Indigenous Peoples Plan
Project Number: 42203-022 Grant Number: 0235-LAO January 2015
Lao People’s Democratic Republic: Northern Rural Infrastructure Development Sector Project
Prepared by the Ministry of Agriculture and Forestry for the Asian Development Bank.
This indigenous peoples plan is a document of the borrower. The views expressed herein do not necessarily represent those of ADB’s Board of Directors, Management, or staff, and may be preliminary in nature. Your attention is directed to the ‘term of use’ section of this website.
In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.
Annex-10 Ethnic Groups Development Plan Nam Chae Irrigation Subproject
Khmou House
Northern Rural Infrastructure Development Sector Project Annex 10 Feasibility Study on Nam Chae Irrigation Subproject, Houaysai District, Bokeo Province
TABLE OF CONTENTS
Topics Page
TABLE OF CONTENTS i LIST OF ABBREVIATIONS AND TERMS v EXECUTIVE SUMMARY A10-1 1. PROJECT DESCRIPTION A10-5 1.1 The Northern Rural Infrastructure Development Sector Project A10-5 (NRIDSP) 1.2 The Nam Chae Irrigation Subproject A10-5 1.3 Objectives of the EGDP A10-6 2. LEGAL FRAMEWORK A10-7 2.1 Ethnic Groups and Development A10-7 2.2 ADB Safeguards for Indigenous Peoples A10-8 2.3 Indigenous Peoples Planning Framework (IPPF) for NRIDSP A10-8 2000 3. SOCIAL IMPACT ASSESSMENT A10-9 3.1 Ethnic Groups in Lao PDR A10-9 3.2 Ethnic Groups in the Subproject Areas A10-10 3.2.1 Bokeo Province Ethnic Groups A10-10 3.2.2 Houaysai District Ethnic Groups A10-11 3.3.2 Nam Chae Irrigation Subproject Ethnic Groups A10-14 3.3 Socio-Economic Information of Ethnic groups in Nam Chae A10-15 Subproject 3.3.1 Poverty, Landholding and Literacy A10-15 3.3.2 Potential Vulnerable Households A10-15 3.3.3 Gender Issues A10-16 3.3.4 Village Facilities and Health Issues A10-17 3.3.5 Social Impact and Inequality A10-17 3.3.6 Social Benefits A10-20 3.3.7 Sustainability A10-21 4. BENEFICIAL AND MITIGATING MEASURES A10-22 5. INFORMATION DISCLOSURE, CONSULTATION AND A10-25 PARTICIPATION 6. COMPLAINTS AND GRIEVANCE REDRESS MECHANISM A10-28 7. INSTITUTIONAL ARRANGEMENT A10-28 8. BUDGET AND FINANCING PLAN A10-29 9. MONITORING A10-29 9.1 Internal Monitoring A10-29 9.2 External Monitoring A10-30
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Northern Rural Infrastructure Development Sector Project Annex 9 Feasibility Study on Nam Chae Irrigation Subproject
TABLES Table A10-1. List of Ethnic Groups by Ethno-Linguistic Group in Lao PDR A10-10 Table A10-2. Bokeo Province Ethnic Group Distribution A10-10 Table A10-3. Houaysai District Ethnic Group Distribution A10-12 Table A10-4. Nam Chae Irrigation Subproject Ethnic Group Distribution A10-14 Table A10-5 Profile of Ethnic Groups in Nam Chae Irrigation Subproject A10-31 Table A10-6 Poverty Profile of Ethnic Groups in Nam Chae Irrigation A10-32 Subproject Table A10-7 Profile of Landless Households in Nam Chae Irrigation A10-33 Subproject Table A10-8 Profile of Female-Headed Households in Nam Chae Irrigation A10-34 Subproject Table A10-9 Poverty Profile of Female-Headed Households in Nam Chae A10-35 Irrigation Subproject Table A10-10. Existing Irrigation Beneficiaries in Nam Chae Irrigation A10-18 Subproject Table A10-11. Subproject Intervention Strategies A10-22 Table A10-12 Consultation Forums Within the Different Subproject Stages A10-26 Table A10-13. Profile of Irrigated Households in Nam Chae Irrigation Subproject A10-36 Table A10-14 Poverty Profile of Irrigated Households in Nam Chae Irrigation A10-37 Subproject, % of Total Households
FIGURES Figure 1. Location Map of NRIDSP Subprojects A10-iii Figure 2. The Nam Chae Irrigation Subproject A10-iv
A9 - ii Northern Rural Infrastructure Development Sector Project Annex 10 Feasibility Study on Nam Chae Irrigation Subproject, Houaysai District, Bokeo Province
Figure 1. Location Map of NRIDSP Subprojects The
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Northern Rural Infrastructure Development Sector Project Annex 9 Feasibility Study on Nam Chae Irrigation Subproject
Figure2. The Nam Chae Irrigation Subproject
A10 - iv Northern Rural Infrastructure Development Sector Project Annex 10 Feasibility Study on Nam Chae Irrigation Subproject, Houaysai District, Bokeo Province
List of Abbreviation and Terms
ADB : Asian Development Bank Chaokok - Chaolau : A village elder who plays lead role in addressing grievances, a traditional grievance mechanism. DAFO : District Agriculture and Forestry Office DCO : District Coordination Office DLWU : District Lao Women’s Union DMU : District Management Unit DOI : Department of Irrigation DOP : Department of Planning EA : Executing Agency EGDP : Ethnic Group Development Plan EIA : Environmental Impact Assessment EIRR : Economic Internal Rate of Return EMP : Environmental Management Plan Farmers : In this report, means people or households owning and/or cultivating agricultural lands (irrigated and non-irrigated) FS : Feasibility Study FPG : Farmers’ production Groups GAP : Gender Action Plan GIC : Grant Implementation Consultant GOL : Government of Lao PDR HH : Household HYV : High Yielding Variety IA : Implementing Agency IEE : Initial Environmental Examination IPP : Indigenous Peoples Plan ISA : Initial Social Assessment ISF : Irrigation Service Fee Lao PDR : Lao People’s Democratic Republic LFNC : Lao Front for National Construction LWU : Lao Women’s Union MAF : Ministry of Agriculture and Forestry MOM : Management, Operation and Maintenance NAFRI : National Agriculture and Forestry Research Institute NAFES : National Agriculture and Forestry Extension Service NCMI : Northern Community-Managed Irrigation Sector Project NRI or NRIDSP : Northern Rural Infrastructure Development Sector Project NSC : National Steering Committee NPM : National Project Manager NPMO : National Project Management Office O&M : Operation and Maintenance PAM : Project Administration Manual PAFO : Provincial Agriculture Forestry Office PBME : Project Benefit Monitoring and Evaluation PLUP : Participatory Land Use Planning PPO : Provincial Project Office PPTA : Project Preparatory Technical Assistance
A10 - v Northern Rural Infrastructure Development Sector Project Annex 10 Feasibility Study on Nam Chae Irrigation Subproject, Houaysai District, Bokeo Province
RMC : Road Maintenance Committee SIA : Social Impact Assessment SIR : Subproject Investment Report SRI : System of Rice Intensification TA : Technical Assistance TOR : Terms of Reference Villagers : Refers to people residing in a village in general. “Consulted villagers” in this report means representatives of village authorities, LWU, LFNC, youth, men, women and ethnic groups WUA : Water User Association WUG : Water User Group
A10 - vi Northern Rural Infrastructure Development Sector Project Annex 10 Feasibility Study on Nam Chae Irrigation Subproject, Houaysai District, Bokeo Province EXECUTIVE SUMMARY
1. The proposed Nam Chae Irrigation Subproject is located in Houaysai District, Bokeo Province. It is proposed for rehabilitation and improvement under the Northern Infrastructure Development Sector Project (NRIDSP) funded by a Grant from the Asian Development Bank (ADB).
2. The existing irrigation system has two (2) irrigation headworks, the Nam Smork Weir and Nam Chae Weir. Nam Smork is a bigger stream than Nam Chae. The 2 schemes are presently benefiting 175 households (HHs): 1) 147 HHs in Nam Pouk Village; and 2) 28 HHs in Nam Smork village. Based on the Village Household Masterlists, there are more than 148 has. of lowland irrigated area and more than 198 has of rainfed lowlands within the two village beneficiaries. However, estimates based on GIS data collected during the project identification show that the total paddy fields is about 240 hectares, about 50 hectares served by Nam Chae Weir and 190 hectares served by Nam Smork Weir. This will be checked during the detailed design phase of the subproject.
3. Besides the irrigation improvement, productivity and impact enhancement initiatives will be delivered for the Subproject. These initiatives include compulsory and optional initiatives. The compulsory initiatives include: (i) support for WUGs established to operate and maintain the rehabilitated facilities; and (ii) water catchments identification and zoning. Optional initiatives will be discussed and identified with the beneficiaries/ethnic groups during the detailed design stage and could be selected from topics such as, agriculture production technology, post-harvest handling, processing and development of market linkage initiatives.
4. This Ethnic Groups Development Plan (EGDP) is prepared for the Nam Chae Irrigation Subproject located. The EGDP is prepared in accordance with the Lao PDR Constitution, relevant laws and policies, the ADB’s Safeguards Policy Statement (SPS) 2009 and the NRIDSP Indigenous People Planning Framework CY2000.
5. The objectives of the EGDP are to:
(i) address appropriate requirements for, including consultations with affected ethnic groups in the subproject areas; (ii) ensure that the benefits are culturally appropriate and equally distributed for the ethnic groups within the subproject coverage; (iii) avoid potentially adverse impacts on ethnic groups; (iv) minimize, mitigate or compensate for such effects when they cannot be avoided; (v) provide implementation measures to strengthen social, legal and technical capabilities of government institutions in addressing ethnic group issues; and (vi) specify monitoring and evaluation of the EGDP implementation.
6. The EGDP will be implemented in synergy with the project’s Gender Action Plan (GAP), which addresses women’s participation in the project to ensure that gender equality measures reach women in ethnic groups in the subproject areas.
7. The Subproject will benefit two (2) villages, Ban Nam Pouk and Ban Nam Smork in Houaysai District, Bokeo Province. A total of 504 HHs live in the two villages, with a total population of 2,490. The 91 HHs (18%) in Nam Smork are Khmou ethnic group under the Mone-Khmer Ethno-Linguistic Group, while the 413 HHs (82%) in Nam Pouk are Nhuane ethnic group under the Lao-Tai Ethno-Linguistic Group. Since the potential beneficiaries of the subproject is composed of mix ethnic groups, Nhuane and Khmou, it is necessary that subproject planning, implementation and O&M activities/strategies consider involvement,
A10 - 1 Northern Rural Infrastructure Development Sector Project Annex 10 Feasibility Study on Nam Chae Irrigation Subproject, Houaysai District, Bokeo Province participation and representation of each ethnic group with special attention on the minority Khmou in Ban Nam Smork village.
8. The poorest HHs are from the Khmou HHs in Ban Nam Smork, with 34 Khmou HHs (37%) categorized as poor, 51 HHs (56%) are middle income level and 6 HHs (7%) are high income level. In Ban Nam Pouk, 25 HHs (6%) are categorized as poor, 321 HHs (78%) are middle income level and 67 HHs (16%) are categorized as high income level. Twenty-nine (29) Khmou HHs (32%) are reported to be rice sufficient while 62 Khmou HHs (68%) are deficit with rice. For the Nhuane ethnic group in Ban Pouk, 398 HHs (96%) are sufficient with rice and 15 HHS (4%) are experiencing rice deficits.
9. The present beneficiaries of the irrigation system is composed of 175 HHs, composed of 28 Khmou HHs in Ban Smork with a total of 42.94 hectares, and 147 HHs in Ban Nam Pouk owning a total of 171.07 has. Irrigated land. There are more than 198 hectares rainfed lowland as source of potential expansion area for irrigation.
10. There are 40 landless HHs, composed of 33 Nhuane HHs and 7 Khmou HHs.
11. Overall literacy in the area is 66%, 71% for the Nhuane ethnic group in Ban Nam Pouk compared to 47% for the Khmou in Ban Nam Smork.
12. Poverty and rice deficiency is a concern in the two villages coupled with low literacy particularly for the Khmou ethnic group in Ban Nam Smork. Only 35% of the total HHs are presently benefiting from irrigation. This may increase with the improvement of the irrigation system but definitely many of the HHs will not directly benefit from irrigation.
