SOUTH EAST ASIA DISASTER RISK MANAGEMENT (SEA DRM) PROJECT FOR LAO PDR Project ID No: P170945
Component 1: Integrated Urban Flood Risk Management In Muang Xay, Oudomxay (ODX) Province
Final Ethnic Group Engagement Plan
Volume 1 Main Report
Prepared by: DEPARTMENT OF WATERWAYS MINISTRY OF PUBLIC WORKS AND TRANSPORT LANXANG AVENUE, VIENTIANE, LAO PDR
November, 2020
Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
Table of Contents
ACRONYMS AND ABBREVIATIONS ...... iv EXECUTIVE SUMMARY ...... 1 1 INTRODUCTION ...... 1 1.1 Background...... 1 1.2 Objective of this EGEP ...... 2 1.3 Benefits and Potential Adverse Impacts of the Project ...... 2 1.4 Safeguard Policies to Minimize the Negative Impact on Ethnic Groups ...... 3 2 PROJECT DESCRIPTION ...... 3 2.1 Project Location ...... 3 2.2 Sub-project Design and Area of Influence ...... 6 3 LEGAL AND INSTITUTIONAL FRAMEWORKS ...... 10 3.1 Constitution of the Lao PDR (amended 2015) ...... 10 3.2 Local Administration Law of Lao PDR (amended 2015) ...... 10 3.3 Ethnic Groups Policy (1992) ...... 10 3.4 The 8th National Socioeconomic Development Plan (2016-2020) ...... 12 3.5 Land Law (2019) ...... 12 3.6 A National Guideline on Consultation with Ethnic Groups, 2013 ...... 14 3.7 Relevant International Treaties ...... 15 3.8 Institutional Responsibility ...... 16 4 EGEP METHODOLOGY ...... 17 4.1 Screening for the Presence of Ethnic Groups ...... 17 4.2 Social Assessment Methodology and Process ...... 18 4.3 Consultation and Information Gathering ...... 18 4.3.1 Consultation Workshops ...... 18 4.3.2 Participatory Focus Group Discussions and In-depth Discussion ...... 20 4.3.3 Village and Household Census Surveys ...... 22 4.4 Free, Prior and Informed Consultation Process ...... 22 5 SOCIAL ASSESSMENT OF ETHNIC GROUPS IN THE PROJECT AREA...... 23 5.1 Methodology and Approach adopted for the Ethnic Group Identification ...... 23 5.2 Ethnic Group in Lao PDR ...... 24 5.3 Ethnic Groups in the Project Province ...... 25 5.4 The Ethnic Group Community in the Project Area ...... 26
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Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
6 VILLAGE AND HOUSEHOLD SOCIO-ECONOMIC CENSUS (BASELINE INFORMATION) ...... 29 6.1 Population and Households ...... 29 6.2 Religions ...... 30 6.3 Infrastructure and Facilities ...... 30 6.4 School Facility and Health Centers ...... 33 6.5 Education ...... 34 6.6 Disease and Treatment Practices ...... 35 6.7 Livelihood, Employments, and Incomes ...... 35 6.8 Labor Migration ...... 35 6.9 Land Use ...... 35 6.10 Cultural Heritage and Historical Infrastructure ...... 38 6.11 Poverty Groups ...... 38 6.12 Vulnerability Groups (VG) ...... 39 7 IMPLEMENTATION MEASURES AND ARRANGEMENTS ...... 39 7.1 Grievance Redress Mechanism (GRM) ...... 40 7.2 Proposed Follow-up Actions ...... 44 7.3 Monitoring and Reporting ...... 50 7.4 Budget and Financing ...... 52 8 ATTACHMENTS ...... 53
- Attachment 1: Focus Group Discussion (Male and Female) Guideline
- Attachment 2: In-depth Focus Group Guideline (Village Authorities with the village authority)
- Attachment 3 Results of Consultation Meetings and Focus Group Discussions in May 2020
- Attachment 4: List of Participants in March 2020
- Attachment 5: Minutes of Consultation Meetings and List of Participants in May 2020
- Attachment 6: Consultation Picture in May 2020
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Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
List of Figures Figure 1 Project Location...... 5 Figure 2 Location Map of the Package 1 (9 million US$) and Lot 1 ...... 8 Figure 3 General Plan for Add Package 1 (16 million US$) ...... 9 Figure 4: GRM process ...... 42 List of Tables Table 1: Scope of works to address flooding in Muang Xay ...... 6 Table 2: International treaties and conventions in Lao PDR ...... 15 Table 3 The Result of Ethnic Groups (EG) Screening ...... 17 Table 4: Locations and Participants of Consultation Meetings ...... 19 Table 5: Brief results from the consultation meetings ...... 19 Table 6: Date and Participants of Public Consultation Meetings in each Village, Muang Xay ...... 21 Table 7 FPIC Requirements ...... 22 Table 8: Ethnic Groups to be potentially affected by Project (Lot 1 and Lot 2) ...... 28 Table 9 Ethnic Groups to be Affected by the Project Lot 1 Activity ...... 28 Table 10: Population and Households to be potentially affected by the Project (Lot 1 and Lot 2) ...... 29 Table 11: Number of Households and Population to be affected by the Project Lot 1 ...... 29 Table 12 Religions in the potentially affected Villages ...... 30 Table 13: Religions in the Affected Households ...... 30 Table 14: Abbreviations of Infrastructure and Facilities in the Villages ...... 31 Table 15: Infrastructure and Facilities in the potentially affected Villages ...... 32 Table 16: Summary of Household Equipments and Utilities of Affected HHs in Cheng Village ...... 32 Table 17: Number of School and Health Center in the potentially affected Villages ...... 33 Table 18: Distance from Each Village to School and Health Center/Hospitals ...... 34 Table 19: Level of Education in the potentially affected Villages ...... 34 Table 20: Agriculture Land in the Potentially Affected Villages ...... 36 Table 21: Land Use in the Potentially Affected Villages ...... 37 Table 22: Cultural Infrastructures in the potentially affected Villages ...... 38 Table 23: People under Poverty Line in the potentially affected Villages ...... 39 Table 24 GRM Contact Persons ...... 44 Table 25 Future Consultations ...... 45 Table 26 Proposed Action Plan...... 48 Table 27: Budget estimation for the EGDP ...... 52
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Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
ACRONYMS AND ABBREVIATIONS ADRIF Asia Disaster Resilience Insurance Fund ARAP Abbreviated Resettlement Action Plan CEDAW Committee on the Elimination of Discrimination against Women CSOs Civil Society Organizations DIA Designated Implementing Agency DDMCC Department of Disaster Management and Climate Change DEA Department of Ethnic Affairs DOPC Department of Planning and Cooperation DOW Department of Waterways DPWT Department of Public Works and Transportation DRM Disaster Risk Management DRR Disaster Risk Reduction EGDP Ethnic Group Development Policy EGEF Ethnic Group Engagement Framework EGEP Ethnic Group Engagement Plan EMOs Ethnic Minority Organizations ESIA Environmental and Social Impact Assessment ESMF Environmental and Social Management Framework FGDs Focus Group Discussions FPIC Free, Prior and Informed Consent FPICP Free, Prior and Informed Consultation Process GOL Government of Lao PDR GRM Grievance Redress Mechanism Lao-DRM The South East Asia Disaster Risk Management Project for Lao PDR LFND Lao Front for National Development LFND/C Lao Front for National Development formerly called Lao Front for National Construction MOF Ministry of Finance MONRE Ministry of Natural Resources and Environment MPI Ministry of Planning and Investment MOICT Ministry of Information, Culture and Tourism MPWT Ministry of Public Works and Transports
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Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
NSEDP National Socioeconomic Development Plan PAHs Project Affected Households PAPs Project Affected People PDO Project Development Objective PONRE Provincial Department of Natural Resources and Environment PMU Project Management Unit PIU Project Implementation Unit RAP Resettlement Action Plan SIA Social Impact Assessment SMMP Social Management and Monitoring Plan USAID United States Agency for International Development WB World Bank
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Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
EXECUTIVE SUMMARY Background The South East Asia Disaster Risk Management Project for Lao PDR (LDRM), the Project, or the parent project) is being implemented with financing from the World Bank (WB) with an aim to reduce the risk of flooding and enhance disaster risk financing capacity of Lao PDR. The Project was approved on July 6, 2017 and became effective on 11 October, 2017, with a commitment amount of US$30 million. The Project Development Objective (PDO) is to reduce the impacts of flooding in Muang Xay of Oudomxay (ODX) Province and enhance capacity of the Government of Lao PDR (GOL) to provide hydro-meteorological services and disaster response. Objective of the Ethnic Group Engagement Plan (EGEP) The main objective of the EGEP is to ensure that the project fully meets the objective of the World Bank’s Operational Policy 4.10 – Indigenous People, requiring the borrower to engage in a process of free, prior, and informed consultation in order to (i) avoid potentially adverse effects on the indigenous peoples’ communities; or (ii) when avoidance is not feasible, minimize, mitigate, and where residual effects impacts remain compensate for such effects, and to ensure that the indigenous peoples obtain social and economic benefits appropriate to their culture, gender and intergenerational inclusion, and they can participate actively in Projects that affect them. Safeguard Policies and EGEP Methodology to Minimize the Negative Impact on Ethnic Group The social assessment and ethnic minority engagement plan presented in this report have been prepared in accordance with the World Bank’s Policy on Indigenous People (OP.4.10). To fulfill the requirements of OP.4.10, the following tasks were carried out: • A social assessment was conducted in the project area; • A process of consultation to obtain free, prior and informed consent and broad community support was conducted with the ethnic minority groups; and • An Ethnic Group Engagement Plan (EGEP) was prepared based on the outcomes of the Social Assessment and the consultations. Consultation and Social Assessment A number of consultation meetings with ethnic groups and other stakeholders in affected villages were conducted. The first consultation was to inform and discuss the project’s objective, potential risks and impacts (both positive and adverse) on ethnic groups of project affected people (PAP) and project affected households) and mitigation measures. The second round of consultation was to discuss the proposed draft safeguard instruments (the Ethnic Group Development Plan, EGDP, the Abbreviated Resettlement Action Plan, ARAP, the Environmental and Social Management Plan ESMP) developed to mitigate the risks and impacts of the project. The third round of consultation mainly covered discussions on: • methods for estimating replacement costs,
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Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
• unit prices of compensation for loss of land, structures and other assets • compensation for loss of income and livelihood • the entitlement matrix for different groups of affected people • the work plan for RAP implementation and compensation payments. The fourth round of consultation mainly discussed the draft unit prices of compensation. The process of consultation was to reach or obtain FPIC and has resulted in broad community support for the project. In order to capture in-depth opinions and concerns of ethnic groups and village authorities, the participatory focus group discussion (FGD) and in-depth interviews were also conducted in 16 villages potentially affected by the project activities in Lot 1 and Lot 2, during 11-29 May 2020 by the consultant team and local authorities. A summary of findings from all consultation meetings is presented under section 4.3. These findings have guided the design of the proposed action plan for the EGEP presented in section 7.2. Ethnic Groups in the Project Province In Oudomxay Province, there are 12 different ethnic groups, of which the largest is the Khmu ethnic group. According to the provincial administration, the Khmu, who are part of the Mon-Khmer ethno-linguistic family and include five sub-groups namely Khmu Lue, Khmu Khong, Khmu Ou, Khmu Bit, constitutes approximately 60% of the total population. The Hmong Khao ethnic group, the second largest ethnic group, is part of the Hmong Iew Mien family and comprises 14% of the population in the project area. The Tai-Dam ethnic group, the smallest ethnic group, is part of the Tai-Kadai family and comprises 2% of the population. Other ethnic groups living in the province include Akha, Phouthai (Thai Dam and Thai Khao), Phou Noi (Phou Xang, Phou Kongsat, and Phou Nhot), Lao Houy (also “Lenten”), Phouan, Leu, Yang, Ikho and Hor (Oudomxay Provincial Information, Culture and Tourism Department). Each of the twelve ethnic groups has its own language, cultural heritage and traditions. The Ethnic Group Communities in the Project Area The ethnic groups in the 16 project affected villages include Lao Tai groups, Khmu, Phou Noi, Hor, Leu, and Hmong. The population of the villages is dominant by Lao Tai groups with about 40% (9,757 people; 4998 females) of total population in all villages followed by Khmu and Hor. The Lot 1 activity will affect 9 households in B. Cheng including 6 Khmu households (28 PAP) and 3 Lao Tai households (14 PAP). Socio-Economic Census of Affected Ethnic Households For the Project Lot 1 activity, only Cheng village will be affected. According to the village census survey, Cheng village comprises of 206 households with a total population of 1,136 people (565 females). However, only 9 households with 42 PAPs (22 female PAPs) will be affected by the Project Lot 1 activity.
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Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
The religion in the affected village (Cheng villages) is animism comprising about 62% (148 families) of the population and the remaining villagers believe in Buddhism (87 families). Out of the 9 households with a total of 42 PAPs affected by the project Lot 1, 14 PAPs are Buddhists, and 28 PAPs are animists. The main income of the 9 affected households in Cheng village is from government employment. There are no poor or vulnerable households to be affected by the project Lot 1 activity. The Lot 1 project activity will affect 9 households with 5 single story houses (entirely affected), 2 incomplete structures (only post and basement beam), 1 wooden house, 9 secondary structures and 60 industrial trees will be affected. These households are located in public land; therefore, compensation will be only made for all affected structures and industrial trees. Proposed Action Plan for EGEP The follow-up actions in the EGEP include: • Planning and preparation for EGEP implementation: (i) preparing project and GRM information dissemination posters and (ii) nominating EGEP-focal persons both in PTRI and construction supervision consultants. • Continued regular (FPIC) consultations with ethnic groups and PAHs during the construction and O&M phase of the project; • Participatory monitoring involving representatives of ethnic groups in monitoring the above actions and other tasks including ESMP and RAP implementation. Also, EGEP Action Plans have been developed mainly based on the findings from the consultation process. The project activities will not involve exploitation of natural resources, but may have some adverse impacts on natural resources (mainly water and aquatic resources, and some trees and vegetation along the river banks and in the COIs), and effects on housing structures and livelihood activities of the ethnic people have been identified and actions plans have been proposed accordingly to address the effects and the concerns of the affected people. See section 7.2 for more information. Implementation Arrangements The Project Management Unit (PMU) established under Department of Waterways of Ministry of Public Works and Transport (PMU-MPWT DOW) with the technical assistance and support from Environmental and Disaster Prevention under Public Work and Transport Institute (EDPD/PTRI) of MPWT will have a supervisory role and will ensure that policy requirements and provisions contained in the EGEP are implemented, monitored and reported. It is incumbent upon the PMU to assist in providing training and capacity development for Project Implementation Unit established under the Provincial Department of Public Works and Transport (DPWT), local authority, Project Resettlement Committees and its partnered agencies in relation to the EGEP implementation. EDPD/PTRI will partner with Lao Front for National Development (LFND), a GoL mass organization in charge of ethnic affairs and advocacy to ensure effective implementation and monitoring of EGEP. Grievance Redress Mechanism (GRM)
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Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
A GRM is in place built on the existing national system with a village Mediation Committee or Unit (VMC) established in all villages and structures nationwide including District Authority, District Office of Justice, Provincial Court and Supreme Court. Monitoring The DOW PMU and EDPD/PTRI in collaboration with LFND will conduct monitoring of EGEP implementation throughout the project life to determine the extent to which mitigation measures are successfully implemented. Monitoring will focus on three key areas including: compliance monitoring, impacts monitoring, and cumulative impacts monitoring. With input on EGEP implementation status to be provided by EDPD/PTRI, PMU will prepare and submit semi-annual and annual progress reports to the World Bank. Budget and Financing Most of the proposed activities under the EGEP are linked to the RAP and the preparation of the bidding and contract documents. Therefore, the estimated budget only covers some activities, mainly related to communication, information sharing, consultation and GRM. The estimated total cost is USD15,000. The sources of financing will be from Component 4, Project Management.
