, water law, and promulgated a number of decrees to manage protected areas and protection forest.
• Compensation and resettlement (Decree 84/PM): this decrees aims to protect the right of affected peoples by investment projects include ethnic minorities. The decree aims at ensuring that the losses incurred by affected people are redressed such that Affected Persons share project benefits, are assisted to develop their social and economic potential in order to improve or at least restore their incomes and living standards to pre-project levels.
3.2 Institutional Arrangements
11. While GoL agencies and provinces are responsible for compliance of the policy, plans, and regulations related to ethnic communities established by the following key organizations:
• The “Ethnic Communities Committee” under the National Assembly, is in charge of drafting and evaluating all legislation concerning ethnic communities, lobbying for its implementation and the implementation of its socio-economic development plans.
• The “Institute for Cultural Research” under the Ministry of Information and Culture, is responsible for carrying out all ethnic research activities.
• The “Lao Front for National Construction (LFNC)” as the mass (political) organization, is the lead institution for ethnic affairs.
3.3 World Bank Policy on Indigenous People (OP/BP 4.10)
12. Indigenous Peoples (OP/BP 4.10): These instruments represents the World Bank’s commitment to poverty reduction and sustainable development by enshrining respect for the cultures, environments, economies and rights of indigenous peoples. The OP/BP 4.10 requires that the projects affecting indigenous peoples (IP) must ensure: (a) IPs are engaged in an a process of free, prior and informed consultation; (b) The consultation process results in broad community support for the project; (c) Social analysis is undertaken to ensure potential impacts on IPs are identified; and (d) An IP plan is developed to ensure IPs receive culturally appropriate project benefits, and that adverse impacts are avoided, minimized, mitigated, or compensated. It also mentions that where IPs are the sole or overwhelming majority of project beneficiaries, a separate IP Plan is not required, and that requirements outlined above be integral to the project documents as appropriate. The “Indigenous Peoples” as described by World Bank is not commonly used in Lao PDR, but the official terminology “Ethnic Group” (EG) is being used to represent small groups of ethnic communities and the term “Ethnic Group” will be used throughout this report.
11
IV. Social Assessment and Potential Impacts
13. A quick social assessment was conducted by reviewing reports and documents related to EG and potential impacts due to water supply and sanitation projects. Key findings are briefly summarized below.
4.1 Ethnic Community National Profile and Classification
14. Lao PDR is a cultural diverse country. Although the Lao language is the official language, other ethnic languages are still used among different ethnic groups. Most ethnic groups do not have the written language and their traditional customs and religious beliefs vary according to the ethnic groups they belong to. Buddhists form the big majority and they mainly belong to the general Lao peoples.
15. In order to adapt to the new changes and bring forth unity among various ethnic communities in Lao PDR, the LFNC identified 49 ethnic categories and more than 160 ethnic sub-categories. The official terminology uses in the Constitution for describing the diverse population of the Lao PDR has been “Bunda Xon Phao” or “all ethnic communities”, while the name of the groups is normally used to classify the EG. According to LFNC, the Lao ethnic communities are categorized into four ethno linguistic communities as below:
• The “Lao-Tai” (also referred to as “Tai-Kadai”), which includes the dominant “Lao ethnic communities” and the “lowland Tai” speaking communities. The “Lao-Tai” consists of 8 ethnic sub-communities as in Table 4-1.
Table 4-1: List of Ethnic Community under Lao-Tai Linguistic Group
Sub-Ethnic Sub-Ethnic Sub-Ethnic
1 Lao 4 Tai 7 Phutai 2 Leu 5 Nhuane 8 Yang 3 Xaek 6 Tai neua
• The second linguistic group is “Austro-Asiatic, also called Mon-Khmer” group, which consists of 32 ethnic sub-groups (Table 4-2).
Table 4-2: List of Ethnic Groups under Mon-Khmer Linguistic Group
Sub-Ethnic Sub-Ethnic Sub-Ethnic
1 Khmu 12 Phong 23 Bid 2 Pray 13 Thene 24 Lamed 3 Xingmoon 14 Eudou 25 Samtao 4 Katang 15 Makong 26 Taoey 12
5 Yru 16 Triang 27 Katu 6 Yae 17 Brao 28 Kriang 7 Hahak 18 Oey 29 Suay 8 Jeng 19 Kadang 30 Pako 9 Nhaheun 20 Lavy 31 Nguane 10 Kmer 21 Toum 32 Tri 11 Moy 22 Kree
• The “Hmong-Iumien” group which consists of 2 ethnic subgroups: Hmong and Iumien (Iumien is also called Yao) (Table 4-3). • Table 4-3: List of Ethnic Group under Hmong-Iumien Linguistic Group
Sub-Ethnic Sub-Ethnic Sub-Ethnic
1 Hmong 2 Iumien
• The “Chinese-Tibetan” (also referred to as “Sino-Tibetan”), which includes the Chinese and Tibeto-Burman Ethnic Community and consists of 7 ethnic subgroups (Table 4-4)
Table 4-4: List of Ethnic Groups under Chinese-Tibetan Linguistic Group
Sub-Ethnic Sub-Ethnic Sub-Ethnic
1 Akha or Ko 4 Phounoy 7 Lolo 2 Sila 5 Lahou 3 Hor 6 Hayi
4.2 Ethnic Groups in Project Provinces
16. Challenges: Most Ethnic Groups in Lao PDR are poor and disadvantaged. Despite the efforts made by the GoL institutions to improve the socioeconomic conditions of these peoples, many of them still lag behind other Lao peoples especially in terms of poverty rates, literacy and health. Many ethnic groups still cannot speak and read Lao language and thus unable to effectively make use of schools and health clinics, which have mainly Lao speaking staff. Most of the ethnic groups are staying in the remote areas of the country and difficult to reach for proper village development. Most of these peoples live on subsistence agriculture while efforts are being made by GoL and development partners to promote additional practices on handicrafts and local trade. Background information on the Project provinces is presented in ESMF Annex 5 and those related to ethnic communities are briefly summarized in Appendix 1).
17. However, although it is well accepted that Hmong, Khmu, Iu Mien, Akha, Phong and others are considered as an EG and most of them living in the remote villages of the target provinces, detailed information on ethnic communities and ethnic groups in 13 the Project provinces is lacking. It is expected that detailed information for the provinces will be collected when preparation of EGDP for the subproject is required.
4.3 Potential Project Impacts on the Ethnic Groups
18. Potential Positive Impacts: Implementation of the Project will be positive. As water supply system and sanitation will benefit rural residents in twelve districts of the four provinces which have high poverty and high malnutrition amongst the children. The closures directly affect access to basic services, and markets, and negatively affect incomes and livelihoods. In addition, strengthening central-local coordination and the capacities of MPWT for strategic planning, integration of climate change adaptation into sector strategies, enhanced coordination between central and local levels, governance and accountability, monitoring and evaluation, and coordination with development partners will enhance sustainability of road access. Ethnic communities and ethnic groups will benefit from improving quality of road maintenance and served by the roads. In area where surfacing is made, dust generation will be significant reduce and improve health of local residents.
19. Potential negative impacts: Potential negative impacts of the Project will be minor, short term and temporary in clearing of vegetation, impacts on private gardens and trees for infrastructure placement and/or construction activity requirement, sedimentation of water way, dust, noise, wastes, competition for local resources (NTFP and TFP) from labor forces, local traffic, road safety, occupational helth and safety of workers and villagers and nuisance during construction. These impacts will be mitigated through effective management and supervision of contractors, safety signs, and implementation of safety measures by local communities. Implementation experience under the on-going LRSP suggested that these impacts during construction could be adequate mitigated through close supervision and monitoring of contractors.