13. Findings from the SIA shows the following potential vulnerable/disadvantaged households:
(i) There are 40 landless HHS (LLHHs), composed of 17 Khmou HHs and 55 Nhuane HHs. Ten (10) of the LLHHs are classified as poor, 6 Nhuane HHs and 4 Khmou HHs).
(ii) There are 23 Female-headed HHs (FHHs), composed of 21 Nhuane HHs and 2 Khmou HHs. Five (5) Nhuane FHHs are landless. Three (3) Nhuane FHHs and 1 Khmou FHH are categorized as poor.
(iii) The literacy rate for the Khmou HHs in Ban Smork is low at 47% compared to71% for the Nhuane HHs.
14. The above potentially disadvantaged/vulnerable HHs are recommended as priority target groups in applicable subproject intervention strategies. Low literacy particularly for the Khmou ethnic group requires that consultations to be conducted at any stage with each of the ethnic groups will be in the local ethnic group’s language using interpreters to translate from Lao to the ethnic group’s language. Where information is needed for specific purposes rather than providing general information, separate discussions for every ethnic group, women and men will be conducted to encourage greater participation. Furthermore, the subproject will ensure that training and other capacity building activities are conducted in the ethnic groups’ languages to avoid exclusion / inability to participate in the subproject activities.
15. Women perform important and significant roles alongside men at home, in agriculture production and in decision-making responsibilities. Hence, the involvement, participation and representation of women in subproject activities must be promoted. As a NRIDSP requirement, the WUG/WUA Executive Management Committee is prescribed to be composed of at least 30% women. This should be considered for other village’ organizations that will established through the subproject such as Farmers’ Production Groups and
A10 - 2 Northern Rural Infrastructure Development Sector Project Annex 10 Feasibility Study on Nam Chae Irrigation Subproject, Houaysai District, Bokeo Province Marketing Committees. Representation of different ethnic groups in those organizations is also a requirement.
16. All of the consulted villagers, which included village authorities, men and women focus groups, youth representatives, LWU, LFNC, and clan leaders/representatives were unanimous in their support of the rehabilitation and improvement of the irrigation system.
17. Prominent among the potential positive impacts of the subproject is the increase in income due to increase in yield and production brought about by the irrigation subproject as well as additional source of income (labor) for landless households.
18. Annex 9 of the Feasibility Report, Land Assessment and Compensation Report (LARC) for Nam Chae mentions that the rehabilitation works of the subproject is determined to result in:
(i) Loss of agricultural land of about 1,920 m2 owned by 4 AHs for whom this would represent a loss of 2.5% of their total productive land. There is one severely AH losing more than 10% of his productive land. (ii) Loss of 50 trees owned by one of the 4 AHs losing 3.3% of their total trees they own. (iii) No loss of residential land. (iv) No loss of primary structures. (v) No loss of primary and secondary structures. (vi) No relocation of households. (vii) No loss of common property. (viii) No vulnerable households would be affected by the subproject through loss of minor parts of their productive land and trees.
19. The mitigation for the above impact of the subproject is described in detail in the Land Acquisition and Compensation Report (LARC), Annex 9 of the Subproject Feasibility Report. The values of the affected assets had been determined. Negotiations and final agreements on compensation will be done during the detailed design stage of the subproject. These will be confirmed during the detailed design stage as well as during the subproject implementation stage. Any impact on assets and crops that will be identified shall be subject for consultation, negotiation and compensation according to agreements with the affected people/households.
20. Within the Nam Chae Subproject coverage, HHs generally do not have land titles (ownership) of the land they are cultivating. The proof of land “ownership” is in the form of “Land Tax Certificates”. There are instances when the Land Tax Certificates are in the name of both spouses but there are also cases wherein only the name of the husband appears in the certificate. The Village, District and Provincial local governments honor Land Tax Certificates as documents for the HHs’ right to the land. There had been no reported cases of forcible acquisition of lands or resettlement of farmers/tillers/cultivators or ethnic groups in the area. The NRIDSP will support to ensure that households/ethnic groups tilling lands as listed in the Village Household Masterlists inventoried during the SIA in October 2014 will not be affected by forcible or involuntary resettlement. Presently issuance of land titles is already being pushed in Lao PDR under the name of both spouses.
21. The Constitution of Lao PDR provides that ethnic groups are allowed to maintain their own dialect/language, customs and traditions. Subproject components and activities will not affect the traditions and culture of the ethnic groups within Nam Chae. The right and interest of people/ethnic groups within the subproject coverage is further protected by the ADB Social Policy Statement and the Indigenous People’s Policy Framework of NRIDSP developed in CY2000. In accordance with these, the subproject will promote enhancement of agricultural production in a culturally appropriate context and aims to as much as possible,
A10 - 3 Northern Rural Infrastructure Development Sector Project Annex 10 Feasibility Study on Nam Chae Irrigation Subproject, Houaysai District, Bokeo Province within the budget limitations of NRIDSP, equally distribute benefits within the subproject’s coverage while ensuring the active participation of ethnic groups, including women.
22. The implementation strategy of NRIDSP subprojects is to promote participation of people within the subproject coverage, from project identification, planning and design, implementation and at the operation and maintenance (O&M) stage. The involvement of the end-users is to be complemented with the participation and technical assistance of the DAFO, PAFO, LWU (as focal person for women in development), Village Authorities and the LFNC (as the focal person for ethnic affairs). The LFNC assumes a critical role in assuring proper representation of ethnic groups in subproject activities and in the grievance redress mechanism.
23. During the Focus Group Discussions done for the RSA in July 2014, the participants which included representatives of women and ethnic groups from the 4 villages, expressed expectations that the potential negative impact of the subproject is on assets (land and crops). However, they had informed that they are willing to contribute affected lands, even, after being presented of three options as: i) land for land; ii) cash compensation; and iii) donation.
24. To ensure inter-agency cooperation at the national level, a National Steering Committee (NSC) was established for NRIDSP. The NSC will meet annually or as required to review overall implementation progress, approve annual work-plans and budgets, and provide overall policy guidance. Provincial Steering Committees (PSCs) were established to ensure inter-agency coordination at the provincial level. The PSCs are chaired by provincial vice governors with equivalent representation to that for the NSC, including governors from the participating districts. The PSC will meet bi-annually or as required to review implementation progress and to ensure adequate levels of coordination between key agencies for project coordination. The Ministry of Agriculture and Forestry (MAF) is the executing agency (EA) for the project, with the responsibility for overall project coordination and management transferred to its Department of Planning (DOP) who has established the National Project Management Office (NPMO) for the day-to-day coordination and management of the project. The implementing agencies at the provincial level are the Provincial Agriculture and Forestry Offices (PAFOs). Provincial Project Offices (PPOs) have been established in each PAFO to be responsible for financial management at the provincial level, as well as coordination and management of the implementation of subprojects. To assist implementation of the project at the district level, District Coordination Offices (DCOs) have been established within District Agriculture and Forestry Offices (DAFOs) to mainly coordinate and supervise subproject activities. To address social safeguards concerns, international and national safeguards specialist are engaged for the Project. Focal persons on social safeguards are designated at the NPMO, PPO and DCO levels.
25. Estimated EGDP implementation costs are set out and financed from the Grant. Detailed budgets will be included in subproject costings during implementation stage.
26. Internal monitoring and collection of information on the subproject’s progress, effectiveness and results will largely be the responsibility of PPO in cooperation with DCO. There will also be an emphasis on the identification of activities to enhance agricultural production whilst recognising constraints so as to provide appropriate remedial actions. Internally the provincial and district officers from the different departments will jointly prepare monitoring reports, which in turn the PPO will use to prepare monthly reports for the NPMO. The NPMO will validate these reports and include in the project’s progress reports.
27. The project has engaged an external monitoring in charge of social and environmental safeguards, participation, and gender. The external monitoring entity submits quarterly monitoring reports on these aspects.
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1. PROJECT DESCRIPTION
1.1 The Northern Rural Infrastructure Development Sector Project (NRIDSP)
1. The NRIDSP is operating in four Lao PDR Northern Provinces: i) Bokeo; ii) Oudomxay; iii) Luang Namtha; and iv) Bokeo. In each of these provinces, 2-3 districts have been selected to be covered by NRIDSP, and in each of these districts, a number of subprojects are identified.
2. The Project will provide rural infrastructure and associated initiatives to support increased commercialization of agriculture. The NRIDSP’s main aim is to provide the rural community with access to, and participation in, the market economy. This is to be realized through increase in incremental production of saleable commodities and the promotion of agricultural productivity.
3. The NRIDSP has the following main outputs:
a. Production and productivity enhancing rural infrastructure constructed and/or rehabilitated. b. Productivity and impact enhancing initiatives adopted. c. Capacities of national, provincial and district agencies strengthened to enable a sector development approach. d. Efficient and effective delivery of subprojects and project management.
1.2 The Nam Chae Irrigation Subproject
1. The proposed Nam Chae Irrigation Subproject is located in the District of Houaysai, Bokeo Province (Figure 1). The proposed subproject is approximately 15 km east of Bokeo Provincial Center, and can be reached by traveling a distance of approximately 34 km by road. The subproject will benefit two (2) villages: i) Nam Smork; and ii) Nam Pouk. The two villages are inhabited by 504 households with a population of 2,490.
2. The Subproject has two (2) existing headworks, the Nam Smork Weir and Nam Chae Weir. Nam Smork is a bigger stream than Nam Chae. During the dry season both Nam Chae and Houay Smork are with low discharges.
3. Based on the Village Household Masterlists, there are more than 148 has of lowland irrigated area and more than 198 has of rainfed lowlands within the two village beneficiaries. However, estimates based on GIS data collected during the project identification show that the total paddy fields (both irrigated and rainfed) is about 240 hectares, 50 hectares service area for the Nam Chae Weir and 190 hectares for Nam Smork Weir. The irrigation service area of the scheme will be firmed-up jointly by the NPMO, PPO, DCO and the villages during the detailed engineering phase of the subproject and will be updated to determine the irrigable area at project completion through the preparation of an Irrigation Block Map indicating boundaries of each irrigation block and farm parcels.
4. The 2 schemes are benefiting about 175 households, in two villages: 1) Nam Pouk Village 147 HHs; and 2) Nam Smork village 28 HHs.
5. The Nam Chae Weir is a buttress type concrete weir constructed with funds from EU in 1992. Currently, the weir basin is heavily silted and the irrigation structures and canals are seriously damaged, hence, the system is now generally not in operation. The irrigation canals are also silted and seriously eroded at some portions. Water control and regulation structures at the main and secondary canals need repair and provision of gates. Selective concrete lining of the main and secondary canals is proposed. Improvement of the access road along the main canal is also recommended. At present, the farms served by the Nam
A10 - 5 Northern Rural Infrastructure Development Sector Project Annex 10 Feasibility Study on Nam Chae Irrigation Subproject, Houysai District, Bokeo Province
Chae Weir are using excess/drainage water from the Nam Pouk Irrigation Scheme (NRI Year 2 Subproject).
6. Nam Smork is a traditional weir constructed by the villagers out of local materials (stones and woods). The main canal was manually dug/constructed by farmers getting irrigation water from the Nam Smork Weir. There are no intake gate and water control gates. The Village Chief reported that the weir is often destroyed during the rainy season when the water level rises up. Maintenance works is carried out through labor contribution of households benefited by the weir, at one labour per household. Materials (particularly woods and river stones), used to reconstruct/repair the weir are collected within the locality.
7. Crops planted in the irrigation service area are rice during the wet season and other crops during the dry season. Soybeans is a major dry season crop, with small quantities of corn and green beans. Farmers, generally, do not use irrigation for crops other than rice.
8. Chinese businessmen are renting lands at 4,500 to 5,000 Baht/rai to produce pumpkin and watermelon. The Chinese businessmen hire labor from local households at a rate of about 50,000 kips/day.
9. The village authorities and irrigated farmers reported no system of water allocation and distribution being followed. There is no discussion and agreement on cropping and water schedule. Canal maintenance (repair and clearing) is done only once a year, before the start of the wet season. Irrigated farmers provide free labor for this activity.
10. The proposed rehabilitation works for the Nam Chae Irrigation Subproject include: a) for the Nam Chae Weir - rehabilitation/improvement of intake gates, desilting of the silted weir basin, repair of sluice gate, selective concrete lining of the main canal, and provision of water control and regulation structures; and b) for the Nam Smork Weir - construction of a concrete weir, lining of main canal, and provision of water control and regulation structures.
