Vietnam Central Highland Poverty Reduction Project Findings and Arrangements to Enhance Ethnic Minority Participation September 24, 2013

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1 Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized A. Overview Vietnam Central Highland Poverty Reduction Project Findings and Arrangements to Enhance Ethnic Minority Participation September 24, The proposed project development objective of the Central Highlands Poverty Reduction project (CHPov) is to: enhance living standards by improving livelihood opportunities in targeted communes of uplands districts of the central highlands of Vietnam. The project will target the 26 poorest districts in six provinces of the Central and Central Highlands regions, namely: Dak Lak, Dak Nong, Kon Tum, Gia Lai, Quang Nam and Quang Ngai. Current targeting strategies propose to reach approximately 120,000 households in the poorest 130 communes in this area. A majority of these beneficiaries would be members of the various ethnic minority groups from these areas. Attachment 1 lists the target districts and also indicates the population, poverty data and ethnic minority (EM) data for each. 2. The project will consist of four components, namely: village and commune infrastructure development; sustainable livelihoods development; connective infrastructure development, capacity building and communications; and project management, as described below. (a) COMPONENT 1: VILLAGE AND COMMUNE INFRASTRUCTURE DEVELOPMENT (consisting of two sub-components and estimated to cost US$ 54.8 million, of which US$ 52.4 million would be financed by IDA 1 ). Sub-component 1.1 would support the design, construction or repair of small-scale village and commune-level infrastructure (such as simple access roads, terracing, irrigation/water supply, basic social infrastructure, etc.). Building upon recently completed New Rural Areas communal plans, sub-projects would be prioritized through a participatory planning process and managed by commune and village authorities with the help of community facilitators. Depending on the size and complexity of the identified sub-project investments, community groups would take direct responsibility for managing construction of infrastructure (for sub-projects valued at less than VND 300 million, or US$ 15,000). This participatory process is modeled on community-driven development (CDD) approaches used effectively throughout the world and successfully adapted under local projects such as the Northern Mountains Poverty Reduction Project (1 and 2) and the Program 135, both of which have received support from the World Bank. Sub-component 1.2 would finance sub-projects for the repair, operation and maintenance (O&M) of communal infrastructure. Such sub-projects could include routine maintenance and small repair activities for both existing and new investments (which have been financed by the project). The O&M would contribute to the sustainable use of invested infrastructure and ensure lasting impacts on improving access and connectivity in the project areas. (b) COMPONENT 2: SUSTAINABLE LIVELIHOODS DEVELOPMENT (consisting of two subcomponents and estimated to cost US$ 35.2 million, of which US$ 35.2 million would be financed by IDA). Component 2 would support EMs and other households in the targeted areas to enhance their food security and nutrition, their productive capacities for more diversified income sources, and their linkages to selected agricultural markets. Sub-component 2.1 ( Selfreliance and Income Generation ) would target chronically poor and at risk households and 1 Estimates of total costs and financing include a proportional allocation of unallocated funds under the project. 1 P a g e