V. EGDF Principles and Procedures
5.1 Basic Principles of the EGDF
20. The basic principles of the EGDF to be applied to the WSSP will be as follows:
• Scope: Ethnic group peoples can be identified in particular geographical areas by the presence in varying degrees of the following characteristics: (a) a close attachment to ancestral territories and to the natural resources in these areas; (b) self-identification and identification by others as members of a distinct cultural group; (c) an indigenous language, often different from the national language; (d) presence of customary social and political institutions; and (e) primarily subsistence-oriented production.
• Based on the above characteristics, there are many ethnic groups in Laos. According to LFNC classification, four linguistic groups with 49 ethnic categories (see section 4.1) will be applied. They are Lao-Tai, Mon-Khmer, Hmong-lumien, and Sino-Tibetan groups. The Bank has determined that 14
OP/BP 4.10 will apply to at least three linguistic groups except for Lao-Tai, who still maintain cultural and socioeconomic practices different than those practiced by the Lao national majority.
• In the context of this Project, it is important to note that the OP/BP 4.10 refers to social groups and not to individuals. The primary objectives of OP/BP 4.10 are: (a) to ensure that such groups are afforded meaningful opportunities to participate in planning that affects them; (b) to ensure that opportunities to provide such groups with culturally appropriate benefits are considered; and (c) to ensure that any project impacts that adversely affect them are avoided or otherwise minimized and mitigated.
21. Since the Project will include subprojects in twelve district of 4 provinces which are located in the north, they will benefit ethnic groups inhabited in these provinces. To ensure that all communities are consulted properly, the following principles will be considered during the data collection and FPIC process of the subprojects (see Section 5.3):
• All communities will be approached in the spirit of honest and constructive collaboration, and clearly explained about the rational for road safety, and of the subproject’s purpose, activities, potential benefits and potential losses.
• Where broad community support is not established based on “free, prior and informed consultations”, such communities have the right to file a complaint on the Project. In order to minimize the risk that a broad community support is not established, all efforts will be made through active participation of local communities especially women and vulnerable groups.
• All communities, regardless of their ethnic group or social status, will be engaged in an inclusive and culturally relevant manner on the basis of a free, prior and informed consultation aimed at establishing broad-based and sustainable community support for the subproject.
• All communities will be informed by the responsible DPWT and Nam Saat throughout the subproject implementation through appropriate means of information, education and communication. If needed, communication throughout the subproject cycle will use appropriate information, education, and communication materials to respond to issues of language and ethnicity, literacy/illiteracy, gender, and social vulnerability.
• All communities will have the opportunity to participate in and benefit from the subproject as well as take on the responsibility to adhere to road safety rules and sustainable road maintenance.
• Subprojects will give sufficient attention to encourage women to play an active role in the consultation process. During implementation, the women will be: (a) consulted and their concerns addressed; (b) given the opportunity to participate in community group meetings, focus group discussions, 15
planning and implementation; and (c) represented equally in the Grievance and Redress Committees (GRCs).
5.2 EGDF Objective and Procedure
22. This EGDF has been prepared in order to provide some general principles and procedures that will be applied during project implementation, if ethnic groups are reported in any of the subprojects. Therefore, the purpose of the framework is for ensuring that FPIC is allied and that ethnic groups is given a voice and an opportunity to participate in the Project. To achieve this objective, the key 4 steps will be carried out below.
Step 1: Screening for ethnic people among beneficiary populations
23. The Project has been designed to recognize that a ‘meaningful’ participation by poor and disadvantaged groups of people in a society requires special focus that goes beyond routine project implementation management. In the ESMF and RPF detailed screening criteria and guidelines on social assessment and resettlement aspects are included. Under the Project, the subproject will be subject to safeguard screening (using forms in ESMF Annex 1) during selection of subprojects stage. A quick assessment will be undertaken to identify and/or re-confirm the following:
• The local agencies especially the provincial and district PONRE/DONRE, LFNC, and LWU are aware of the subproject and willing to actively participate during the subproject implementation;
• The local communities are informed/consulted and majority support the subprojects;
• The number of local communities and/or individual to be negatively affected by the subproject activities due to land acquisition, relocation of assets/trees;
• The safeguard screening and consultation process will provide guidance on scope of data collection on social and economic and technical aspects of each subproject. If the social screening and consultation confirms that no ethnic group populations exist in the project areas, no further action is necessary. If the safeguard screening and consultation indicate that there are potential social issues because of ethnic group populations in such subproject, DPWT will consult DEPD/PTI and/or WB for guidance;
24. The Project is committed and will ensure that local communities are (i) consulted in matter relating to each subproject, (ii) provided opportunities for participation in decision making related to the subproject, and (iii) provided opportunities for participation in subproject activities should they so desire.
Step 2: Principles and procedures applied where the subproject involves ethnic groups
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25. If the ethnic groups are among beneficiary populations and/or will be negatively affected by the subproject, a basic social economic profile of beneficiary population or project affected people will be developed by collecting both qualitative and quantitative data in the project areas from local authorities and consultation with the ethnic groups with an aim that all ethnic groups can voice their concerns and their opinions are heard throughout the project preparation and implementation process. Special attention will be given to hear voices from women and vulnerable peoples. Consultation with the ethnic groups will also be in line with the national guideline on ethnic group consultation issued in 2013 by the LFNC.
26. The DPWT of the Project provinces with technical guidance from the DEDP/PTI of MPWT will ensure that full consultation, in a language spoken by the ethnic groups, and invite participation of ethnic groups are fully taken into account during preparation and implementation of subprojects, while respecting their current practices, beliefs and cultural preferences. The outcome of the consultations will be documented into the project documents. Section 5.3 provides more details on the consultation framework and procedures.
27. If the ethnic people conclude that the project will be beneficial, or non-harmful to their way or life or cultural beliefs, and the adverse impacts are minimal measures and assistance will be developed based on consultation with ethnic groups and local LFNC. The community should also be consulted to ensure that their rights and culture are respected. The assistance may also include institutional strengthening and capacity building of ethnic villages and community groups working with the subproject.
Step 3: Reporting, Monitoring, and Documentation
28. PIU/DPWT will keep all documents related to safeguard screening, consultation, and social assessment (if warranted) in the subproject file for possible review by DEPD/PTI and/or WB. ESD/PTI will monitor the implementation of the safeguard screening, quick social impact assessment, and consultation process of the subprojects periodically and include the results in the six month and annual monitoring reports. The WB supervision missions will periodically pay special attention to ensure that that the subproject affords benefits to vulnerable groups and ethnic minorities.
5.3 Consultation Framework for Ethnic Groups under EGDF
29. The consultation framework aims to ensure that ethnic groups are well informed, consulted and mobilized to participate in the subprojects so that clarity could be provided regarding the potential benefits as well as potential negative impacts. Consultation with EG will be made during the preliminary screening process and the development and implementation of an EGDP if needed. Consultations with and participation of ethnic groups, their leaders and local government officials will be an integral part of the EGDP. Scope of the EGDP should include preliminary screening, social assessment, mitigation measures, development assistance, and monitoring (see Appendix 2) and DEDP/PTI will provide training to PIU/DPWT if preparation of an EGDP is needed.
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30. Preliminary Screening: As mentioned above (Step 1) that safeguard screening form is provided in ESMF Annex 1. Specific procedure for consultation during the preliminary screening is highlighted as follows:
• All subproject areas which have ethnic group communities and are candidates for the Project support will be visited (at the time of first consultation with villagers) by DPWT and DEDP/PTI, relevant local authorities, and consultants (if any).
• Prior to the visit, respective DPWT and/or DEDP/PTI will send a letters to the communities informing their leaders that they will be visited by the respective DPWT and/or DEDP/PTI and local authorities and consultation will be conducted on the subproject. The letter will request that the communities invite to the meeting representatives of farmers, women associations and village leaders for discussion on the subproject. During the visit, the community leaders and other participants will present their views with regards to the subproject.