11. Besides the irrigation rehabilitation and improvement, productivity and impact enhancement initiatives will be delivered by the Project. These initiatives will comprise of compulsory and optional initiatives. The compulsory initiatives will include: (i) support for WUG/WUA establishment to operate and maintain the rehabilitated facilities; and (ii) water catchments identification and zoning. Optional initiatives will need to be further discussed with the beneficiaries during detailed design stage and could be selected from production, post-harvest handling, processing and the development of market linkage initiatives.
12. During the Rapid Social Assessment (RSA) done for the Subproject EGDP in July 2014, it was found out during Focus Group Discussions that the people in the 2 villages are aware of the Subproject. Project information had been disseminated during the consultation meetings during the feasibility stage of the subproject.
1.3 Objectives of the EGDP
4. This Ethnic Groups Development Plan (EGDP) is prepared for the Nam Chae Irrigation Subproject located in Houaysai District, Bokeo Province under the Northern Rural Infrastructure Development Sector Project (NRIDSP). The EGDP is prepared in accordance with the Lao PDR Constitution, relevant laws and policies, the ADB’s Safeguards Policy Statement (SPS) 2009 and the Indigenous People Planning Framework (2000) developed for NRIDSP.
A10 - 6 Northern Rural Infrastructure Development Sector Project Annex 10 Feasibility Study on Nam Chae Irrigation Subproject, Houysai District, Bokeo Province
The objectives of the NRIDSP Subproject EGDP are to:
a. address appropriate requirements for, including consultations with, the affected ethnic groups in the subproject areas; b. ensure that the benefits are culturally appropriate and equally distributed for the ethnic groups within the subproject coverage; c. avoid potentially adverse impacts on ethnic groups; d. minimize, mitigate or compensate for such effects when they cannot be avoided; e. provide implementation measures to strengthen social, legal and technical capabilities of government institutions in addressing ethnic group issues; and f. specify monitoring and evaluation of the EGDP implementation
5. The EGDP will be implemented in synergy with the subproject’s Gender Action Plan (GAP), which addresses women’s participation in the project to ensure that gender equality measures reach women in ethnic groups in the subproject areas.
2. LEGAL FRAMEWORK
2.1 Ethnic Groups and Development
14. The Constitution of Lao PDR ratified in 1991, uses the term “citizens of all ethnicity” throughout the document. It specifically recognizes the need to incorporate the concerns of ethnic groups in developing policy in all sectors, and has reaffirmed its commitment to strengthen the rights of all ethnic groups in various congresses, conferences, decrees, and laws since the 1980s (Articles 8 and 22). Article 75 of the constitution specifically indicates that “the Lao language and script are the official language and script”.
15. Constitutionally, Lao PDR is recognized as a multi-ethnic society, and Article 8 of the 1991 constitution states, “All ethnic groups have the right to preserve their own traditions and culture, and those of the nation. Discrimination between ethnic groups is forbidden.” Furthermore Article 8 declares that:
“The State pursues the policy of promoting unity and equality among all ethnic groups. All ethnic groups have the rights to protect, preserve and promote the fine customs and cultures of their own tribes and of the nation. All acts of creating division and discrimination among ethnic groups are forbidden. The State implements every measure to gradually develop and upgrade the economic and social level of all ethnic groups.”
16. The 1992 Ethnic Group Policy, Resolution of the Party Central Organization Concerning Ethnic Group Affairs in the New Era, focuses on gradually improving the lives of ethnic groups, while promoting their ethnic identity and cultural heritage. It is the cornerstone of current national ethnic group policy. The general policy of the Party concerning ethnic groups can be summarized as follows:
a. Build national sentiment (national identity). b. Realize equality between ethnic groups. c. Increase the level of solidarity among ethnic groups as members of the greater Lao family. d. Resolve problems of inflexible and vengeful thinking, as well as economic and cultural inequality. e. Improve the living conditions of the ethnic groups step by step. f. Expand, to the greatest extent possible, the good and beautiful heritage and ethnic identity of each group as well as their capacity to participate in the affairs of the nation.
A10 - 7 Northern Rural Infrastructure Development Sector Project Annex 10 Feasibility Study on Nam Chae Irrigation Subproject, Houysai District, Bokeo Province
17. The Ethnic Groups Committee under the National Assembly is charged with the responsibility to draft and evaluate proposed legislation concerning ethnic groups, lobby for its implementation as well as the implementation of socio-economic development plans. Ethnic group research is the responsibility of the Institute for Cultural Research under the Ministry of Information and Culture. The lead institution for ethnic affairs is the mass (political) organization, the Lao National Front for Construction (LFNC), which has an Ethnic Affairs Department.
18. In terms of the development of the agricultural sector, the government has for a long- time acknowledged that ethnic groups in rural villages are highly dependent on agriculture. According to the National Agricultural Census and the National Population Census 2012, the sector generated and contributed over 30 percent of the GDP and provided employment for more than 80 percent of the people in rural areas. Most of those employed in agriculture are self-employed or unpaid family workers and almost 66 percent of all the people’s work hours are on their own farms. The sector is dominated by smallholder farming families engaged mainly in subsistence production.
2.2 ADB Safeguards for Indigenous Peoples
19. The ADB Safeguards Policy Statement (SPS) affirms that environmental and social sustainability is the cornerstone of economic growth and poverty reduction in Asia and the Pacific. ADB’s goal as outlined in its SPS is to promote the sustainability of project outcomes by protecting the environment and people from the projects’ potential adverse impacts. ADB’s safeguard objectives are to:
a. avoid adverse impacts of projects on the environment and affected people, where possible; b. minimize, mitigate, and/or compensate for adverse project impacts on the environment and affected people when avoidance is not possible; and c. help borrowers/clients to strengthen their safeguard systems and develop the capacity to manage environmental and social risks.
20. ADB safeguard objective for indigenous people is to design and implement projects in a way that fosters full respect for Indigenous Peoples’ identity, dignity, human rights, livelihood systems, and cultural uniqueness as defined by the Indigenous Peoples themselves so that they: (i) receive culturally appropriate social and economic benefits; (ii) do not suffer adverse impacts as a result of the projects; and (iii) can participate actively in projects that affect them.
21. ADB’s SPS uses the term indigenous peoples (ethnic groups in the Lao context) to refer to a distinct, social and cultural group who self-identify as members of a distinct indigenous cultural group and recognition of this identity by others; have collective attachment to geographically distinct habitats or ancestral territories in the project area and to the natural resources in these habitats and territories; have customary cultural, economic, social or political institutions that are separate from those of the dominant society and culture; and a distinct language, often different from the official language of the country or region. These definitions apply directly to some of the populations classified in Lao PDR as ethnic groups.
2.3 Indigenous Peoples Planning Framework (IPPF) for NRIDSP 2000
22. The EGDP for Nam Chae also refers to the Indigenous People Planning Framework (IPPF) for NRIDSP. The IPPF was developed in CY2000 as a guideline for developing EGDP for all subprojects planned to be implemented under the NRIDSP. The IPPF sets out the requirements for pre-screening of subprojects and for processes to be followed in the
A10 - 8 Northern Rural Infrastructure Development Sector Project Annex 10 Feasibility Study on Nam Chae Irrigation Subproject, Houysai District, Bokeo Province preparation of each subproject. Analysis of present situations within the NRIDSP covered areas found that ethnic minorities are the majority population in the participating provinces and that certain groups have significantly higher levels of poverty and associated disadvantages. The main concerns are communication difficulties, particularly for women, together with opportunity to access project benefits. Recommended mitigation measures include effective consultation requirements and positive discrimination for; employment during the construction phase, membership of committees and capacity building for disadvantaged and vulnerable ethnic minorities. All monitoring and evaluation data are required to be disaggregated for the four major ethno-linguistic groups. The IPPF specified potential concerns and recommendations for loss of land, communication and social cohesion. It also provides guidance on conduct of socio-economic surveys for beneficial as well as mitigating measures, capacity building, grievance and redress mechanism, institutional arrangements, consultation and disclosure, monitoring and evaluation, and the budget and financing.
3. SOCIAL IMPACT ASSESSMENT
3.1 Ethnic Groups in Lao PDR
23. Lao PDR has the most ethnically diverse population on the Southeast Asian mainland, which was officially identified in the 2005 census as consisting of 49 ethnic groups. The Ministry of Information and Culture of Laos currently promotes the use of an ethno-linguistic classification system to distinguish the various ethnic groups in the country. The major ethno-linguistic groups in Lao PDR are: i) Lao Tai; ii) Mon-Khmer; iii) Chinese- Tibetan; and iv) Hmong Iumien.
24. The Lao-Tai dominate politically, culturally and economically and generally inhabit the river plains, particularly along the Mekong River. According to the United Nations Permanent Forum on Indigenous Issues, the majority of the other ethnic groups inhabit the rugged mountain territory that covers about 79 percent of the country and experience high- levels of marginalization. Their lifestyle reflects the working definition of Indigenous Peoples used by the ADB’s Safeguards Policy Statement (SPS).
25. Although there are 49 ethnic groups, the National Assembly‘s official Agreement N˚213 of 24 November 2008 only recognized Lao nationality, and therefore regardless of which ethnic background people come from, they are all Lao citizens. The government promotes equal rights and opportunities among all Lao citizens and has declared that all ethnic groups are equal by law in terms of dignity and rights. For this reason the term ‘ethnic minority’ is not used and instead the term ethnic group has been officially accepted.
26. The government has made efforts to promote equality among Lao citizens, but apart from the lowland Lao-Tai, most of the other ethnic groups, experience perpetual poverty and lack infrastructure and government services. This is partly because they are mostly living in the most remote and least accessible areas of the country. These factors create elements of structural marginalization associated with lack of education, healthcare, opportunities, political participation and representation. In order to tackle these challenges, the Government is officially committed to embracing a multi-ethnic dimension in development issues and improving people’s living conditions as well as to continue promoting equality of all Lao people in the country.
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Table A10-1. List of Ethnic Groups by Ethno-Linguistic Group in Lao PDR
Hmong- Chinese- Lao-Tai Mon-Khmer Iumien Tibetan
1. Lao 9. Khmou/Khmou 18. Kmer 26. Oey 34. Taoey 41. Hmong 43. Akha or Ko 2. Leu 10. Pray 19. Moy 27. Kadang 35. Katu 42. Iumien 44. Singsily/Sila 3. Xaek 11. Xingmoon 20. Phong 28. Lavy 36. Kriang 45. Hor 4. Tai 12. Katang 21. Thene 29. Toum 37. Suay 46. Phounoy 5. Nhuane 13. Yru 22. Eudou 30. Kree 38. Pako 47. Lahou 6. Tai 14. Yae 23. Makon 31. Bid 39. Nguane 48. Hayi Neua 15. Hahak g 32. Lamed 40. Tri 49. Lolo 7. Phutai 16. Jeng 24. Triang 33. Samtao 8. Yang 17. Nhaheun 25. Brao Source: The Ethnic Committee, National Assembly‘s Official Agreement N˚213 of 24 November 2008
3.2 Ethnic Groups in the Subproject Areas
3.2.1 Bokeo Province Ethnic Groups
27. Bokeo province has a great diversity of ethnic groups and languages. According to the official classification by the Provincial Cabinet Office, Province Lao Front for National Construction (LFNC), there are 13 distinct ethnic groups in the province. There are 266 villages in 5 districts, with 29,482 HHs and population total 167,762 (female 84,437). The average population density is about 27 persons per km2. In reality, there might be more ethnic groups and sub-ethnic groups in the province. Data available in Table 2 shows that the major ethnic group in Bokeo Province is Lao-Tai Ethno-Linguistic Group which composes 41% of the total HHs, including ethnic groups of Lao (18%), Tai (2%), Leu (17%), Nhuane (4%) and Tai Neua (less than 1%). Mone-Khmer Ethno-Linguistic Group is the second largest population at about 34%, which includes ethnic groups of Khmou (23%), Lamed/Lameet (10%) and Samtao (2%)). Hmong-Iumien Ethno-Linguistic Group is 16% composed of Hmong (14%) and Iumien (3%). Tibeto-Chinese Ethno-Linguistic Group is about 9%, composed of Akha or Ko (1%), Phounoi (less than 1%) and Lahou (7%).
