Resettlement Plan June 2013 Lao Peoples Democratic Republic: Northern Rural Infrastructure Development Sector Project Prepared by the Ministry of Agriculture and Forestry for the Asian Development Bank. This resettlement 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 terms 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.
GRANT No. 0235-LAO (SF) LAO PDR Ministry of Agriculture and Forestry Department of Planning Northern Rural Infrastructure Development Sector Project Final Updated Land Acquisition and Compensation Report Houay Xo Irrigation Rehabilitation Subproject Bokeo Province June, 2013 Nippon Koei Co., Ltd. in association with NIACONSULT, Inc. & Lao Consulting Group
TABLE OF CONTENTS EXECUTIVE SUMMARY 1 A. Project and Subproject 1 B. Land Acquisition and Compensation Budget 1 C. Consultation, Participation and Grievance Mechanisms 2 D. Planning, Implementing and Monitoring 2 E. Conclusions 3 F. Reporting Notes 3 1. PROJECT DESCRIPTION 4 1.1 Northern Rural Infrastructure Development Sector Project 4 1.2 Houay Xo Irrigation Rehabilitation Subproject 4 2. SCOPE OF LAND ACQUISITION AND RESETTLEMENT 7 3. SOCIO-ECONOMIC INFORMATION AND PROFILE 8 3.1 Socio-Economic Baseline 8 3.2 Social Impacts 9 3.3 Socio-Economic Survey of Affected Households 10 4. INFORMATION DISCLOSURE, CONSULTATION AND PARTICIPATION 12 4.1 Requirements 12 4.2 Achievements 12 5. COMPLAINTS AND GRIEVANCE REDRESS MECHANISMS 14 5.1 Requirements 14 5.2 Grievance Approach 14 6. LEGAL FRAMEWORK 16 6.1 Lao Requirements 16 6.2 ADB Regulations 16 6.3 Agreed Key Principles 16 7. ENTITLEMENT, ASSISTANCE AND BENEFITS 19 7.1 Entitled Affected Persons 19 7.2 Loss of Assets and Resources 19 7.2.1 Loss of Land 21 7.2.2 Loss of Houses and Other Structures 21 7.2.3 Loss of Crops and Trees 21 7.2.4 Loss of Common Property Resources 21 8. RELOCATION OF HOUSING AND RESETTLEMENT 22 9. INCOME RESTORATION AND REHABILITATION 22 9.1 Allowances 22 9.2 Special Assistance 22 10. RESETTLEMENT BUDGET AND FINANCING PLAN 22 10.1 Planned LAC Cost Estimate 22 10.2 Compensation or Donation 22 10.3 Actual LAC Budget 23 11. INSTITUTIONAL ARRANGEMENT 24 12. IMPLEMENTATION SCHEDULE 25 13. MONITORING AND REPORTING 26 13.1 Internal M&E 26 13.2 External M&E 26 ii
LIST OF TABLES Table 1: Subproject s Summary of Affected Assets, Households, Severity of Impacts... 7 Table 2: Subproject s Summary of Main Findings of SESAH... 11 Table 3: Subproject s Feedback from Village Consultation Meetings... 13 Table 4: NRIDSP Main Steps of Grievance Mechanisms... 15 Table 5: NRIDSP Key LARC Objectives... 17 Table 6: NRIDSP Main Components of Compensation Approaches... 18 Table 7: NRIDSP Categories of Entitled Affected Persons... 19 Table 8: Subproject s Entitlement Matrix... 19 Table 9: Subproject s Land Acquisition and Compensation Budget... 23 Table 10: Subprojects Performed and Scheduled LAC Activities of Project Year 1... 25 LIST OF FIGURES Figure 1: Location and Features of the 27 Subprojects... 5 Figure 2: Layout Map of Houay Xo... 6 ATTACHMENT Attachment 1 Attachment 2 Attachment 3 Attachment 4 Attachment 5 Attachment 6 Attachment 7 Definition of Key Terms LARC-Fact Finding and Screening Summary Data Sheet of Socio-Economic Survey of Affected Households LARC Consultation and Coordination Summary of Inventory of Loss Compensation Unit Rates Signed Compensation and Entitlement Forms iii
SELECTED ACRONYMS ADB AH AP CEF DAFO DCO DD DMF DLMA DMS DOI DOP DPWT DRC EA EARF EC EIA EMP FS GAP GIC GOL HH IA ICB IEE IM IOL IPP IPPF KN Lao PDR LAC LACP LARC LMA LMC LUP LUG LWU MAF M&E MOH MPWT NGO Asian Development Bank Affected Household Affected Person Compensation and Entitlement Forms District Agriculture and Forestry Office District Coordination Office Detailed Design Design and Monitoring Framework District Land Management Authority Detailed Measurement Survey Department of Irrigation Department of Planning of the Ministry of Agriculture and Forestry Provincial Department of Public Works and Transport District Resettlement Committee Executing Agency Environmental Assessment and Review Framework Executive Committee Environmental Impact Assessment Environmental Management Plan Feasibility Study Gender Action Plan Grant Implementation Consultants Government of Lao PDR Households Implementing Agency International Competitive Bidding Initial Environmental Examination Independent Monitoring Inventory of Loss Indigenous Peoples Plan Indigenous Peoples Planning Framework Lao Currency Unit kip Lao People's Democratic Republic Land Acquisition and Compensation Land Acquisition and Compensation Plan Land Acquisition, Resettlement and Compensation Land Management Authority Left Main Canal Land Use Planning Land Use Group Lao Women s Union Ministry of Agriculture and Forestry Monitoring and evaluation Ministry of Health Ministry of Public Works and Transport Non-Government Organization iv
SELECTED ACRONYMS NGPES NLMA NPMO NRIDSP NSC NTFP OPWT O&M PAFO PAM PBME PIB PIR PIS PIU PLMA PLUP PPME PPO PPSC PPTA PSA PSC RCS RF RMC ROW RP SEBS SES SESAH SIR SPS TA TOR VLWU VRC VRMC WUG National Growth and Poverty Elimination Strategy National Land Management Authority National Project Management Office Northern Rural Infrastructure Development Sector Project National Steering Committee Non-Timber Forest Product Office of Public Works and Transport Operation and Maintenance Provincial Agriculture and Forestry Office Project Administration Manual Project Benefit Monitoring and Evaluation Public Information Booklet Poverty Impact Ratio Provincial Irrigation Service Project Implementation Unit Provincial Land Management Authority Participatory Land Use Planning Project Performance Monitoring and Evaluation Provincial Project Office Provincial Project Steering Committee Project Preparatory Technical Assistance Poverty and Social Analysis Project Steering Committee Replacement Cost Survey Resettlement Framework Right Main Canal Right of Way Resettlement Plan Socio-Economic Baseline Survey Socio-Economic Survey Socio-Economic Survey of Affected Households Subproject Investment Report Safeguards Policy Statement Technical Assistance Terms of Reference Village Lao Women s Union Village Resettlement Committee Village Road Maintenance Committee Water Users Group v
EXECUTIVE SUMMARY A. Project and Subproject 1. The Northern Rural Infrastructure Development Sector Project (NRIDSP) main aim is to provide the rural community with access to and participation in the market economy. This is to be realized through the increase in incremental production of saleable commodities and promotion of agricultural productivity. The NRISDP has four main outputs: (i) Production and productivity enhancing rural infrastructure constructed and/or rehabilitated. (ii) Productivity and impact enhancing initiatives adopted. (iii) Capacities of national, provincial and district agencies strengthened to enable a sector development approach. (iv) Efficient and effective delivery of subprojects and project management. 2. The Houay Xo Irrigation Rehabilitation Subproject is located in the District of Paktha, Bokeo Province. There are seven (7) existing wooden/stone weirs presently used along the Houay Xo river covering a total of 92 ha in three (3) villages of Ban Dong, Ban Pangsa and Ban Pakxo. Among seven (7) weirs, three (3) weirs cover 34 ha in Ban Dong, two (2) weirs cover 25 ha in Ban Pangsa, and two (2) weirs cover 33 ha in Ban Pakxo in the wet season, respectively. 3. This subproject will replace three existing temporary seasonal wooden weirs with permanent one each in structures at intervals along the So River. One permanent structure will be reinforced concrete located at Ban Dong. The other two will be of gabion construction at Ban Pangsa and Ban Pakxo respectively. The weirs will have associated intake structures to deliver water into the main canals. The rehabilitation will include the upgrade of 1.15 km of main canal to stone masonry lining sourced from locally available materials. The weirs are estimated to provide irrigation for the downstream paddies of around 75 ha in Ban Dong, 28 ha in Ban Pangsa and 30 ha for Ban Pakxo. B. Land Acquisition and Compensation Budget 4. At detailed design stage, the rehabilitation works of this subproject will result in: (i) Loss of agricultural land of 917 sqm productive land owned by 4 AHs with 20 members. For the affected landowners this would represent an average loss of 1.7% of their total productive land. There are no severely affected households by losing more than 10% of their total productive land. (ii) Loss of 4 trees owned by 1 out of the 4 affected farmers who would lose all his 4 teak trees. (iii) No loss of residential land. (iv) No loss of primary and secondary structures. (v) No relocation of households. (vi) No loss of common property. (vii) No cases of economic resettlement and vulnerable people caused by the subproject. 5. In general, the detailed measurement survey at detailed design has confirmed the findings of the preliminary measurement survey at feasibility study. For comparison, at feasibility study stage, the same households have been assessed as affected by losing with 1,013 sqm about 1.4% of their total productive land. Thus, no significant land acquisition changes occur between feasibility study and detailed design. 1