2 include activities to: (a) strengthen household and community food security and nutrition (via improved practices for staple food crops and small livestock-raising, soil management on sloped land, home garden development, nutrition awareness etc.); and (b) sustain/diversify income sources by enhancing the productive capacities of beneficiaries. Sub-component 2.2 ( Market Linkage Initiatives ) will aim to develop productive partnerships (PP) between farmer groups and agribusinesses (ABs) operating in the targeted areas for proven commercially viable agriculture/agro-forestry endeavors. The Department of Agriculture and Rural Development (DARD), the National Targeted Program for Nutrition (NTP-NU) and the Women s Union (WU) would play key roles in advising on and supporting implementation of sub-component 2.1, and DARD and the private and commercial sector would be engaged as appropriate under subcomponent 2.2. Support and assistance under component 2 would be provided through livelihoods enhancement groups (LEGs) that would be registered legal entities and would consist of member households, depending on the nature of the livelihood activity. LEGs would prepare specific and detailed livelihoods proposals that would be assessed by district level PMU and other staff (relevant technical sections such as agriculture, forestry, trade, finance, etc.), with assistance from the project s technical assistance team (discussed below). Financing and support under component 2 would vary by the type of livelihood activity. The component would finance block grants to LEGs, consultant services (for specialized support under both sub-components), and operating costs associated with provision of support to LEGs. (c) COMPONENT 3: CONNECTIVE INFRASTRUCTURE DEVELOPMENT, CAPACITY BUILDING AND COMMUNICATIONS (consisting of three sub-components and estimated to cost US$ 53.0 million, of which US$ 51.4 million is financed by IDA). Sub-component 3.1 would finance selective intra- and inter-commune level infrastructure that would strengthen physical connectivity within and between local economic zones (such as roads, bridges, irrigation systems, etc.). Due to the likely size and costs of these investments, District-level entities would manage their implementation. However, their identification and prioritization would happen as a result of the commune-level analysis and sub-project planning process. The component would prioritize investments that enhance synergies with Component 1 and/or 2 investments. While initially emphasizing productive connectivity, investments in other infrastructure (or services) deemed to be critical to expanding the networks or linkages EMs may have with areas outside their communes (such as secondary school residential facilities) could be considered. The project will finance civil works, consultant services and operating costs associated with these activities. Sub-component 3.2 would support training and capacity building at all project levels for all aspects of project management (planning, financial management, procurement, monitoring and evaluation, etc.). The sub-component would include the financing of a technical assistance team (TAT) consisting of international and national specialists in project management, livelihoods and agricultural market linkages, capacity building, M&E, etc. A summary description of the TAT is presented in Annex 3. Sub-component 3.3 would support communications activities to ensure beneficiaries, project staff, key stakeholders and the public at large were aware of the project objectives and operational principles. These activities would pay special attention to communication and outreach activities to EM beneficiaries where it will be important to adapt the form and language of messages to local contexts and abilities. An estimated one-third of the total budget under component 3 would be dedicated to subcomponents 3.2 and 3.3. The project will finance consultant services, operating costs and training under these two sub-components. 2 P a g e

3 (d) COMPONENT 4: PROJECT MANAGEMENT (estimated US$ 16.5 million, of which US$ 11.0 million would be financed by IDA). Sub-component 4.1, project coordination and implementation, would include the set-up and operation of coordination structures at national level and implementation units/teams at provincial, district and commune levels, and operational costs associated with project management. At commune level existing structures would be strengthened to support project implementation. Sub-component 4.2, monitoring and evaluation, would include the design and implementation of a simple management information system (MIS) for project monitoring, the design and contracting of a rigorous impact evaluation, the recruitment of key personnel at central, provincial and district level to support M&E activities, and would support various knowledge exchange and learning activities between participating provinces, with other similar projects in Vietnam and within the region. This would also include the set-up and maintenance of a project website to disseminate key project documents and reports, and to provide regular updates on project activities and progress. Project financing would cover consultant services, goods, training and operating costs for this component. 3. The Central Highlands Poverty Reduction Project triggers the World Bank s Social Safeguards Operational Policy for Indigenous Peoples (OP 4.10). However, as a significant majority of project beneficiaries are members of ethnic minority groups, and given that the project has been designed specifically to identify and address their development concerns through a consultative and participatory process, the project is considered responsive to the requirements of OP Therefore, the PAD itself is considered an Indigenous Peoples Plan or Framework. Consistent with OP 4.10, a Social Assessment (SA) was also carried out as part of the preparatory analytical work that went into project design. This document is prepared to summarize the findings of that SA, and to indicate how that assessment and other good practices have been applied under the project to address the requirements of OP This document will also be disclosed through the World Bank s InfoShop prior to project appraisal, per Bank s requirement. B. Empowering ethnic minority people in project context 4. Although the project is expected to have no negative impact on ethnic minority communities in the project area, the Government took a rigorous approach in an effort to enhance the informed consultation and maximize the participation of local communities, especially ethnic minority people. The approach contains 3 key areas of action, including (i) wide-spread consultation at local level; (ii) conducting the social assessment; (iii) translating the findings into project design. The discussion below provides more detailed information on each action. 5. First, the project preparation involved wide-spread consultations and participatory planning exercises from June 2012, until June 2013, with all targeted communes, district and provincial personnel and other key stakeholders. This process led to broad understanding and community support for the project design, approaches and activities. Formal public consultations were carried out during June 2013 in all 6 project provinces with the participation of key stakeholders: representatives of provincial Departments of Planning and Investment, district peoples committee members, and local civil society organizations (e.g. women s union, farmers association, and fatherland front). 3 P a g e