Table A10-2. Bokeo Province Ethnic Group Distribution
HHs Population Female Population Ethnic Group No. % No. % No. % Lao-Tai Ethno- I. 12,094 41.02 68,817 41.02 34,636 41.02 Linguistic Group 1 Lao 5,339 18.11 30,382 18.00 15,292 18.00 2 Tai 481 1.63 2,735 2.00 1,376 2.00 3 Leu 4,968 16.85 28,268 17.00 14,228 17.00 4 Nhuane 1,244 4.22 7,080 4.00 3,563 4.00 5 Tai Neua 62 0.21 352 0.20 177 0.20 Mone-Khmer Ethno- II. 10,104 34.27 57,493 34.27 28,937 34.27 Linguistic Group 6 Khmou 6,725 22.81 38,267 23.00 19,260 23.00 7 Lamed 2,848 9.66 16,206 10.00 8,157 10.00 8 Samtao 531 1.80 3,020 2.00 1,520 2.00 Hmong-Iumien Ethno- III. 4,758 16.14 27,077 16.14 13,628 16.14 Linguistic Group 9 Hmong 4,015 13.62 22,849 14.00 11,500 14.00 10 Iumien 743 2.52 4,228 2.00 2,128 2.00
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HHs Population Female Population Ethnic Group No. % No. % No. % Tibeto-Chinese IV. Ethno-Linguistic 2,527 8.57 14,377 8.57 7,236 8.57 Group 11 Akha or Ko 354 1.20 2,013 1.00 1,013 1.00 12 Phounoi 133 0.45 755 0.45 380 0.45 13 Lahou 2,040 6.92 11,609 7.00 5,843 7.00 Total 29,483 100.00 167,764 100.00 84,437 100.00 Source: Bokeo Provincial Lao National Front for Construction (LFNC) report, Oct 2012
28. In Bokeo, the ethnic groups predominantly plant dry-upland rice using shifting cultivation practices because almost the entire province is mountainous and covered with forests. It was once quite a difficult place to reach and therefore remained under-populated for a long time. Given the geography it should be noted that there are only a few valleys suitable for paddy rice cultivation. Shifting cultivation is extremely labor-intensive and provides very low yields in comparison to paddy rice cultivation that applies stable techniques. Majority of paddy rice cultivation is rainfed and therefore limits the farmers’ ability to practice intercropping or produce yields over two seasons. Unlike rainfed cultivation, irrigated paddy rice provides better yields as the farmers can control the water and therefore the level the rice needs. This control also means that they are able to enjoy yields more often. According to the National Agriculture Census, most of the irrigated land is under government regulated irrigation schemes and only a handful of irrigation schemes are owned by farmers. As Bokeo province recognizes the importance of an improved irrigation system, it is working in partnership with different donors including bilateral-partnerships with other governments and international development agencies. These include the Northern Upland Development Programmes (NUDP), the UN, EU and World Bank’ Poverty Reduction Fund as well as the ADB Northern Rural Infrastructure Development Project (NRIDSP).
3.2.2 Houaysai District Ethnic Groups
29. Houaysai District is the capital of Bokeo province. It has most of the province's economic activity with China and Thailand. The province is one of the main maize producing areas of Lao PDR. Commercial mining for precious stones and gold is a major economic activity. Ban Nam Khok and Ban Houi Sala, located about 6 kilometres (3.7 mi) and 18 kilometres (11 mi) from Bokeo town respectively, are notable mining areas. Many of the ethnic Lantaen villages are noted for their production of traditional “ saa” paper and other crafts.
30. Houaysai District lies near the Mekong River opposite Chiang Khong in Thailand. The Fourth Thai–Lao Friendship Bridge at Ban Houaysai, which opened in December 2013 and replaced ferry service across the river, is now the northernmost border crossing between the two countries. Asian Highway 3, which runs through the district, extends north to Yunnan Province of China and south to Chiang Rai Province of Thailand. This brought about improved marketing potentials in the Houaysai District and the villages in the subproject area.
31. Houaysai has a domestic airport with regular flights to Vientiane (capital of Laohttp://en.wikipedia.org/wiki/Laos PDR) and Luang Prabang (depending on the season). Probably the most popular means of transport are boats (speed and slow boats, freighters, luxury cruisers for tourists and others) running down the Mekong to Pakbeng, Luang Prabang and other destinations.
32. Based on data and information gathered during the Rapid Social Assessment done in June 2014, there are 13 ethnic and sub-ethnic groups in the District: i) four (4) belong to the
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Lao-Tai Ethno-Linguistic Group (Lao, Tai, Lue, Yang and Nhuane); ii) three (3) ethnic groups under Mone-Khmer Ethno-Linguistic Group (Khmou, Lamed/Lameet and Samtao); iii) two (2) under Hmong-Iumien Ethno-Linguistic Group (Hmong and Iumien); and iv) two (2) under Tibeto-Chinese Ethno-Linguistic Group (Phunoi and Lahou).
33. The majority belongs to the Lao-Tai at 42% composed of Lao (22%), Tai (4%), Lue (14%) and Nhuane (2%). Mone-Khmer Ethno-Linguistic group is 36%, composed of Khmou (23%), Lamed/Lameet (8%) and Samtao (4%). Hmong-Iumien Ethno-Linguistic Group is 20%, composed of Hmong (18%) and Iumien (2%). Tibeto-Chinese Ethno-Linguistic group is 2% composed of Lahou (2%) and Phounoi (less than 1%). As shown in Table A10-3, the minority ethnic groups in Houaysai are the Phounoi (less than 1%), Lahou (2%), Iumien (2%), Nhuane(2%), Tai (4%), Samtao (4%) and Lamed/Lameet (8%).
Table A10-3. Houaysai District Ethnic Group Distribution
Male Female Total Population Population Ethnic Group Remarks No. % No. % No. %
Lao-Tai Ethno- I. 14,708 49.98 14,717 50.02 29,425 42.23 Linguistic Group The Lao (Lao: ລາວ, Thai or Isan: ลาว, IPA: lá ethnic group native to Southeast Asia, belonging 1 Lao 7,498 49.77 7,566 50.23 15,064 21.62 to the family of Tai peoples. Generally, the people of Lao PDR, speak the Lao national language and practices Buddhism. Tai worship phi (spirits) and their ancestors. The 2 Tai 1,522 50.46 1,494 49.54 3,016 4.33 Tai Dam language became infused with Lao Lue Language, speak the Lao National Language, 3 Lue 4,933 49.76 4,980 50.24 9,913 14.23 practices Theravada Buddhism The Nhuane Ethnic Group is part of the Tai-Kadai linguistic family. Nhuane religion believes in 4 Nhuane 755 52.72 677 47.28 1,432 2.05 Buddhism and spirits. Social ethnic society of the ethnic group is similar to theLue ethnic group. Mone-Khmer II. Ethno-Linguistic 12,143 17.43 12,715 18.25 24,858 35.67 Group Practice their own form of 6 Khmou 7,985 49.63 8,105 50.37 16,090 23.09 animism. Speak Khmu Language.
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Male Female Total Population Population Ethnic Group Remarks No. % No. % No. %
The Lamet claim to be an indigenous population to northwestern Laos.[1] They are a Palaungic ethnic group. The Lamet speak an Austroasiatic language related to Palaung and Wa. Most adult males also speak Tai 7 Lamed/Lameet 2,662 46.38 3,078 53.62 5,740 8.24 Yuan. The Lamet speak an Austroasiatic language related to Palaung and Wa. Most adult males also speak Tai Yuan. The Lamet trade with the Lao and Thai to obtain their necessaries. Some Lamet also work for wages. Practices animism. The Samtao language is related to Mone-Khmer 8 Samtao 1,496 49.41 1,532 50.59 3,028 4.35 languages. The Samtao converted to Theravada Buddhism from animism. Hmong-Iumien III. Ethno-Linguistic 6,953 9.98 6,856 9.84 13,809 19.82 Group Hmong believe in a variety of natural, ancestral and supernatural spirits and 9 Hmong 6,413 50.27 6,344 49.73 12,757 18.31 their religious practices incorporate elements of ancestor worship. Has distinct language related to Chinese; 10 Iumien 540 51.33 512 48.67 1,052 1.51 practice Taoism with minority of Buddhist. Tibeto-Chinese IV. Ethno-Linguistic 809 1.16 783 1.12 1,592 2.28 Group Called Khong in Vietnam, speak Phunoi language 11 Phounoi 137 56.61 105 43.39 242 0.35 (Tibeto-Burman Language); practice ancestor worship The Lahou people are ethnic group of China and Mainland Southeast Asia. The Lahou language is part of the Loloish branch of the Lolo–Burmese subgroup of the Tibeto- 13 Lahou 672 49.78 678 50.22 1,350 1.94 Burman family (Sino- Tibetan language family). The traditional Lahou religion is polytheistic. Buddhism was introduced in the late 17th century and became widespread.
Total 34,613 49.67 35,071 50.33 69,684 100.00
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3.2.3 Nam Chae Irrigation Subproject Ethnic Groups
34. Based on the result of the Socio-Economic Survey conducted in September to October 2013 and the RSA done in July 2014, the ethnic group composition of HHs in the subproject coverage is 82% Nhuane and 18% Khmou. Nam Pouk Village is 100% Nhuane, while Nam Smork village is 100% of Khmou.
Table A10-4. Nam Chae Irrigation Subproject Ethnic Group Distribution
Households No. of HH Members Village Ethnic Group No. % Women Men Total
1. Nam Pouk Nhuane (Lao-Tai) 413 100 942 989 1,931
2. Nam Smork Khmou (Mone-Khmer 91 100 274 285 559
Total 504 100 1,216 1,274 2,490
Nhuane (Lao-Tai) 413 82 942 989 1,931
Khmou (Mone-Khmer) 91 18 274 285 559
35. The Nhuane 1 ethnic group is part of the Tai-Kadai linguistic family, which includes the Lao peoples. Nhuane ethnic group includes two sub-ethnic groups, the Kalom and Ngaio. Tai Nhuane settlements are in the Northern provinces of Lao such as Luang Namtha, Bokeo, Oudomxay and Phongsaly. Tai Yuan or Nhuane speak a language in the same family of Tai Lue ethnic. Nhuane believes in both Buddhism and spirits. Social ethnic society of the ethnic group is similar to the Lue ethnic group. Their house style to build a house is like Lue house. The Nhuane ethnic group do upland rice, lowland paddy rice and cattle raising. Most women are like to plant mulberry for sericulture, silk weaving tubes, sewing.
36. The Khmu 2 (Lao: ຂະມຸ ) are an ethnic group of Southeast Asia. The majority (88%) live in northern Laos where they constitute one of the largest minority ethnic groups, comprising eleven percent of the total population. Alternative historical English spellings include Khamu, Khmou, Kemu and Khammu, among others. The Khmu were the indigenous inhabitants of northern Lao. It is generally believed that the Khmu once inhabited a much larger area but after the influx of Thai/Lao peoples into the lowlands of Southeast Asia, the Khmu were forced to higher ground (Lao Theung), above the rice-growing lowland Lao but below the Hmong/Mien groups (Lao Sung) that inhabit the highest regions, where they practiced swidden agriculture. The Khmu of Lao resides mainly in the North, ranging across 10 provinces including Luang Prabang, Phongsaly, Oudomxay, Bokeo and Lung Namtha Provinces. The Khmu language belongs to the Austro-Asiatic language family, in which several closely related languages are grouped together forming the Khmuic branch. The Khmu are an agricultural society, although gathering, hunting, trapping and fishing are parts of the Khmu lifestyle. Khmu crops include rice (especially white and black sticky rice), corn, bananas, sugar cane, cucumbers, beans, sesame and a variety of vegetables. Most of the agricultural work in Khmu villages is done communally, so as to combine strength and finish the work quickly. Harvesting of wild rice is generally performed by the village women. Rice is stored outside the village in elevated structures to protect from mice and rats. Khmu elders are traditionally the most important people of the village, and are responsible for resolving all village disputes. Village leaders included the shaman (knowledgeable in
1 Lao News Agency: http://www.kpl.net 2 Wikepedia, The Free Encyclopedia
A10 - 14 Northern Rural Infrastructure Development Sector Project Annex 10 Feasibility Study on Nam Chae Irrigation Subproject, Houysai District, Bokeo Province spiritual medicine), the medicine man (knowledgeable in herbal medicine), the priest (based on family lineage of priesthood), and the village headman (in modern times chosen by the Laotian government). Laotian Khmu communities generally have localized justice systems administered by the village elders.