• At this visit, the social scientists (DEDP/PTI and/or consultants) will undertake a screening for ethnic minority population with the help of ethnic group leaders and local authorities. The screening will check for the following: (a) names of ethnic groups in the affected village; (b) total number of ethnic groups in the affected villages; (c) percentage of ethnic people in affected villages; (d) number and percentage of ethnic households along the zone of influence of the proposed sub-Project.
31. If the results show that there are ethnic group communities in the zone of influence of the proposed subproject, a social impact assessment will be planned for those areas.
5.4 Grievance Redress Mechanism (GRM)
32. Grievances related to environmental and social issues from ethnic groups that result from Project activities will be resolved by the Grievance Redress Committee (GRC) through the Project GRM presented in Figure 6.1 in general. However, the complainant also retains the right to bypass this procedure and can address a grievance directly to the DEDP/PTI Office or the National Assembly, as provided for by law in Lao PDR. At each level grievance details, discussions, and outcomes will be recorded in a grievance logbook. The status of grievances submitted and grievance redress will be reported to DPWT management through the monthly report.
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Figure 1-1 GRM Process
Submission of complaint
Environmental and social impacts
Stage Complainant submits grievance to VGRC. Grievance resolution by Grievance to be VGRC solved at this level solved end - days within - day
Stage If grievance cannot be solved by VGRC or Not solved complainant is not satisfied with the resolution s/he can submit grievance to District/Provincial Grievance resolution by solved Grievance District/Provincial GRC end Committee. Grievance must be - days solved within - days
Not solved
Stage If grievance cannot be solved by VGRC or Court of law complainant is not satisfied with the resolution s/he can submit grievance to the court of law
33. The communities and individuals who believe that they are adversely affected by a WB supported project may submit complaints to existing project-level grievance redress mechanism or the WB’s Grievance Redress Service (GRS). The GRS ensures that complaints received are promptly reviewed in order to address project-related concerns. Project affected communities and individuals may submit their complaints to the WB’s independent Inspection Panel which determines whether harms occurred, or could occur, as a result of WB non-compliance with its policies and procedures. Complaints may be submitted at anytime after concerns have been brought directly to the WB’s attention, and Bank Management has been given an opportunity to respond. For information on how to submit complaints to the World Bank’s corporate Grievance Redress Service (GRS), please visit www.worldbank.org/grs. For information on how to submit complaints to the World Bank Inspection Panel, please visit www.inspectionpanel.org. 19
5.5 EGDF Consultation and Information Disclosure
34. The EGDF has been developed as part of the ESMF preparation and is an annex to the ESMF. The draft EGDF is being reviewed by DWS and uploaded on the MPWT websites. The final EGDF will be disclosed in the MPWT websites after WB clearance.
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Appendix 1: Summary of Ethnic Communities in the Project Provinces
Background on the four Project provinces are provided in the ESMF Annex 5 and information regarding ethnic communities and ethnic groups are briefly presented in this appendix. Map below show locations of the provinces and key ethnic groups known to be present in the provinces.
Xiengkhouang Houphan Oudomxay Phongsaly
Khmu, Hmong, Khmu, Akha, Ly, Khmu, Yao, Leu, Hmong. Khmu, Lao Yang, Hor , Mouteun, Hor, Hmong, Phong, Leu Akha, Yang, Bid, Singmoun, Lolo Iumien or Yao, Moy or Meuang, and Hor. 2 communities 5 communities 2 communities 4 communities with Lao Tai (Tai Lao Tai including Tai comprising Khmu independent Dam,Tai Dam, Hmong, Lao Loum, Akha, language and culture Daeng, Khmu, Phong, Mouteun identity: Khmu, Phuan), Akha, Lao Lum and Khmu, and others. Hmong.
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Box A6.1 Key characteristics of main ethnic communities
• Tai Dam: The Tai Dam migrated from northern Vietnam to Laos 80–300 years ago. They are not Buddhists, instead they practice a form of ancestor and spirit worship. Tai Dam is well known producers of fine quality silk and cotton textiles and many women export directly to markets in Japan and the USA. Old Tai Dam women still wear the traditional blue indigo cotton shirt, skirt and a black turban woven with colored patterns. They produce rice alcohol, called ‘lao lao’, that is consumed socially and used for ritual purposes. Tai Dam settles in upland valleys near streams and irrigable and accessible plains scattered among Lao and Phuan villages. They built rectangular symmetric houses on piling, foot pounder and rice granary are under the house. The villages are composed of 15¬60 houses and are not fenced. The people mainly live on wet rice, vegetables, poultry, weaving, sewing and hunting.
• Khmu: Being part of the Mon-Khmer branch of the Austro-Asiatic linguistic family, the Khmu present one of the largest ethnic groups in Laos. They settled in the area several thousand years ago. The Khmu did a rapid acculturation and there is now little in their clothing that distinguishes them from the surrounding Lao, although they speak a completely different language. Khmu houses are built on stilts; each village has a communal house where men gather for political discussions, or work together on basket making and other crafts. Like many ethnic groups in Lao the Khmu practice their own form of animism. The Khmu are well-known for their skill at making baskets, fish traps, and other objects from bamboo. Their material culture, their tools, utensils, baskets and netbags reflect their continued reliance on the forest. Growing rice, hunting, gathering forest products and producing handicrafts provide some cash income. Take a taste of their famous brew ‘lao hai’(jar alcohol) while visiting one of the many Khmu villages.
• Hmong: The Hmong present 6-10% of the total population of Laos and remain most numerous and concentrated in the east of XiengKhuang. In the province the White Hmong, the Striped Hmong and the Green Hmong can be distinguished. The easiest way to differentiate these groups is by looking at the women’s dress. Hmong live in forested mountains between 8 to , meters of altitude and in Laos they are categorized as Lao Soung -the highland people, although today there are a more and more villages located in the low lands. Hmong live in villages ranging in size from 15 to over 60 houses. They are not fenced and organized by clan. The rectangular houses are beaten on soil, have one room without windows. The walls are made of vertical wood planks and bamboo and a thatch roof. Hmong are known for their knowledge of the forest, herbal medicines and expertise in raising animals. Their agricultural system is based on rain fed slope cultivation with slash and burn techniques. They live on ordinary rice, corn and vegetable production, swine and poultry, gathering, hunting, embroidery and basket work. Their religion is a form of shamanistic animism with cult of ancestors and spirits, and belief in three souls. Certain spirits protect the people within the village boundaries while others maintain their influence over the plant and animal kingdom outside the village. 22
• Akha: The Akha originally settle in the Kuaichao and Yunan, which are provinces of China. After moving down to the southern part of Yunan, they later moved to Va and Xiengtung districts of Burma, and then to Lai Chao district of Vietnam. Only later did they settle in the mountainous areas in northern Laos during the last 200 years. The total population of Akha in Laos is about 66,108 people, where 33,000 are women. This is .4 percent of Laos’ total population based on the second population census 2015. The Akha call themselves “Akha” while other ethnic groups call them “Kor or Ikor”. However, the preferable name and also the official name is “Akha Ethnic Group” There are many sub-group of Akha, namely Chichor, Pouly, Pana, Fe, Ooma, Nukui, Luna, Eupa, Chipia, Mochi, Yaeu, Kher, Mutern, Mamouang, Poukuang, Pilou, Pisor, Pousang and Kongsaad The Akha language is in the China-Tibetan group of languages and is placed on the branch of the Tibetan-Myanmar languages. Akha has no written alphabet. The Akha heavily believe in spirits and it is not easy for them to give up this tradition, as their belief in spirits is strongly ingrained in their culture. They believe spirit are both “good” and “bad”. House and village spirit are believed to be “good” as they represent spirits of of their ancestors who look after their family members. Trees, forests and rivers, spirits are considered bad spirits. The bad ghost may cause them sickness and illness.