4 6. Second, a Social Assessment was conducted as part of the preparatory work for the project. 2 The assessment was carried out in one district of each of the six project provinces (Krong No in Dak Nong, M Drak in Dak Lak, Ia Pa in Gia Lai, Kon Ray in Kon Tum, Ba To in Quang Ngai, and Phuoc Son in Quang Nam). A SA is an analysis that combines different analytical methods to better understand the social and cultural factors of a project s beneficiary groups that will affect both positively and negatively development activities. This is to ensure that a project s strategies and objectives are well defined and the proposed means to achieve them are appropriate to the social context of the project. The SA provides the baseline information for designing the social strategy of the project. It is also a process and means to incorporate social information and stakeholders participation/views in the project design. Main findings of the SA conducted for the CHPov are summarized immediately below. Economic status. The SA confirmed that the CHPov is targeting those who have higher poverty rate in terms of income and other aspects (such as access to basic services including clean water, sanitation), which mainly include indigenous ethnic minorities, ethnic minority migrants who have come to CH in recent years (within the past 5 years), and women (from both patriarchal and matriarchal systems). The SA provides a regional comparison between the project areas (130 selected communes in 26 districts in 6 provinces) with other areas that are not covered by the Project and with the national average so that the vulnerability of the Project s beneficiaries, their gap/difference in economic, social status and their disadvantaged accessibility to specific resources for livelihood development are highlighted. Livelihood development. The Assessment shows that capital (natural, human, physical, financial and social) are key to EM household livelihood development, but that land per se is not a limiting factor rather technology and traditional practices for cultivating the land that EMs have access to. Indigenous EMs have also been negatively affected through land loss due to sales to cover shocks. The study also notes that EMs enjoy generally high social capital, which proves important in relative successes especially among women. Women are also considered to play an important role in a household s economic development and their participation in community projects is accepted. Migrant ethnic groups have exhibited a willingness to improve production practices (such as small irrigation, application of techniques). Therefore, their possibility of escaping from poverty and vulnerability is relatively high, if the current polices on resettlement for the migrant ethnic groups in some localities are more inclusive and effective. EM vulnerabilities. The study also showed that EM (especially indigenous) households were more susceptible to shocks (including weather, disease, price fluctuations of cash crops, loss of income earner, etc.), which also include in-migration of other groups and land-trading that at times results. In-migration was also found to bring some positive benefits to EM households in terms of production practices, investments and accessing information. Key socio-cultural issues. Certain cultural practices relating to cultivation methods, festivals, and other practices present barriers to some strategies being recommended under the project and will therefore need to be understood clearly to identify possible solutions. A general respect for for elders and other known prestigious persons can be used to the advantage of the project. Participatory development approaches, though used widely in the project area, are still weak (especially among indigenous ethnic groups and women) and mostly initiated by communes rather than people themselves. Limited participation is felt to shyness, habits of not raising voices, inadequate technical skills, on the part of the targeted groups. However, the SA indicates that language does not appear to be a barrier hindering participation as the Kinh language is 2 Consultant report: Social Assessment Report: The Central Highlands Poverty Reduction Project, Draft 2 MPI, August P a g e