37. The ethnic groups in Nam Chae Subproject are following the Lao government political, legal and economic system considering that the villages had been established for quite a long time. Population of legal age of all the ethnic groups in a village participate in the election of the village authority (Village Chief). One representative from each ethnic group is selected by the group to represent their ethnic group in the village executive committee.
38. Each of the ethnic group has their own traditional grievance mechanism. Each ethnic group has an elder called “Chaokok - Chaolau” who plays the lead role in addressing grievances. The Village LFNC supports and works through this traditional mechanism. Normally, these informal leaders represent the ethnic groups in the Village LFNC.
3.3 Socio-Economic Information of Ethnic Groups in Nam Chae Subproject
39. Table 4 above shows the general profile of the different ethnic groups within the coverage of Nam Chae Subproject. The data are taken from the socio-economic survey done for the SIA of the subproject in September to October 2013.
3.3.1 Poverty, Landholding and Literacy
40. Based on the SIA data in Table A10-5 and A10-6 (pages A10-31 & 32), 34 Khmou HHs (37%) in Ban Nam Smork are categorized as poor, 51 HHs (56%) are middle income level and 6 HHs (7%) are high income level. In Ban Nam Pouk, 25 HHs (6%) are categorized as poor, 321 HHs (78%) are middle income level and 67 HHs (16%) are categorized as high income level. Twenty-nine (29) Khmou HHs (32%) are reported to be rice sufficient while 62 Khmou HHs (68%) are deficit with rice. For the Nhuane ethnic group in Ban Pouk, 398 HHs (96%) are sufficient with rice and 15 HHS (4%) are experiencing rice deficits.
41. There are 40 landless HHs, composed of 33 Nhuane HHs and 7 Khmou HHs. There are 28 Khmou HHs in Ban Smork who own a total of 42.94 hectares. In Ban Nam Pouk, 147 HHs have a total of 171.07 has. Irrigated land.
42. Overall literacy in the area is 66%, 71% for the Nhuane ethnic group in Ban Pouk compared to 47% for the Khmou in Ban Smork.
43. Poverty and rice deficiency is a concern in the two villages coupled with low literacy particularly for the Khmou ethnic group in Ban Smork. Only 35% of the total HHs are presently benefiting from irrigation. This may increase with the improvement of the irrigation system but definitely many of the HHs will not directly benefit from irrigation.
3.3.2 Potential Vulnerable Households
44. Findings from the SIA identified the following potential vulnerable/disadvantaged households:
a. As shown in Table A10-7 (page A10-33), there are 40 landless HHS (LLHHs), composed of 17 Khmou HHs and 55 Nhuane HHs. Ten (10) of the LLHHs are classified as poor (6 Nhuane HHs and 4 Khmou HHs).
b. Tables A10-8 and A10-9 (page A10-34 & 35) show that there are 23 Female- headed HHs (FHHs), composed of 21 Nhuane HHs and 2 Khmou HHs. Five (5)
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Nhuane FHHs are landless. Three (3) Nhuane FHHs and 1 Khmou FHH are categorized as poor.
c. The literacy rate for the Khmou HHs in Ban Smork is low at 47% compared to71% for the Nhuane HHs.
45. The above potentially disadvantaged/vulnerable HHs are recommended as priority target groups in applicable subproject intervention strategies. Low literacy particularly for the Khmou ethnic group requires that consultations to be conducted at any stage with each of the ethnic groups will be in the local ethnic group’s language using interpreters to translate from Lao to the ethnic groups’ language. Where information is needed for specific purposes rather than providing general information, separate discussions for every ethnic group, women and men will be conducted to encourage greater participation. Furthermore, the subproject will ensure that training and other capacity building activities are conducted in the ethnic groups’ languages to avoid exclusion/inability to participate in the subproject activities.
46. The subproject will ensure equal participation and representation of men and women and ethnic groups in subproject activities and in the organization and establishment of WUGWUA, Farmers’ Production Groups and other committees that will be established for the subproject.
47. Hiring of labor for construction will focus on members of landless households, promoting equality among men and women and avoiding employment of minors.
3.3.3 Gender Issues
48. The total population of 2,490 is composed of 1,216 females and 1,274 males. Average household size is 5 persons/HH composed of 2 females and 3 males.
49. Leadership (heads/chiefs) and Executive Committees of the village administration units which include, the Lao National Front for Construction (LNFC), the Lao Youth Union (LYU), the Lao Women’s’ Union (LWU), Village Security and Army Units, are dominated by men except that of the Lao Women Union being an organization for women. Similar situation is observed for the village organizations: WUG, Farmers’ Production Groups and Road Maintenance Committee. There are no reported established Domestic Water Supply Groups in the 2 villages.
50. Women are represented in Village Administration meetings through the Lao Women’s Union.
51. The above data/information indicates that women representation in village administration and village organizations needs to be enhanced.
52. Based on the results of the sample household interviews, HH works is dominantly shared by men and women. However, the higher average percentage of responses for women indicates that women are seen to be doing more of the burdens at home compared to men. Women are claimed to be dominantly performing responsibilities on marketing, cooking, washing clothes and dishwashing, and cleaning the house.
53. Most of the agriculture works are perceived to be shared by men and women. However, men seems to be favored to do more of agriculture works compared to women as shown by the higher average percentage responses. Five (5) of the agriculture work responsibilities are seen to be dominantly performed by men and two (2) are claimed to be dominantly performed by women. Men are seen to be responsible for the works that require strength, such as: irrigation, weeding, fertilizing, pesticide/herbicide application,
A10 - 16 Northern Rural Infrastructure Development Sector Project Annex 10 Feasibility Study on Nam Chae Irrigation Subproject, Houysai District, Bokeo Province hauling/transport, milling and livestock management. Women are seen to be responsible of poultry management and selling of production.
54. Decision-making responsibilities based on the results of sample household interview are all considered shared responsibilities between men (husband) and women (wife). The result also shows, however, there are indications that men have more influence compared to women as shown by the higher percentage of responses.
55. Concerns on this aspect includes: 1) gender awareness campaign to promote understanding and acceptance that women are playing significant roles not only at home but also in agriculture and in decision-making; 2) sanitation and hygiene; 3) primary health care; 4) HIV and STD prevention awareness; 4) birth control and children/mother health; 5) organic farming; and 6) safety measures in handling and use of chemicals for agriculture production.
3.3.4 Village Facilities and Health issues
56. Nam Chae Irrigation Subproject is located in the District of Houaysai, Bokeo Province. From the provincial center, it can be reached by traveling a distance of approximately 34 km by road. Nam Pouk, the nearest village to the Houaysai District Center is about 34 km and Nam Smork is about 38 km away. The road to the District Center is an all-weather dirt road passable by all kinds of vehicles.
57. The two villages are provided with electricity and are covered by mobile phone signal. Primary and secondary schools are found in the villages.
58. Both villages have domestic water supply. However, some households get their water from open wells and nearby stream/river.
59. There is a village market nearby located at Houaysai Noi village, two (2) km from Nam Pouk village.
60. Medical/health facilities are available at the District Center and dispensaries/health clinic are also available inside the villages.
61. All HHs have sanitary latrines, including public toilets found in village meeting room, temples, and schools.
3.3.5 Social Impact and Inequality
62. The existing Nam Chae Irrigation Scheme has 2 existing weirs, the Nam Smork Weir and Nam Chae Weir. Nam Smork is a bigger stream than the Nam Chae stream. The Village Household Masterlist of the two villages show that there are 175 HHs presently benefiting from irrigation with a total of 214.01 hectares. The irrigated HHs is only about 35% of the total 504 HHs in the area. The irrigation beneficiary HHs are composed of 147 Nhuane HHs and 28 Khmou HHs.
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Table A10-10. Existing Irrigation Beneficiaries in Nam Chae Irrigation Subproject
Irrigated Irrigated HH Irrigated Total Village Ethnic Group HHs Members Area, HHs No. % Women Men Total Has.
1. Nam Pouk Nhuane (Lao-Tai) 413 147 35.59 338 363 701 171.07
2. Nam Smork Khmou (Mone-Khmer 91 28 30.77 89 104 193 42.94
Total 504 175 34.72 427 467 894 214.01
Nhuane (Lao-Tai) 413 147 35.59 338 363 701 171.07
Khmou (Mone-Khmer) 91 28 30.77 89 104 193 42.94
63. During the RSA conducted in July 2014, the participants represented by village authorities, women, men, youth, LWU, LFNC and different ethnic groups in the 5 villages, informed that they are aware of the project and that they are fully supporting its implementation. There was an irrigation engineering site visit and project orientation with villagers in May 2013, a village consultation done in July 2013 and social impact assessment in October 2013.
64. The ethnic groups in the four villages are also aware that the subproject may affect some lands during construction, however, they expressed willingness to contribute portions of lands affected is such is unavoidable. They also expressed willingness to contribute labor during construction and to maintain the system after completion as what they are doing at present.
65. The Subproject was requested by the farmers (ethnic groups) particularly those with irrigated lands through the Village, District and Provincial Authorities.
66. It is accepted that not all households will directly benefit the irrigation subproject. Others may indirectly benefit from the productivity and impact enhancement initiatives that will be delivered for the Subproject. The compulsory initiatives will include: (i) support for WUGs established to operate and maintain the rehabilitated facilities; and (ii) water catchments identification and zoning. Optional initiatives will be further discussed with the beneficiaries during detailed design stage and could be selected from production, post- harvest handling, processing and the development of market linkage initiatives. The enhanced crop production due to irrigation will also generate agriculture labor demand and a more active economy. Those without irrigated land also support and express need for the subproject as it will increase the demand for farm labor and there will also be employment from construction.
67. Based on the current land use and land areas occupied by each of the two villages, the irrigation system will not directly benefit all of the HHs in the villages. The direct beneficiaries are only the HHs who owned irrigated lands and some portion of the rainfed farms, limited within the capacity of the irrigation system when rehabilitated/improved. This had been discussed during village consultations in July 2013 and the people in attendance are all in agreement that some villagers will gain more from the scheme than others. Additionally, the District Agriculture and Forestry Office (DAFO) informed the villagers during the consultations of the difficulties in ensuring that men and women will have equal opportunity in gaining access to employment during the project’s implementation period. This is because most of the excavation of the irrigation system will be done by machines, which
A10 - 18 Northern Rural Infrastructure Development Sector Project Annex 10 Feasibility Study on Nam Chae Irrigation Subproject, Houysai District, Bokeo Province require specialized skills to operate. The villagers accepted that they do not have the necessary skills and familiarity with such machinery but also expressed their willingness to continue to support the implementation of the project. In their view the benefit of the improved irrigation system much more than the opportunity of access to employment during construction. Instead they expect to gain other and more sustainable benefits from the irrigation scheme when rehabilitated/improved.
68. Non-irrigated farmers are growing cash crops maze and soybean, some amount of which are sold to local trader and Thailand traders individually. Markets and prices are controlled and dominated by traders (local as well as Chinese and Thai). Due to insufficient knowledge of marketing mechanism/strategies, the farmers (including irrigated farmers) are always facing difficulty with low selling prices of their products. In order to improve such marketing situation, the Project is promoting contract farming through enhancing farmer production groups by providing i) technical training on cash crop growing, ii) training on marketing, and iii) study tour. The target farmer production group members are basically composed of irrigated farmers, however, those trainings can include the non-irrigated farmers irrespective of ethnic grouping. These initiatives will have positive impact on improving crop production technology, crop planning and marketing of produce.
69. Additional indirect impact of the subproject is the labor generation due to increase of agriculture production activities, labor for land preparation, planting/transplanting and harvesting of crops. This will favor the landless HHs in the area.
70. Initial assessment on resettlement issues, found no direct negative impacts on land, crops and structures, as the proposed subproject is rehabilitation and improvement of an existing irrigation scheme. The subproject comprises of: i) improvement of the existing Nam Chae weir (removal of upstream sediment, raising of the weir crest, and repair of intake and sluice gates) and main canal; ii) New construction of Nam Smork weir and including of canal related structures and main and secondary canals).