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Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
1 INTRODUCTION 1.1 Background 1. The South East Asia Disaster Risk Management Project for Lao PDR (LDRM, the Project, or the parent project) is being implemented with financing from the World Bank (WB) with an aim to reduce the risk of flooding and enhance disaster risk financing capacity of Lao PDR. The Project was approved on July 6, 2017 and became effective on 11 October, 2017, with a commitment amount of US$30 million. The Project Development Objective (PDO) is to reduce the impacts of flooding in Muang Xay of Oudomxay (ODX) Province and enhance capacity of the Government of Lao PDR (GoL) to provide hydro-meteorological services and disaster response. 2. The Project consists of 5 components as follows: • Component 1 – Integrated Urban Flood Risk Management (US$13.5 millions). Under this component, the project is helping to pilot the concept of integrated urban flood risk management in Muang Xay and strengthen the institutional capacity of the implementing agencies for resilient planning. Component 1 is implemented by the Department of Waterways (DOW) of Ministry of Public Works and Transport (MPWT). • Component 2 – Hydromet Modernization and Early Warning Systems (US$10 millions). To support preparedness and help avoid unnecessary damage and losses, the project supports the modernization of hydromet and early warning systems on national level, with physical installations including in the Nam Ou River Basin, where Muang Xay is located. Both types of investments will serve as examples for other cities and river basins in the country. Component 2 is implemented by the Department of Meteorology and Hydrology (DMH) of the Ministry of Natural Resources and Environment (MONRE), • Component 3 – Financing Planning for Disaster Resilience (US$5 millions). To strengthen financial protection, the project helps to devise a comprehensive approach to the disaster risk financing and insurance (DRFI), to develop a national DRFI strategy and enable access to sovereign disaster risk insurance under Component 3, implemented by the State Reserve Department (SRD) in the Ministry of Finance (MOF). • Component 4 – Knowledge and Coordination (US$1.5 millions). Implemented by the Department of Planning (DOP) of MPI, Component 4 supports overall project coordination and management, studies for mainstreaming DRM in planning and investment, and supporting day-to-day implementation. • Component 5 – Contingent Emergency Response Component (US$0). Component 5 allows for a reallocation of credit proceeds from other components to provide emergency recovery and reconstruction support following an eligible crisis. This component will be developed in cooperation with MOF and line ministries to ensure effective horizontal coordination at the national level for disaster preparedness and response. There is no cost to this component.
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Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
3. As indicated above, the project will support SC2.1 hydromet modernization and SC2.2 enhancement of DRM systems through the DMH and DDMCC, respectively. 1.2 Objective of this EGEP 4. This EGEP covers the entire Component 1: Integrated Urban Flood Risk Management (hereinafter “the Project”) which is in Muang Xay, Oudomxay Province (ODX). 5. The main objective of the EGEP preparation is to ensure that the project fully meets the objective of the World Bank’s Operational Policy 4.10 – Indigenous People, requiring the borrower to engage in a process of free, prior, and informed consultation in order to (i) avoid potentially adverse effects on the indigenous peoples’ communities; or (ii) when avoidance is not feasible, minimize, mitigate, or compensate for such effects, and to ensure that the indigenous peoples obtain social and economic benefits, appropriate to their culture, gender and intergenerational inclusion, and they can participate actively in Projects that affect them. 6. The EGEP describes (1) project background; (2) brief description of the Project; (3) Legal and Institutional Frameworks; (4) EGEP Methodology; (5) Social Assessment of Ethnic Group in the Project Area; (6) Village and Affected Household Census Survey Findings; (7) Implementation Measures and Arrangement; and (8) Attachments which are included in Volume 2. This EGEP also includes 6 attachments as follows: - Attachment 1: Focus Group Discussion (Male and Female) Guideline - Attachment 2: In-depth Focus Group Guideline (Village Authorities with the village authority) - Attachment 3 Results of Consultation Meetings and Focus Group Discussions in May 2020 - Attachment 4: List of Participants in March 2020 - Attachment 5: Minutes of Consultation Meetings and List of Participants in May 2020 - Attachment 6: Consultation Picture in May 2020 1.3 Benefits and Potential Adverse Impacts of the Project 7. Positive Impacts: It is expected that the investments in Oudomxay’s provincial capital urban flood risk management will have both positive and negative impacts as a result of the proposed riverbank protection, drainage canal reparation, dike and flood gates, and riverside park(s) infrastructure. The Urban flood risk management sub-project activities will be beneficial for the majority of Muang Xay residents whose properties and livelihoods will be largely unaffected by the proposed infrastructure investments. It is expected that construction and installation of urban flood risk management infrastructure will bring socioeconomic, health and ecological benefits, such as, protecting the river from siltation and sedimentation as a result of runoff and riverbank erosion, and reducing the loss of lives and/or livelihoods caused by flooding. The project will help create a safe and healthy environment for the majority of people including ethnic groups who have suffered from the effects of flash flood events in the past. 8. Negative Impacts: for construction of new infrastructure (dike, riverbank protection, movable weir, riverside parks, and riverside road, drainage and flap gates) in Oudomxay’s provincial
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Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
capital, Muang Xay, and vicinity, it is likely that for most people, the potential negative (adverse) impacts will be moderate and localized, although cumulative effects cannot be discounted. However, for people living in the areas identified for the construction of two riverside park(s), major impacts due to resettlement and/or the loss of riverine land may result. During the preliminary community consultations in the provincial capital, it was determined that some households living in the areas identified for the riverside park(s) are from ethnic groups (Khmu, Phou Noi, and Kar Mouk). The initial feasibility study and design determined that household in 16 villages would be affected by various forms of asset losses such as land acquisition, households resettlement and livelihood and income losses from the project activities under Component 1 of the DRM project. Based on the detailed design and COIs confirmed for the Lot 1 (US$4.5 million), the IOL has been conducted in Cheng village within the offset line ranging from 1.5 m to 17 m from river bank alignment as detailed in the project Lot 1 Abbreviated Resettlement Action Plan (ARAP1). It is determined that the asset losses by the project Lot 1 activity are considered as minor impacts as only Cheng village with 9 households with 42 PAP (22 females) will be affected by the Lot 1 activities. This includes 5 single story houses (entirely affected), 2 incomplete structures (only post and basement beam), 1 wooden house, 9 secondary structures and 60 industrial trees will be affected. These structures are located in public land; however, compensation will be made for all affected structures and industrial trees. 1.4 Safeguard Policies to Minimize the Negative Impact on Ethnic Groups 9. The social assessment and Ethnic Group Engagement Plan presented in this report have been prepared in accordance with the World Bank’s Policy on Indigenous People (OP.4.10). 10. To fulfill the requirements of OP.4.10 and, the following tasks were carried out: a. A social assessment was conducted in the project area; b. A process of free, prior and informed consultation will be conducted with representatives of the ethnic groups; and c. An Ethnic Group Engagement Plan (EGEP), which is prepared, based the Social Assessment, and the process of free, prior and informed consultation. 2 PROJECT DESCRIPTION 2.1 Project Location 11. The Oudomxay Province is located in the Northwest of Lao PDR and is bordered by China to the North as well as by five other Lao provinces, the Phongsaly Province to the Northeast, the Luang Prabang Province to the East and Southeast, the Xayabouly Province to the South and Southwest, the Bokeo Province to the West, and the Luang Namtha Province to the Northwest. The Oudomxay Province consists of seven districts and 471 villages and covers an area of 15,370 ㎢. 12. The Muang Xay City, provincial capital, is situated in the north part of the province and covers an official area of 399 ㎢ although the majority of the population live within an area of 72.5 ㎢. . The Muang Xay City is situated and surrounded by scenic mountains in the Nam Kor River
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Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
Basin. The town lies in the Muang Xay which borders the Namo District to the Northwest, the La District to the Northeast, the Nambak District of the Luang Prabang Province to the East and the Beng, Nga and Nalae Districts of the Luang Namtha Province to the West. 13. This project area covers the Nam Kor River and its tributaries in the Oudomxay Province. Accordingly, it is required to understand the characteristics of the Nam Kor River Basin. In this chapter, therefore, general conditions of the project area including geographical, hydrological, and socioeconomic conditions of the Nam Kor River Basin and flood characteristics are presented, especially within the Muang Xay City.
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Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
Figure 1 Project Location
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2.2 Sub-project Design and Area of Influence 14. The preliminary design of the works under Component 1 of the Project which is covered under this EGEP includes river works (river profile improvement, dike and bank- protection), riverside parks, weirs and urban drainage improvement. The Section of the Package 1 has been proposed along the Muang Xay urban area from 3 rivers confluence to Nam Kor bridge No. 4 in the Nam Kor river based on the 9 million US$ (Figure 2). 15. Based on the preliminary design, the Project works will include (i) River works for river profile improvement comprising excavation/dredging and construction of dike and river bank-protection, (ii) Construction and/or rehabilitation of two Riverside Parks including improvement of existing access roads, (iii) Demolition of 1 existing weir and construction of a movable weir in Nam Kor downstream of Park 2, and (iv) Construction and/or rehabilitation of small flap gates for urban drainage improvement. The feasibility study recommended for a total investment of about US$44 million for addressing the flood issues in Muang Xay. However, given limited fund available, only Package 1 (valued about US$16 million) will be implemented (2 Lots) under the LDRM-AF project which is established to mitigate flood damage of 20-year return period floods (Figure 3). The section of Lot 1 is from Nam Kor Br. 2 to Nam Kor Br. 4 in the right side of the Nam Kor River as figure below. Its length is about 1.3 km and the cost estimation of Lot 1 is US$4.5 million. Details are provided in Table 1 below.
Table 1: Scope of works to address flooding in Muang Xay
Package Scope of Works Budget (USD) Lot 1 consists of 5 works as follows: Package 1 i) Riverworks: Dike, Riverbank-protection, dredging US$16M (with Lot 1 on the riverbed: an additional - Nam Kor River: L=1.3km, right side (calculated budget of US$7 along the centerline of the river channel) million from ii) Riverside Park 2 (11,800m2): Rehabilitation and WB fund in upgrading of Park 2 March 2020). iii) Riverside Road (L=950m): Road improvement near the Riverside Park 2 iv) Nam Kor Movable Weir (1 weir): Located in Nam Kor downstream of the Riverside Park 2 v) Drainage and Flap Gate (1 gate): Construction of one small flap gates to improve effectiveness of urban drainage. Package 1 Lot 2 consists of 4 works as follows: Lot 2 i) Riverworks: Dike, Riverbank-protection, dredging on the river bed: - Nam Mao River (upstream): L=4.0 km (calculated along the east side riverbank) - Nam Kor River (upstream): L=1.3 km (calculated
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Package Scope of Works Budget (USD) along the east side riverbank) - Nam Kor River: L=1.75 km, left side (calculated along the centerline of the river channel) ii) Riverside Park 1 (22,000m2): Construction of River Park 1 iii) Drainage and Flap Gate (13 gates): Construction of 13 small flap gates to improve effectiveness of urban drainage. iv) Resettlement Area (4.9 ha): Development of a new resettlement area near Phu That Pagoda at the Nam Mao River (see Figure 3 below). Total According to the Feasibility Study report, there have been Investment recommendations for the structural measures necessary to US$ 44.2 mitigate flood damage in the Nam Kor river basin against a million design flood of a 20-year return period. The (This cost recommendations also include the structures to be includes implemented under Package 1 above. Package 1) Recommended structural measures for this package are as below; i) Riverworks: Dike, Bank-protection, dredging on the river bed – Dike: 20.0 km (Nam Kor and Nam Mao river) – Bank-protection: 6.1 km (Nam Kor and Nam Mao river) – Dredging: 8.0km (Nam Kor and Nam Mao river) ii) Nam Mao Retention Pond and 2 Lateral Weirs: 1.63 million m2 iii) 26 Drainages and Flap Gates iv) Improvement of Existing Weir and Construction of 1 Movable Weir v) 2 Bridges and 2 Riverside Parks However, two reservoirs in the upstream of the basin have been recommended for long-term measure to mitigate flood damage in the Oudomxay province.
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Figure 2 Location Map of the Package 1 (9 million US$) and Lot 1
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Figure 3 General Plan for Add Package 1 (16 million US$)
16. The preliminary design provides information on the detailed facility alignment and the layout plans provides information on the major construction methods and an estimated cost taking into account the feasibility study and GOL’s opinion on priorities, and more details can be found in the project preliminary design report. However, this information is being adjusted and reconsidered taking into account the needs to avoid and minimize potential impacts due to land acquisition and relocation of affected peoples.