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Appendix 2: Rapid Social Assessment and Preparation of EGDP
1. As mention in the main text that if the safeguard screening and preliminary consultation suggested that an EG community is present in the subproject area, preparation of an Ethnic Groups Development Plan (EGDP) will be required. This appendix provides scope and content of the EGDP which should comprise Scope of the EGDP should include preliminary screening, social assessment, mitigation measures, development assistance, and monitoring. Below provides scope of these features.
Preliminary Screening
2. All subproject areas which have ethnic group communities and are candidates for the Project support will be visited (at the time of first consultation with the villagers) by DPWT and DEDP/PTI, relevant local authorities, and consultants (if any). Prior to the visit, respective DPWT and/or DEDP/PTI will send a letters to the communities informing their leaders that they will be visited by the respective DPWT and/or DEDP//PTI and local authorities and consultation will be conducted on the subproject. The letter will request that the communities invite to the meeting representatives of farmers, women associations and village leaders for discussion on the subproject. During the visit, the community leaders and other participants will present their views with regards to the subproject.
3. At this visit, the social scientists (DEDP//PTI and/or consultants) will undertake a screening for ethnic minority population with the help of ethnic group leaders and local authorities. The screening will check for the following: (a) names of ethnic groups in the affected village; (b) total number of ethnic groups in the affected villages; (c) percentage of ethnic people in affected villages; (d) number and percentage of ethnic households along the zone of influence of the proposed sub-Project.
4. If the results show that there are ethnic group communities in the zone of influence of the proposed subproject, a social impact assessment will be planned for those areas.
Rapid Social Assessment
5. A rapid social assessment (SA) will be undertaken by the social staff of DEDP//PTI and/or consultants. The SA will gather relevant information on the following: demographic data; social, cultural and economic situation; and social, cultural and economic impacts (positive and negative) as followings:
• Information will be gathered from separate group meetings: ethnic village chiefs; ethnic men; and ethnic women, especially those who live in the zone of influence of the proposed work under subproject. Discussions will focus on subproject impacts, positive and negative; and recommendations for design of subproject.
• If the SA indicates that the potential impact of the proposed sub-project will be significantly adverse or that the ethnic community rejects the project, the subproject will not be implemented in that locality; no further action is needed in this case.
• If the ethnic group supports the subproject implementation an EGDP will be developed to address any concerns or negative impacts by the proposed subprojects. However, if the concerns are similar to those raised by other groups 24
of people (such as compensation and typical impacts due to construction and/or works implementation) and the mitigation measures can be incorporated into mitigation measures using other safeguard instruments such as resettlement action plan (RAP), specification for contractor (ECoP), preparation of EGDP will not be necessary.
Ethnic Groups Development Plan (EGDP)
6. The EGDP will consist of a number of activities and will include mitigation measures of potentially negative impacts, modification of subproject design, and development assistance. Where there is land acquisition in ethnic minority communities, the Project will ensure that their rights will not be violated and that they be compensated for the use of any part of their land in a manner that is culturally acceptable to them. The compensation and rehabilitation will follow the Resettlement Policy Framework (RPF) of the Project. An EGDP will include:
• legal Framework • baseline data; • land tenure information; • local participation; • technical identification of development or mitigation activities; • institutional arrangement; • grievance mechanism and disclosure arrangement; • implementation schedule; • monitoring and evaluation; and • cost and financing plan.
7. The EGDP will also provide evidence that the results of consultations have been taken into account.
Implementation Arrangement and Grievance Mechanism
8. DEDP/PTI and/or consultants will also be responsible for training respective DWPT or local authorities to undertake the work of consultation, screening, social impact assessment, analyses and preparing EGDPs. DWPT and Nam Saat of individual subprojects and local authorities are responsible for implementing EGDP (arrange adequate staff and budget). The Grievance Redress Committee will be responsible for implementation of the subproject grievance mechanism. The EGDP will also describe how different grievance mechanisms (i.e. general project-level grievance mechanism and EG grievance mechanism) will work together, if appropriate.
Monitoring
9. Implementation of the EGDPs will be regularly supervised and monitored by the DEDP/PTI of MPWT. The findings and recommendations will be recorded in quarterly reports and to be furnished to the WB.
10. If warrant, an independent agency which would be used by MPWT to undertake external monitoring and evaluation of the implementation of resettlement action plans for the Project will also be tasked with monitoring the activities for EGDP. While, the external 25
monitoring agency will visit a sample of affected households for resettlement in each relevant province on an annual basis, it will also visit a sample of at least 10% of ethnic minority households in the Project affected areas.
Schedule
11. The EGDP should have an implementation schedule that is coordinated with the subproject implementation. Logically, social assessments and group meetings should be undertaken before subproject designs are prepared. Compensation for land acquisition should be satisfactorily completed at least one month prior to start of civil work. Monitoring should take place at the recommended times during and after civil work.
Budget
12. The EGDP will include information on detailed cost of mitigation measures and other rehabilitation entitlements for ethnic minority in the affected areas. Sources of funding for the various activities and financing plans will be clearly specified in the cost tables.
Reporting/Documentation
13. The EGDPs will be prepared by PIU/DPWT with the assistance of PMU/DWS to MPWT and then and submitted the WB at the same time that respective DPWT submit their subproject applications to MPWT and the WB for review.
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Appendix 3 : Grievance Registration and M&E Forms –04 November 2018
1. This appendix provides guidance on the grievance and monitoring and evaluation forms to be used during the implementation of the proposed subproject to be implemented under Component 1. PUI/DPWT will be responsible for implementation of this measure.
(A3.1) Sample grievance registration form 2. To provide opportunity for the peoples that may be affected by the implementation of the subproject, the following form will be used and this measure will be informed to the local residents and the general public.
GRM Form –To be completed by DPWT Grievance Number: ______LOCATION : District: ______Village: ______CDC Name: ______NAME OF COMPLAINANT: ______ID number: ______ADDRESS:______Telephone #: ______
DATE RECEIVED:
Classification of the grievance (Check boxes) Water Use Dispute with contractors CDC formation Inter-community dispute Land acquisition and Compensation Technical/operational coordination Financial Process delays Water Quality Noise Sanitation Water Use Other (specify)______Brief description of the grievance:
What is the perceived cause?