71. Annex 9 of the Feasibility Report (Land Assessment and Compensation Report) for Nam Chae mentions that the rehabilitation works of the subproject is determined to result in:
(i) Loss of agricultural land of about 1,920 sqm owned by 4 AHs for whom this would represent a loss of 2.5% of their total productive land. There is one severely AH losing more than 10% of his productive land. (ii) Loss of 50 trees owned by one of the 4 AHs losing 3.3% of their total trees they own. (iii) No loss of residential land. (iv) No loss of primary structures. (v) No loss of primary and secondary structures. (vi) No relocation of households. (vii) No loss of common property. (viii) No vulnerable households would be affected by the subproject through loss of minor parts of their productive land and trees.
72. The mitigation for the above impact of the subproject is described in detail in the Land Acquisition and Compensation Report (LARC), Annex 9 of the Subproject Feasibility Report. The values of the affected assets had been determined. Negotiations and final agreements on compensation will be done during the detailed design stage of the subproject. These will be confirmed during the detailed design stage as well as during the subproject implementation stage. Any impact on assets and crops that will be identified shall be subject for consultation, negotiation and compensation according to agreements with the affected people/households.
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73. During the Focus Group Discussions (FGD) done for the RSA in July 2014, the participants which included representatives of women and ethnic groups from the 4 villages, expressed expectations that the potential negative impact of the subproject is on assets (land and crops). However, they had informed that they are willing to contribute affected lands, even, after being presented of three options as: i) land for land; ii) cash compensation; and iii) donation.
74. All of the consulted villagers, which included village authorities, men and women focus groups, youth representatives, LWU, LFNC and clan/ethnic group leaders/representatives were unanimous in their support of the rehabilitation and improvement of the irrigation system. The tentative construction implementation of the subproject is from the second half of 2015 to the first half of 2016.
75. Communication will be a challenge in project planning and implementation as the literacy rate is found to be low particularly in Ban Nam Smork at 47% (Khmou ethnic group). Measures must be undertaken to ensure the presence of project staff who can speak the local language to help in translation during consultations, discussions, meetings, training and other forum involving the different ethnic groups.
76. Within the Nam Chae Subproject coverage, HHs generally do not have land titles (ownership) of the land they are cultivating. The proof of land “ownership” is in the form of “Land Tax Certificates”. There are instances when the Land Tax Certificates are in the name of both spouses but there are also cases wherein only the name of the husband appears in the certificate. The Village, District and Provincial local governments honor Land Tax Certificates as documents for the HHs’ right to the land. There had been no reported cases of forcible acquisition of lands or resettlement of farmers/tillers/cultivators in the area. The NRIDSP will support to ensure that households/ethnic groups tilling lands as listed in the Village Household Masterlists inventoried during the SIA in October 2014 will not be affected by forcible or involuntary resettlement. Presently issuance of land titles is already being pushed in Lao PDR under the name of both spouses.
77. Each of the ethnic groups are allowed to maintain their own dialect, customs and traditions. This is protected under the Lao PDR Constitution. The traditions and culture of the ethnic groups within Nam Chae will not be affected by the Project. The subproject will promote enhancement of agricultural production in a culturally appropriate context and aims to as much as possible equally distribute benefits within the subproject’s coverage while ensuring the active participation of ethnic groups, including women.
3.3.6 Social Benefits
78. The proposed subproject has the following potential impacts:
a. Increase household income and hence, reduce poverty; b. improvement of the economic conditions of beneficiary households due to: a) improved irrigation water availability in irrigated areas; b) increase in irrigated area in both season; c) increase rice yield and production; d) promote production of high value for other crops during the dry season; e) improved transportation; f0 improved marketing of agriculture products; and e) increase in income; c. Generate additional demand for hired labour due to increase in crop production activities in the area for two seasons; and d. Promote a more active economy for the villages due to increased production of rice and other crops, increased household income, potential commercialization of rice surplus and high value crops, and demand for production inputs.
79. In addition to the benefits from irrigation, the different ethnic groups will also benefit
A10 - 20 Northern Rural Infrastructure Development Sector Project Annex 10 Feasibility Study on Nam Chae Irrigation Subproject, Houysai District, Bokeo Province from the following productivity and impact enhancement initiatives that will be delivered by the project:
a. The establishment and capability development of a Water Users’ Association (WUA) that will be responsible for the MOM of the rehabilitated/improved irrigation system. b. Ensured representation of ethnic groups and women in the WUA. c. Introduction of the collection of Irrigation Service Fees (ISF) as source of funds for the MOM of the Irrigation System for sustainability. d. Improved planning of cropping within irrigated as well as in rainfed and upland areas. e. Improved capability of farmers 3 on crop production and marketing technology. f. Improved management of the water catchment areas. g. Improved awareness on the importance and recognition of the role of women at home, in agriculture and in decision-making responsibilities. h. Benefits from other optional initiatives that will be identified to be delivered through the subproject. i. An institutionalized and active grievance redress mechanism through the Lao Front for National Construction (LFNC) which is the focal group for ethnic affairs.
3.3.7 Sustainability
80. The rehabilitation/improvement of the irrigation system will bring about improved water control and availability, increased irrigated area and irrigation water for two crop seasons.
81. To ensure sustainable operation of the irrigation system after completion, a Water Users’ Association will be established and given capability development training on the management, operation and maintenance (MOM) of the irrigation system. To ensure proper representation of all beneficiaries and stakeholders, different ethnic groups and women will be required to be represented in the WUA management structure. The DAFO and PAFO will have to provide sustained monitoring and evaluation of the MOM of the irrigation system and provide technical assistance to the WUA. To provide advises and mediation, the LWU, the Village Chief and the LFNC Village Head are recommended to act as advisers to the WUG/WUA and other village organizations.
82. As source of funds for the MOM of the irrigation system, Irrigation Service Fees (ISF) at rates agreed with the beneficiaries through the assistance of the DAFO, PAFO, LWU, Village Chiefs and LFNC shall be collected.
83. For the protection of the water source, water catchment identification and crop zoning is planned as one of the impact enhancement initiatives under the subproject. In addition, technical assistance on crop production and marketing will be provided to Farmers Production Groups.
84. The above had been consulted with the villagers 4 and they expressed their support of the plans.
3 Refers to people or HHs who owns or are cultivating agricultural lands (irrigated and non-irrigated) 4 These included village authorities, men and women focus groups, youth representatives, LWU, LFNC and clan/ethnic group leaders and representatives.
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4. BENEFICIAL AND MITIGATING MEASURES
85. The subproject promotes the enhancement of agricultural production in a culturally appropriate context and aims to equally distribute benefits within the subproject’s coverage while ensuring the active participation of ethnic groups, including women. It is expected to bring about the following positive benefits to ethnic groups:
(i) Potential increase in incomes and food security due to higher agricultural yields (ii) Empowerment through representation in water user groups and farmer production groups (iii) Increase in technical know-how from capacity-building programs (iv) Better health due to reduced use of herbicides (v) Enhanced quality of life as time spent weeding is reduced
86. The Nhuane ethnic group which composes 82% of the HHs in the area and own more lands have the distinct advantage from the benefits of the subproject over the other ethnic groups.
87. The Subproject Intervention Strategies in Table A10-10 will be applied. The subproject will ensure that consultations to be conducted at any stage with each of the ethnic groups will be in the local ethnic group’s language using interpreters to translate from Lao to the ethnic group’s language. The subproject will ensure equal participation of men and women, and where information is needed for specific purposes rather than providing general information. Separate discussions for women and men will be conducted as women are often reluctant to participate in mixed group settings. Furthermore, the subproject will ensure that training and other capacity building activities are conducted in the ethnic groups’ languages to avoid exclusion/inability to participate in the subproject activities.
88. The subproject will pay special attention to avoid discrimination and inequality. Instead the subproject will adopt measures to ensure the involvement and representation of ethnic groups. Additionally, the subproject will closely monitor the construction of the irrigation system to ensure that there are equal employment opportunities for men, women and ethnic groups. Furthermore, special attention will be given to those who are poor and most in need of help to gain access to work. The project will also closely monitor the performance of the contractor and closely collaborate with the related local authorities in order to avoid future conflicts and ensure maximum benefits.
Table A10-11. Subproject Intervention Strategies
Project IPPF Requirements for Irrigation Subproject Intervention Strategies Component Improvement and Development 1. Production • Evidence of consultation with • Village consultations, meetings, focus and ethnic groups (women and men) group discussions, in the different productivity demonstrating their support prior stages of subproject development (a. enhancing to subproject approval. Feasibility; b) Detailed Engineering; rural • Selection criteria for subprojects c) Construction implementation; and infrastructure should ensure the use of local d) O&M stages. constructed labour and avoidance of • Improve communications by and/or construction camps. designating staff who can speak local rehabilitated. • Local contractors will preferentially languages during consultations, employ women and men from discussions and meetings. poor ethnic group households in • Bid Documents and contracts should construction activities. specify: (i) criteria for labor selection • Equal access to work and equal and impose zero tolerance for child pay for women and men for work labor; (ii) equal access to work and of equal type. equal pay for the same type of work for ethnic men and women; and (iii)
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Project IPPF Requirements for Irrigation Subproject Intervention Strategies Component Improvement and Development • Safe working conditions for both special attention to the poor ethnic men and women workers. families in the subproject areas that • Local contractors will not employ need help. child labour. • Establishment of WUG/WUA to • Participatory identification or manage the O&M of the irrigation survey of affected assets (land, system. crops and structures), if any and • Requirement that the WUA Executive proper negotiation for Committee must be composed of compensation options. 30% women and different ethnic groups must be represented. • Capability development for the WUA on: a) leadership and organizational management of WUA; b) Irrigation system management, operation and maintenance; c) financial management; and d) crop production technology. • Collection of irrigation service fees (ISF) as source of fund for the management, operation and maintenance of the irrigation system. • Continuous monitoring, supervision and technical assistance/advises from the PAFO, DAFO, Village Authorities, LWU and LFNC. • Grievance redress mechanism through the LFNC with the traditional “Chaokok - Chaolau 2. Productivity • Representation of women and • Procedure and guidelines on the and impact ethnic groups on all subproject organization and establishment of enhancing management committees Marketing Committees and FPGs initiatives (Marketing Committees, Farmers’ should prescribed mandatory equal adopted. Production Groups (FPGs), etc.). representation of women and ethnic • Capacity building for ethnic groups. The subproject will ensure groups to enable participation in that each ethnic group will field subproject and community representative using their own decision-making delivered in the processes for selection. local language and using • Trainings, consultations, meetings, appropriate methodology (i.e. discussions should be done by Staff participation and negotiation who can speak the local languages. training, marketing skills and People who can translate/interpret numeracy training). for the different ethnic groups should • Representation of women and be asked to assist. ethnic groups in meetings, • The training in the enhancement of trainings, project study tours and agricultural production, including other capability development agricultural market extension activities. services, soil improvement • Productivity enhancement techniques, introduction of suitable initiatives designed for and crops and sustainable use of the delivered not only for irrigated irrigated water system will be farmers but also for women, provided for each village including ethnic groups, non-irrigated women and ethnic groups. This farmers and landless households training will include information and observation techniques for better negotiation and numeracy skills. • Inter-village/district/province workshops and study tours will be conducted to (i) strengthen the interrelationship between
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Project IPPF Requirements for Irrigation Subproject Intervention Strategies Component Improvement and Development villages/districts and different ethnic groups, men and women, (ii) promote the exchange of agricultural production knowledge by the different ethnic groups, men and women (iii) encourage ethnic groups from different ethnic backgrounds to engage in social functions and public meetings with other groups, and (iv) encourage the women and ethnic groups’ confidence in communicating and negotiating with other people. 3. Capacities of • Safeguards training for • Designate focal persons on social national, implementing agencies at safeguard at the province and district provincial and national, provincial and district project implementation units. The district agencies levels (i.e. NPMO, PPOs, DCOs project will provide key staff to closely strengthened to and other stakeholders). work and collaborate with the ethnic enable a sector • Ongoing training and mentoring groups in the four villages and other development by international and national stakeholders during the construction approach. specialists will be provided to of the irrigation system. national and provincial staff to • Safeguards training are provided to enable effective preparation and focal/key responsible persons of the monitoring of individual EGDP for implementing agencies of the project each subproject. at the central, provincial and district • Assistance (budgets) provided for levels. capacity building of the Village • The project has recruited national Mediation Committees where and international safeguards and these have not had the recent gender specialists to safeguard round of training. women and ethnic groups’ rights to • Assistance (budgets) provided for development and equal access to capacity building of village and opportunities in the subproject areas. district level committees of the Lao • The project will closely collaborate Front for National Construction with local authorities, including the (LFNC) where this relates to LFNC and Village Mediation promoting and meeting the needs Committees if and when ethnic of ethnic minority groups in groups’ villagers express concerns, subproject areas. provide feedback and suggestions to the project. It should be done in a timely manner and appropriately take into account the ethnic group’s traditional culture when dealing with any issue that arises. • Safeguards specialists in different fields are engaged during the project’s implementation period. 4. Efficient and • Safeguard (indigenous peoples) • International and national IP and effective delivery specialists included in national gender safeguards specialists are of subprojects and provincial subproject engaged by the project during the and project implementation teams. subproject’s implementation period. management. • Social Impact Analysis and an IPP • Focal persons for social safeguards will be prepared for each are designated at the NPMO, PPO subproject. and DCO. The representative of the • All monitoring and evaluation data LFNC at these levels should be disaggregated by ethnic involved, being the designated focal groupings. person for ethnic affairs under the • NPMO and PPOs responsible for Lao Front for National Reconstruction monitoring and reporting of EGDP Issuance No. 004 dated 20 January performance indicators, including 2009.