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3 LEGAL AND INSTITUTIONAL FRAMEWORKS 3.1 Constitution of the Lao PDR (amended 2015) 17. Lao PDR does not have specific legislation for its ethnic groups. However, the former 1991 Constitution and current adjusted Constitution of 2015 (chapter four, articles 34- 51) guarantee that all Lao people have fundamental rights and obligations to develop the country. The Constitution defines Lao PDR as a multi-ethnic State, with equality among all ethnic groups. 18. Article 8 states that: “The State pursues the policy of promoting unity and equality among all ethnic groups. All ethnic groups have the right to protect, preserve and promote the customs and cultures of their own tribes and of the nation. All acts of creating division and discrimination among ethnic groups are forbidden. The State implements every measure to gradually develop and upgrade the economic and social level of all ethnic groups”. 19. Article 13 states that the country’s economic system is for the purpose of improving the living standards, both materially and spiritually, of Lao PDR’s multi-ethnic people. 20. Article 19 emphasizes the importance of building schools to provide education for all, especially in areas inhabited by ethnic minority groups. 21. Article 35 guarantees that Lao citizens are all equal before the law irrespective of their gender, social status, education, beliefs and ethnic group. 3.2 Local Administration Law of Lao PDR (amended 2015) 22. Article 35 guarantees that Lao citizens are all equal before the law irrespective of their gender, social status, education, beliefs and ethnic group. 23. The local administration law states that the role of the local administration is to represent the locality and be responsible to the government to administer political, socio-economic and cultural affairs, human resource management, natural resource and environment management, national and local defense and security; and others as assigned by the government. The 4 articles – 14, 27, 40 and 53 under the administrative law define the specific role and responsibility of the provincial governor, mayor, chief of district and head of the villages that are “To motivate, promote and facilitate the participation of the Lao Front for National Construction, mass organizations, social organizations and all economic entities and ethnic people in the socio-economic development of the village; and to preserve and promote good national traditions and cultures of the multi-ethnic Lao people; to discourage negative occurrences and superstitious beliefs; to promote education within the community; and to educate the community to be responsible for hygiene and sanitation.” 3.3 Ethnic Groups Policy (1992) 24. The Resolution of the Political Bureau Concerning the Affairs of Various Minorities, especially the Hmong Minority (Hmong Policy 1981) adapted in 1981 was the first explicit statement of policy on ethnic groups since the founding of the Lao People’s
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Democratic Republic in 1975. The policy also attempted to improve the living conditions of Hmong people, and to increase national security for the country as a whole. In 1992, the policy was adjusted and developed into a resolution of the Administrative Committee of the party to become The Ethnic Minority Policy under the Resolution on Ethnic Affairs in the New Era, which applies to all ethnic groups throughout the country. There are no specific articles in it, rather it is an agreement on the principles that all ethnic groups should have improved access to services and that all discrimination must be eradicated. 25. The general policy of the GOL concerning ethnic groups was designed to: (i) Build national sentiment (national identity); (ii) Realize equality between ethnic groups; (iii)Increase the level of solidarity among ethnic groups as members of the greater Lao family; (iv) Resolve problems of inflexible and vengeful thinking, and economic and cultural inequality; (v) Improve the living conditions of the ethnic groups step-by-step; and (vi) Expand, to the greatest extent possible, the good and beautiful heritage and ethnic identity of each group and their capacity to participate in the affairs of the nation. 26. The policy calls for protection against and eradication of dangerous diseases and to allow ethnic groups to enjoy good health and a long life. The GoL is expected to provide appropriate investments to enlarge the health care network by integrating modern and traditional medicine. 27. The collection of data on the ethnicity of government employees, retired ethnic officials, the handicapped, and families of those killed in action is another activity called for in the policy. 28. Disseminating information in the remote areas is mandated, through many methods, especially, radio broadcasting in minority languages. The plan calls for engagement of specialist officials who speak minority languages and who possess knowledge of science, production, and socioeconomic problems. The question of where these persons are found is not addressed. 29. The Ethnic Minorities Committee under the National Assembly is charged with the responsibility to draft and evaluate proposed legislation concerning ethnic groups, lobby for its implementation and implementation of socioeconomic development plans. Ethnic groups’ research is the responsibility of the Institute for Cultural Research under the Ministry of Information, Culture and Tourism (MOICT). The lead institution for ethnic affairs is the mass (political) organization, the Lao National Front for Construction, which has an Ethnic Affairs Department.
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3.4 The 8th National Socioeconomic Development Plan (2016-2020) 30. The overall objective of the 8th National Socioeconomic Development Plan (NSEDP) is to ensure that Lao PDR graduates from Least Development Country status. It is designed with three outcomes, and each with a set of Performance Targets. 31. As part of the rural development and poverty reduction strategy, one focus of the 8th NSEDP is to consolidate and convert villages in remote areas inhabited by ethnic groups into small towns and link these areas with roads and improved infrastructure. It states that tailored interventions are needed for the poorest groups, where the lack of access to infrastructure, markets and services remain barriers to growth and poverty reduction. Social welfare policy and poverty reduction must be tailored to ethnic people’s specific needs and capabilities, and to address gender issues among various ethnic groups in order to improve the human capital of future generations. 32. The 8th NSEDP emphasizes the importance of continuing to improve and develop the information and culture sector by actively enhancing heritage and cultural values on the basis of the cultural diversity of the different ethnicities, and to share these traditions with the international forum. This five-year plan also promotes equality among multi- ethnic people, by promoting a sense of pride of the historical characteristics of various ethnic groups, and to rely on elders and leaders at the grassroots level of various ethnic groups to promote unity among ethnic group members as a means to ensure development. 3.5 Land Law (2019) 33. The Land Law also stipulates that, in cases when public infrastructure development projects cause damages to trees, crops or buildings of private owners, the landowners have the right 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 practiced 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. The revised Land Law was passed by NA in June 2019, further edits are to be made before it can be signed by the President of NA and endorsed by the President. 34. The Constitution guarantees that the State will protect property and inheritance rights of individuals and organizations. It also declares all land to be a “national heritage” and that the State will ensure use, transfer and inheritance rights to land as defined by law.
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The 1990 Law on Property establishes and defines five forms of property, including: State property; collective property; individual property; private property (property belonging to a private economic unit other than an individual or collective); and personal property (items for personal use). It also establishes that ownership of all land, underground resources, water, forests and wild animals is vested in the State, though the State may grant rights of possession, use, transfer and inheritance to other entities (GoL Constitution 2003; GoL Property Law 1990). 35. All land in Lao PDR belongs to the population as a whole, and the State must safeguard long-term rights to land by ensuring protection, use, usufruct, transfer and inheritance rights. The Land Law lays out categories of land (agricultural, forest, water area, industrial, communication, cultural, national defense and security and construction) and defines the scope of use rights for each. It also establishes the basic organization of land- use management authorities and framework for land registration. The Land Law provides the basis for registering land rights and defines land certificates and land titles. Individuals and organizations access land through land-use rights. Recent land titling programs have formalized permanent land-use rights in urban and peri-urban areas, and land allocation programs have formalized temporary land-use rights for agricultural and forest land. Communal tenure, which is common in rural areas, has not been formalized. 36. The Land Law provides that land titles shall constitute evidence of permanent land use rights, and establishes a system of temporary land use certificates for agricultural and forest land, allowing rights to such land to be passed by inheritance, but not transferred, leased or used as collateral. The Land Law also does the following: allows Lao citizens to lease land from the State for up to 30 years; allows the State to lease out land or grant land concessions to non-citizens; prohibits land speculation; and guarantees compensation for State takings of land use rights. The Land Law provides for settlement of land disputes before the local land-management authority or before the People’s Court. 37. Many ethnic groups practice a system of land use and resource management which is uniquely adapted for upland areas. This has developed over generations (i.e. is traditional) and is underpinned through ritual and customary practices (Mann and Luangkhot 2008). These customary systems of land management and allocation exist alongside the formal system, with initiatives in recent years to integrate some traditional practices into the formal law. In many rural areas of Lao PDR, communities’ control common property, such as forests or pasture land, and have devised local customary rules for the management of land resources and allocation of land to group members. The 1990 Property Law recognizes cooperative or communal property rights generally. The Prime Minister’s 2006 Decree 88 on Land Titling and the 7th NSEDP included provisions to issue communal land titles for land allocated by the government to village communities (United States Agency for International Development [USAID] 2013). Many ethnic communities have traditionally recognized certain areas of forest as sacred forest sites, or spirit forests, and this is an important cultural aspect which should be respected.
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38. Under customary or informal rules in rural areas, local communities often control common property, including upland areas, grazing land, village-use forests and sacred forests. All community members are entitled to use communal land, and village authorities may grant similar use rights to those from surrounding villages. Communal tenure systems have evolved over a long period and vary from village to village. There is no formal registration process for communal tenure, though it remains an important part of the cultural, political, social and economic frameworks of rural communities (World Bank 2006; Mann and Luangkhot 2008). 39. Rural families may also hold land use rights under informal or customary rules. These land use rights are usually attributed to family plots, paddy land or land for swidden agriculture. These land use rights may be allocated by customary local authorities under local rules and varies from village to village. The village chief (i.e. Nai Ban) may issue a Village Heads Certificate on Land Ownership, which while not valid on its own, may be used by local authorities to resolve disputes or used by the family as additional proof of ownership when applying to the state for a land survey certificate (World Bank 2006; Mann and Luangkhot 2008; GTZ 2009). 40. The Land Law also stipulates that, in case public infrastructure development project cause damages to trees, crops or buildings of the private owners, the land owners have the rights to be compensated for the damages. 3.6 A National Guideline on Consultation with Ethnic Groups, 2013 41. The guideline on consultation with ethnic groups was launched by the Lao Front for National Development (LFND formerly known as LFNC), in 2013, in line with the National Guideline on Public Involvement, 2012. It aims to ensure that all ethnic groups who benefit from or are adversely affected by a development project, without regard to the source of funding, are fully engaged in a meaningful consultation process at all stages from preparation into implementation. The guideline also aims to ensure that the potentially affected ethnic groups are fully informed of project objectives, as well as their potential positive and adverse impacts on their livelihood and their environment and provided with opportunities to articulate their concerns. The guidelines provide principles and processes to carry out meaningful consultations with, and obtain free, prior and informed consent (FPIC) of all ethnic groups affected by developments project in a culturally sensitive manner. The guideline consists of: a) objectives and scope, b) consultation process with ethnic groups at respective stages of development project, c) consultation approaches and methods for different ethnic groups in a cultural sensitive manner, d) expected outcomes of consultation at each stage, and e) implementation arrangement and responsibility. 42. Gender mainstreaming has been included by the Lao government’s National Assembly during as indicated in its National 8th Five-year National Socio-Economic Development Plan 20116-2020 (NSEDP) Ensure gender equality and empower women in politics, economics, sociocultural affairs and family decision-making; reduce considerably discrimination and violence against women. These include recommendations of the Committee on the Elimination of Discrimination against Women (CEDAW) and
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Implementation of the national action plan for prevention and elimination of violence against women and children by 2020. 3.7 Relevant International Treaties 43. The Constitution of Lao PDR has been amended to incorporate human rights principles outlined in the international treaties and conventions of which Lao PDR is a signatory party. Chapter four, articles 34 to 51 explain the basic rights of Lao citizens. In addition, basic rights as delineated in international instruments are included in many other national laws, such as the law on the protection of the rights and the interests of children, 2006. The GoL set up the National Human Rights Research Centre in Vientiane, whose main objective is to support, encourage, and implement human rights within the country. Its mandate also considers the carrying out of research on ethnic groups. The Centre was approved by decree, No. 95, dated 11/07/06 and by Prime Minister’s decree, No. 137, dated 24/07/2006. The Lao PDR has been a member of the International Labour Organization (ILO) since 1964. Though the country has ratified a total of eight ILO Conventions, including five of the eight ILO core Conventions, Convention 169 on Indigenous Peoples has not been ratified. Table 2: International treaties and conventions in Lao PDR No Name of Convention Date of Signature Date of Ratification/ Accession 1 International Covenant on Civil and Political 7 December 2000 29 September 2009 Rights 2 Convention on the Rights of Persons with 15 January 2008 29 September 2009 Disabilities 3 International Convention for the Protection 29 September Not yet ratified of 2008 All Persons from Enforced Disappearance 4 International Convention on the Protection of Not yet signed Not yet ratified the Rights of All Migrant Workers and
Members of Their Families 5 Convention against Torture and Other Cruel, 21 September 26 September 2012 Inhuman or Degrading Treatment or 2010
Punishment 6 Convention on the Rights of the Child 20 November 8 May 1991 (a) 1989 7 Convention on the Elimination of All Forms 14 August 1981
of Discrimination against Women 8 International Covenant on Economic, Social 7 December 2000 13 February 2007
and Cultural Rights 9 International Convention on the Elimination 22 February 1974 (a) of All Forms of Racial Discrimination 10 UN Convention Against Corruption 10 December 2003 29 September 2009 11 UN Declaration on the Rights of Indigenous 13 September 2007 Peoples
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3.8 Institutional Responsibility 44. In Lao PDR, overall development of ethnic groups lies with the Lao Front for National Development (LFND) formerly called Lao Front for National Construction (LFNC). According to the Law on Lao Front for National Construction, No. 01/NA, dated 08 July 2009, the main roles of the LFNC are: a. To construct and to improve forces of the entire people and act as an umbrella organization guarding the solidarity of Lao ethnic people. b. To educate, train and encourage all Lao ethnic people to participate in the mission to protect and develop the nation. c. To enhance the ownership, protect the culture and traditions, rights and legitimate interests of Lao ethnic people and races. d. To be a center for public awareness, desires and opinions of Lao ethnic people. e. To act as a central coordination body for all parties. 45. In addition, the LFND also has the responsibility to: a. Focus the solidarity of Lao ethnic people both domestic and international. b. Propose drafts of laws and legislation in according to its roles and responsibilities. c. Advertise, educate, encourage and enhance the ownership of Lao ethnic people in the implementation of guidelines, policies, the constitution and national socio- economic development plans. d. Act as a repository for proposals and ideas for the development of Lao ethnic people of all religions, genders, and ages and communicate these to the responsible organizations. e. Propose candidates for elections to political organizations, the National Assembly and other organizations according to regulations. f. Participate in improvement of the state power of People’s Democratic Regime, monitor and inspect activities of the state administrative apparatus, the National Assembly and other organizations in line with the regulations. g. Protect the rights and legitimate interests of the party’s organizations for the Lao ethnic people and participate in mediation of disputes in according to its roles. h. Contribute to the protection and enhancement of the traditions of patriotism and culture of the Lao ethnic people. i. Convey knowledge, lessons, and experience and fine traditions of the Lao ethnic peoples to new generations. j. Enhance friendly relations and cooperation between Lao Ethnic People and People of Nations in the region and internationally.