6. The mitigation approach of the subproject (a) has been embedded in the entitlement, assistance and benefits approach as defined in the Project Resettlement Framework (RF), (b) is compliant with ADB s Safeguard Policy Statement (2009), and (c) has been orientated in the Lao legal context. 7. A land acquisition and compensation budget has been formally calculated with a total of rounded KN 22.1 million. This is equivalent to an average of rounded KN 5.53 million for each of the 4 AHs with their 20 family members. 8. However, no budget for compensation payments is necessary as all AHs decided to donate their portions of affected land and trees. 9. As indicated during LAC related consultation and surveys during feasibility study, affected owners have confirmed during detailed design stage their willingness to donate their affected assets to the sub-project. They signed Compensation & Entitlement Forms to voluntarily donate their affected land and trees as their contribution to the subproject. C. Consultation, Participation and Grievance Mechanisms 10. Related to the detailed design stage this Land Acquisition and Compensation Report was prepared between March and April 2013. It has been based on a consultative and participative approach with focus on: (i) Individual household surveys about land acquisition aspects in general. (ii) Specific acquisition requirements of the concerned strips of productive land of the households agricultural plots along the canal s alignment. (iii) Socio-economic surveys of affected households. 11. The defined grievance approach aims at having complaints ideally passed through four stages before they could be elevated to a court of law as a last resort. The NRIDSP s objective is to handle and solve any complaints those for stages before a complainant would approach a court. Affected persons are entitled to lodge complaints regarding any aspect of the preparation and implementation of land acquisition and compensation without prejudice to their right to file complaints with the court of law at any point in the process. 12. During the Detailed Measurement Survey the Consultant received feedback from the contacted households indicating their high satisfaction of the subproject bringing them a better irrigation and their hope that the subproject would start very soon. D. Planning, Implementing and Monitoring 13. The planning of compensation and mitigation measures has been based on the detailed measurement survey. As there are impacts on private assets, an inventory of loss (IOL) and socio-economic survey of affected households (SESAH) were required, and a compensation budget calculated for payment of predicted loss of land and trees. 14. The Ministry of Agriculture and Forestry (MAF) is the executing agency for the Project with the responsibility for overall project coordination and management transferred to its Department of Planning which has established the National Project Management Office (NPMO) for day-to-day coordination and management of the Project. The implementing agencies at the provincial level are the Provincial Agriculture and Forestry Offices. Provincial Project Offices have been established within each PAFO to be responsible for subproject related financial management at provincial level, and coordination and management of implementation of subprojects. To assist implementation of the subproject at the district level, District Coordination Offices (DCOs) have been established within District Agriculture and Forestry Offices mainly to coordinate and supervise subproject activities. 2
15. This subproject is scheduled to commence construction work in May 2013 for 18 months. The start of implementation is mainly dependent on approval of detailed design, bidding evaluation and the updated LAC Report as part of the Project s overall grant conditions. 16. During the implementation and operation phases the internal and external Monitoring and Evaluation has to be performed to elaborate on performance and impacts of the subproject s activities. Its technical approach has to be transparent, and any data or information made available to involved stakeholders either in Lao and/or English language. E. Conclusions 17. The updated Land Acquisition and Compensation Report confirms this subproject to be classified under ADB category B as it includes involuntary resettlement impacts through (a) loss of land and (b) loss of trees, but (c) no other losses. There are no resettlement effects, and income and livelihood conditions of the affected households will not be seriously affected. 18. The updated land acquisition planning during the detailed design stage served for preparing and implementing the land acquisition which has been completed in March 2013. F. Reporting Notes 19. This LAC Report has been structured in accordance with requirements for Resettlement Plans as outlined in the ADB s Safeguards Policy Statement (2009). 20. According to Lao PDR Decree 2432 (dated 11/11/2005 on Regulations for Implementing Decree 192 dated 07/07/2005 on Compensation and Resettlement of People Affected by Development Project ) a resettlement planning document is called Land Acquisition and Compensation Report if impacts of the project are not serious (mostly marginal), which is the case for this subproject. 3
1. PROJECT DESCRIPTION 1.1 Northern Rural Infrastructure Development Sector Project 21. The Northern Rural Infrastructure Development Sector Project (NRIDSP) main aim is to provide the rural community with access to and participation in the market economy. This is to be realized through the increase in incremental production in saleable commodities and promotion of agricultural productivity. NRIDSP has four main outputs: (i) Production and productivity enhancing rural infrastructure constructed and/or rehabilitated. (ii) Productivity and impact enhancing initiatives adopted. (iii) Capacities of national, provincial and district agencies strengthened to enable a sector development approach. (iv) Efficient and effective delivery of subprojects and Project management. 22. The map in Figure 1 shows the four Project provinces and 27 subproject locations. 1.2 Houay Xo Irrigation Rehabilitation Subproject 23. The Houay Xo Irrigation Rehabilitation Subproject is located in the District of Paktha, Bokeo Province. It is on the western bank of the Mekong and is only accessible by boat crossing. Direct land access is available only through the Thai border some 37km distance from the subproject area. From Paktha District Center, access is through a 35km boat ride followed by a 10km-drive along an all-weather dirt road. There are seven (7) existing wooden/stone weirs presently used along the Houay Xo river covering a total of 92 ha in three (3) villages of Ban Dong, Ban Pangsa and Ban Pakxo. Among seven (7) weirs, three (3) weirs cover 34 ha in Ban Dong, two (2) weirs cover 25 ha in Ban Pangsa, and two (2) weirs cover 33 ha in Ban Pakxo in the wet season, respectively. 24. This subproject will replace three existing temporary seasonal wooden weirs with permanent one each in structures at intervals along the So River. One permanent structure will be reinforced concrete located at Ban Dong. The other two will be of gabion construction at Ban Pangsa and Ban Pakxo respectively. The weirs will have associated intake structures to deliver water into the main canals. The rehabilitation will include the upgrade of nearly 3 km of main canal to stone masonry lining sourced from locally available materials. The weirs are estimated to provide irrigation for the downstream paddies of around 75 ha in Ban Dong, 28 ha in Ban Pangsa and 30 ha for Ban Pakxo. Besides the irrigation rehabilitation works, productivity and impact enhancement initiatives will be delivered by the Project. These initiatives will comprise of compulsory and optional initiatives. 25. Figure 2 contains a map showing the layout of the subproject s infrastructure. 4
Figure 1: Location and Features of the 27 Subprojects 5
Figure 2: Layout Map of Houay Xo 6