Suggested action (by complainant) to address grievance:
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(A3.2) Monitoring and Evaluation Forms
From A3.1 Social Monitoring Form –to be completed by PIU/DPWT
Province: District: Location – sketch map
attached
( ) YES NO SUbproject Name: Subproject No: Type of Monitoring ( ): Regular Periodic Monthly/Quarterly Annual/semi- annual Implementation No Activities Comments
1 Institutional and facilities provided Setup steering Committee responsible for (resettlement, negotiation, social/ethnic development etc.) Vehicle and equipment provided 2 Capacity building Training on resettlement and compensation Training on negotiation (Conflict Solving) Training on public participation, consultation and information dissemination Training on Social and Ethnic Development Other please specified 3 Implementation of A/RAP Compensation and Payment Relocation structures (House, shop... ) Compensated for agriculture land Compensated for economic trees and crops Reallocated new land for effected people Issued land title for resettle people Implementation following overall RP
4 Dissemination/public hearing and participation Dissemination od project information (by 28
Poster, Radio, TV and other match medias
Organized consultation workshop with effected people Other consultation workshop...... 5 Implementation of Social Development Plan Implementation of earning income and Job restoration plan Promoting Gender perspective Assist and restore of vulnerable people/household 6 Implementation of Ethnic Development Plan Promoting/ providing Job opportunities, income and productivities of ethnic people Provide Subsidies and special assistance to effected of ethnic household
7 Restoration and Maintain of effected properties Maintaining of public infrastructures (Spring water, water supply, electricity, telephone, etc.) Maintaining of community access road, drainage, diversion road etc. Avoid effected on cultural heritage, temple, cemetery... Detailed description of observations and comments (add sheets if required)
Distributed to Yes No Date MPWT -DEDP/PTI MPWT-DWS DPWT – ESU MONRE/PONRE Others (list below) Social Monitoring Form compiled by: 29
Name: Designation:
Signature: Date:
Social Monitoring Form verified by: Name: Designation:
Signature: Date:
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Form A3.2 Sample of Monitoring Report –To be completed by DEDP/PTI
Project Location Map
I. Introduction: Project background Project implementation
II. Objectives and Expectations
III. Monitoring Team Participants and Organizations Date and Place of Visited
IV. Face finding 4.1 Work progress • Implementation of Resettlement and Compensation • Work progress from previous visited (Example: Clearing, Construction Camp, Borrow Pit, Stockpile, etc.) • Plan for Next Month/Quarter 4.2 Safeguards implementation. • Compliant/Non Compliant with ESMP/ECoP V. Recommendation • Suggest /Recommend (corrective and preventive actions) for non compliant issues
APPENDIX 1: ENVIRONMENTAL AND SOCIAL ALIGNMENT SHEET FOR ... SUBPROJECT
Date Location Figure/Picture Finding/ Recommend of Issues the corrective visited action
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Form A3.3 Impact Evaluation Form –To be completed by DEDP/PTI Province District Location-sketch map attached () Subproject Name Subproject No: □Yes □No Type of impact evaluation √ □ Less than 1 year □ Moe than 1 year Other…………………………………….. □ Project closure No. Description Yes No Comments (add extra sheets) L M H I. Land acquisition & resettlement issues 1.1 Land acquisition for water intake 1.2 Land acquisition for water treatment plant 1.3 Land acquisition for water reservoir 1.4 Land acquisition for project districts offices 1.5 Relocation of structures 1.6 Loss of public properties or infrastructure 1.7 Other please specify II. Income and living standard 2.1 Loss of income and living standard 2.2 Loss of occupation and business activities 2.3 Other please specify III. Ethnic issues 3.1 Loss of income and living standard of the ethnic people 3.2 Impact on health and education 3.3 Other please specify IV. Severance and social disruption 4.1 Destruction of sealing in the archeological, historical, cultural values 4.2 Other please specify V. Mobilization, Establishment and Operation of 5.1 Work force • Unrest or dissatisfaction of local communities • Participation opportunities in project activities and benefits • Unrest or dissatisfaction of local communities resulting from cultural difference with labor crews • Other please specify 5.2 Equipment • Traffic • Introduction of plants and animal pest • Other please specify 5.3 Labor camp • Cutting of trees for camp building and use as fire wood for cooking and heating • Water pollution from sewage and waste disposal • Disease risks to workers • Impact on local resources including wide life, fish… due to demand for food and fuel • Other, please specify 32
VI Land clearance and construction 6.1 • Sedimentation and turbidity impacts in receiving waters 6.2 • Spoil disposal leading to loss of habitat and sedimentation 6.3 • Disturbance of existing property frontage, track or public utilities 6.4 • Noise, dust effects 6.5 • Destruction of sealing in the archeological, historical, cultural values 6.6 • Other, please specify VII. Transport of materials 7.1 Dust 7.2 Traffic hazard 7.3 Other please specify
Distributed to Yes No
MPWT -DEDP/PTI MPWT-DWS DPWT Nam Saat/MoH MONRE/PONRE Others (list below) Monitoring Form compiled by: Name: Designation: Signature: Date:
Monitoring Form verified by: Name: Designation: Signature: Date:
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Form A3.4 Environmental and Social Final Report (Use for Project Closure, –To be completed by DEDP/PTI ) Province: District: Location – sketch map attached ( ) YES NO Subproject Name: ProjectNo: TYPE of works/activities ( )
New construction Rehabilitation
Project Categorization:
Safeguard documents prepared (list):
1. Activities Realized With date ______, one came to realize the final review of the environmental and social aspects corresponding to the activity ______, with the intention of verifying the fulfillment of the Measurements of Mitigation contemplated for the project, as well as of verifying if other negative impacts have appeared during the period of time of execution of the work. In this sense there was content the commission integrated by the following persons;
No. Name Institution Responsibility Contact Signature Number 1 2 3 4
2. Background In this section must capture the record of the case in accordance with dates, narrating of summed up form the problem to that one attends and enumerating the recommendations done in previous opportunities?
3. Results of the Examination Here it is necessary to describe in detail, the conditions in which developed the measurements of mitigation, the grade of fulfillment and his current state, exhibiting when it is necessary, and the reasons on which the measurements have not been completed. In order to visualize the above mentioned information, it is recommended fulfill the following evaluation table:
Mitigation Accomplishment Time to Observations No. measures Yes No % accomplishment
34
of the measures
4. Conclusions Based on the examination and the results of the evaluation, prepare for themselves the conclusions of the fulfilment of the measurements of mitigation and established recommendations.
Distributed to Yes No Date MPWT -DEDP/PTI MPWT-DWS DPWT Nam Saat-MoH MONRE/PONRE Others (list below)
Environmental and social Final Report compiled by: Name: Designation:
Signature: Date:
Environmental and social Final Report verified by: Name: Designation:
Signature: Date:
35
Appendix 4: . Implementation and Capacity Building (Extracted from sections 11 and 10 in the ESMF)
Implementation 1. The implementation of the EGDF will follow the Project Implementation arrangement. The project implementing agencies will be MPWT, MoH, and the four project provinces. At central level, MPWT will be responsible for overall implementation and effectiveness, coordination with concerned ministries, including Ministry of Finance and Ministry of Planning and Investment, to process necessary legal amendments or project restructuring to facilitate project implementation, enhance disbursement, and improve the efficiency of the use of IDA.
36
2. WSSP is joining implementing by MPWT and MoH. MPWT- is the central agency responsible for coordination with concerning stakeholders and overall project implementation.
3. DWS/MPWT - is core of implementing agency of the Project. The Project Management Unit under DWS will work closely with the national and international consultants for preparing the ESMP, ARAP/RAP, EGDP in coordination with PIUs. In addition, PMU will also conduct consultations and make local authorities and target communities understand and follow safeguard policy; and lead PUI to monitor project activities.
4. DEDP/PTI/MPWT- will support DWS in subproject screening, annual external monitoring of compliance with safeguard policy in this EGDF.
5. MoH - is part of the project responsible for implementing their respective activities under Components 1and 2 . Hence, MoH assign Nam Saat/DoH to coordinate with PIU/DPWT to support community water supply and hygiene. The activities amongst others include (i) capacity building for sustainability of community water supply and support for Component 1 implementation; (ii) guidelines for self supply for remote villages, (iii) guidelines for sanitation and SBCC, (iv) district-wide sanitation plans; (v) strengthening of sanitation supply chains; (vi) water quality monitoring system, (vii) sector M&E system; (viii) national awareness campaigns; (ix) orientation and training of provincial and district staff; (x) rolling out CLTS curriculum at schools and universities.
6. DPWT – will take a lead responsible role at provincial level to supervise E&S consultant and PMU to conduct screening process, review and endorse sub-project proposal, monitor compliance of subproject proposal implementation. For sub-project proposal that required IEE, DPWT will communicate with PoNRE to set out line and timeframe for IEE approval process to ensure the subproject will be completed within the project closing date. DPWT together with OPWT and PMU as well as E&S will conduct regular meeting with PoNRE and other line agencies related to subproject implementation to receive feedback if any recommendation to support the project implementation or any complaint arise due to the sub- project implementation and provide way to resolve the issues.
7. NPSEs - will be responsible for the technical design, contracting and supervision of water supply works. It will monitor together with the site engineer supervision consultant contractor ‘s compliance with the ECoP/ESMP.