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46. The LFND consists of seven departments and one center, including 1) Office Department, 2) Organisation Department, 3) Inspection Department, 4) Class and Civil Society Department, 5) Department of Ethnic Affairs, 6) Obligations of Religion Department, 7) Propaganda Department, and 8) Training Center. 47. It is important to note that the Department of Ethnic Affairs (DEA) acts as the secretariat of LFND central Committee to mobilize, protect and promote the benefits of all ethnic groups, to advertise and disseminate the Party’s policies, regulations and laws, and the national socio-economic development plan to all ethnic groups and to communicate the requirements, frustrations and real desires of all ethnic people to the higher officials, in order to strengthen the solidarity and equality of ethnic people across the country.1 4 EGEP METHODOLOGY 4.1 Screening for the Presence of Ethnic Groups 48. The World Bank and PTRI team undertook a screening process early in the Project preparation phase, and determined that ethnic groups are present in, and have a collective attachment to, the project area (Table 3). This was based on the technical judgement of qualified social scientists with expertise on the social and cultural groups in the area. 49. Therefore OP/BP 4.10 is triggered, and the procedures described in this EGEF will be followed by the client for investments taking place where the ethnic groups identified in the screening process are present in locations where sub-projects will be implemented. This includes the requirement that the borrower undertakes a site specific social assessment to evaluate the project’s potential positive and adverse effects on the ethnic groups to examine project alternatives where adverse effects may be significant, and to develop an ethnic group development plan that specifies measures to mitigate adverse effects, and deliver culturally appropriate benefits. Table 3 The Result of Ethnic Groups (EG) Screening
No. Impact on Ethnic Groups Mitigation Measures
1 Are there ethnic groups Consultation with EG shall be conducted throughout the project present with collective development, construction and operation. EGEP is required to be attachment to the sub- prepared and applied. project area? YES 2 Do they maintain Social assessment is required to be conducted to identify potential distinctive customs or impacts on their economic activities. Consultation with EG shall be economic activities? YES conducted throughout the project development, construction and operation. EGEP is prepared to be applied to address the impacts.
3 Will the project disrupt Environmental and Social Impact Assessment is required to be their community life? YES conducted to identify potential impacts on the community, their livelihood and their environment. Consultation with EG shall be conducted throughout the project development, construction and operation. EGEP and ESMP are prepared to be applied to mitigate
1 http://www.lfnc.gov.la/lfncs/englishs/gov_ethnic.php
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No. Impact on Ethnic Groups Mitigation Measures
the impacts. Key ESMP requirements will be incorporated into bidding documents and work contracts.
4 Will the project positively Social assessment shall be carried out to identify impacts and affect their health, mitigation measures. Consultation with EG shall be conducted education, social activity, throughout the project development, construction and operation. livelihoods or security? EGEP is prepared to be applied as an impact management YES. instrument.
5 Will there be loss of Along with the EGEP, an ESMP and RAP are required to be housing, land, crops, trees prepared and applied to address and mitigate the impacts under the or access to resources sub-project. Consultation with EG shall be conducted throughout the owned, controlled or used project development, construction and operation. by ethnic minority households? YES.
4.2 Social Assessment Methodology and Process 50. A Social Impact Assessment (SIA) is the process of identifying and reviewing the social effects and impacts of current or proposed infrastructure project and other development interventions on the stakeholders, local community and local economy and livelihoods. The following method and process of data collection were applied during the SIA implementation in the field: a. Obtain and discuss secondary socio-economic baseline data with local authorities and concerned agencies. b. Community consultation and household surveys through Inventory of Losses (IOL) including gathering of household socio-economic baseline data, screening of potential impacts son private and community assets, as well as public infrastructure, and household livelihoods and incomes. c. Focus group discussions conducted with various groups: women and men, ethnic groups and village authorities’ groups to collect further information about their opinions relevant to the positive and negative impact from the project on their livelihoods, their specific needs and to find out their proposed solutions to minimize the negative impacts. d. In-depth interview with the ethnic village authorities and Detailed Measurement Survey (DMS) was carried out in order to update statistics and data on impacts, affected assets, and estimation of compensation costs. 4.3 Consultation and Information Gathering
4.3.1 Consultation Workshops
51. During the preparation of compensation and unit rates: A number of consultation meetings with affected villages including ethnic groups and concerned stakeholders
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were conducted. The first consultation was to inform and discuss the project’s objective, potential risks and impacts (both positive and adverse) on ethnic groups of the project affected people (PAP) and mitigation measures. The second round of consultation was to discuss proposed draft safeguard instruments prepared to be applied under the project to mitigate the risks and impacts including the draft Ethnic Group Development Plan (EGDP), Abbreviated Resettlement Action Plan (ARAP1) and Environmental and Social Management Plan (ESMP). The third round of consultation mainly covered discussions on (i) methods for estimating replacement costs, (ii) unit prices of compensation for loss of land, structures and other assets, (iii) compensation for loss of income and livelihood, (iv) the entitlement matrix for different groups of affected people, and (v) the work plan for RAP implementation and compensation payments. The fourth round of consultation mainly discussed the draft unit prices of compensation. The process of consultation was to reach or obtain FPIC and has resulted in broad community support for the project. The Tables below summarizes the meetings jointly attended by the consultant’s team, local authorities and the 5 affected people/households of Khnmu ethnic group which is defined as Indigenous People under the World Bank Policy (OP 4.10). Please also see Attachment 4 List of Participants. Table 4: Locations and Participants of Consultation Meetings Dates Meeting Locations Male Female Total 22 Nov 2019 Oudomxay Province 34 7 41 21 Jan 2020 Oudomxay Province 30 7 37 11 Mar 2020 Oudomxay Province 14 7 21 Total 78 21 99
52. Brief results from these consultation events are summarized in the following: Table 5: Brief results from the consultation meetings Meeting date Objectives Results from the meeting 22 Nov To discuss • The field mission aims to complete at less 80% of the data 2019 project’s collection, especially data on affected assets. compensation • Data to be used for the analysis should be a combination of
unit price; to data from the survey and secondary data collected from present unit price village and district authorities. data collection • Composition of the Grievance Redress Mechanism member form, affected should be improved. GRM committee at provincial and people data district level should be the lead and should include assigned collection form. technical staff to coordinate and implement together with the project team at the field level. • Agreed to use market price for compensation unit prices. • Unit price for rubber plantation tree will use market price. • The land title for the affected land should be used/based on the land title to be provided by the landowner. • To avoid any issues in the future regarding conflict on land, no new land title to be issued from December 2019 onward, for the land located in the project area.
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• In the future, more consultation meetings to be organized with the affected people. • Muang Xay authority issued a notification prohibiting permanent construction in the project area effective from beginning of August 2017. • Names of affected people is not yet available, as this is a preliminarily data collection. 11 Mar 2020 To discuss • Agreed to apply market rate for compensation unit cost. compensation • Compensation to be provided to the affected people who use unit price that form 01, following rules and regulations. consolidated the • For those households who had been compensated by the market prices; to 2014 Provincial Stadium Development Project and were present and informed that they would not be compensated for any discuss numbers structures subsequently built on that land. and types of • More than 90% of people to be potentially affected have affected asset; constructed infrastructure along the river side. Compensation follow up on should be provided to them based on the identified Corridor data collection; of Impacts. present work • Compensation for trees and bamboo trees shall be made for plan. the big trees only. • Vegetables cultivated along the riverside shall be compensated according to the income from annual sale volume/amount. • Upon approval of the compensation unit prices, dissemination of this information and all attachments will be made and announced to the affected household.
4.3.2 Participatory Focus Group Discussions and In-depth Discussion
53. In addition to a number of consultation meetings as summarised above, the participatory focus group discussion (FGD) and in-depth interviews were conducted in 16 villages potentially affected by the project activities in Lot 1 and Lot 2, during 11-29 May 2020 by the consultant team and local authorities. In total 747 people (275 females) of which 563 is Lai Tai, 23 from Khmu group, 68 from Hor, 12 from Hmong and 81 from Phounoi participated in the consultations as detailed in Table 6 below. The participants are from affected households (men, women, ethnic groups, and disadvantaged people), village authorities, and representatives from Muang Xay, Lao Women's Union, Lao National Front for Development and Provincial Public Work and Transport. Please see Attachment 5 for list of participants and Attachment 6 for photos of consultation meetings. 54. Participatory focus group discussion at the village level: consultation with ethnic group was held alongside with the focus group discussions. After the presentations and open group discussion at the Village Consultation Meeting, the ethnic group participants were divided into two groups (male and female groups) to have in-depth focus groups discussion with male and female groups to ensure that women of ethnic groups could express their ideas freely without intervention of males.
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55. The objective of FGD with male and female participants was to engage with the key ethnic group informants who are potentially affected by the project. The focus group discussion was organized separately between men and women where applicable. The guiding questions for the FGD was prepared and shared with participants. The project team gave an introduction about the process and explained the questions to the participants. Ethnic group participants were encouraged to ask for clarifications. A facilitator was assigned to facilitate the discussion and help to documents what they discussed. During the focus group discussion with the ethnic groups (male and female groups), they raised their concerns related to demolishing building/house/shop structures, compensation package, road safety, information sharing about the project activities, policy and objectives, environment issues (noise, dust, waste), access road condition, demarcation, etc. Attachment 1 provides guideline of FGD and In-depth interview with village authorities while Attachment 3 includes a summary of results from FGD. 56. In-depth interview with village authorities were made separately from the FDGs and Village Consultation Meetings on the same dates for each village. Guiding questions were used to guide the discussions. From the discussion, it was confirmed that the sub- ethnic groups in their villages to be affected by the project include Lao Tai, and Khmu and Hmong. However, only few households will be directly affected as they live along the right of way. Attachment 2 provides guideline of In-depth interview with village authorities while Attachment 2 includes a summary of results from the In-depth interview with village authorities. 57. Main livelihood activities for the ethnic groups in the project area include engaging in various businesses, such as selling foods, clothes, groceries, construction materials, and other kinds of shops. In addition, some people rely on the agricultural activities. 58. The characteristic of cultures of different ethnic groups are different in term of their New Year celebration, marriage and funeral practise. Current practices in terms of giving birth, all ethnic groups deliver their baby at hospital followed by traditional ceremony practices. In terms of belief, each ethnic group have their own beliefs with some similarity. In case the project will affect temple and cemetery land, villagers have requested the project to coordinate with local authorities and older people in the community to ensure that proper customary spiritual practice/ceremony is conducted before starting the construction.
Table 6: Date and Participants of Public Consultation Meetings in each Village, Muang Xay
No. of Ethnic Groups No Villages Date Total Female Lao Khmu Hor Hmong Phounoi Tai 1 Thin 13/05/2020 51 16 39 2 5 2 3
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2 Nawannoy 55 23 30 5 5 15 3 Vanghai 14/05/2020 83 32 57 4 15 2 5 4 pasak 34 10 25 1 1 7 5 Monetai 15/05/2020 32 14 25 2 5 6 LongkorDeua 39 13 24 3 12 7 Cheng 18/05/2020 20 8 14 1 5 8 HomSouk 35 22 20 5 5 5 9 NongMengDa 19/05/2020 107 33 101 6 10 Luksi 53 11 46 5 2 11 .Donekeo 20/05/2020 21 8 17 2 2 12 Viengsa 69 23 59 2 5 3 13 Houykhoum 21/05/2020 51 21 37 2 8 4 14 NaSao 59 28 49 2 3 5 15 NaMy 22/05/2020 16 2 11 5 16 NaLao 22 11 9 3 10 747 275 563 23 68 12 81
4.3.3 Village and Household Census Surveys
59. The village socio-economic census survey was carried out from 24 February to 4 April 2020 while household socio-economic census survey of affected households was conducted in May 2020 using the separate data correction form. Questionnaires were designed to capture census information including general household information (address, family members, ethnic, and religion, poor or vulnerable), facilities, land, property, animal, income and expenses, health/hygiene and views to support the project. The data processing and analysis is given in Section 6 below. 4.4 Free, Prior and Informed Consultation Process 60. Following the World Bank’s operational policy, for a project proposed for bank financing, a borrower is required to conduct a process of consultation to obtain a free, prior and informed consent leading to broad community support from ethnic groups benefiting from, or affected by a proposed project at each stage of the project. The consultative methods (including using indigenous languages, allowing time for consensus building, and selecting an appropriate venue) used was appropriate to the social and cultural values of the affected ethnic groups and their local conditions and, in designing these methods, gives special attention to the concerns of ethnic poor and vulnerable people, people with disability, women, youth, and children and their access to development opportunities and benefits. 61. The consultation process needs to ensure the following requirements: Table 7 FPIC Requirements Requirements Action taken
Ethnic groups have full information about The public consultation meeting was conducted in the scope and impacts of the proposed all 16 affected villages to be potentially affected by
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Requirements Action taken development activities on their lands, the project (Lot 1 and Lot 2) from the 11-29 May resources and well-being, including (i) the 2020. These public consultation meeting were not nature, size, pace and scope of the proposed only for the ethnic group members, but for the project, (ii) the purpose of the project and communities as a whole. The meetings covered the its duration, (iii) affected areas, (iv) a presentation of (i) overview of the project and preliminary assessment of the likely purpose of the project, (ii) the purpose of the economic, social, cultural and consultation meeting, (iii) affected areas including environmental impact, including potential positive and negative impact and mitigation risks,(v) personnel likely to be involved in measure, (iv) relevant policies, (v) steps to be taken the execution of the project, and (vi) including informing the community that there would procedures the project may entail. be different teams to meet with the community separately including meeting the ethnic groups
members for the EGEP. These meetings provide the baseline information that could be further considered by the ethnic group members that could subsequently inform their participation in focus group discussion. Ethnic groups are not coerced, pressured or The public/village consultation meetings and focus intimidated in their choices of development, group discussion with ethnic group male and female ideas, opinions and concerns; were conducted by the consultant’s team at the village meeting rooms, which are convenient for everybody to access and attend and create friendly environment. The meetings and focus group discussion allowed sufficient time for all participants to express their thoughts and opinion freely. Ethnic groups receive sufficient time to The overall consultation process took place over the participate in consultation process and are last three weeks of May 2020. It provides informed of the preparation of an EGEP opportunity and time for members of ethnic groups to know more about the project and contribute to the preparation of the EGEP. Engagement opportunities ranged from the board public/village consultation to in-depth focus group discussion. The participants were identified with the help of village authorities and through the household socio-economic survey.