2. SCOPE OF LAND ACQUISITION AND RESETTLEMENT 26. The subproject will involve physical changes through the rehabilitation of existing irrigation infrastructures within the ROW along the main canal s alignment. Contacted farmers regarded the agreed permanent land requirements for rehabilitation work as minor. 27. The main requirements for land acquisition are summarized in Table 1 and detailed in Attachment 2. There are no land acquisition requirements concerning: (a) primary and secondary structures, (b) community resources, (c) physical and/or economic resettlement. Consequently, there are no requirements for resettlement by this subproject and no physical and economic displacement of people will take place. 28. For any temporary site installation and access roads the contractor will have to propose in a site installation and access plan and obtain approval by the resident site engineer. Where possible public land will be used. The Employer will provide the contractor with the project s land acquisition and compensation principles to be followed by the subproject. Table 1: Subproject s Summary of Affected Assets, Households, Severity of Impacts Type of Asset Level of Affectedness Severity of Impact Affected Households Productive Land Total of 917 sqm of tree plantations, paddy fields, and fallow land. About 1.7 % of the AHs total productive land. Minor 4 male headed AHs lose 1.7% of their productive land No AH would be seriously affected by losing more than 10%. Trees Total of 4 trees. All 4 teak trees (100%) Minor 1 (out of the 4) AH Residential Land None 0 0 Primary Structures None 0 0 Secondary Structures None 0 0 N O T E S: 1 2 3 The Subproject will not lead to economic displacement of resident AHs through loss of assets, access to assets, income sources, or means of livelihoods Based on the SESAH, a list of AHs could be considered for job opportunities during construction phase by the contractor to be agreed during contract negotiations between the contractor and MAF. All AHs agreed in voluntarily donating their affected portions of land as their contribution to the subproject. 7
3. SOCIO-ECONOMIC INFORMATION AND PROFILE 3.1 Socio-Economic Baseline 29. The three villages had been long in existence. Ban Dong was established around 1881 and Ban Pangsa in 1973. The establishment of Ban Pak Xo is not known. The people in Ban Pangsa and Ban Dong are of the Lao-Tai Ethno-Linguistic Group, while the people in Ban Pak Xo are of the Hmong-Iu-Mien Group. 30. Supported by the SES information, the socio-economic situation of the 4 subproject villages did not change remarkably since the preparation of the PPTA in October 2010, from which some data are summarized below. 31. The information of this paragraph has been extracted from the Social Impact Assessment of the feasibility study. The main features are: (i) The main source of livelihood of households in the villages is agricultural crop production. About 60% are into poultry production (backyard), 24% have livestock (pig, cattle) and 20% are into handicraft (weaving, furniture). (ii) The results of establishing village household masterlist in the area show that households are generally of the medium income status (82%) with 13% classified as well-off (rich) and only 5% of the poor category 1. This trend is supported by the type of houses which shows that 88% households have the medium and modern types of houses. This is further supported by the result of the Sample Household Survey which shows that 67% are rich, 27% are of the medium income category and only 2% are poor. (iii) The ratio of adult literacy in the 3 villages is quite high. The literacy rate is 82% for male and 88% for female or a total literacy of 85% for the 3 villages. The lowest literacy is observed in Ban Pangsa with 77%. Data from the masterlist shows lower literacy rate at an average of 65% for the 3 villages with Ban Pangsa at 54%, Ban Dong at 80% and Ban Pak Xo at 52%. The important issue about this, however, is that NRI Project Staff must be aware that literacy in the area may range from about 23% to as high as about 48% and this must be considered in the conduct of project consultations, meetings and farmers trainings. The use of visuals, plain simple language and local dialects must be promoted. Resource persons and/or facilitators must be those who can speak the dialects (language) in the area. (iv) The ratio of female to male is almost equal at 1:1, with males slightly higher, and household members at an average of 5 members. (v) Village administration committees/units are dominated by men except the Lao Women Union being an organization for women. The Village administration committees/organizations include, the Lao National Front for Construction, the Lao Youth Union, the Lao Women s Union, Village Security and Army Units. It was informed during the interviews that women are represented by the Head of the Lao Women Union in Village Authority meetings although discussions are mostly dominated by men. (vi) Data and information taken on people s organization show that the leaderships are also dominated by men although women are represented in the membership of the organizations. Female membership ranges from 25% to 50%. (vii) Land ownership documents are usually registered in the name of both husband and wife. (viii) Based on the results of the sample household interviews, for the household 8
(ix) (x) (xi) (xii) work distribution, women usually perform the responsibilities on: a) keeping the household money; b) marketing; c) child rearing; d) cooking; e) washing clothes and dishwashing; and f) cleaning the house. Men perform house repair/construction which is considered the muscle work. Responsibilities such as: a) financial budgeting and management; b) earning money for the household; and c) fuel wood gathering and fetching water are done by both men and women. Agriculture production works dominated by men are those that are considered muscle work such as: a) land preparation; b) weeding; c) fertilizer application; d) pesticide/herbicide application; e) hauling/transport; f) livestock raising; and g) fish pond management. Performed by both men and women are: a) buying inputs, b) seed sowing/nursery; c) irrigation; d) pulling seedlings, e) weeding, f) harvesting; g) threshing; h) drying; and i) poultry management. Women performs assistance to men on all the works cited and is mainly responsible for: a) selling production; and b) small business (store, buy and sell, trading, etc.). This work responsibility patterns is similar with all the three villages. Decision-making responsibilities are shared responsibilities between men (husband) and women (wife). Each of the three (3) villages is populated with homogenous ethnic groups, Ban Pangsa and Ban Dong with Lao-Tai Ethno-Linguistic Group and Ban Pak Xo with Hmong-Iu Mien Group. Each of the three villages will be supported with irrigation improvement by the replacement of the existing indigenous weirs in each village with permanent structures including improvement of irrigation facilities and structures. Each of the villages has existing WUGs who are doing O&M of their irrigation system. The planned replacement of the village weirs with permanent structures will result to savings in labor and time for the villagers on the frequent repair (3-4 times a year) of the indigenous weirs, also the cutting of woods and bamboos for the reconstruction of the indigenous weirs. Based on the masterlist of landless households, there are no landless households in Bang Pangsa, 2 Landless HHs in Ban Dong and 6 landless HHs in Ban Pak Xo. The 2 landless HHs in Ban Dong are rice sufficient, which means that they have other sources of income to buy enough rice for their needs, their poverty status is medium (not poor), and their type of house is 3 (modern house). The six landless HHs in Ban Pak Xo are also rice sufficient, but one HH is of the poor category and 2 HHs with Type 1 houses. The rest are medium in poverty situation and has type 2 houses. (xiii) The above data indicates that the landless people in the villages are not that disadvantaged. These HHs must have good alternative sources of income. There are no available information gathered by the interview teams on the sources of income of these households, nor on problems and issues, and perceived impacts of the subproject to them. (xiv) There are seven (7) Female-Headed Households (FHH) in the three villages, one in Ban Pangsa, and 3 each in Ban Dong and Ban Pa Xo. All of them are rice sufficient (2 HHs with surplus rice), 1 HH is poor and 7 HH are medium poverty situation category, 1 have Type 1 house, 5 with Type 2 houses and 1 with a Type 3 house. This means that 1 or 2 of the FHH are poor. (xv) 3.2 Social Impacts The FHH has agricultural lands, which are mostly upland areas. They are potential beneficiaries for assistance on the associated initiative component of NRI. 32. The subproject will enable intensification (increased frequency) of cropping in the area through increased reliability of water supply. Those without irrigated land also support 9