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Project IPPF Requirements for Irrigation Subproject Intervention Strategies Component Improvement and Development ethnic group participation, training • Social impact assessment, ethnic and employment targets. group consultations, focus groups • EGDP implementation discussions are conducted and the performance indicators included in subproject commits itself to continued mid-term reviews. consultations with different ethnic groups during the implementation period. • Subproject monitoring and reporting of EGDP implementation performance indicators including participation, training, and employment targets will include data disaggregated by ethnic groups and gender. • Grievance redress mechanism through the LFNC with the traditional grievance mechanism of the villages (“Chaokok” or “Chaolau”).
5. INFORMATION DISCLOSURE, CONSULTATION AND PARTICIPATION
89. Several consultations and information disclosures have been conducted with the town villages since 2013 on: (i) the potential irrigation project; and (ii) the potential impacts, including land loss, as well as crop and timber production. Each consultation, minutes of meetings, participants’ lists, photos and official correspondence were recorded by the project. The villagers 5 from the four villages confirmed during the assessment that they have received relevant information about the subproject’s initial design and purpose. In each of the consultations, participants were asked to indicate/provide their views on the potential beneficial impacts and risks of the subproject.
90. Formally, the Lao government sets out a number of specific requirements in respect of consultation with, and participation of, communities and stakeholders, in the EIA/SIA process. Decree 112/PM on Environmental Impact Assessment sets out the rights and duties of project affected people and stakeholders, which include receiving information about a project along with the potential adverse impacts or benefits they may experience if the project goes ahead. Involvement in the EIA/SIA process is required through provision of appropriate and sufficient information to people and communities affected. The instructions state that consultation will take the form of: (i) interviews with village leaders, focus group discussions (FGDs) and household interviews/surveys; (ii) discussions about impacts and mitigation measures, and where impacts are identified, discussions about how a negative impact can be minimized during the project’s implementation; and, (iii) provision of the opportunity to review, respond to, or comment on the safeguards documents.
91. Villagers 6 present during the consultation meetings are aware that they may not be engaged as labourers because the district authorities have informed them that the excavation of the irrigation channels will be done by machinery instead of by manual labour. They proposed cooperative management and maintenance of the system and not of having each village manage their own section of the irrigation channel. The project strongly supports this view and will address mutual decision making during its implementation.
5 These included village authorities, men and women focus groups, youth representatives, LWU, LFNC, and clan/ethnic group leaders and representatives 6 These included village authorities, men and women focus groups, youth representatives, LWU, LFNC, and clan/ethnic group leaders and representatives
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92. During the implementation period the project is committed in providing sufficient interpreters for non-Lao speaking ethnic groups so that they understand any changes related to the progress or timeframe from the project’s side. The interpreters will consist of both men and women to accurately deliver information and gather feedback, concerns and suggestions from the villagers.
93. Table A10-11 suggests consultation forums within each subproject stage/phase. To ensure involvement, participation and representation of the ethnic groups and women in these forums, the involvement/participation and/or representation of these groups will be required. The involvement of the end-users will be complemented with the participation and technical assistance of the DAFO, PAFO, LWU, Village Authorities and the LFNC (as the focal person for ethnic affairs). The LFNC will assume critical role in assuring proper representation of ethnic groups and in the grievance redress mechanism.
Table A10-12. Consultation Forums Within the Different Subproject Stages
Focus and Description of Consultation Subproject Stage Disclosure and Participation (C&P) Feasibility Study Introductory visit to apprise the villagers6 of Excerpts of the Feasibility the project and proposed activities in the Study, LARC and SIA will be subproject. Consultation with villagers6 on translated to Lao for current issues and concerns (14 July 2013) dissemination through posting in village billboards at Introduction/briefing/discussion on LARC village public buildings, aspects to village residents by provincial, schools and temples. For district and consultant staff complementary non-Lao reading ethnic to joint transect walks undertaken in the groups, meetings must be subproject’s implementation area arranged to disseminate the (November 2013) information. Initially for NRIDSP, results of these Socio-Economic Survey in October 2013 forums are discussed during involving interview of village authorities, subproject consultations and sample HHs and Focus Group Discussions meetings with the help of with men, women and ethnic groups, staff who can speak the local intended for the SIA of the subproject. dialects.
Meetings with ethnic groups, men and women held in their own language to gather additional information for the SIA (July 2014) Detailed Engineering Consultation meetings where the subproject The Subproject design and Design design and plan is discussed to villagers plan will be finalized and with representation of men, women and again presented to ethnic groups. During these meetings, the concerned audiences (ethnic PAFO, DAFO, village authorities, LWU and groups, women, village LFNC are invited to participate. authorities and district/province government Participatory identification and officers, before measurement of affected assets. implementation. Consultations and negotiations in finalizing the values of affected assets and Before the start of compensation agreements. construction, pre- construction meetings with the same audience must be done where the PMU and Contractor will discuss construction works, methodology, schedule and
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Focus and Description of Consultation Subproject Stage Disclosure and Participation (C&P) labor requirements.
Copies of reports on affected assets, compensation agreements and implementation of agreements must be discloses to AHs and Village Authorities. For non-Lao speaking/reading AHs, the documents must be explained with the help of interpreters. Implementation During subproject implementation, regular Agreed actions should be (monthly or more frequent, if necessary) copied to all stakeholders in Project Coordination Meetings will be the Lao National Language conducted with the same audience above to and in local dialects, if be facilitated by the PMU and the possible. For non-Lao Contractor. During these meetings, topics to speaking and reading ethnic be discussed should include among others: groups, the meetings must a) progress of construction; b) issues, be arranged with the problems and constraints; c) actions to assistance of interpreters. resolve identified issues, problems and constraints.
The WUG/WUA should be allowed to conduct daily monitoring visits of on-going works jointly with project engineers of the PMU and Contractor. O&M Stage (Women and Ethnic Groups represented in the WUA Structure)
Pre-Cropping Season Meeting to: a) Copies of developed plans in develop cropping plan for the season the Lao National Language (decide what to plant, where to plant, when or in the local dialect if to plant and when to harvest); b) develop possible are posted in public repair and maintenance plan for the places within all villages irrigation system; c) develop water allocation involved. For non-Lao and distribution schedules for the system; speaking/reading ethnic and d) develop ISF Collection program and groups, meetings must be budget for the season. arranged with the help of interpreters.
In-Season Meetings to identify issues and Copies of agreements to concerns/problems and agree on solutions resolve issues, to such. concerns/problems posted in public places within all villages involved.
Post-Season Meetings to assess the past Copies of the plans for the season and develop plans for the next next season posted in public season. (Same as the Pre-Cropping Season places within all villages Meeting).. involved.
6. COMPLAINTS AND GRIEVANCE REDRESS MECHANISM
94. The Lao National Front for Construction (LFNC) represents ethnic groups and at village level also leads the Village Mediation Committee. In general, people in the villages
A10 - 27 Northern Rural Infrastructure Development Sector Project Annex 10 Feasibility Study on Nam Chae Irrigation Subproject, Houysai District, Bokeo Province respect the LFNC members and often turn first to them for assistance on both domestic and civil matters. Assistance will be provided for training of the Committees where this has not already occurred through the current program being implemented. An information campaign will be conducted to ensure that all community members understand the revised role and responsibilities of the Mediation Committees.
95. Within the villages covered by Nam Chae Subproject, each of the ethnic group has their own traditional grievance mechanism. Each ethnic group has an elder called “Chaokok - Chaolau” who plays the lead role in addressing grievances. The Village LFNC supports and works through this traditional mechanism. Normally, these informal leaders are representing the ethnic groups in the Village LFNC.
7. INSTITUTIONAL ARRANGEMENT
96. To ensure inter-agency cooperation at the national level, a National Steering Committee (NSC) was established. The NSC will meet annually or as required to review overall implementation progress, approve annual work-plans and budgets, and provide overall policy guidance. The National Project Management Office (NPMO) will provide secretariat services to the NSC. Provincial Steering Committees (PSCs) were established to ensure inter-agency coordination at the provincial level. The PSCs are chaired by provincial vice governors with equivalent representation to that for the NSC, including governors from the participating districts. The PSC will meet bi-annually or as required to review implementation progress and to ensure adequate levels of coordination between key agencies for project coordination. Subproject Investment Reports (SIRs) shall be approved by PSCs after obtaining the necessary concurrence of ADB for social and environmental safeguards. The PPO will provide secretariat services to PSCs.
97. The Ministry of Agriculture and Forestry (MAF) is the executing agency (EA) for the project, with the responsibility for overall project coordination and management transferred to its Department of Planning (DOP) who has established the National Project Management Office (NPMO) for the day-to-day coordination and management of the project. The implementing agencies at the provincial level are the Provincial Agriculture and Forestry Offices (PAFOs). Provincial Project Offices (PPOs) have been established in each PAFO to be responsible for financial management at the provincial level, as well as coordination and management of the implementation of subprojects. To assist implementation of the project at the district level, District Coordination Offices (DCOs) have been established within District Agriculture and Forestry Offices (DAFOs) to mainly coordinate and supervise subproject activities.
98. The executing agency for the subproject will be the provincial governor’s office which will delegate responsibility for subproject implementation to its Provincial Agriculture and Forestry Office (PAFO). The PAFO will, in turn, designate responsibility for day to day implementation and monitoring of the subproject to the provincial project office (PPO) established within its premises. If external consultants are required for survey and design of the scheme, recruitment of consultants to prepare the detailed subproject design and construction supervision will be managed by the National Project Management Office (NPMO). Works contracts will be procured by the NPMO based on provincially and NPMO certified and approved designs. PAFO, through its PPO, will be involved both in project management of the subproject but also in confirming the technical specifications of the rehabilitated weir and canals for the schemes. The associated investments will be delivered by established district agriculture and forestry offices under a performance based contract to the PPO under the supervision of the NPMO.
99. The DAFO works closely with the following four departments at the district level: (i) the Lao Women’s Union (LWU) to ensure equal engagement of women and members of
A10 - 28 Northern Rural Infrastructure Development Sector Project Annex 10 Feasibility Study on Nam Chae Irrigation Subproject, Houysai District, Bokeo Province ethnic groups so that their concerns and feedback are taken into consideration; (ii) the Department of Natural Resources and the Environment (DoNRE) which mostly deals with the inspection and control of chemicals as well as contract farming licenses; (iii) the National Lao Front for Construction (NLFC) to specifically focus on ethnic groups and development issues; and (iv) the District Cabinet Office to ensure that all activities are coordinated and reported to the district governors and its administration. The executing agency for the subproject will be the provincial governor’s office which will delegate responsibility for subproject implementation to its provincial agriculture and forestry office (PAFO). The PAFO will, in turn, designate responsibility for day to day implementation and monitoring of the subproject to the provincial project office (PPO) established within its premises. If external consultants are required for survey and design of the scheme, recruitment of consultants to prepare the detailed subproject design and construction supervision will be managed by the National Project Management Office (NPMO). Works contracts will be procured by the NPMO based on provincially and NPMO certified and approved designs. PAFO, through its PPO, will be involved both in project management of the subproject but also in confirming the technical specifications of the rehabilitated weir and canals for the schemes. The associated investments will be delivered by established district agriculture and forestry offices under a performance based contract to the PPO under the supervision of the NPMO.