5 SOCIAL ASSESSMENT OF ETHNIC GROUPS IN THE PROJECT AREA 5.1 Methodology and Approach adopted for the Ethnic Group Identification 62. While the World Bank’s policy refers to Indigenous Peoples Policy, the Lao PDR does not consider any of the ethnic group as indigenous. However, the paragraph 3 in the World Bank’s Operational Policy on Indigenous People does allow for alternative terms including ethnic that are appropriate to the national context, when referring to distinct,
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vulnerable, social and cultural groups possessing the following characteristics in varying degrees: a. self-identification as members of a distinct indigenous cultural group and recognition of this identity by others; b. collective attachment to geographically distinct habitats or ancestral territories in the project area and to the natural resources in these habitats and territories; c. customary cultural, economic, social, or political institutions that are separated from those of the dominant society and culture; and d. an indigenous language, often different from the official language of the country or region. 63. The following methods of data collection were employed at various stages for the social assessment of impacts on ethnic groups: (i) Village and household census data surveys for gathering data about the socio- economic situation and properties of different types of affected households including the most vulnerable groups such as woman headed households, poorest households and disable households. These surveys included questions relevant to ethnicity. (ii) Focus group discussions conducted with various groups: woman headed household groups, men and women groups, ethnic groups and village authority groups to collect further information about people’s thoughts and opinions relevant to the positive and negative impacts from the road expansion and maintenance project on their daily livelihood, and to find out their proposed solutions to minimize the negative impacts. (iii) In-depth interviews with the ethnic village authorities were carried out in order to update statistics on village population and traditional and formal positions of power within the villages. (iv) Detailed Measurement Survey (DMS) to collect inventory of loss (IOL) of affected households for estimation of compensation cost. 5.2 Ethnic Group in Lao PDR 64. In Lao PDR, there are 49 EGs that are officially recognized by the government. They are categorized according to four ethno-linguistic families. The Tai-Kadai family includes Lao, Lue, Phoutay, and other lowland groups, and account for 67% of the national population. The Mon- Khmer family includes groups such as the Khmu, Khuan, and Samtao that account for 23% of the population. The Hmong, Yao, and other Hmong-Tien groups account for 7%, and the SinoTibetan groups account for 3% of the national population. Nationally, EGs make up approximately 34% of the total population of Laos. The four main ethno-linguistic families are often re-categorized according to three topographic locations reflecting the traditional and preferred environments in which they live, and these three terms are commonly used by both government workers
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and civil society when describing the classification of the non-Lao EGs (although use of these three categories is now officially discouraged, they remain the most widely used in practice): (i) Lao Tai (majority Lao groups traditionally living in the lowland, valley floor regions of the country that historically have cultivated paddy, practiced Buddhism, and are integrated into the national economy. These correspond to the Lao-Tai group and represent approximately 65% of the population in Lao PDR. (ii) Mon-Khmer groups– Upland (slope) Dwellers traditionally dominating the middle hills and for the most part practice swidden agriculture (rain fed upland hill rice, maize), many raise cattle, most are reliant on forest products, and to some extent are isolated from the dominant lowland culture. Many groups exhibit varying degrees of assimilation and adaptation to Tai-Lao culture. These groups are the original inhabitants of Southeast Asia and consist of the Austro-Asiatic or Mone- Khmer ethnic groups (approximately 25% of the population). (iii)Sino-Tibetan Burma and Hmong-Iewmien groups dwelling in the highland areas practicing swidden agriculture growing mainly hill rice, maize, and traditionally, many have grown opium. Many of these groups are historically relatively recent arrivals from Southern China and Vietnam and form about 10% of the population. 65. The poverty rate is still highest among the Mon-Khmer (42.3%) and Hmong-luMien (39.8%) groups. The large Lao-Tai group have substantially lower poverty incidence than the other ethnic groups (15.4%). The Mon-Khmer have poverty incidence more than two and a half times the rate of the Lao-Tai and have seen a relatively slow decline in poverty incidence compared to the Lao-Tai (lowland dwellers). 5.3 Ethnic Groups in the Project Province 66. In Oudomxay Province, there are approximately 12 different ethnic groups, of which the largest is the Khmu ethnic group. According to the provincial administration, the Khmu, who are part of the Mon-Khmer linguistic family and include Khmu Lue, Khmu Khong, Khmu Ou, Khmu Bit, constitute approximately 60% of the population. The Hmong Khao ethnic group, the second largest ethnic group, is part of the Hmong Iew Mien and comprises 14% of the population in the province. The Tai-Dam ethnic group, the smallest ethnic group, is part of the Tai-Kadai family and comprises 2% of the population in the province. Other ethnic groups living in the province include Akha, Phouthai (Thai Dam and Thai Khao), Phou Noi (Phou Xang, Phou Kongsat, and Phou Nhot), Lao Houy (also “Lenten”), Phouan, Ly, Yang, Ikho and Hor (Oudomxay Provincial Information, Culture and Tourism Department). Each of the twelve ethnic groups has its own languages, cultural heritage and traditions. Based on the World Bank definition of Indigenous People Policy (OP 4.10) and the above characteristics, those ethnic groups under Mone-Khmer, Hmong Iew Mien and Chino-Tibetan ethno- linguistic families are considered to be indigenous people who constitute a majority of the population in the province.
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67. Khmu are said to be the oldest inhabitants in Northern Lao PDR and are now settled throughout all northern provinces and as far as Bolikhamxay Province. Next to the Lao Loum, they are numerically the largest ethnic group in the country. They have several sub-groups which co-reside, including Rok, Luu, Ou, and Khrong. Khmu belief systems are strongly governed by spirits, both benevolent and dangerous, which influence foundations of customary law. The world of the spirits consistently influences gender relations, land use and property rights, and change disturbs the relationship between the Khmu and the external world. Different levels of spirits govern different choices made by men and women – some spirits are territorial, associated with particular places or locations, others are associated with the village and under the authority of the territorial spirit. The belief in spirits can influence the choices made by men and women in their daily routine, seasonal activities, property rights and relationships between the sexes. Other spirits govern the structure of the household and are normally ancestral who continue to protect the well-being of families. Lastly, there are individual spirits, linked to the household. 68. Each sub-group may be composed of several patrilineal clans called “ta”. Ta names are totemic, meaning they are taken from a natural object, or animal, or bird, to which the clan considers itself closely related and usually has prohibitions associated with the totem. Among Khmu Lue in Oudomxay, ta may include Teu Mong (a kind of civet cat), Teu va (a kind of fern), Teu Kok (a species of bird), etc. The totem is the household spirit, and membership of a ta depends in which house a child is born. Ta membership determines marriage choices and by association, property rights. 69. Hmong Khao (“White” Hmong) is one of five Hmong sub-groups present in Lao PDR. After Khmu, Hmong has the largest population of all ethnic groups in the country. The Hmong trace their origins in Lao PDR to waves of migration from China in the early years of the 19th century. Causes for this migration attributed by both Hmong respondents and research sources include historical conflict between Hmong and Han Chinese, population growth, unacceptable burden of taxation and refusal to integrate with Han Chinese. Migrated Hmong are now found throughout the northern provinces of Lao PDR, Southern Yunnan, Northern Vietnam and Northern Thailand. 70. Typically, Hmong have settled in the highest areas of the upland, even preferring to be buried on mountain tops. They have a reputation of being both hard working and more recently, assertive in Oudomxay Province over acquiring land and property. Hmong Khao are also structured by clans, or Seng (e.g., Toe, Veu, Tsiong, Moa, Lee, Va, Ya, Ha, Ja, and Keu). The Seng determines the boundaries of land and property rights and protects the role of men as transmitters of those rights by constraining women’s choices, particularly as to who and when a woman may marry. 5.4 The Ethnic Group Community in the Project Area 71. The geographical spread of ethnic groups across the 16 project villages including: Lao Tai groups, Khmu, Phou Noi, Hor, Leu, and Hmong. The population of the villages is dominant by Lao Tai groups, which covers about 40% (9,757 people; 4998 females) of total population in all villages following by Khmu and Hor. The Lot 1 activity will affect
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9 households in B. Cheng including 6 Khmu households and 3 Lao Tai households. For more information about number of ethnic groups presents in the following Table 8 and Table 9. 72. Lao language is the main language used by Lao Tai (majority) groups. It is recognized as the official language of the country. Lao Tai groups live in the lowland area of the province and believe in Buddhism. Khmu (often referred to as Lao Theung) traditionally live in the middle hill areas, are animist, tend to practice Swidden agriculture, utilize forest products and are relatively isolated from the dominant lowland culture - although there has been assimilation and integration for centuries. This linguistic family includes 32 ethnic groups and related sub-groups. Their language links them to the Mon and the Khmer. 73. Further consultation meeting to be conducted with affected people/ethnic group will be based on the design of focus group discussion and in-depth discussion guideline.
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Table 8: Ethnic Groups to be potentially affected by Project (Lot 1 and Lot 2) No. Village Number of Population Lao Female Khmu Female Phunoi Female Hor Female Leu Female TaiDam Female Hmong Female Household Lum 1 Houaykhoum 270 1,052 538 390 436 346 59 29 19 9 0 0 0 0 0 0 2 Nasao 123 625 0 0 23 14 8 6 16 9 578 292 0 0 0 0 3 Namy 133 732 473 221 96 43 68 36 13 7 0 0 82 39 0 0 4 Nalao 269 1,298 1010 570 12 3 55 21 166 84 30 17 0 0 25 11 5 Nawarnnoy 238 1,577 682 365 583 259 84 45 160 83 0 0 0 0 68 31 6 Homsouk 392 2,233 214 118 808 422 299 113 381 209 0 0 0 0 531 258 7 Thin 408 2,086 865 405 181 93 86 40 451 242 473 247 30 17 0 0 8 Vanghai 286 1,360 548 295 444 234 23 14 245 138 0 0 0 0 100 55 9 Pasak 174 1,033 369 180 277 147 119 59 237 125 0 0 0 0 31 16 10 Ceng 206 1,136 320 157 86 38 21 10 100 56 609 304 0 0 0 0 11 Montai 212 1,191 620 295 325 170 0 0 0 0 0 0 0 0 246 121 12 Longkordeua 251 1,361 746 375 461 245 127 66 0 0 0 0 0 0 27 13 13 Nongmeangda 520 2,306 989 503 625 303 240 126 124 64 0 0 0 0 328 169 14 Donkeo 596 3,218 1,928 912 604 246 150 85 158 111 0 0 306 220 72 30 15 Viengsa 216 1,228 301 128 770 370 0 0 0 0 0 0 0 0 157 81 16 Laksi 283 1,471 154 84 1087 541 63 28 0 0 0 0 0 0 167 84 Total 4,577 23,907 9,757 4,998 6,818 3,474 1,402 678 2,070 1,137 1,690 860 418 276 1,752 869
Table 9 Ethnic Groups to be Affected by the Project Lot 1 Activity
No. Village Total Households Population Female Lao Tai group Khmu group affected HHs Pop. Female HHs Pop. Female 1 Cheng 9 42 22 3 14 7 6 28 15
Total 9 42 22 3 14 7 6 28 15
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6 VILLAGE AND HOUSEHOLD SOCIO-ECONOMIC CENSUS (BASELINE INFORMATION) 74. The village socio-economic census survey was carried out from 24 February to 4 April 2020 while household socio-economic census survey of affected households was conducted in May 2020 using the separate data correction form. Data processing and analysis were implemented by the expert team in Vientiane Capital. The results of census and socio-economic survey are summarized in following sections. 6.1 Population and Households 75. From the field survey data collection, the project will cover 16 villages, with a total population of 23,907 people (12,292 females). The two villages that have the highest number of population are Donkeo and Thin Villages. Similarly, the number of households and families in the two villages is also higher than for other villages. For the Project Lot 1 activity, only Cheng village will be affected. The village census survey indicates that Cheng village comprise 206 households with a total population of 1,136 people (565 females). However, only 9 households with 42 PAPs (22 female PAPs) will be affected from the Project Lot 1 activity. Please see table 10 and table 11 for more detail information. Table 10: Population and Households to be potentially affected by the Project (Lot 1 and Lot 2)