and express need for the subproject as it will increase the demand for farm labor and there will also be employment from construction. 33. The proposed subproject has the following potential impacts: (i) Increase household income and hence, reduce poverty. (ii) Improvement of the economic conditions of beneficiary households due to: a) improved irrigation water availability in irrigated areas; b) increase in irrigated area in both season; c) increase rice yield and production; d) promote production of high value crops during the dry season; and e) increase in income. (iii) Generate additional demand for hired labor due to increase in crop production activities in the area for two seasons. (iv) Promote a more active economy for the villages due to increased production of rice and other crops, increased household income, potential commercialization of rice surplus and high value crops, and demand for production inputs. (v) Savings in labor, time and local materials for the beneficiary households from the 3-4 times repairs that has to be done on the existing indigenous weirs particularly during the wet season. 34. During DMS fieldwork GIC could notice a widespread support for the proposed subproject both amongst those with irrigated land and those without as there is an expectation that intensification of cropping will provide increased demand for farm labor. 3.3 Socio-Economic Survey of Affected Households 35. A socio-economic survey of affected households (SESAH) has been conducted in December 2011 as part of the feasibility study and updated in March 2013 as part of the detailed design stage (see also Attachment 3) showing the main results as summarized in Table 2. This table provides an overview about key-topics in relation with LARC aspects as collected during fieldwork through DMS, IOL SESAH, public consultation, and meetings by PPO, DCO and GIC. 36. It is noteworthy that contacted heads of households confirmed their expectation of an improvement of their livelihoods through an improved and extended irrigation scheme as their incomes depend on agriculture and farming activities. This is one of the main reasons why all 4 AHs decided to voluntarily donate their portions of affected land as their contribution to the subproject. 10
Key Topics Demography Heads Of Affected Household Spouses Of Affected Household Families Of Affected Household Livelihood Working Household Members Table 2: Subproject s Summary of Main Findings of SESAH Description There are 4 male and 0 female headed affected households. All are younger than 65 years. There are no disabled heads of AHs. All are owners of land of their households. There are no widowed cases. There are 4 spouses. They are all younger than 65 years. They are no disabled spouses. All are owner of land of their households. All household members are Lao Thai. About 35% of the household members are female and 65% male. Average size is 5 members / family. About 25% of family members are younger than 18 years and 0% older than 65 years, with the remaining 75% having an age between and 18-65 years. Concerning education of female members, 0% are not yet in the school age, 0% do not have a formal education, and therefore all members (100%) did/do attend school at different levels. Concerning education of male members, 8% are not yet in the school age, 0% do not have a formal education, and the remaining 92% did/do attend school at different levels. In most cases all potentially economically active family members contribute to the AHs income. The distribution of income activities by percentages are as follows: Income 1st group: 100% of AHs: agricultural and farming activities. Activities 2 nd group: 50 % of AHs: forestry and manual labor. Importance The ranking applied for occurring cases referring to average amounts of annual incomes are: Of 1 st category: ca. KN 10 million/year/ah: agriculture. Income 2 nd category: ca. KN 0.25 million/year/ah: manual labour. sources 3 rd category: ca. KN 0.125 million/year/ah: forestry. Income The surveyed AHs have an average monthly income of rounded KN 0.84 million/month. This totals to an annual income of rounded KN 10 million/year. Based on the information provided by the surveyed head of households: There are 0 % regarded as poor household, meaning having not enough or limited. All 4 AHs (100%) are grouped as a middle households meaning normal status. Social Status None of these AHs have a better situation and are regarded rich. Note: By Prime Minister s Decree No. 285, Dated 13 October 2009, and new Decree of Government of Laos Poverty Criteria and Development Standard 2012-2015 No 201/Govt, Date 25 April 2012: rich above the 2009 poverty line (>180,000 kip/person/month), medium between 2005-2009 poverty line (85,000-180,000kip/person/ month) and the poor below 2001 poverty line (<85,000kip/person/month). Acquisition of Assets and Compensation The AHs live in their village and use their land since 21 years on average. Land The AHs have 1.25 residential compounds on average. Use The AHs cultivate 2.5 plots on average. Acquisition Compensation Note 1: Note 2: AHs informed not depending on the portions of productive land under consideration for land acquisition related to the proposed rehabilitation and/or construction of infrastructure. Both 100% of head of households and 100% of their spouses are owners of the land. The trees are regarded as family assets (no allocation of ownership to a family member). For residential compounds they have land titles, concerning productive land they have certificates and tax declarations regarded as official prove of their ownership of land. Owners agreed in the results of the detailed measurement survey. The owners of affected assets confirmed their decision to contribute all of their affected assets as contribution to the subproject s implementation. This table provides a socio-economic overview about AHs based on the SESAH. Some socio-economic baseline data are provided in section 3.1 extracted from the SIA, Annex 7 of the feasibility study 11
4. INFORMATION DISCLOSURE, CONSULTATION AND PARTICIPATION 4.1 Requirements 37. In general a meaningful consultation is a process that (a) begins early in the project preparation stage and is carried out on an ongoing basis throughout the project cycle; (b) provides timely disclosure of relevant and adequate information that is understandable and readily accessible to affected people; (c) is undertaken in an atmosphere free of intimidation or coercion; (d) is gender inclusive; (e) enables the incorporation of all relevant views of affected people and other stakeholders into project design and implementation; and (f) ensures the participation of AHs in planning, implementation, and monitoring and evaluation of resettlement programs. 4.2 Achievements 38. The disclosure of information, consultation and participation of residents in the subproject implementation area started in 2011 and 2012 for the feasibility studies of the subprojects of the 1 st Project Year, batch 2 and extended in 2013 for these 6 subprojects as part of the detailed design stage. The contacted residents have a good understanding about the subproject and its land acquisition related aspects. The contacted villagers show an open attitude and a very supportive behavior towards the subproject as irrigation and road improvement is a topic of high interest. They did not raise concerns or issues. 39. Provincial and district officials, as well as village representatives, households and families have been informed about the subproject in general and LARC aspects in particular. The subproject ensured that potential affected persons and other stakeholders have (a) obtained again information, however at detailed design stage now, and (b) opportunities to participate in the land acquisition process. An overview about LARC related governmental coordination and community consultation has been prepared in Attachment 4. 40. The dissemination and consultation activities are performed as an integral part of the resettlement planning process to inform the concerned villages about LARC items through (a) village meeting/s and (b) individual clarifications, in addition to (c) joint transect walks. During LARC related fieldwork, the GIC initially provided information about participation of affected persons in land acquisition activities, the involvement of district and village leaders in the overall process, type of compensation and mitigation measures. 41. The feedback of contacted people given to GIC in site meetings and during surveys has been recorded and incorporated in this report. This concerned mainly their opinion and support to the subproject, some design items such as alignments in or along a ROW, compensation or donation of affected assets, and possible impacts and benefits for the villages. During the DMS related fieldwork further consultation and discussion took place with villagers and findings have been considered by the preparation of this LAC report. 12
Table 3: Subproject s Feedback from Village Consultation Meetings No. Question Item Indicative Totals of Responses by Gender All Majority Average Minority None Do not 100% ca. 75% ca. 50% ca.25% 0% know F M F M F M F M F M F M Q-1 You support the project X X Q-2 You support the canal scheme and/or road system X X Q-3 You agree in permanent canal/road alignments on your land X X Q-4 You agree in temporary construction access on your land X X Q-5 Preferred compensation option Donation of land as contribution to subproject Land for land compensation in any case Cash compensation for land in any case X X Q-6 Preferred conflict resolution option Village committee X X District committee Provincial committee Civil court Q-7 Preferred use of compensation fees Education of children Building new houses Small business Deposit in bank Consumption Others No cases to report Q-8 Major land loss: Preferred options for future livelihood Work outside Open shops Run restaurants or hotels Have small business On-the-job training/ apprenticeships Others No cases to report Totals 6 6 0 0 0 0 0 0 Comments from Participants C-1 Villagers confirmed their willingness to cooperate with and contribute to the subproject. Concerning Q-5, the owners confirmed during detailed design stage their willingness for donation of C-2 land/trees. Concerning Q-7 and Q-8 AHs indicated that the potential compensation amount would not be enough for C-3 bigger investments or improvement of assets. In this context it should also be considered that through a possible donation there would be no compensation payment anyway. Notes from Consultant N-1 Date of village meeting: 9-10 March 2013 N-2 Venue of Village meeting: District office and Dong village N-3 Participating villagers: 5 female and 27male residents (included PPO, DCO and DRC). N-4 Main facilitators: PPO,DCO, GIC N-5 Introduction/briefing on LARC aspects to village residents by provincial, district and consultant staff complementary to joint transect walks undertaken in the subproject s implementation area. Abbreviations F:=Female; M:=Male; PPO:=Provincial Project Office; DCO:=District Coordination Office; GIC:= Grant Implementation Consultant 13