8. OPWT – will take a lead responsible role at district level to supervise E&S consultant and PMU to conduct screening process, review and endorse subproject proposal, monitor compliance of subproject proposal implementation. For subproject proposal that required IEE, OPWT will communicate with PoNRE to set out line and timeframe for IEE approval process to ensure the subproject will be completed within the project closing date. OPWT together with DPWT and PMU as well as E&S will conduct regular meeting with PoNRE to receive feedback if any complaint arise due to the subproject implementation and provide way to resolve the issues.
9. E&S Consultant- E&S consultant will work closely with PMU to provide support in E&S screening and prepare appropriate safeguard instrument. E&S consultant will also supervise and monitor the implementation of the ECoP.
10. PMU - Project Management Unit under DWS will take a coordinator role and provide technical support to E&S consultant to ensure safeguard compliance of sub-project. PMU will supervise the implementation of the ECoP, ESMP, ARAP/RAP, and or EGDP and will contract qualified laboratory for the monitoring including laboratory testing of water and reporting. PMU will contact PoNRE to determine if the project implementation is meeting all specified ESMF, IEE and ECoP and related social safeguard requirements. PMU will perform 37
supervision site visit during construction works to confirm the ECoP are being adequately implemented.
Capacity Building and Training
11. Awareness creation, training and sensitization will be required for personnel of the following institutions: • PMU/DWS, PTI • PIU/DPWT, NPSE, OPWT • Nam Saat/DoH • Nam Saat/District Health Office • VDC members e.g. village leaders, women’s Unions, youth unions, leaders of ethnic groups, • Contractors managers and personnel 12. Training will concern: • Environmental and social impact screening process and using ESMF screening forms/checklist o Screening process o Assignment of environmental categories o Rationale for using Environmental and Social Checklists o The importance of public consultations and participation of households in the screening and planning process o How to monitor ESMF implementation • Safeguard policies, procedures, and sectoral guidelines o Review and discussion of national environmental policies, procedures, and legislation o Review and discussion of the Bank’s safeguard policies • Selected topics on environmental protection and social safeguards o Air, water, and soil pollution o Health and safety o Waste management and disposal o Natural resource utilization o Selection of viable, small and medium-scale water supply systems o Resettlement and compensation o Ethnic development plan o Negotiation (Conflict Solving) o Public participation, consultation and information dissemination
13. Selection of training courses should identify potential guidelines or good practice documents on environmental management for the key sectors to be financed. World Bank environmental safeguard specialists will be requested to provide periodic supervision and training relative to the identification and management of environmental risk in project evaluation and implementation. 14. During the implementation, further capacity development need assessment will be carried out and the capacity building program will be redesigned according to the need and targeted improvement in project implementation.
Annex 8: Water Quality Standards 1. Drinking Water Quality Standards The Minister’s Decision on Water Quality Standard for Management for Drinking and Domestic Use No.561/MOH, Dated March 2014. The NPSEs and Nam Saats are required to monitor drinking water quality to ensure water safety and protect consumer health through the conduct of regular water quality sampling and laboratory analysis of the gathered samples. Article 9 situated the requirement for the monitoring parameters and permissible limits, monitoring frequencies and exception for Nam Papa System. When monitoring results indicate non- compliance with permissible limits, the Nam Papa Service providers shall make every effort to identify the cause of the problem, take appropriate corrective action and retest as well as report to high level authority. This list of monitoring parameters are shown in Table 1-Table 2 below: Table 1: Monitoring Requirements for Nam Papa Systems. Parameter Unit Permissible Exceptions Monitoring
limit Frequency
Yearly
Weekly Monthly Microbial E.coli Units/ 0 100mL Chemical Aluminium (AI) mg/l <0.2 There is no exception if aluminium-based coagulants are used Arsenic (As) mg/l <0.01 There is no exception if source is groundwater Chloride (Cl-) mg/l <250 Chlorine Cl2 mg/l 0.1-2 There is no exception if (free residual) chlorine is used for disinfection Copper (Cu) mg/l <2 There is no exception if copper pipe work is used Cyanide (Cn) mg/l <0.5 There is no exception if source is surface water and catchment include gold mining/processing Fluoride (F) mg/l <1.5 There is no exception if source is groundwater or fluoride is added to water in the treatment process Iron (Fe) mg/l <0.3 Lead (Pb) mg/l <0.01 Manganese (Mn) mg/l <0.1 Mercury (Hg) mg/l <0.006 Nitrate (NO3) mg/l <50 Nitrite (NO2) mg/l <3 Sodium (Na) mg/l <200 Sulfate ion (SO4) mg/l <250 Zinc (Zn) mg/l <3 Taste Acceptable Physical Colour TCU <5 pH 6.5-8.5 Conductivity US/cm <1000 Turbidity NTU <5 Total Hardness as CaCO3 mg/l <3000
Note: 1). An acceptable alternative to E.Coli is thermotolerant Coliform Bacteria. 2). Combined nitrate plus nitrite: The sum of rations of the concentration detected of each to its permissible limit must not exceed.
Table 2: the acceptable margins for compliance with the permissible limits for microbial parameters
Population Served %of 12-month period results in permissible limits <100,000 90% 100,000 or greater 95%
The NPSEs must monitor all selected points within the distribution network, the section of sampling points shall be consider on the distance of two representative sampling site nearby. The total number of sampling site to be established and included in the overall monitoring programme shall be no less than standard that show in table 3.
Table 3: Minimum number of sampling sites required
Kilometres (km) of distribution pipeline Minimum number of sampling site to be established as a function of distribution pipeline length <10km 2 sites per 1 km of pipeline 10-100km 5 sites per 20km of pipeline, plus 20 sites >100-500km 5 sites per 50km of pipeline, plus 35 sites >500km 5 sites per 100km of pipeline, plus 60sites
The total number of samples required per month for microbial analysis is shown in Table 4. The total random number of samples required for analysis of all other parameters I shown in Table 5
Table 4: Minimum number of samples to be analyzed each moth for microbial parameter
Population served by the water supply Total number of samples required per month <5,000 served 1 sample 5,000-100,000 served 1 sample per 5000 served >100,000-500,000 1 sample per 10,000 served, plus 10 samples >500,000 1 sample per 50,000 served, plus 50 samples
Table 5: Minimum number of samples to be analysed each week, each moth and each year for all other parameters Population served by the water supply Total number of samples required for monitoring per week, month and year <20,000 served 1 sample 20,000-100,000 served 1 sample per 5,000 served)/4 100,000-500,000 served (1 sample per 10,000 served, plus 10 samples)/4 >500,00 served (1 sample per 50,000 served, plus 50 samples)/4
2. Discharge Standard The NPSEs is responsible for compliance with applicable discharge standard as defined in the Lao National Environmental Standard No. 81/GoL, Dated 21 February 2017. The discharge control standard from the manufacturing is show in table below.