No Village Total No. of Total No. of Total Population Female Houses Family 1 Houaykhoum 270 325 1,052 774 2 Nasao 123 118 625 321 3 Namy 133 172 732 346 4 Nalao 269 288 1,298 706 5 Nawarnnoy 238 328 1,577 783 6 Homsouk 392 427 2,233 1,120 7 Thin 408 372 2,086 1,044 8 Vanghai 286 301 1,360 736 9 Pasak 174 192 1,033 527 10 Cheng 206 235 1,136 565 11 Montai 212 219 1,191 586 12 Longkordeua 251 280 1,361 699 13 Nongmeangda 520 566 2,306 1,165 14 Donkeo 596 728 3,218 1,604 15 Viengsa 216 267 1,228 579 16 Laksi 283 333 1,471 737 Total 4,577 5,151 23,907 12,292 Sources: Field Survey, March 2020 Table 11: Number of Households and Population to be affected by the Project Lot 1
No. Village Total No. of HHs Total No. of AP Female 1 Cheng 9 42 22
Sources: Household Survey, May 2020
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6.2 Religions 76. As people in 16 villages represent various ethnic groups, some of them have specific traditions and culture as well as believe in spirit. See table 12 below for more information. For the Project Lot 1 activity, only Cheng village will be affected. The primary religion in the affected villages is spirit practiced by about 62% (148 families) and the remaining villagers believe in Buddhism (87 families). Out of the households in Cheng Village affected by Lot 1, only 9 households with 14 PAPs practice Buddhism and 28 PAPs are animists with different traditional ceremonies to worship their ancestors. Please see table 12 and table 13 below for more information. Table 12 Religions in the potentially affected Villages No Village No. of Household Buddhism Spirit 1 Houaykhoum 325 203 122 2 Nasao 118 110 8 3 Namy 172 125 47 4 Nalao 288 252 36 5 Nawarnnoy 328 158 170 6 Homsouk 427 116 311 7 Thin 372 183 189 8 Vanghai 301 131 170 9 Pasak 192 111 81 10 Cheng 235 87 148 11 Montai 219 128 91 12 Longkordeua 280 187 93 13 Nongmeangda 566 312 254 14 Donkeo 728 469 259 15 Viengsa 267 87 180 16 Laksi 333 40 293 Total 5,151 2,699 2,452
Sources: Field Survey, March 2020 Table 13: Religions in the Affected Households
No. Village Affected HH Buddhism Spirit
1 Cheng 9 14 28
Sources: Household Survey, May 2020 6.3 Infrastructure and Facilities 77. Data on key infrastructure for village economy, trade, education, health and transport was collected during the village surveys including availability of market, shops, companies, hotels/guesthouses,
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cars, trucks, rice mills, factories and industries, water supply, etc. The surveys showed that all 16 villages have relatively good infrastructure and public utilities. A significant number of businesses and enterprises were found to be common. These include a total of 148 major companies, four main markets, four factories, 92 hotels/guesthouses are present in the project villages. In addition, there are more than 1,240 cars/pick-up trucks and 530 smaller shops were identified within the project areas. This information are an indicator of the wealth of the villages or households. People have access to a range of facilities and convenient services such as good access to sanitation, electricity network, clean water supply, all season road, market, etc. For the Project Lot 1 activity, only Cheng village will be affected. The village census survey indicates that Cheng village has relatively good infrastructure, public utilities and services including 1 company, 1 factory, 3 hotels/guesthouses, more than 70 cars/pick-up trucks and 43 smaller shops. Please see table 15 and table 16 below for more information. Table 14: Abbreviations of Infrastructure and Facilities in the Villages
Type of infrastructure and facilities Abbreviations Unit 1. ວິດຖ່າຍ (Latrine) L HH 2. ຕະຫຼາດຂອງບ້ານ (Market) M Number 3. ບໍລິສັດ ແລະ ຫ້າງຮ້ານຂະໜາດໃຫຍ່ (Big Company) BC Number 4. ຮ້ານຂາຍເຄ ື່ອງຍ່ອຍ (Small Shop) SS Number 5. ໂຮງແຮມ ແລະ ບ້ານພັກ (Hotel and Guesthouse) HG Number 6. ເສັັ້ນທາງທ ື່ໃຊ້ໄດ້ທຸກໆລະດູການ (All weather land road) A-R Number 7. ເສັັ້ນທາງເຮ ອ (Boat Transportation) BT Number Public 8. / (Public Bus) PB ລົດໂດຍສານປະຈໍາທາງ ແລ່ນຈາກບ້ານໄປຫາເມ ອງ ແຂວງ transport 9. ລົດ 4 ລໍັ້ ຫຼ 6 ລໍັ້ (Pick-up and Truck) P-T Car 10. ລົດໄຖນາເດ ນຕາມ (Tractor) T Tractor 11. ໂຮງສ ເຂົັ້າ (Rice Mill) RM Number 12. ຈໍານວນຫຼັງຄາເຮ ອນທ ື່ໃຊ້ໄຟຟ້າ (Electricity Household) EH HH 13. ໂຮງຈັກໂຮງງານທ ື່ມ ຢູ່ພາຍໃນບ້ານ (Industrial Factory) ID Number 14. ນໍັ້າສ້າງ (Water Well) WW 㛈ບ 15. ນໍັ້າບາດານ (Drilled Bore) DB HH/tap 16. ນໍັ້າລິນ (Gravity Fed Water) GW HH/tap 17. ນໍັ້າປະປາ (Pipe Water) PW HH 18. ຫ້ວຍ/ແມ່ນໍັ້າ (River and Lake) R-L River
Ethnic Groups Engagement Plan, November 2020 31 Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
Table 15: Infrastructure and Facilities in the potentially affected Villages
No. Village No. of Household 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 L M BC SS HG AR WT PB PT T RM EH IF W DB GW PW RL 1 Houaykhoum 270 1 2 38 3 4 0 0 43 25 0 270 0 0 2 43 225 4 2 Nasao 123 0 7 7 1 3 0 0 65 14 0 123 0 0 1 0 123 1 3 Namy 133 0 2 9 0 1 0 0 35 16 2 133 0 0 0 16 117 1 4 Nalao 269 1 97 81 24 10 0 15 253 30 2 269 0 0 0 0 269 1 5 Nawarnnoy 238 0 11 22 11 6 0 0 191 0 5 238 0 0 0 0 238 2 6 Homsouk 392 0 1 28 1 2 5 4 37 17 5 392 0 0 0 0 427 1 7 Thin 408 0 0 44 0 4 0 0 23 11 5 408 0 0 0 0 372 2 8 Vanghai 286 0 0 99 8 6 0 0 57 5 3 286 0 0 0 0 286 1 9 Pasak 174 1 1 26 1 2 0 2 20 1 1 174 0 0 0 0 192 1 10 Cheng 206 0 1 43 3 5 0 0 70 11 0 206 1 0 0 0 206 1 11 Montai 212 0 3 5 0 3 0 10 2 0 0 212 0 0 0 0 219 1 12 Longkordeua 251 0 1 25 23 7 0 0 60 0 2 251 0 0 0 5 251 1 13 Nongmeangda 520 1 12 30 8 17 0 0 213 19 2 520 0 0 5 0 520 4 14 Donkeo 596 0 0 34 3 3 0 4 110 47 2 596 0 1 0 0 596 2 15 Viengsa 216 0 3 22 0 4 5 1 60 14 15 216 0 0 0 1 1 3 16 Laksi 283 0 7 17 6 3 0 1 1 5 10 283 3 0 1 1 83 1 Total 4,577 4 148 530 92 80 10 37 1,240 215 54 4,577 4 1 9 66 4,125 27 Sources: Field Survey, March 2020 Table 16: Summary of Household Equipments and Utilities of Affected HHs in Cheng Village
Affected Car Motor- Bicycle Fan TV Refrigerator Satellite Electric Electric Electric Sewing Water Washing Telephone HHs bike Receiver Generator Pan Stove machine Pump machine
9 2 12 2 3 10 9 8 1 13 1 1 1 5 30
Sources: Household Survey, May 2020
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6.4 School Facility and Health Centers 78. There are 15 primary schools, with a total of 90 classrooms, and oversight by 99 teachers. There is a total of 16 secondary schools and high schools with 119 classrooms and 232 teachers in the 16 villages to provide services to the public. However, those schools are not affected in terms of land requisition. Nalao Village does not have neither primary nor secondary school within the village, and the children therefore have to attend school in nearby village with a distance of approximately 200 meters. For the Project Lot 1 activity, only Cheng village will be affected. The village census survey indicates that Cheng village has only 1 primary school, with a total of 5 classrooms and 6 teachers and 1 secondary school/high school with 3 classrooms and 27 teachers. However, none of these schools will be affected by the Project Lot 1 activity. 79. The Project Lot 1 activity will not affect any health facilities in the affected village as no health care center is located in Cheng Village. Based on the census survey, PAPs can access to district and provincial health centers and hospital nearby within a distance of 1 km. Please see below table 17 and table 18 for more information. Table 17: Number of School and Health Center in the potentially affected Villages
No.of Secondary/High No. of Village health Remark) No.of Primary School School center No Village Class Class . Schoo l School Roo Docto room Teacher room Teacher Hospital
[1] [3] m r [2] [4] 1 Houaykhoum 2 9 7 4 21 37 0 0 0 2 Nasao 0 0 0 0 0 0 0 0 0 3 Namy 1 5 5 1 4 0 0 0 0 Budda Secondary School 4 Nalao 0 0 0 0 0 0 0 0 0 5 Nawarnnoy 1 4 4 0 0 0 0 0 0 6 Homsouk 1 7 8 0 0 0 0 0 0 7 Thin 1 7 8 0 0 0 0 0 0 8 Vanghai 1 5 8 0 0 0 1 0 0 District Hospital 9 Pasak 1 3 0 0 0 0 1 0 0 Private Hospital Kindergarten 10 Cheng 1 5 6 1 3 27 0 0 0 Budda High School 11 Montai 1 7 12 0 0 0 0 0 0 12 Longkordeua 1 9 11 1 35 75 0 0 0 13 Nongmeangd 1 8 7 7 42 71 0 0 0 a 14 Donkeo 1 5 7 0 0 0 1 0 0 Provincial Hospital 15 Viengsa 1 5 8 2 14 22 0 0 0 16 Laksi 1 11 8 0 0 0 0 0 0 Total 15 90 99 16 119 232 0 0 0 Sources: Field Survey, March 2020
Ethnic Groups Engagement Plan, November 2020 33 Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
Table 18: Distance from Each Village to School and Health Center/Hospitals No. Village School Hospital Primary Secondary and District Province School High school 1 Houaykhoum 500 m 6 km 2 Nasao 2.5 km 4 km 3 Namy 1 km 4 km 5 km 4 Nalao 200 m 1 km 5 Nawarnnoy 1 km 1 km 2 km 6 Homsouk 1 km 1 km 2.5 km 7 Thin 34 m 1 km 8 Vanghai 3 km 2 km 9 Pasak 500 m 5 km 3 km 5 km 10 Cheng 500 m 1 km 11 Montai 1 km 2 km 12 Longkordeua 500 m 2 km 150 m 13 Nongmeangda 500 m 1.2 km 1.5 km 14 Donkeo 1 km 2 km 800 m 15 Viengsa 1 km 2 km 1 km 16 Laksi 1 km 2 km 3 km Sources: Field Survey, March 2020 6.5 Education 80. It is noticed that the number of student’s enrolment at high school level is relatively high. This represents number of youths is high in the affected villages. It is also noticed that current number of students at higher diploma and bachelor’s degrees are also high. In general, the proportion of males and females enrolled in all levels of school is even, with no larger than a 1% difference across the project area. For the Project Lot 1 activity, only Cheng village will be affected and the village census survey indicates that the affected village has 170 students (60 females) enrolled at higher diploma level which is relatively high compared to other school enrolment levels. See table 19 below for more information. Table 19: Level of Education in the potentially affected Villages
No. Village Uneducated Primary school Lower High school Higher diploma bachelor degree secondary degree and beyond school Total Fema Total Female Total Female Total Female Total Female Total Female le 1 Houaykhoum 7 5 350 170 310 180 220 125 20 9 30 20 2 Nasao 0 0 170 85 115 55 170 80 48 20 8 3 3 Namy 0 0 150 75 223 100 240 115 45 15 15 6 4 Nalao 0 0 425 225 293 153 374 167 115 50 50 23 5 Nawarnnoy 25 15 606 286 307 153 230 117 79 42 15 8 6 Homsouk 392 200 580 255 420 217 265 115 275 125 57 23 7 Thin 0 0 572 294 252 267 475 237 350 115 125 55 8 Vanghai 18 12 346 200 459 209 330 120 32 9 40 19 9 Pasak 0 0 230 135 210 115 275 137 140 65 95 73 10 Cheng 0 0 102 50 215 100 80 20 170 60 20 8 11 Montai 0 0 155 165 125 175 172 80 120 75 25 10 12 Longkordeua 0 0 215 115 365 180 450 220 212 100 35 11 13 Nongmeangda 31 24 152 64 224 115 132 157 166 57 142 53 14 Donkeo 0 0 420 200 970 490 1300 640 385 180 65 30 15 Viengsa 27 16 50 30 408 210 470 220 100 30 150 70 16 Laksi 25 13 250 115 420 218 553 247 286 173 25 15 (Total) 525 285 4,773 2,464 5,316 2,937 5,736 2,797 2,543 1,125 897 427
Ethnic Groups Engagement Plan, November 2020 34 Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
Sources: Field Survey, March 2020 6.6 Disease and Treatment Practices 81. According to the field survey, there is no malnutrition issue or epidemic diseases in the last two years. When people feel sick they use services from the public hospital and health center nearby. Some of them may buy medicine from a clinic or pharmacy to treat their illness. The current situation of COVID-19 pandemic has impacted the socio-economic conditions as a whole. There is no case of Corona virus infection in Oudomxay Province. The province health authorities as well as the provincial authorities from other sectors have implemented the mitigation measures based on the relevant Prime Minister Instructions and Orders such as PM Order No.06. 6.7 Livelihood, Employments, and Incomes 82. The main income of the household in the 16 villages to be potentially affected by the project (Lot 1 and Lot 2) is a combination of incomes from agriculture activities (farming and livestock, fishery), smallholders business and service, general employment, and being government employment. 83. For the Project Lot 1 activity, only Cheng Village will be affected. The village census survey indicates that the affected village has different sources of income including agriculture (25 families), business and services (138 families), general employment (180 families) and government employment (45 families). However, the main income of the 9 affected households in Cheng Village is from government employment. 6.8 Labor Migration 84. Very few people migrate to work in other places. Migration is mainly for work in larger cities in other provinces. The findings from the field survey documented that last year, about 59 people including villagers from Nawarnnoy (27 people), Vanghai (2 persons), Nongmeangda (10 people) and Viengsa (5 people) and Cheng (5 people) Villages migrated to work in other place. Of all 16 villages, about 50% of migrant people are females. 6.9 Land Use 85. Based on the results from the field survey, land use in the project area in each village use land for different purposes and under 3 main categories as follows: a) residential land (structures, private, community and public infrastructure and utilities, home garden), b) Agricultural Land (rice paddy, upland rice paddy, industrial tree plantation, fish pond, other agriculture activities, and c) Forest land (village production forest land, spiritual land/graves. The majority of the land in the villages is used for upland rice cultivation. Villagers have land titles mainly for private land and land use certificates for those who are granted use rights to state land. 86. Table 20 provides information on the main types of agriculture practiced in the project villages including areas and number of households involved. Lowland rice is reportedly practiced in most villages served for this project except Ban Paksa. Ban Donkeo and Ban Thin have the highest number of rice paddy areas (85 ha and 84 ha respectively). Meanwhile, Ban Laksi has relatively large tree plantation (250 ha). Lowland rice yields were reportedly low of 2.5 tonnes/ha in most villages.