5. COMPLAINTS AND GRIEVANCE REDRESS MECHANISMS 5.1 Requirements 42. These mechanisms are defined in the Project s Resettlement Framework aiming at the participation of APs throughout the various stages of LARC planning and implementation of subprojects. The information for APs about entitlements, compensation and supportive mitigation options and grievance mechanisms shall be provided by the Project s relevant agencies and committees. Extensive meetings with APs also allow the implementing agencies to identify the needs and preferences of APs pertaining to compensation and rehabilitation assistance and to reduce any negative potential impacts caused by the proposed subproject. 43. In terms of grievance redresses, the APs have been briefed about rights to grievance and the procedures during feasibility and detailed design stages in case LARC items would become a subproject related issue. This shall be repeated at the start of construction phase. The APs may present their complaints to the concerned local administrative officials and resettlement committees. The complaint can be filed first at the village level and can be elevated to the highest or provincial level if the APs are not satisfied with the decisions made by the village and district levels/committees. APs will be exempted from all taxes, administrative and legal fees associated with their claims and grievance redress. 5.2 Grievance Approach 44. The main steps outlined below serve as an orientation for the grievance main approach. Additional steps can be incorporated as appropriate. For each step details shall be described, agreed and explained to both resettlement responsible committees and the residents of affected villages. 45. In general, APs are entitled to lodge complaints regarding any aspect of the preparation and implementation of this LAC Report without prejudice to their right to file complaints with the court of law at any point in the process. The implementing agencies will shoulder all administrative and legal fees that will be incurred in the resolution of grievances and complaints if AHs win their case. 46. It is recognized that members of AHs might not have writing skills or ability to articulate their grievances verbally, however, then AHs are encouraged to seek assistance from the subproject and/or nominated local non-governmental organizations and/or other family members, village heads to have their grievances recorded in writing and to have access to the LARC documentation, and to any survey or valuation of assets, to ensure that where disputes do occur all the details have been recorded accurately enabling all parties to be treated fairly. 47. All complaints and resolutions will be properly documented by the PPO/DCO and be available for (a) the public and (b) review for monitoring purposes. 14
Table 4: NRIDSP Main Steps of Grievance Mechanisms Serial No. 1 2 3 4 5 Procedural Steps In each village existing mediation committees would be the first contact for APs to address their concerns. It is recommended that in agreement with villages either this committee would be responsible for LARC issues or the village would establish a project related LARC committee. The village shall decide about its community internal approach. APs would address their complaints to committee/s that would have to react within a defined time (5 days to be defined by village) after submission of the complaint. In case provided responses are not satisfying to affected people the grievance applications would be forwarded to the district council for resolution within a defined time (5 days) from the date of filing the complaint with this court. In case APs are still not satisfied next steps could involve provincial authorities that would have to issue a final decision within a defined time (10 days). Before applying step 4, the involved district staff shall undertake a final effort for an amicable solution at village level to avoid next legal steps. If subproject APs are still not satisfied with the response given or decisions made, the complaint can be elevated at national level either to the national court, if legal decision at provincial level will require this, or to the NPMO which is to be established by the DOP through which the MAF will be responsible for the overall project management for final clarification in this matter within 15 days. 15
6. LEGAL FRAMEWORK 6.1 Lao Requirements 48. The Project s Resettlement Framework describes the legal framework. Each subproject has to follow relevant Lao PDR laws, decrees and regulations including but not limited to the: Lao PDR Constitution, dated 1991, describing very generally among others the (a) socio-economic system, (b) fundamental rights and duties of citizens, (c) local administrations, (d) judicial organs. Lao National Land Law, dated 2003, including among others (a) defining land use and land ownership, (b) describing land tenure system, (c) providing the regulation framework for compensation of land but also including relocation of people that are affected by development schemes. Lao National Forestry Law, dated 1999, including among others (a) defining policies on forest and watershed management, and (b) promoting conservation and rehabilitation of forest resources. Lao National Water and Water Resources Law, dated 1996, including among others (a) principles/rules defining exploitation of the water and water resources, (b) management regulations for protection and preservation of the water and water resources, (c) outlining water resources classification systems including the use of water resources. Lao National Road Law dated 1999, including among other (a) describing public roads and road activities, (b) defining management and land use for roads, (c) explanations to construction of roads and monitoring of roads conditions. Decree No.192/PM of the Prime Minister, dated 7 July 2005, concerning the compensation and resettlement of people affected by development projects. This decree has been replaced by a new improved Decree No.699/PMO of the Prime Minister Office 12 March 2010 on Compensation and Resettlement of Development Projects. Regulations for Implementing the Decree of the Prime Minister on Compensation and Resettlement of People Affected by Development Projects (No.2432/STEA, dated 11 November 2005), are currently assumed remaining valid and to be applied. Reduction of Poverty Fund s Social and Environmental Guidelines dated 2008. 6.2 ADB Regulations 49. In general, the national Lao policies on land acquisition, compensation, assistance and resettlement can be connected with the subproject s financing ADB s key guidelines for involuntary resettlement. Among others, the following are related to these aspects: Safeguard Policy Statement, dated June, 2009. Operational Manual Section F1/OP, dated March, 2010. Handbook on Resettlement dated 1998. 6.3 Agreed Key Principles 50. Based on these key references the Project has defined the following key principles aiming at LARC objectives the subprojects shall achieve, as shown in Table 5. 16