5 reported to be commonly used, and/or there are indigenous EMs within Government structure (at commune and village levels) to ensure adequate connection between local authority and people in meetings, consultation activities, etc. Government support. The study indicates that while Government agencies are aware of and express strong indications of commitment (including from key collaborating agencies DARD and DOLISA), there are concerns that capacities may not match the requirements of the project, particularly at commune level. Other stakeholders. The SA confirmed that mass organizations (e.g., Women s Union (WU), Farmer s Union) have made positive contributions to past and present programs/projects. These organizations are important and their roles need to be promoted in the CHPov. Private sector (construction) groups were also reported to be supportive (and willing to mobilize local labor in infrastructure works), however, agribusinesses expressed concerns about the effective involvement of indigenous EMs due to differing attitudes toward formal working environments. Lastly, the study came across only limited cases of successful community groups working on common interest activities most often women s groups established with support from the local WU. 7. Based on these findings, the SA recommended a number of specific actions to be taken under the CHPov. These are summarized below: (a) Ensure the active participation of vulnerable groups in the consultation and planning process of the Project. The Project should consider to require a minimum proportion participation of the poor and EMs households (both indigenous and migrants), and also women in the participatory village meetings. The community consultation meetings should be accompanied by group sessions for indigenous peoples and must be deployed in their native languages. Trainings on participatory planning procedure for the officials at all levels should place due focus on CDD approach, improving their skills to mobilize community participation. A specific framework for community consultations is recommended in the SA. (b) Ensure the participation of vulnerable households in the livelihood activities of the Project. Detailed regulations on the participation proportion of each target groups (for examples, EM households, female-headed households) in the Project beneficial groups are necessary. The Project should form separated groups of women. (c) Ensure that the priorities in infrastructure investment reflect the expectation of vulnerable beneficiaries. The vulnerable beneficiaries tend to have more socially oriented priorities (e.g. female beneficiaries want water supply and constructing supplementary classrooms). (d) Promote information dissemination and motivation to encourage participation of most vulnerable groups. The participation of the poorest households is hindered by reluctant attitudes or doubtfulness about efficiency of support. Therefore, information dissemination and motivation must be used to promote change and willingness to access new livelihood models. Mass media (radio, television, newspaper) should be combined with non-traditional channels (such as using respected village members (elders, successful farmers, etc.). Local EM languages and simple formats should be used. 5 P a g e

6 (e) Encourage involvement and approval of influential individuals in the community (elders, heads of socio-political, religious organizations and agencies) to promote project roll-out in communes and villages. This will reinforce the consensus and approval of community to the Project implementation and increase social capital for beneficiaries. (f) Existing cultural biases should be openly discussed among project management levels to reflect on how these may hinder full participation of target beneficiaries and identify mitigating measures. (g) Training for indigenous EM beneficiaries needs to be designed properly so that they can absorb the technology. The presenters and demonstration models should be from EM people (preferably indigenous ones). Technical trainings should be repeated, especially for indigenous EM groups and taining material should be translated in to local languages; in case that writing system of some EM is not available, material should be transformed into recordings and illustration. In addition, in order to ensure the continuing development of skills and knowledge, it is necessary to reinforce the demonstration models deployed at prestigious households in the community who are able to absorb, quickly buy in, and implement the models sustainably in the long run. (h) Carry out regular consultations at community/village level to monitor beneficiary assessment of the project s activities. 8. Third, the findings of the SA were used to inform project design with specific actions included in Project Appraisal Document. These actions include: a communications strategy and materials that apply different and literacy appropriate media forms, preferred recruitment of key field staff (community facilitators) from local communities, the use of indigenous languages in communications at village level when facilitating local decision making, inclusion of elders and traditional leaders (and other influential persons) as part of village level planning, minimum requirements for EM participation in decision meetings and livelihoods groups (and monitoring of the same), and technical support and capacity building (including for village groups) around participatory processes. 9. Based on the SA s finding the project also includes the following gender informed design elements: minimum requirements for female participation in planning and decision making meetings at village level, a designated female position (of Vice-Chair) for the commune-level decision making board, specifically targeted/ear-marked support for women s livelihoods activities under one of the project s sub-components, and monitoring and evaluation data will be disaggregated by gender (and ethnicity). Key dimensions on gender and participation are summarized in the table below. Key Dimensions on Gender/Participation in project design Component 1. Commune and Village infrastructure development Sub-component 1.1. Commune and - Bottom-up annual planning process Village infrastructure development - Community procurement - Using local unskilled labor Sub-component 1.2. Operation and Maintenance Component 2. Sustainable Livelihoods Development - Training for local labor in construction - Annual participatory planning - Mobilization of women and ethnic minority people in performing O&M 6 P a g e