Ethnic Groups Engagement Plan, November 2020 35 Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
87. Table 21 summarizes total land use categories in the project villages. With the availability of the data provided by the local authorities during village surveys indicated that the main type of land use in the project villages is residential land (14,287 ha) followed by Agricultural Land (382 ha) and paddy field (357ha) respectively. 88. In Cheng village, the village to be affected by the Project Lot 1 activity, the residential land is about 40 ha; agricultural land is about 2ha and cemetery 1 ha. The Lot 1 activity will affect 9 households with5 single story houses (entirely affected), 2 house structures (only post and basement beam), 1 wooden house, 9 secondary structures and 60 industrial trees will be affected. These households are located in public land (the Provincial Stadium Land), however, compensation will be made for all affected structures and industrial trees. Table 20: Agriculture Land in the Potentially Affected Villages No. Village Type No. HH Area Total product Sell (Kg) (Ha) of last year/Kg 1 Houaykhoum Paddy Field 35 25 2.5T/Ha 5,000 2 Nasao Paddy Field 32 12 2.5T/Ha 5,000 Gardens 15 1 2T 5,000 Industrial Tree Garden 5 5 Just plant 0 3 Namy Paddy Field 15 22 2.5T/Ha 5,000 4 Nalao Paddy Field 0 13 Not in use 0 Gardens 0 21 Not in use 0 5 Nawarnnoy Paddy Field 17 12 2.5T/Ha 5,000 Industrial Tree Garden 6 18 4.5T/Ha 5,000 6 Homsouk Paddy Field 4 1 2.5T/Ha 5,000 Vegetable Garden 12 5 3.5T/Ha 5,000 Gardens 2 2 4.5T/Ha 0 7 Thin Paddy Field 44 84 2.5T/Ha 5,000 Industrial Tree Garden 72 80 Just plant 0 8 Vanghai Paddy Field 3 2.5 2.5T/Ha 5,000 9 Pasak 0 0 0 0 0 10 Cheng Gardening Land 10 2 0 0 11 Montai 0 0 0 0 0 12 Longkordeua Industrial Tree Garden 6 5 Just plant 0 13 Nongmeangda 0 0 0 0 0 14 Donkeo Paddy Field 150 85 2.5T/Ha 5,000 Corn Garden 30 6 3T/Ha 5,000 Vegetable Garden 80 46 3T/Ha 5,000 Industrial Tree Garden 6 25 Just plant 0 15 Viengsa Paddy Field 21 15 2.5T/Ha 5,000 Corn Garden 60 15 3T/Ha 5,000 Gardens 10 3 3T/Ha 5,000 Vegetable Garden 50 15 3T/Ha 5,000 16 Laksi Paddy Field 2 1 2.5T/Ha 5,000 Corn Garden 5 11 3T/Ha 5,000 Vegetable Garden 53 5 2.5T/Ha 5,000 Industrial Tree Garden 4 250 4.5T/Ha 6,000 Sources: Field Survey, March 2020
Ethnic Groups Engagement Plan, November 2020 36 Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
Table 21: Land Use in the Potentially Affected Villages
No. Village Total area of Residential Paddy Industrial Agricultural Conservative Used forest Village forest Sacred Cemetery Production village (Ha) land (Ha) Field (Ha) tree Land (Ha) forest of village of village restoration forest of (Ha) forest (Ha) plantation (Ha) (Ha) area (Ha) village (Ha) 1 Houaykhoum 466 7 25 0 0 0 0 0 3 0 0 2 Nasao 236 47 108 5 27 8 7 13 0 1 15 3 Namy 1,845 119 22 0 4 0 0 0 0 1 0 4 Nalao 2,208 1,386 13 0 21 0 0 0 0 0 0 5 Nawarnnoy 16,500 12,449 0 0 3 0 0 0 0 0 0 6 Homsouk 12 9 1 2 5 0 0 0 0 0 0 7 Thin 174 11 84 0 92 0 0 0 0 0 0 8 Vanghai 105 24 2.5 25 30 0 0 0 0 0 0 9 Pasak 350 15 0 0 3 0 0 0 0 0 0 10 Cheng 53 40 0 0 2 0 0 0 0 1 0 11 Montai 30 25 0 0 3 0 0 0 0 0 3 12 Longkordeua 252 12 0 5 10 15 15 0 0 0 0 13 Nongmeangda 47 35 0 0 3 0 0 0 0 0 0 14 Donkeo 1,200 52 85 25 46 0 0 0 0 2 0 15 Viengsa 612 16 15 0 18 134 65 138 5 2 0 16 Laksi 505 40 1 250 115 0 8 35 0 3 53 Total 24,595 14,287 357 312 382 157 95 186 8 10 71 Sources: Field Survey, March 2020
Ethnic Groups Engagement Plan, November 2020 37 Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
6.10 Cultural Heritage and Historical Infrastructure 89. The survey collected information on what kind of cultural and archaeological heritage, pre-historic remains, and historic sites that could be affected by the project. The following lists of cultural and archaeological heritage significance were identified in the project villages. For the Project Lot 1 activity, only Cheng village will be affected by the project; however, the temple and cemetery will not be affected by the Project Lot 1 activity. During the consultation, affected villagers indicated that in case the project will be affect the cemetery, they request the project to closely coordinate with local authorities and older people in the community to conduct proper customary practice to ask for permission and apologize the spiritual ancestors in order to move them to new place, and compensation should be made to the affected people as well. There is no any culturally significant heritage expected to be affected by the project Lot 1 activity. Table 22: Cultural Infrastructures in the potentially affected Villages Ancient Historic sites No. Village Cultural Asset remains and others 1 Houaykhoum 0 Land and Home 0 2 Nasao 0 0 0 3 Namy 0 0 0 4 Nalao 0 0 0 Land , Homes, Vacation Homes 5 Nawarnnoy Trees 0 and Elementary Schools 6 Homsouk 0 0 0 7 Thin 0 Land and Home garden 8 Vanghai 0 0 0 9 Pasak 0 0 0 Temple, 10 Cheng Cemetery 0 0 11 Montai 0 0 0 12 Longkordeua 0 0 0 13 Nongmeangda 0 Land and Home 0 14 Donkeo 0 0 0 15 Viengsa 0 0 0 High Voltage Electric Pole 16 Laksi 0 Project Sources: Field Survey, March 2020 6.11 Poverty Groups 90. The Guideline number 0830/MAF, dated 06/04/2018 on guideline for implementation the decree 384, 2017 sets the Criteria for Poverty Graduation and Development. Section 4 of this guideline indicates that families that graduate from poverty are the families that have achieved six criteria for graduation of families’ from poverty defined in the Decree 348/GOL, but still do not have stabilization, and are vulnerable with risk to fall back into poverty as they have not yet achieved the majority of criteria for developed families such as: political aspects, education, cultural, environmental, and national defense-peace keeping. Importantly, although members of a family have occupations, they remain at subsistence income. They do not have savings to ensure economic stability of their families. Average income per person should be not less than 5.6 million kip or USD700 per person
Ethnic Groups Engagement Plan, November 2020 38 Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
per year. Out of 16 villages, the survey found that 9 villages (Houaykhoun, Nasao, Namy, Nawarnnoy, Homsouk, Vanghai, Nongmeangda, Viengsa and Laksi villages) have people below the poverty line, with a total of 36 households, 36 families, 150 people (75 females). However, based on the field survey results, considering the criteria set above, there is no poor family in Cheng village. See table 23 below for more information. Table 23: People under Poverty Line in the potentially affected Villages
No. Village Ethnic No. of houses Total population Female
1 Houaykhoum Khmu 5 15 7 2 Nasao Lue 1 3 2 3 Namy Lao 1 6 2 4 Nalao 0 0 0 0 LaoTai 3 7 4 Khmu 9 37 16 5 Nawarnnoy Phou Noi 1 3 1 Hmong 1 5 3 6 Homsouk Khmu 7 46 26 7 Thin 0 0 0 0 lao 1 4 2 8 Vanghai Khmu 1 2 2 9 Pasak 0 0 0 0 10 Jeng 0 0 0 0 11 Montai 0 0 0 0 12 Longkordeua 0 0 0 0 13 Nongmeangda Khmu 1 2 1 14 Donkeo 0 0 0 0 15 Viengsa Khmu 2 10 4 16 Laksi Khmu 3 10 5 (Total) 36 150 75 6.12 Vulnerability Groups (VG) 91. As per the definition given above, 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 people or people with disability and households with no labors, (ii) households living below the poverty threshold, (iii) the landless, and (iv) ethnic groups. Out of 16 villages, vulnerable groups were found in three villages including: 2 families (11 people, 7 females) in Namy village; 2 families (6 people, 2 females) in Homsouk village; and 1 family (2 persons, 1 female) in Nongmeangda village. There is no vulnerable group in Cheng village. 7 IMPLEMENTATION MEASURES AND ARRANGEMENTS 92. The strategic oversight of the project will be provided through the MPWT management structure, led by the Minister. The Department of Roads (DoR) will manage the project implementation and monitoring. The DoR and Public Works transport and Research Institute (PTRI) will coordinate with the provincial Department of Public Work and Transports (DPWTs) in Bolikhamxay and Khammouane provinces to monitor the implementation of the Environmental and Social Management Plan (ESMP), Project Lot
Ethnic Groups Engagement Plan, November 2020 39 Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
1 Abbreviated Resettlement Action Plan (ARAP1) and Ethnic Group Engagement Plan (EGEP). 7.1 Grievance Redress Mechanism (GRM) 93. The DIA, MPWT DOW and DPWT have established a grievance redress committee at the village level, as well as the district and provincial level. Please refer to ARAP1 for more details. These were established to deal with resettlement related grievances as they arise. These committees will receive, evaluate and facilitate the resolution of PAP and PAH concerns, complaints and grievances. Grievance redress committees will be comprised of representatives of PAP and PAH, community leaders, and independent civil society organizations (Non-Profit Association and CBO) in addition to representatives from village and district levels, and PMU and PIU authorities. If the grievance relates to a dispute over the valuation of an asset to be acquired, then the DIA will acquire an additional independent assessor to inform the decision of the relevant grievance redress committee. The grievance redress committees will function, for the benefit of PAP and PAH during the entire life of the sub-projects, including the defects liability period. 94. Throughout the project planning, implementation and operation, all complaints and grievances may be received in writing, or if given verbally then written at the same time and place, members of the affected ethnic group community and duly recorded by each level of the grievance redress process (community, district, provincial). A template or form will be developed that is easy to understand and to fill in for anyone who wishes to issue a complaint. Members of affected ethnic group communities will be exempted from all administrative and legal fees incurred pursuant to the grievance redress procedures. Grievances related to any aspect of the proposed project will be dealt with through negotiations with the ultimate aim of reaching a consensus. Grievance redress procedures aim to provide a time-bound and transparent mechanism to voice and resolve social and environmental concerns linked to the project. These grievance redress procedures are not meant to circumvent the government’s inbuilt redress process, nor provisions of the national laws, but rather to address members of ethnic group communities’ concerns and complaints promptly, making it readily accessible to all segments of ethnic group communities and scaled to the risks and impacts of the project. 95. The EGEP will establish the means for members of affected ethnic group communities to bring complaints to the attention of relevant project authorities. Grievance procedures should include reasonable performance standards, including time required to respond to complaints and should be provided without charge to those displaced persons. The EGEP should also state other avenues available to aggrieved persons if the project- related procedures fail to resolve complaints. Article 23 and 24 of the C&R Decree (No. 84/GOL, 2016) require the project to establish an effective mechanism for grievance resolution. The decree requires that the sub-project proponent, Provincial Department of Public Works and Transport (DPWT) Oudomxay Waterway Sector, is responsible for setting up the grievance redress mechanism and to take actions to resolve issues.
Ethnic Groups Engagement Plan, November 2020 40 Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
96. The ESMF contains details on the grievance redress mechanism for the project. Grievances related to environmental and social issues from directly or indirectly affected ethnic groups as a result of implementation of project will be resolved by the Grievance Redress Committee (GRC) through the project grievance redress mechanism presented in Figure 4. 97. However, the complainant also retains the right to bypass this procedure and can address a grievance directly to the Provincial DPTW PIU office or the national assembly, as provided by law in Lao PDR. At each level, grievance details, discussions and outcomes will be documented and recorded in a grievance logbook. The status of grievances submitted and grievance redress will be reported to Provincial DPWT Oudomxay Waterway sector management through the monthly report. In order to effectively and quickly resolve grievances PAP and PAH may have, the following process will be applied: • Stage 1: if members of ethnic group communities are not satisfied with the resettlement plan or its implementation, they can issue a verbal or written complaint to the district or provincial grievance redress committee. If it is oral complaint, the village should deal with this complaint and make written records. Village committee or DRO should solve the complaint within two weeks. • Stage 2: if members of the ethnic group community are not satisfied with the result in Step 1, they can file an appeal with the Project Resettlement Office (PRO) after he receives the decision made in step 1. The PRO should make a decision within two weeks; • Stage 3: if they are not satisfied with the result of Step 2, they can file an appeal with the provincial Resettlement Committee for administrative arbitration after receiving the decision made by the PRO. The administrative arbitration organization should make the arbitrated decision within 10 days; and • Stage 4: if they are still unsatisfied with the arbitrated decision made by the administrative arbitration organization, after receiving the arbitrated decision, they can file a lawsuit in a civil court according to the relevant laws and regulations in Lao PDR.
Ethnic Groups Engagement Plan, November 2020 41 Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
Local Resolution Measures
Solved End
If NOT
Grievance Redress Committee (Project Level)
Solved in End 10 days?
If NOT
PONRE
Solved in End 20 days
If NOT
If still unresolved, PAP may choose to exercise their right under Lao PDR law to refer the matter to a court of law.
Figure 4: GRM Procedure 98. The activities related to the GRM have been implementing. The following table 24 show the statues of activities related to the establishment of the GRM. Table 24 Action Plan for the GRM Development Process
No. Action Responsibility Schedule Status Consultation to inform potential EDPD, PMU and 2018 Completed 1 affected villages of impacts (both PIU positive and adverse) 2 Consultation to Inform AVs on PIU March Completed Cut of Date and conduct social 2020 assessment 3 Set up Compensation unite rate EDPD, PMU and September Completed PIU 2020 4 Dissemination of PIB EDPD, PMU and May 2020 Completed PIU
Ethnic Groups Engagement Plan, November 2020 42 Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
No. Action Responsibility Schedule Status 5 Consultation with affected people EDPD, PMU and May 2020 Completed including consultation for draft PIU EGEP, RAP and ESMP 6 Training on GRM PTRI/EDPD, PMU, June 2020 Completed PIU 7 Grievance record and problem PIU, RP and Village From July Not yet due solving authority and AVs 2020 8 Monitoring and evaluation of EDPD and PMU From Not yet due EGEP and GRM implementation August 2020 99. Members of ethnic group communities can make a complaint or appeal on any aspects of project’ design and implementation, including issues related to resettlement. A complaint and grievance feedback form will be developed under the project and made available at Oudomxay’s provincial capital, Muang Xay, and vicinity, including in ethnic group communities, for use by community members to raise complaints or grievances. Ethnic group community members will be clearly informed of the complaint and appeal channels described above through community meetings and other forms of communication. 100. PAP and PAH can make a complaint or appeal on any and all aspects of project design and implementation, including issues related to resettlement. A hotline phone will be established with dedicated staff assigned to so that PAPs or complainants will not be charged for their phone calls used to raise their grievances and their complaints are responded in an efficient manner. PAP and PAH will be clearly informed of the complaint and grievance redress mechanism and appeal channels described herewith through village meetings and other channels. In addition, a complaint box should be made available in a convenient location of the village.
101. The Project organizations addressing the community level complaint and appeal process shall not charge any fee. Any expenses incurred due to complaint and appeal should be paid as unexpected expenses and paid for by the Project. 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 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.