Table 5: NRIDSP Key LARC Objectives No. 1 2 3 4 5 6 7 8 Key Principles If possible, involuntary resettlement and loss of land, structures and other assets and incomes shall be avoided and minimized by exploring all viable options Project affected people shall be provided with compensation for their lost assets, incomes and businesses. The provision with rehabilitation measures shall be sufficient to assist project affected people in improving or at least maintaining their pre-project living standards, income levels and productive capacity. Lack of legal rights to the assets lost will not bar the project affected people from entitlement to such compensation and rehabilitation measures. Replacement of affected assets shall be provided following the principle of replacement costs, without deduction for the value of salvaged materials, taxes, transaction costs and depreciation. Preparation of resettlement plans and their implementation shall be carried out with participation and consultation of project affected people. Schedule of budget for resettlement planning (including socio-economic surveys and/or census) and implementation shall be incorporated in project planning and financing. Payment of compensation or replacement of affected assets and any resettlement to new locations all concerning project affected people shall be completed prior to the award of civil works contract. Rehabilitation measures must also be in place, but not necessarily completed, as these may be ongoing activities Compensation and rehabilitation assistance for ethnic minorities, and socially disadvantaged such as households headed by women, the disabled and elderly, the landless and poor will be carried out with respect for their cultural values and specific needs. 51. These all support the guiding principle of ADB that...project affected people compensated and assisted so that their economic and social future will generally be at least as favorable with the project as without it. This policy intends to ensure that the absence of formal and legal titles to land by affected grouped or individual users should be formal or legal reasons for non-compensation, and that particular attention should be paid to the needs of the poorest affected persons including those without legal title to assets, femaleheaded households, and other vulnerable groups, such as indigenous people, and appropriate assistance provided to help them improve their status. Currently, both ADB guidelines and policies, and Lao PDR national laws and regulations entitle subproject affected people to compensation of private assets including land at replacement costs. 17
Key Item Scope of impact Definition of assets Compensation to formal owners / users of assets Compensation to informal / unregistered owners / users of assets Special support to ethnic groups using assets Special support to vulnerable groups Livelihood restoration Relocation Timing of compensation and support measures Table 6: NRIDSP Main Components of Compensation Approaches Internationally Applied Best Practice Include all affected areas including construction and operational sites/facilities All fixed and movable assets Compensation legally required Compensation to be provide to users of assets and resources based on traditional rights Special mitigation measures throughout the project cycle Compensation to be provided in addition to loss of assets, crops etc. Avoiding displacement Before construction start of any infrastructure project Lao PDR Legislation All Listed Key Items Are Mandatory Note 1: Best internal practices as applied by ADB, World Bank, others. Note 2: Final resettlement planning shall provide details of these and other items NRIDS Project Shall include all residential, agricultural and commercial areas: (i) permanently /temporarily acquired, (ii) construction and O&M related, (iii) private and/or public areas Shall define all assets: (iv) legally acknowledged, and (v) as identified during PMS/DMS and SESAH Shall be offered and provided to: (vi) private users (vii) private organizations (WUG, etc.) (viii) public users Shall be applied to households or individuals: (ix) whose user rights are proven by tax or other formal payments (x) socio-economically surveyed as users of affected assets Shall be for households or individuals: (xi) formally known or acknowledged at community level as related to one of these groups (xii) During pre-construction, construct-ion and postconstruction phases Shall include, among others: (xiii) Income rehabilitation measures (xiv) Others to be defined Shall be applied and shown through: (xv) Technical optimized design of proposed infrastructure (xvi) If not avoidable, relocated house-holds shall receive (for no costs or payments) issued land titles for their new compounds Before start of construction: (xvii) Funds made available and proven to be accessible conditional to release of construction funds (xviii) Paid and/or provided to affected individuals/households 18
7. ENTITLEMENT, ASSISTANCE AND BENEFITS 7.1 Entitled Affected Persons 52. In general the NRIDSP defines eligibility as those people residing, cultivating and/or making a living within the area to be acquired for the project as of the formally recognized cut-off date should be considered as project affected persons for the purposes of entitlements to compensation, resettlement and rehabilitation assistance in accordance with the provisions of laws and regulations. Lack of legal land use certificate or any acceptable proof indicating land use right to the land or structure affected by the project should not bar any person from such entitlement/assistance. Table 7: NRIDSP Categories of Entitled Affected Persons No. Categorized APs Persons/ households who s agricultural, residential, or commercial land is in part or in total 1 affected (temporarily or permanently) by the subproject. Persons/households who s houses and other structures are in part or in total affected 2 (temporarily or permanently) by the subproject. Persons/ households who s businesses or source of income (i.e. employment) are affected 3 (temporarily or permanently) by the subproject. 4 Persons/households who s crops (annual/perennial) and trees are affected by the subproject. Persons or households who s other assets are in part or total affected (temporarily or 5 permanently) by the subproject. 53. Entitlements for each AH are based on types and levels of losses. General orientation has been provided by the Project s RF. The defined entitlements have been followed and complementary details provided by the explanations given below. 54. AHs can also decide to donate those portions of their assets which are affected by the subproject. This is regarded as their voluntary contribution by which they also agree in not requesting compensation and related support for which they would be entitled. 55. In case of AHs would have agreed to voluntary donation of their land and trees, there should be (i) some additional support and/or (ii) safety net in case their livelihoods would be affected more than expected. With regard to (i) additional support some priorities for AHs concerning construction related employment and jobs would have to be included in contract negotiations with contractors who have to consider these AHs for rehabilitation and construction work related job opportunities. In addition and if necessary (see item ii) some income restoration activities could be designed in a participatory manner during construction and/or operation phase which could include, among others, any of the following measures: (a) alternative livelihood; (b) improved agricultural production; (c) access to credit facilities for productive endeavors; and (d) appropriate skills training. 56. The PMS was carried out in December 2011 indicating that rehabilitation will take place mainly within the ROW. The DMS from March 2013 confirmed these facts. 7.2 Loss of Assets and Resources 57. An IOL has been conducted and summarized in Attachment 5. The entitlements are summarized in the subproject s matrix in Table 8. 58. Provided compensation unit rates (Attachment 6) have been used for preparing a budget in case of compensation, but also for CEFs at the subproject s implementation stage where landowners agreed in the quantity and value of their assets affected in general and indicated their chosen option of requiring compensation for loss of assets or donating the affected assets to the subproject. Table 8: Subproject s Entitlement Matrix 19
Type of Loss I. LOSS OF LAND A B Temporarily Affected Entitled Persons A-1 Agricultural Land 0 A-2 Residential Land 0 A-3 Commercial Land 0 Permanently Affected B-1 Agricultural Land 4 AHs with 20 APs B-2 Residential Land 0 B-3 Commercial Land 0 II. LOSS OF HOUSES & OTHER STRUCTURES C D Temporarily Affected C-1 Houses 0 C-2 Shelter/Dwelling 0 C-3 Fence 0 C-4 Others 0 Permanently Affected D-1 Houses 0 D-2 Shelter/Dwelling 0 D-3 Fence 0 D-4 Others 0 III. LOSS OF CROPS & TREES E E Temporary Loss of E-1 Crops 0 E-2 Trees 0 Permanent Loss of E-1 Crops 0 E-2 Trees 1 AH with 6 APs IV. LOSS OF COMMON PROPERTY RESOURCES F G Temporary Loss of Services F-1 Administration 0 F-2 Water and Sanitation 0 F-3 Health 0 F-4 Education 0 F-5 Transport 0 F-6 Others 0 Permanent Loss of Services G-1 Administration 0 G-2 Water and Sanitation 0 G-3 Health 0 G-4 Education 0 G-5 Transport 0 G-6 Others 0 V. INCOME RESTORATION H-1 Material Transport Allowance 0 H-2 Housing Transition Allowance 0 H-3 Business Transition Allowance 0 H-4 Special Assistance for Socially and/or Economically Vulnerable Households None H-5 Other Support Measures 4 AHs Compensation and Rehabilitation Measures Measured 917 sqm Formally calculated compensation value of KN 19,076,000. Measured 917 sqm Formally calculated compensation value of KN 1,000,000. Implementation Issues As donation-agreements have been established in which private users confirmed to provide the land as a contribution for the project without compensation conditional to ADB regulations, compensation by cash is not required As donation-agreements have been established in which private users confirmed to provide the land as a contribution for the project without compensation conditional to ADB regulations, compensation by cash is not required Surveyed heads of AHs do not expect significant loss of food supply or income. As donation-agreements have been signed there are no requirements. GIC Consultant proposes that AHs should obtain a priority for job opportunities with contractor. This should be included in the contract negotiations. 20