7 Sub-component 2.1. Self-reliance and income diversification Sub-component 2.2. Market Linkages Initiatives - Bottom-up annual planning process - Over 80% of beneficiaries are ethnic minority households - Women (via women s union) take lead in implementing this sub-component - Bottom-up annual planning process - 50% of beneficiaries are ethnic minority households Component 3. District level connective infrastructure development, capacity building and communication Sub-component 3.1. District - Bottom-up annual planning process connective infrastructure - Recommended target of 80% of unskilled labor to be development sourced locally Sub-component 3.2. Capacity building - Participation of women and ethnic minority people in the capacity activities Sub-component 3.3. Communications - Participation of women and ethnic minority people in communication and knowledge sharing activities. - Specific use of local languages to engage communities C. Implementation, Monitoring and Evaluation 10. There are a number of provisions in project design to ensure proper implementation of proposed activities and approaches. These include (i) Project Implementation Manual; (ii) M&E system; and (iii) Impact Evaluation. Project Implementation Manual (PIM). The PIM contains 13 volumes of which 5 volumes address various issues related to ethnic minority people, including safeguard policies (vol. 13), planning process (vol. 2), communication strategy (vol. 6), capacity building (vol. 5), and M&E (vol. 4). All volumes provide practical measures to ensure participation of EMs, which will guide project implementation in the field. M&E System. The project will have a comprehensive monitoring and evaluation (M&E) framework and system to provide stakeholders with timely data regarding the progress and results of the project. Gender and Ethnicity are two mandatory variables in all M&E forms developed under this project. The M&E system will also include a Grievance Reporting and Redress System that will allow all stakeholders to comment on or submit complaints regarding project implementation through several different channels, including SMS/text messages. The M&E system will compile and report on the locations and types of complaints, and their resolution. Evaluation (Baseline, Mid-term and Final Evaluation), supplemental qualitative assessment will be conducted throughout the project cycle. The reports will contain dedicated discussion/analysis on gender and ethnic minority people. 7 P a g e

8 Attachment 1: CHPov Participating Districts, population, poverty and EM percentages No Province/District Population Households Proportion of ethnic minorities (%) Household poverty rate (%) EM household poverty rate (%) 26 Project districts in total 1,259, , Project communes in total 540, , I Dak Lak 5 Project districts 353,804 78, Dak Lak 25 Project communes 162,850 35, Buon Don dist. 39,306 9, Ea Sup dist. 31,921 7, Krong Bong dist. 36,686 7, Lak dist 24,078 5, M'Dak dist. 30,859 6, II Dak Nong 4 Project districts 207,323 46, Dak Nông 20 Project communes 115,901 25, Dak Glong dist. 24,212 5, Dak Song dist. 31,958 7, Krong No dist. 25,654 5, Tuy Duc dist. 34,077 7, III Gia Lai 5 Project districts 292,469 60, Gia Lai 25 Project communes 78,088 26, K Bang dist. 16,903 14, Krong Chro dist. 16,521 2, Krong Pa dist. 22,005 4, Mang Yang dist. 18,461 3, Ia Pa dist. 26,458 5, IV Kon Tum 6 Project districts 195,120 44, Kon Tum 30 Project communes 85,814 19, Dak Glei dist. 11,696 3, Kon Plong dist. 11,206 2, Kon Ray dist. 14,467 3, Ngoc Hoi dist. 20,444 4, Sa Thay dist. 16,462 3, Tu Mo Rong dist. 11,539 2, V Quang Nam 3 Project districts 72,134 16, Quang Nam 15 Project communes 28,453 6, Nam Giang dist. 9,770 2, Nam Tra My dist. 11,582 2, Phuoc Sơn dist. 7,101 1, VI Quang Ngai 3 Project districts 139,119 37, Quang Ngai 15 Project communes 35,830 12, P a g e

9 No Province/District Population Households Proportion of ethnic minorities (%) Household poverty rate (%) EM household poverty rate (%) 1 Ba To dist. 12,302 3, Son Ha dist. 26,196 7, Son Tay dist. 9,634 2, P a g e