Ethnic Groups Engagement Plan, November 2020 43 Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
102. The communities and individuals who wish to submit their complaints to existing project-level grievance redress mechanism or the WB’s Grievance Redress Service (GRS) could be done by contacting the following relevant staffs and organizations. Table 25 GRM Contact Persons
No. Name and Surname Position Organization Contact Number 1 Mr. Somchith Provincial Deputy Steering 020 918 73334 Panyasack Governor ,Economic Committee Work Leader 3 Mr. Phommasouk Muang Xay Deputy Head of the 020 999 80669 Monechandy Governor Secretariat 4 Mr. Khamdam President of Muang Xay Deputy Head of the 020 566 43633 Phongmany Lao Front for National Secretariat Development Office 5 Mr. Somsanith Chief of village Thin Village 020 55139636 Inthavong 6 Mr. Phonekeo Chief of village Nawarnoy Village 030 92092041 Sisongkham 7 Mr. Mounsy Chief of village Vanghai Village 020 55198494 Phommachanh 8 Mr. Chainga Chief of village Pasak Village 020 99644443 9 Mr. Sonephet Chief of village Monetai Village 020 55781982 Duangboubpha 10 Mr. Vanxay Chief of village Longkordeua 020 56526501 Bountapha Village 11 Mr. Sisongkham Chief of village Cheng Village 020 59336455 12 Mr. Chansitham Chief of village Homsouk Village 030 2219412 Xayyalath 13 Mr. Chandy Ly Chief of village Nongmaenga 030 9044877 Village 14 Bounsy Xaylasa Chief of village Laksi Village 030 4900317 15 Mr. Khamphai Chief of village Donekeo Village 020 59795899 Anouvong 16 Mr. Thong Chief of village Viengsa Village 030 4877939 Phommasone 17 Mr. Bounvai Chief of village Houaykhoum 020 22061511 Village 18 Mr. Khamsao Chief of village Nasao Village 020 22379291 Xaythana 19 Mr. Khamsang Chief of village Namy Village 020 58971770 Phatthala 20 Mr. Bounhom Chief of village Nalao Village 020 55581118 Yordbounhak
7.2 Proposed Follow-up Actions 103. The EGEP will be implemented in parallel of RP implementation through the following follow up actions:
Ethnic Groups Engagement Plan, November 2020 44 Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
Planning for EGEP implementation:
a) Nominate EGEP-focal persons both in PTRI/PMU and construction supervision consultants with representation of ethnic minorities in the GRM and RCs. These focal persons will maintain regular liaison with the EGs, monitor the EGEP implementation closely and devise remedial actions in case of any issue involving EGs. b) Develop and disseminate project information book and poster of grievance resolution steps with EGEP-focal persons and their contact numbers. Continue Consultations:
c) More consultations with ethnic groups and PAHs during the construction and O&M phase of the project will also be conducted to ensure the implementation are compliance and fully taken into account of the ethnic group practice, beliefs and cultural preferences. Consultation report of each consultation shall be made with minutes of meeting along with attendance records and the signatures of all participants. The consultation will also include FPIC form. The consultation framework during the construction and O&M phase are listed in table 24 below.
Participatory monitoring:
a) During the project construction, ethnic group representative (Hmong and Khmu with gender consideration) will be encouraged to participant in the compliance monitoring of implementation ESMP and RP reports. Please refer to section 7.3 below for more details. Table 26 Future Consultations
No. Consultation Objectives Methods Implementing Timeline Body
Pre-construction
1 Consultation with To finalize draft Open PTRI/EDPD July- PAHs and concerned Provincial meeting and August2020 stakeholders at Agreement on DPWT/PIU provincial, district and Compensation Unit village levels Rate
2 EIA Reports: To obtain Open MONRE/PTRI/ August- consultation meeting comments on the Meetings EDPD and September with concerned local draft EIA report and DOW 2020 authorizes (provincial incorporate all and district levels) and comments into the representatives from revised EIA report affected villages.
3 ARAP To confirm and Meetings PTRI/EDPD Jul-Oct Implementation: verify and obtain and open and 2020 Consultation with consent from PAP discussions DPWT/PIU
Ethnic Groups Engagement Plan, November 2020 45 Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
No. Consultation Objectives Methods Implementing Timeline Body
concerned authorities on their losses and and affected compensation households on amount confirmation of loss and compensation amount and method. Separate consultations may need to be conducted with vulnerable households and individuals to ensure that their concerns and needs have been met.
Construction Phase
4 Consultations with To inform PAP on Open Contractor, Throughout affected communities project construction meeting CSC, DPWTs construction on project activities, activity and phase impacts, construction schedule and schedule and work potential risks as plan well as community health and safety
5 Consultation various To obtain Meeting, PTRI/EDPD Throughout community opinion/ideas and Focused and construction development measures proposal from PAP Group DPWT/PIU phase and livelihood on livelihood Discussion restoration initiatives. restoration and In-depth initiatives. Interview
6 Dissemination of To educate PAP on Open Contractor, Throughout community health and community health meeting CSC, DPWTs construction safety with affected and safety and phase communities accident prevention measures
7 Ad hoc meetings on a To address or solve Open Contractor, Throughout basis where substantial conflicts Meeting, CSC, construction changes have been Focused DPWT,PIU, phase made or conflict has Group PTRI arisen due to accident, Discussion misunderstanding or and In-depth other causes. Interview
Operation Phase
Ethnic Groups Engagement Plan, November 2020 46 Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
No. Consultation Objectives Methods Implementing Timeline Body
8 Consultation on the To obtain opinion of Open PTRI/EDPD O&M Phase preparation and water user groups Meeting, and development of an (WUG) and to Focused DPWT/PIU emergency action plan develop EAP Group (EAP) for Muang La Discussion and establishing a and In-depth water user groups Interview (WUG) for Nam Kor
9 Consultation on Green, To obtain opinion of Open PTRI/EDPD O&M Phase Clean and Beautiful local community on Meeting, and (GCB) community participatory GCB Focused DPWT/PIU network on waste community network Group management in ODX on waste Discussion (Moving towards GCB management and In-depth for ODX) Interview
104. The following proposals are taken from the discussion recorded during the consultation meetings.
Ethnic Groups Engagement Plan, November 2020 47 Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
Table 27 Proposed Action Plan
Main Themes Issues/Concerns2 Proposed Actions Responsible Persons When The construction technical - Proposed to share the preliminarily MPWT/DOW, DIA Prior to the actual Information Sharing design all information related design with the local authority for construction to negative affected, and approval and the final approved mitigation measures technical design with at least the village authorities of all affected villages. Cemetery If the village cemetery is going - Put a clear demarcation on the areas - MPWT/DOW, DIA As soon as possible to be impacted by the project needed for the project; and provide - RAP team. or before the traffic vehicles or construction this information to villager. - Village authorities. construction takes activities, the village will not - If the project has impacts on place agree cemetery, appropriate compensation should be provided for ritual ceremonies. Demolition of affected Creation of environmental and - Ensure that the ESIA and ESMP - MPWT/DOW, DIA Initial measurements structures social issues define appropriate mitigation - have been taken measure to guide he ISAN implementation. Compensation3 Unclear compensation package - Conduct the inventory of loss of - MPWT/DOW, DIA The physical may arrive each affected asset: lands, houses, - Impact calculation team. inspection, and the shops, etc. - RAP team. compensation - Prepare the detailed summary of the - Head of village clusters. calculation needs to impact details. - Village authorities. be completed prior to - Calculate the compensation and - GRM Committees. the actual based on the details of impact. construction. Develop the compensation package/plan.
2 The issues/concerns and proposed actions/measurements, described in the action plan, are mainly summarized from the consultation meeting so far. 3 It is strongly recommended that the compensation process has to be arranged between the project owner and affected households with the support from the village authorities. This arrangement will reduce the lengthy process for affected people to collect their compensation. The important consideration is to cut out the middle person in the compensation process.
Ethnic Groups Engagement Plan, November 2020 48 Lao PDR South East Asia Disaster Risk Management Project Component 1: Integrated Urban Flood Risk Management in Muang Xay, Oudomxay (ODX) Province
Main Themes Issues/Concerns2 Proposed Actions Responsible Persons When - The compensation has to also cover the cost for issuing a new land title for the affected land title. Livelihood restoration Insufficient support from the - Define the ARAP to proper address - MPWT/DOW, DIA ESIA/ESMMP project the livelihood restoration. - RAP team. development - Village authorities.
Exaction beyond Exploitation of natural - Oversight carefully during - MPWT/DOW, DIA Construction phase project designated resources construction to avoid exaction - RAP team. beyond project designated areas - Village authorities. from the riverbanks
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7.3 Monitoring and Reporting 105. Monitoring and reporting are key components of the EGEP implementation to ensure that: a. the approved proposed actions are implemented, and the ethnic groups, especially ethnic women or/and female head households receive sufficient support from the project in culturally appropriate manner, b. Ethnic groups are supported to engage in project implementation through GRM and consultation c. the appropriate budget is allocated to the implementation of EGEP sufficiently, d. the GRM committee is established and able to deal with complaints effectively, e. The EGDP is fully implemented. 106. In regard to implementation of the proposed project, the DOW PMU and PTRI will conduct monitoring activities since the feasibility studies and EGDP preparation throughout the project construction and operation to determine the extent to which mitigation measures are successfully implemented. Monitoring will focus on three key areas, including: 1) Compliance Monitoring: To verify that the required mitigation measures are considered and implemented. During the sub-project preparation phase, compliance monitoring activities will focus on ensuring effective ESMF implementation and respect of procedures. The DOW PMU Environmental and Social Specialist staff will ensure that sub-project studies are properly and expeditiously conducted in compliance with GoL law and the World Bank regulations. • The feasibility studies will also include an assessment of the conditions for implementation of the ARAP and EGDP related activities; a) Grievances, especially those that have not yet been resolved at the local level and which may require resolution at the higher levels as initially determined in the ESMF; b) Document completion of project resettlement and compensation if these are applicable, including for all permanent and temporary losses; c) Evaluation of the quality of compensation or other relevant mitigation measures that would be applied in accordance with the requirements of the potential future investment project that have been initially identified, including impacts on livelihoods; and d) Mitigation measures when there are significant changes in the indicators that may require strategic interventions, for example, if different populations (ethnic peoples and vulnerable groups – women and female/male youth and children, the elderly and disabled, landless, and poor, etc.) are not receiving sufficient support from the potential sub-project. • During the implementation phase, compliance monitoring would include inspections during construction of the sub-project initiatives to verify the extent to
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which conditions based on which licenses are issued are adhered to. The effective project construction, operational and decommissioning phase will be the full responsibility of MPWT and compliance monitoring ensured by MONRE. 2) Impacts Monitoring: Once the project is under implementation, monitoring of sub-project initiatives’ impact mitigation measures should be the duty of the DIA. It is expected that the environmental and social safeguards documents will be given to the contractors and the DIA will monitor to ensure that works are proceeding in accordance with the agreed (between GoL and the World Bank) mitigation measures. i. Monitoring and evaluation of the social impacts will measure the following: a) Impacts on affected ethnic individuals, households and communities to be maintained at their pre-project standard of living, or better; b) Gender differentiated impacts to be avoided, minimized or addressed; c) Improvement of communities affected by the project to at least pre-project level; and d) Management of disputes or conflicts. ii. In order to measure these impacts, the pre-feasibility studies will: a) Identify specific indicators to be monitored with gender disaggregated data; b) Define how indicators will be measured on a regular basis; and c) Identify key monitoring milestones (e.g., at mid-point of the ARAP implementation process, if applicable). 3) Participatory Monitoring: In addition to impact monitoring, a special process of participatory monitoring will be conducted, and specifically targeted towards members of the Hmong and Khmu communities. This will take the form of quarterly focus groups convened while civil works are underway, and locations convenient to the members of ethnic groups impacted by the project. These focus groups will be facilitated by the part time social specialist who will be assigned to work with members of ethnic groups. Each quarter, a report will be prepared summarizing the results of the focus groups, which will include recommendations for additional corrective actions to be taken, and to be shared with project management, as well as the contractor. 4) Cumulative Impacts Monitoring: Impacts of the project on the environmental and social resources in Oudomxay Province will also be monitored in consideration of other developments which might be established. 107. In order to ensure IP are engaged in the monitoring and evaluation process. The composition of this committee will be subject to a process of free, prior and informed consent and will build on the unique decision-making structures of individual ethnic group communities, as well as requirements for gender and intergenerational balance. These monitoring groups will review the environmental and social monitoring reports described above.
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7.4 Budget and Financing 108. Most of proposed activities under the EGEP are linked to the RAP and the preparation of the bidding and contract document. Therefore, the estimated budget is made to only some activities, mainly under the communication, information sharing and community awareness raising. The estimated total cost is USD15,000. See below table for more detail. The sources of financing will be from Component 4: Project Management. Table 28: Budget estimation for the EGDP Main Themes Description Indicative Cost (USD) Consultation 1. Recruit a Khmu interpreter for consultation and 3,000 and communication with the ethnic group, especially women, ($500 x 6 months4) Communication particularly on ethnic cultural or social sensitive issues and grievances that may be raised 2. Costs for LFND, LWU staffs and subject-matter specialists 6,000 (on GBV) or local interpreters to help facilitate the ($500 x 12 months) communication between ethnic village authorities or/and affected people and construction workers. 3. Develop 20 posters containing a list of key project contacts 200 (with name and phone numbers) ($10 x 20) Information 4. Make 20 copied sets of the final approved technical design to 200 Sharing be shared with each affected villages. ($10 x 20) Demolition of 5. For those temporary residents, especially poor female head To be addressed and affected household, the compensation should cover the cost of moving covered in the RAP structures following the World Bank resettlement policy. 6. The GoL should provide a higher rate of compensation and support for those women headed households who need to demolish and re-construct their houses/shops. Business 7. Compensation for income loss during the construction To be addressed and covered in the RAP Compensation 8. Compensation for asset loss (land, house and shop structures, To be covered in the drainage and tree) RAP 9. The compensation for issuing a new land title for the affected land title. 10. The compensation for the demolition Issues During 11. Water the road during the construction at least 2 or 3 or time a To be covered in the the day. construction contract Construction 12. Put warning signs and lights, and barriers at the incomplete construction areas. 13. Pay for any lost/accident cause by the company’s neglects during the construction 14. Conducts the site inspection to avoid damaging the water pipe and electrical cable. 15. Include the driveways in the construction design. 16. Arrange the temporary crossing driveway for AP’s houses if the drainage canal needs to be done or if the construction has to be blocked their houses/shops. Safety issues 17. Construct sky-bridges or zebra crossings at markets, schools, To be covered in the after temple and hospitals. construction contract
4 This person could be hired as a part-time or on a short-term mission basis
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Main Themes Description Indicative Cost (USD) completing the 18. Put up speed limit control warning signs and lights at the construction cross sections, schools, markets, temples and hospitals. 19. Put up warning sign for “Drink, Don’t Drive” 20. Install sufficient streetlights and traffic lights at the cross section or T-junction 21. Organize the community awareness raising about the health 6,600 and safety risks associated with potential labor influx and civil ($150 x 44) works, traffic rules and regulations for the villagers and teenagers 22. Assign the patrolling police officers at a particular section to To be covered in the ensure that drivers obey the traffic rules. district police department working plan Total 15,000 8 ATTACHMENTS - Attachment 1: Focus Group Discussion (Male and Female) Guideline - Attachment 2: In-depth Focus Group Guideline (Village Authorities with the village authority) - Attachment 3 Results of Consultation Meetings and Focus Group Discussions in May 2020 - Attachment 4: List of Participants in March 2020 - Attachment 5: Minutes of Consultation Meetings and List of Participants in May 2020 - Attachment 6: Consultation Picture in May 2020
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