7.2.1 Loss of Land 59. This concerns 917 sqm private productive land of 4 AHs with whom measurements of land requirements have been jointly performed to define individual plots and the size of affected areas. 60. There are no cases of loss of residential area land of private compounds. Therefore, no cases of subproject affected households to report. 61. The compensation cash-for-kind was calculated and has been included in the final resettlement budget. However this is not required as all affected landowner decided to voluntary donate their affected land and trees (see Section 10) as their contribution to the subproject of which all villagers expect a better irrigated agriculture leading to increased household incomes. 62. Compensation in kind-for-kind has not been considered by the affected land owners and PPO as alternative. 63. It has been assumed that temporary land requirements for establishing construction installation areas and camps concern public land. No compensation costs are assumed for such cases. In case contractor/s would damage property the contractor/s will be obliged to pay compensation at replacement costs immediately to affected families, groups, communities or government agencies. Damaged property will be restored immediately to its former condition. 64. Standard contractual obligations with contractor/s are to be applied as a precaution in contracts (i) to pay compensation immediately, and/or (ii) restore property to its former condition in case contractor/s would damage such property. 7.2.2 Loss of Houses and Other Structures 65. There are no primary or secondary structures affected by the subproject. Therefore, no cases of subproject affected households to report. 7.2.3 Loss of Crops and Trees 66. There is 1 AH losing 4 trees. However no compensation is required as the affected landowner decided to voluntary donate his affected trees as described in paragraph 75. 67. There will be no damage of crops because of construction works that would be scheduled in accordance with harvesting period. 68. The provision of irrigation water will not be disrupted for the construction of new weirs because of diverting the stream around the construction sites. However, for the rehabilitation of the canals, there will be temporarily limited or no provision of irrigation water. Farmers of the irrigation scheme contacted during feasibility study and detailed design stages indicated to PPO, DCO and Consultants their willingness to accept this as a contribution of the farming community to the subproject as they are highly interested in the improvement of their irrigation scheme. 7.2.4 Loss of Common Property Resources 69. No cases of subproject affected common properties to report. 7.2.5 Income Restoration 70. No cases of allowances for subproject affected people to report. 21
8. RELOCATION OF HOUSING AND RESETTLEMENT 71. There are no relocation of houses or settlement caused by this subproject. Therefore, no cases of subproject affected households to report. 9. INCOME RESTORATION AND REHABILITATION 9.1 Allowances 72. There are no cases of allowances for AHs to report. 9.2 Special Assistance 73. There are no cases of seriously AHs to report. 74. However taking into consideration support for AHs in general, members of the 4 AHs shall receive a first priority for job opportunities. This would have be initiated and monitored by PPO and DCO in cooperation with GIC. The main reasons for this approach is that these AHs are losing different portions of their productive land and trees whereas other farmers of the irrigation scheme will only benefit from an improved irrigated agriculture without being affected at all. This could be discussed during contract negotiations with contractor. It can be related to the bidding document s section 7 and 8 with their paragraphs GCC 65.2 and GCC 65.2 respectively where requirements about conditions of employment and local labor are defined. 10. RESETTLEMENT BUDGET AND FINANCING PLAN 10.1 Planned LAC Cost Estimate 75. A cost estimate has been prepared based on prevailing local prices leading to a total of rounded KN 22.1 million. 76. This estimate does not include costs for resources related to safeguard implementing and M&E both at national (resettlement committee and specialist/s), provincial (resettlement committee and provincial project office), and district levels (resettlement committee, community development and safeguard officer/s). External M&E costs are included in funds from ADB covering also project supervision. 77. All LARC related costs would be financed by the Government counterpart funds. Costs for both LARC and safeguards implementations are borne by separate budgets. 10.2 Compensation or Donation 78. The DMS showed that compensation in cash for loss of fixed assets would be the preferred option of APs. However, the contacted land owners indicated their willingness to donate land to the subproject as they expect benefits from its implementation. This option has finally been chosen by these landowners who signed the CEFs in October 2012 indicating their voluntary donation of loss assets as their contribution to the subproject. After the DMS and SES, the affected landowners were again consulted about confirmed finding with values of their assets affected as calculated in the IOL. The main reasons for the AHs decisions to donate their affected assets to the subproject have been (a) the portion of affected productive land the landowners regarded as minor or even not relevant, (b) expectations of higher agricultural incomes through the rehabilitated irrigation scheme, and (c) a sense of community related participative support for any improvement and development offered for their villages. 22
79. To apply ADB regulations/recommendations for projects that directly benefit communities and require involvement of communities in decision-making, including among other and taking into account (a) confirmation of donation through verbal and written record and verified by an independent third party, (b) consultation with landowners and nonlandowners and related adequate grievance redress mechanisms in place, and (c) voluntary donations will not severely affect the living standards of affected persons. 10.3 Actual LAC Budget 80. As all affected landowners donated their affected assets to the subproject there are no costs for compensation of loss of land and loss of trees. Costs for both LARC and safeguards implementations are borne by separate budgets. Item Loss of land Loss of houses and structures Loss of trees Loss of crops Loss of common property resources Income restoration Table 9: Subproject s Land Acquisition and Compensation Budget Description Permanent acquisition of 917 sqm privately used. Unit prices are 2,000 and 25,000 KN/sqm for different types of land use. The subproject does not affect structures Loss of 4 teak trees. Unit price is 250,000 KN/tree. No damage of crops by construction works. Limited or no access to irrigation for certain periods in accordance with construction works. The subproject does not cause any relocation of common properties. The subproject does not cause any effects which would require the provision of allowances. There are no cases for such measures. There are no cases for such measures. Amounts [KN] Comments 19,076,000 These amounts are not necessary as all APs signed a Compensation and Entitlement Form in which they agreed in voluntary donation of No costs affected assets to the subproject. 1,000,000 No costs No costs No costs In agreement with land owners this arrangement is expected between farming community and subproject to facilitate the rehabilitation works of the irrigation scheme. This is related to the AHs decision to voluntarily donate the portions of their land affected by the subproject. Special assistance No costs Complementary measures No costs Planned Sub-Total 1: Mitigation 20,076,000 LARC implementation Administrative matters. No costs Separately budgeted Safeguard implementation M&E. No costs Separately budgeted Planned Sub-Total 2: Implementation 0 Contingencies (10% of subtotals 1 and 2) 2,007,600 Planned Sub-Total 3: Contingencies 2,007,600 Planned TOTAL 22,083,600 As there is no in-cash or in-kind compensation required by the subproject, because all affected Actual Required TOTAL 0 owners donated their land and/or trees as their contribution to the subproject no resettlement budget has to be provided for the implementation of the subproject. 23