Parameter Limits standard Units Analysis Potential of Hydrogen (pH) 6-8.5 pH Meter Total Dissolved Solid (TDS) <2,500mg/l depend on the mg/L Dry evaporation at type of industrial and temperature 103- received river but must not 105ºC, 1 hour exceed 5,000 mg/l. Total Suspended Solid (TSS) < 50 mg/l depend on the mg/L Glass Fiber Filter type of industrial and Disc received river but must not exceed 150 mg/l. Temperature (t) Not more than 40 ºC Temperature Meter Color and Odor Acceptable General Hydrogen Sulfide (H2S) <1.0 mg/L Titration Cyanide (CN-) <0.2 mg/L Distillation and Pyridine Barbituric Acid Fat, Oil and Grease (FOG) <5.mg/l depend on type of mg/L Solvent Extraction industrial and received river by Weight but must not exceed 15.0 mg/l Formaldehyde (CH2O) <1.0 mg/L Spectrophotometry Phenol (C6H5OH) <1.0 mg/L Distillation and Aminoantipyrine Method 4 Chorine (Cl-) <1.0 mg/L Lodometric Method Pesticide None mg/L GC Biological Oxygen Demand 5 <30mg/l depend on type of mg/L Azide modification at days (BOD5) industrial and received river 20ºC, 5days but must not exceed 60 mg/l
Total Nitrogen (TKN) <100mg/l depend on type of mg/L Potassium industrial and received river Dichromate but must not exceed 200 Digestion; Open mg/l Reflux or Closed Reflux Heavy metals Zinc (Zn) <5.0 mg/L AA/AES;ICP Chromium Hexavalent (Cr+6) <0.25 mg/L Chromium Trivalent (Cr+3) <0.75 mg/L Copper (Cu) <2.0 mg/L Cadmium (Cd) <0.03 mg/L Barium (Ba) <1.0 mg/L Lead (Pb) <0.2 mg/L Nickel (Ni) <1.0 mg/L Manganese (Mn) <5.0 mg/L Arsenic (As) <0.25 mg/L AA-Hydride Selenium (Se) <0.02 mg/L Generation or ICP Mercury (Hg) <0.005 mg/L AA-Cold Vapour Techique
ANNEX 9: CHANCE FIND PROCEDURES
The following “chance find” procedures to be included in all civil works contract: If the Contractor discovers archeological sites, historical sites, remains and objects, including graveyards and/or individual graves during excavation or construction, the Contractor shall:
- Stop the construction activities in the area of the chance find;
- Delineate the discovered site or area;
- Secure the site to prevent any damage or loss of removable objects. In cases of removable antiquities or sensitive remains, a night guard shall be arranged until the responsible local authorities or the National Culture Administration take over;
- Notify the supervisory Project Environmental Officer and Project Engineer who in turn will notify the responsible local authorities and the Culture Department of Province immediately (within 24 hours or less);
- Responsible local authorities and the Culture Department of Province would be in charge of protecting and preserving the site before deciding on subsequent appropriate procedures. This would require a preliminary evaluation of the findings to be performed by the archeologists of National Culture Administration. The significance and importance of the findings should be assessed according to the various criteria relevant to cultural heritage; those include the aesthetic, historic, scientific or research, social and economic values;
- Decisions on how to handle the finding shall be taken by the responsible authorities and Culture Department of Province. This could include changes in the layout (such as when finding an irremovable remain of cultural or archeological importance) conservation, preservation, restoration and salvage;
- Implementation for the authority decision concerning the management of the finding shall be communicated in writing by relevant local authorities; and
- Construction work could resume only after permission is given from the responsible local authorities or Culture Department of Province concerning safeguard of the heritage.
Annex 10: Public Consultation on ESMF
LAO PEOPLE’S DEMOCRATIC REPUBLIC PEACE INDEPENDENCE DEMOCRACY UNITY PROSPERITY
Ministry of Public Works and Transport Department of Water Supply
Report on Public Consultation on the ESMF
Water Supply and Sanitation Project (WSSP)
Vientiane, 05 November 2018
Contents 1. Introduction ...... 3 2. Consultation Process ...... 3 3. Comments and Actions Taken ...... 3
Table 3-1: Summary of comments and issues raised...... 3
Appendix 1: Agenda for Consultation Meeting in Oudomxay, 29 October 2018 ...... 5 Appendix 2: Minutes of Consultation Meeting in Oudomxay Province ...... 6 Appendix 3: List of Participants ...... 8 Appendix 4: Presentations ...... 9
1. Introduction 1. According to the OP4.01, the environmental assessment process should be available to the public. As such, DWS consulted with all relevant stakeholders in Oudomxay province on project safeguard documents (draft ESMF) during the process of preparation of the safeguards documents. The final ESMF with all annexes (i.e. RPF, EGDF, ECoP…) will be circulated and posted on the MPWT website in both English and Lao language.
2. The consultation aim at: (i) providing background information to various stakeholders on the WSSP, (ii) receiving feedback from concerned stakeholders, both targeted communities/enterprises and concerned government agencies, as well as civil society and NGOs to take into an account gender aspects on issues and proposed mitigation measures and institutional arrangements pertaining to the ESMF of WSSP; and (iii) discussing ways to maximize WSSP environmental and social performance.
3. The public consultation was organized in Oudomxay province on 29 October 2018 with 27 participants from concerned provincial departments and district offices from 2 target districts of the project. The Deputy Director of DWS represented MPWT in the meeting. Concerned provincial departments and parties attending the consultation included Oudomxay DPWT, PoNRE, Provincial LWU, Provincial LFNC, Oudomxay Nam Papa State Enterprise and DoH. Representatives from concerned offices of Namor and La districts included LWU, LFNC, DoNRE and OPWT. (List of participants are presented in Appendix 3).
2. Consultation Process 4. The Oudomxay consultation meeting was a half day meeting with powerpoint presentations, and questions and answers sessions. 5. The meeting was shared by the Deputy General Director of DoPWT, Oudomxay Province followed by the presentation of the consultant on (i) project overview, objectives and overview of the ESMF and its implementation arrangement (ii) project environment and social safeguards screening; (iii) measures for environmental impact management (iv) resettlement policy framework (v) grievance redress mechanism and grievance procedures. After each presentation, participants were allowed to raise their concerns and asked questions.
3. Comments and Actions Taken 6. Overall, representative from DWS, provincial departments and district offices made positive comments on the ESMF and RPF. The participants agreed that impacts from the project will be overall positive. Potential negative impacts are envisaged to be minor: limited, localized, manageable and reversible. The participants agreed with the environment safeguard tools including ESMF and ECoP for mitigating potential environmental issues during subproject implementation. Comments, questions and observations made during the plenary sessions are summarized in Table below. Table 3-1: Summary of comments and issues raised.
No. Comments/issues raised by Comments/Action taken in the draft participants ESMF I. Compensation issues 1.1 Budget for compensation must be Compensation will be the responsibility separated from the project of the local government implementation costs 1.2 With regard to those affected land or Definition of severely affected APs assets that are going be affected varies between World Bank’s policy at equal or more than 10% of the total 10% and the Government’s Decree area or structure are identified as 192/PM (Article 8) at 20% of productive severely affected households by the and/or income generating assets project. This issue must be affected. The provisions of resettlement reconsidered that compensation policies for other projects that have should be calculated according to the been agreed between Government and affected portion. However, if the AH international donors (ADB and World could not use the remaining area full Bank), the definition of severely replacement cost for compensation affected – as people losing 10% or must be e based on the investigation more of their productive or income and approval of the resettlement generating assets – will be adopted as committee. part of the Project’s resettlement policy
1.3 Compensation should be paid in cash. Compensation cost to be provided to If government fund would be used for the local authorities as soon as the RAP this purpose supporting documents or ARAP is finalized and approved by and detailed budget needs to be concerned parties. Compensation can prepared for requesting budget be in cash compensation or land for allocation according to the financial land compensation or in kind in the regulations and routines of the same value Ministry of Finance.
II. Environmental issues 2.1 Water sources must be clean and free Water quality will be tested from all of chemical contamination potential sources. Water quality standard of the Lao government will be followed by the project. III. Grievance procedures 3.1 Grievance procedures should follow Removed DWS from the step 3 of the the existing district offices and village grievance procedure in the ESMF. arbitration units. To remove DWS from However, the report should be shared the third step of the grievance with the project. procedures. 3.2 Timeline for grievance resolution at The Decision No. 404/MoJ dated 28 each stage should follow the decision April 2016 on the organization and by Ministry of Justice. operation of Village Grievance Committee has no provision of timeline for grievance resolution. IV. Construction 4.1 Civil works during both construction PMU to consider to include it in the and operational phases must be contractor’s contract. carried out during official working hours of the government V. Coordination and monitoring 5.1 Coordination and monitoring of PoNRE has been included in monitoring environmental and social impacts of ESMF implementation must include PoNRE VI. Others 6.1 Budget for local government PMU/DWS and CMU/DHHP must contribution must be submitted inform local government authorities on meeting the deadline of government requirements for their contribution in for the submission of the annual both human and financial resources. budget plan
7. In line with the Bank’s Public Consultation and Disclosure Policy, for the WSSP, the draft ESMF and its annexes have been revised to incorporate feedback from consultation held in Oudomxay on October 29 2018 and is disclosed in English on MPWT website. The final version will be translated into Lao language distributed to relevant department and offices in 4 provinces and 12 districts and uploaded on the website of MPWT.