100. To address social safeguards concerns international and national IP and gender specialists are engaged by the Project. Focal persons for social safeguards are designated at the NPMO, PPO and DCO who will work closely with, and will be trained by the international and national IP and gender specialists.
101. As mentioned earlier, to ensure involvement, participation and representation of the ethnic groups, women and women in these forums, the representation of these groups must be required in the Water Users’ Group or Water Users’ Association (WUG/WUA), Farmers’ Production Groups, Marketing Committees, and other relevant organizations. The involvement of the end-users must be complemented with the participation and technical assistance of the DAFO, PAFO, LWU, Village Authorities and the LFNC (as the focal person for ethnic affairs). The LFNC will assume critical role in assuring proper representation of ethnic groups and in the grievance redress mechanism.
8. BUDGET AND FINANCING PLAN
102. Estimated EGDP implementation costs are set out and financed from the Grant. Detailed budgets will be included in subproject costings during implementation stage.
9. MONITORING
9.1 Internal Monitoring
103. Internal monitoring and collection of information on the subproject’s progress, effectiveness and results will largely be the responsibility of PPO in cooperation with DCO. There will also be an emphasis on the identification of activities to enhance agricultural production whilst recognising constraints so as to provide appropriate remedial actions. Internally the provincial and district officers from the different departments will jointly prepare monitoring reports, which in turn the PPO will use to prepare monthly reports for the NPMO. The NPMO will validate these reports and include in the project’s progress reports progress reports.
9.2 External Monitoring
104. The project has engaged an external monitoring in charge of social and environmental safeguards, participation, and gender. The external monitoring entity submits quarterly monitoring reports on these aspects.
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Table A10-5. Profile of Ethnic Groups in Nam Chae Irrigation Subproject
Literate
Members HHs No. of HH Members Landholding (ha) (18 years up)
Village Ethnic Group
No. % No. % pa" Men Total Total peut" "natee Women nampohn" No. ofLandless HHs "natee hap Rubber tree "suan koua" sonlapathan" Upland "neun "neun Upland Home Garden Fishpond "nong "nong Fishpond Rainfed Lowland Lowland Rainfed tonmai hay mak" soung, na hai, na na hai, na soung, Fruit Trees "suan Irrigated Lowland Lowland Irrigated
1. Nam Pouk Nhuane (Lao-Tai) 413 82 942 989 1,931 1,372 71 124.62 176.98 78.57 7.53 1.14 2.04 9.63 400.51 33
2. Nam Smork Khmou (Mone-Khmer 91 18 274 285 559 263 47 23.74 21.44 38.27 0.00 0.00 9.80 10.46 103.71 7
Total 504 100 1,216 1,274 2,490 1,635 66 148.36 198.42 116.84 7.53 1.14 11.84 20.09 504.22 40
Nhuane (Lao-Tai) 413 82 942 989 1,931 1,372 71 125 177 79 8 1 2 10 400.51 33
Khmou (Mone-Khmer) 91 18 274 285 559 263 47 24 21 38 0 0 10 10 103.71 7
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Table A10-6. Poverty Profile of Ethnic Groups in Nam Chae Irrigation Subproject (% of Total Households)
Rice Sufficiency/Deficiency Situation Status1 (%HHs) Poverty Status2 (% HHs) Type of Houses3 (% HHs)
Village Ethnic Group 1 2 3 4 5 6 7 1 2 3 1 2 3
1. Nam Pouk Nhuane (Lao-Tai) 36 60 2 0 1 0 0 6 78 16 6 47 47 2. Nam Smork Khmou (Mone-Khmer 8 24 45 4 2 3 13 37 56 7 59 18 23 Total 31 54 10 1 1 1 3 12 74 14 16 42 43 Nhuane (Lao-Tai) 36 60 2 0 1 0 0 6 78 16 6 47 47 Khmou (Mone-Khmer) 8 24 45 4 2 3 13 37 56 7 59 18 23
A10 - 31 Northern Rural Infrastructure Development Sector Project Annex 10 Feasibility Study on Nam Chae Irrigation Subproject, Houysai District, Bokeo Province
Table A10-7. Profile of Landless Households in Nam Chae Irrigation Subproject
Rice Sufficiency/Deficiency Situation Poverty Type of No. of HH Members 1 2 3 Status (HHs) Status (HHs) Houses (HHs)
Village Ethnic Group HHs 1 2 3 4 5 6 7 1 2 3 1 2 3 Men Total Women years old & above) years old & above) % of Literate Members (18 No. ofLiterate Members (18
1. Nam Pouk Nhuane (Lao-Tai) 33 55 55 110 69 63 4 25 1 0 2 1 0 6 25 2 5 12 16
2. Nam Smork Khmou (Mone-Khmer 7 17 17 34 19 56 0 1 2 0 0 0 4 4 3 0 5 0 2
Total 40 72 72 144 88 61 4 26 3 0 2 1 4 10 28 2 10 12 18
Nhuane (Lao-Tai) 33 55 55 110 69 63 4 25 1 0 2 1 0 6 25 2 5 12 16
Khmou (Mone-Khmer) 7 17 17 34 19 56 0 1 2 0 0 0 4 4 3 0 5 0 2
1 Rice sufficiency situation can be: "1" - surplus rice; "2" - rice sufficient; "3" - less than 1 month deficit; "4" - 1 to 2 months deficit; "5" - above 2 months to 3 months deficit; "6" - above 3 to 4 months deficit; "7" - more than 4 months deficit 2 Poverty Status: "1" - Poor; "2" - Middle; and "3" – High Income: "1" - Poor or Low Income Level, household income is below 2001 poverty line income of 85,000 kips/month/person; "2" – Middle Income Level, household income is within 2005-2009 poverty line income of 85,000 to 180,000 kips per month per person; "3" - High Income Level, income is above the 2009 poverty line of 180,000 kips per month per person. 3 "1" - Houses purely made of bamboo, wood, roof of grasses and other local materials; "2" - Houses made of combination concrete, wood, bamboo, and grass/iron roofing; "3" - Modern houses made of concrete and iron or tile roofing
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Table A10-8. Ethnic Group Distribution of Female-Headed Households in Nam Chae Irrigation Subproject
No. of HH Members Landholding (ha)
Village Ethnic Group HHs Men Total Total koua" Women Rubber tree years old & above) years old & above) No. ofLandless HHs na hai,na peut" Rainfed Lowland Lowland Rainfed tonmai hay mak" Fruit Trees "suan Irrigated Lowland Lowland Irrigated Fishpond "nong pa" "nong Fishpond Home Garden "suan % of Literate Members (18 "natee sonlapathan" Upland "neun soung, soung, "neun Upland No. ofLiterate Members (18 nampohn" hap "natee
1. Nam Pouk Nhuane (Lao-Tai) 21 58 47 105 65 62 6.96 7.04 3.39 1.30 0.03 0.00 0.00 18.72 5
2. Nam Smork Khmou (Mone-Khmer 2 4 5 9 2 22 0.00 0.00 1.80 0.00 0.00 0.00 0.00 1.80 0
Total 23 62 52 114 67 59 6.96 7.04 5.19 1.30 0.03 0.00 0.00 20.52 5
Nhuane (Lao-Tai) 21 58 47 105 65 62 7 7 3 1 0 0 0 18.72 5
Khmou (Mone-Khmer) 2 4 5 9 2 22 0 0 2 0 0 0 0 1.80 0
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Table A10-9. Poverty Profile of Female Headed Households in Nam Chae Irrigation Subproject
Rice Sufficiency/Deficiency Situation Status1 (HHs) Poverty Status2 (HHs) Type of Houses3 (HHs) Village Ethnic Group 1 2 3 4 5 6 7 1 2 3 1 2 3
1. Nam Pouk Nhuane (Lao-Tai) 9 10 0 0 1 1 0 3 13 5 3 9 9 2. Nam Smork Khmou (Mone-Khmer 0 1 0 0 0 0 1 1 1 0 2 0 0 Total 9 11 0 0 1 1 1 4 14 5 5 9 9 Nhuane (Lao-Tai) 9 10 0 0 1 1 0 3 13 5 3 9 9 Khmou (Mone-Khmer) 0 1 0 0 0 0 1 1 1 0 2 0 0
1 Rice sufficiency situation can be: "1" - surplus rice; "2" - rice sufficient; "3" - less than 1 month deficit; "4" - 1 to 2 months deficit; "5" - above 2 months to 3 months deficit; "6" - above 3 to 4 months deficit; "7" - more than 4 months deficit 2 Poverty Status: "1" - Poor; "2" - Middle; and "3" – High Income: "1" - Poor or Low Income Level, household income is below 2001 poverty line income of 85,000 kips/month/person; "2" – Middle Income Level, household income is within 2005-2009 poverty line income of 85,000 to 180,000 kips per month per person; "3" - High Income Level, income is above the 2009 poverty line of 180,000 kips per month per person. 3 "1" - Houses purely made of bamboo, wood, roof of grasses and other local materials; "2" - Houses made of combination concrete, wood, bamboo, and grass/iron roofing; "3" - Modern houses made of concrete and iron or tile roofing
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Table A10-13. Profile of Irrigated Households in Nam Chae Irrigation Subproject
No. of HH Members Landholding (ha)
Village Ethnic Group HHs Men Total Total "neun soung, soung, "neun koua" Women Rubber tree years old & above) years old & above) na hai,na peut" Rainfed Lowland Lowland Rainfed tonmai hay mak" Fruit Trees "suan Irrigated Lowland Lowland Irrigated Fishpond "nong pa" "nong Fishpond Home Garden "suan % of Literate Members (18 "natee sonlapathan" Upland Upland No. ofLiterate Members (18 nampohn" hap "natee
1. Nam Pouk Nhuane (Lao-Tai) 147 338 363 701 507 72 124.62 18.64 23.58 1.82 0.48 0.00 1.93 171.07
2. Nam Smork Khmou (Mone-Khmer 28 89 104 193 99 51 23.74 1.44 5.46 0.00 0.00 6.00 6.30 42.94
Total 175 427 467 894 606 68 148.36 20.08 29.04 1.82 0.48 6.00 8.23 214.01
Nhuane (Lao-Tai) 147 338 363 701 507 72 125 19 24 2 0 0 2 171.07
Khmou (Mone-Khmer) 28 89 104 193 99 51 24 1 5 0 0 6 6 42.94
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Table A10-11. Poverty Profile of Irrigated Households in Nam Chae Irrigation Subproject, % of Total Households
2 3 1 Poverty Status (% of Type of Houses (% of Rice Sufficiency/Deficiency Situation Status (% of Total HHs) Total HHs) Total HHs) Village Ethnic Group 1 2 3 4 5 6 7 1 2 3 1 2 3
1. Nam Pouk Nhuane (Lao-Tai) 41 58 1 0 1 0 0 1 82 16 4 40 56 2. Nam Smork Khmou (Mone-Khmer 11 32 50 7 0 0 0 25 64 11 43 21 36 Total 36 54 9 1 1 0 0 5 79 15 10 37 53 Nhuane (Lao-Tai) 41 58 1 0 1 0 0 1 82 16 4 40 56 Khmou (Mone-Khmer) 11 32 50 7 0 0 0 25 64 11 43 21 36
1 Rice sufficiency situation can be: "1" - surplus rice; "2" - rice sufficient; "3" - less than 1 month deficit; "4" - 1 to 2 months deficit; "5" - above 2 months to 3 months deficit; "6" - above 3 to 4 months deficit; "7" - more than 4 months deficit 2 Poverty Status: "1" - Poor; "2" - Middle; and "3" – High Income: "1" - Poor or Low Income Level, household income is below 2001 poverty line income of 85,000 kips/month/person; "2" – Middle Income Level, household income is within 2005-2009 poverty line income of 85,000 to 180,000 kips per month per person; "3" - High Income Level, income is above the 2009 poverty line of 180,000 kips per month per person. 3 "1" - Houses purely made of bamboo, wood, roof of grasses and other local materials; "2" - Houses made of combination concrete, wood, bamboo, and grass/iron roofing; "3" - Modern houses made of concrete and iron or tile roofing
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