Appendix 1: Agenda for Consultation Meeting in Oudomxay, 29 October 2018
ວາລະກອງປະຊຸມເຜຍີ ແຜ່
ກອບຕດິ ຕາມກວດກາຜນົ ກະທບົ ດາ້ ນສ່ ງິ ແວດລອ້ ມ ແລະ ສງັ ຄມົ
ແຂວງ ອຸດມົ ໄຊ
ວນັ ທ ີ 29 ຕຸລາ 2019
ເວລາ ເນອ ້ ໃນ ວທິ ະຍາກອນ 08:00 – 08:30 ລງົ ທະບຽນ ເລຂາ ຍທຂ ແຂວງອຸດມົ ໄຊ 08:30 - 08:45 ກ່ າວຈດຸ ປະສງົ ແລະ ວາລະກອງປະຊຸມ ວຊິ າການ ກມົ ນາ ້ ປະປາ 08:45 – 09:00 ກ່ າວເປີດກອງປະຊຸມ ຫວົ ໜາ້ ຍທຂ ແຂວງອຸດມົ ໄຊ 09:00-09:30 ຈດຸ ປະສງົ ຂອງໂຄງການ ແລະ ນາງ ແສງດາວນັ ພງົ ປະເສດີ ກອບການຕດິ ຕາມຜນົ ກະທບົ ດາ້ ນສ່ ງິ ແວດລອ້ ມ ຊ່ ຽວຊານ ດາ້ ນສ່ ງິ ແວດລອ້ ມ ແລະ ສງົ ຄມົ ຂອງໂຄງການ ນາ ້ ແລະ ສຸກຂະພບິ ານ ບລ ສິ ດັ ທ່ ປີ ຶກສາ ແລະ ພາກສ່ ວນຮບັ ຜດິ ຊອບໃນການຈດັ ຕງັ້ ປະຕບິ ດັ ລາວຄອນຊາວຕງິ້ ກຣຸບ ແລະ ຕດິ ຕາມກວດກາ 09:30 – 09:45 ການກ່່ ນັ ກອງຜນົ ກະທບົ ດາ້ ນສ່ ງິ ແວດລອ້ ມ ແລະ ນາງ ແສງດາວນັ ພງົ ປະເສດີ ສງັ ຄມົ 09:45:10:00 ຖາມ ຕອບ 10:00 – 10:15 ພກັ ຜ່ ອນ 10:15 – 10:30 ກອບວຽກໃນການຄຸມ້ ຄອງຜນົ ກະທບົ ຕ່ ສ ່ ງິ ແວດລອ້ ມ ນາງ ແສງດາວນັ ພງົ ປະເສດີ 10:30 – 11:00 ກອບວຽກກ່ ຽວກບັ ຍະໂຍບາຍໃນການຈດັ ສນັ ຍກົ ຍາ້ ຍ ນາງ ແສງດາວນັ ພງົ ປະເສດີ 11:00 – 11:15 ກນົ ໄກ ແລະ ຂະບວນການໃນການຮອ້ ງທຸກ ນາງ ແສງດາວນັ ພງົ ປະເສດີ 11:15 - 11:45 ຖາມ ຕອບ ນາງ ແສງດາວນັ ພງົ ປະເສດີ 11:45 - 12:00 ສະລຸບ ສງັ ລວມ ແລະ ກ່ າວປິດກອງປະຊຸມ ຫວົ ໜາ້ ຍທຂ ແຂວງອຸດມົ ໄຊ
Appendix 2: Minutes of Consultation Meeting in Oudomxay Province
Lao People Democratic Republic Peace Independence Democracy Unity Prosperity
Ministry of Public Work and Transportation Department of Public Work and Transportation of Oudomxay Province Ref 033 /PWT.ODX Oudomxay, Date 01 November 2018
Minutes of Meeting Consultation Workshop on Environmental and Social Management Framework for Water Supply and Sanitation Project (the Project Preparation), under the World Bank’s Project at Oudomxay Province, on 29 October 2018 .
- Pursuant to the MPWT Minister’s Decision No. 9555/PWT, dated 16 July 2009 on the Implementation and Activities for the Provincial and Capital Department. - Pursuant to the Notification from the MPWT No.24385/PWT.O on leading the World Bank’s Specialist Team to conduct the consultation workshop on Environmental and Social Management Framework for Water Supply and Sanitation Project in Lao PDR. (the project preparation) under World Bank’s project
In the morning at 8:30 on 29th October 2018 at the Oudomxay Provincial Department of Public Work and Transportation’s meeting room, the consultation workshop on the ESMF for the Water Supply and Sanitation Project in Lao PDR (the project preparation phase) of the World Bank Project was opened; which is chaired by Mr. Sompavanh Soudchalith, Deputy General Director of DoPWT Oudomxay Province and there are representatives from Department of Water Supply, MoPWT; Environmental Specialist from World Bank; relevant provincial authorities and district offices from two target districts such as Namor and La District, there are total of 27 participants and 4 female (the list of participants is enclosed herewith) After open speech the workshop by chairman, Mr. Sompong Siththivong, Deputy General Director Department of Water Supply, MoPWT presented the project background and project implementation plan. Then an Environmental Specialist presented the ESMF, environment and social impacts screening, environmental management framework, resettlement policy frameworks and grievance mechanism and procedures. Throughout the consultation 1. Raw water source for water supply systems shall be clean, good quality and free of contamination and it can be from the protected forest.. 2. Budget for compensation of the affected properties and livelihood shall be separated from the project budget (Budget for the compensation must not to be under the construction budget). 3. Water sources both gravity feed or ground water must be clean and free of chemical contamination. 4. Compensation costs must be not included in the construction costs. 5. Civil works during both construction and operational phases must be carried out during official working hours of the government. 6. With regard to those affected land or assets that are going be affected equal or more than 10% of the total area or structure are identified as severely affected households by the project. This issue must be reconsidered that compensation should be calculated according to the affected portion. However, if the AH could not use the remaining area full replacement cost for compensation must be e based on the investigation and approval of the resettlement committee. 7. Compensation should be paid in cash. If government fund would be used for this purpose supporting documents and detailed budget needs to be prepared for requesting budget allocation according to the financial regulations and routines of the Ministry of Finance. 8. Grievance redress mechanism and procedures must be revised for instance time for grievance resolution must reflect the allocated time by the juridical sector. The members of the GRM must include relevant provincial and district departments and offices for instance local courts. 9. Coordination and monitoring of environmental and social impacts must include PoNRE. 10. World Bank should include budget for compensation in addition to the budget for construction of the systems. 11. Submission of project plan for budget allocation from the government must be in line with the timeline government annual budget allocation. At the end of the meeting the chairman had requested participants particularly those from the two target districts to report the issues discussed at the meeting to their respective district authorities for further comments. The meeting was successful held for a half day and closed at noon. Therefore, this minutes of meeting will be used a reference document for further actions and comments from the higher authorities.
Meeting Chairman Recorded by
Sompavang Soudchalith Bounchan
Appendix 3: List of Participants
Appendix 4: Presentations
• Appendix3_WSSP-Presentation-ESMF • Appendix3_WSSP-Presentation-ESMF-29-10-_Resettlement • Appendix3_WSSP-Presentation-ESMF-29-10-Environment • Appendix3_WSSP-Presentation-ESMF-29-10-Grievance • Appendix3_WSSP-Presentation-ESMF-29-10-Screening