11. INSTITUTIONAL ARRANGEMENT 81. To ensure inter-agency cooperation at the national level, a National Steering Committee (NSC) has been established. The NSC will meet annually or as required to review overall implementation progress, approve annual work-plans and budgets, and provide overall policy guidance. The National Project Management Office (NPMO) will provide secretariat services to NSC. Provincial Steering Committees (PSCs) have been established to ensure inter-agency coordination at 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. 82. 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 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 provincial level, and coordination and management of 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. 83. At provincial and district levels staff has been nominated for committees responsible for LARC matters. They were among the 105 provincial and district staff attending the orientation workshops between 24 and 29 October 2011 organized and conducted by GIC for all four Project provinces including among other topics: General introduction into LARC planning. Specific explanations about country safeguard standards and Lao legal context. Briefing about ADB involuntary resettlement and social safeguards standards. Description of compensation approach for subproject conditions. 84. Relevant LARC related legal documents were distributed to the attendants of this workshop. The same staff has been involved in the consultation process, LARC-PMS screening socio-economic surveys and IOLs during the subprojects feasibility and detailed design stages. 24
12. IMPLEMENTATION SCHEDULE 85. The three PPTA representative subprojects are grouped as batch 1 of the Project s year 1 beside 6 other subprojects grouped as batch 2. 86. An overview about performed and scheduled activities of design and construction works, together with related LARC activities has been prepared in Table 10. In general, this subproject is scheduled to commence physical construction in May 2013 2013 as shown under the 2 nd batch 6 subprojects schedule of activities. 87. Concerning LAC activities, the DMS, SESAH, formal land acquisition and preparation of Updated RPs have been completed. Table 10: Subprojects Performed and Scheduled LAC Activities of Project Year 1 25
13. MONITORING AND REPORTING 88. The LAC monitoring is embedded in the overall M&E approach of the subproject. The M&E distinguish between internal and external components. The technical approach of the LAC related M&E will have to be transparent, and any data or information made available to involved stakeholders in Lao and/or English language. 13.1 Internal M&E 89. The PPO in cooperation with DCO is responsible for internal monitoring of LAC implementation. The monitoring strategy will have to be defined and agreed upon on a participative approach involving different stakeholders, such as communities, organizations, individuals, representatives and others, but certainly subproject affected people. A resettlement related internal monitoring concerns mainly LAC-performance in terms of whether the overall subproject and resettlement objectives are being met mainly with focus on (a) assessing if mitigation measures and compensation are sufficient, (b) identifying methods of responding immediately to mitigate problems through remedial actions, (c) smooth transition between LARC activities and civil works, and (d) others, as regarded necessary. Provincial monthly monitoring report from PPO will provide the achievements and progress. The PMO will verify and consolidate these reports in its quarterly M&E reports. 13.2 External M&E 90. Independent external monitoring of LAC aspects can be integrated in the subprojects overall external safeguards monitoring on an annual, mid-term and/or end-term basis. PMO will have to initiate this task to be carried out by an independent individual specialist, organization or authorities. The EMA will include impact and effects monitoring including but not limited to the following: (a) voluntary land donation, (b) involuntary land acquisition and compensation, (c) socio-economic effects, particularly changes in living standards and livelihoods, and (d) need for additional mitigation measures, as required. Once the land acquisition and LACP have been completed, this monitoring will evaluate post-land acquisition impacts to assess whether impacts of the subproject have been mitigated. Halfyearly M&E reports would be prepared. 26
ATTACHMENT 1: DEFINITIONS OF KEY TERMS Resettlement Plan (RP) is a time-bound action plan with budget setting out resettlement strategy, objectives, entitlement, actions, responsibilities, monitoring and evaluation. Affected Person (AP) indicates any juridical person being as it may an individual, a household, a firm or a private or public who, on account of the execution of the proposed project or any of its components or subprojects or parts thereof would have their: (i) right, title or interest in any house, land (including residential, agricultural and grazing land) or any other fixed or moveable asset acquired or possessed, in full or in part, permanently or temporarily; or (ii) business, occupation, work, place of residence or habitat adversely affected; or (iii) standard of living adversely affected. Severely Affected Person for this proposed subproject is defined as a person who will: (i) lose more than 10% of total agriculture/aquaculture land holding, and/or (ii) relocate and/or lose more than 50% of their main residential and/or commercial property, and/or (iii) lose more than 10% of total income sources due to the proposed project. Land Acquisition means the process whereby a person is compelled by a public agency to alienate all or part of the land s/he owns or possesses, to the ownership and possession of that agency, for public purpose in return for fair compensation. Replacement Cost means the cost of replacing lost assets and incomes, including cost of transactions. If land, it means the cost of buying a replacement land near the lost land with equal productive potential and same or better legal status, including transaction costs. If structures, the replacement cost is the current fair market price of building materials and required labor cost without depreciation or deductions for salvaged building material or other transaction cost. Market prices will be used for crops, trees and other commodities. Resettlement Effects mean all negative situations directly caused by the project and/or subproject including loss of land, property, income generation opportunity, and cultural assets. Relocation means the physical relocation of an AP from her/his pre-project place of residence. Rehabilitation means the process to restore income earning capacity, production levels and living standards in a longer term. Rehabilitation measures are provided in the entitlement matrix as an integral part of the entitlements. Compensation means payment in cash or in kind to replace losses of land, housing, income and other assets caused by a project. Significant Resettlement Effect for each subproject means 200 people or more will experience major impacts. Major impacts include (i) (ii) physical displacement from housing and/or more than 10% of the household s productive (income generating) assets are lost. 100 people or more who are experiencing resettlement effects are indigenous people or vulnerable as defined in the policy, for example, female-headed households, those living close to, on or below the poverty line, and isolated communities, including those without legal title to assets and pastoralists; or (iii) more than 50 people experiencing resettlement effects are particularly vulnerable. A - 1
ATTACHMENT 2: LARC-FACT FINDING AND SCREENING Houay Xo Irrigation Subproject Paktha District - Bokeo Province PHOTOS 1 AND 2: ONE OF THREE EXISTING WEIRS TO BE REHABILITATED PHOTO 3: ACCESS ROAD TOWARDS MAIN CANAL PHOTO 4 AND 5 : PROPOSED CANAL FOR REHABILITATION TECHNICAL DESCRIPTION PHOTO 6: MAIN COMPONENTS YES NO DESCRIPTION Upgrading or rehabilitation x Existing facilities Construction of new physical facilities x Main canal Residential subproject area x Non-residential subproject area x PADDY FIELD ALONG SECONDARY CANAL CONSIDERED FOR REHABILITATION Access x Along main canal Weir x 3 existing weirs to be rehabilitated Main canal x MC1: 450 m lining, MC2: 350 m lining, MC3: 350 m lining. Gate x Gates at weirs an 9 farm turnouts Other canal/s x Drains x Road x POTENTIAL LAND ACQUISITION, RESETTLEMENT AND COMPENSATION (LARC) RELATED IMPACTS SELECTED KEY ITEMS YES NO DESCRIPTION Permanent land acquisition Temporary land acquisition Loss of houses/compounds Loss of agricultural land Displacement of people Change of land ownership and usage x x x x x x Loss of crops/trees x Loss of incomes and livelihoods x Loss of businesses/enterprises x Loss of access to facilities/services x Loss of community assets/ties x Loss of cultural/historical properties x Affected non-titled or vulnerable groups X Affected socio-economic activities x LIST OF TECHNICAL ASPECTS AND SCREENING IN ACCORDANCE WITH CHECKLISTS AS DEFINED BY LAO PDR GUIDELINES AND ADB REGULATIONS FINDING: THERE ARE MINOR LARC RELATED IMPACTS EXPECTED FOR THIS SUBPROJECT A - 2
ATTACHMENT 3: SUMMARY DATA SHEET SOCIO-ECONOMIC SURVEY OF AFFECTED HOUSEHOLDS A - 3
ATTACHMENT 4.1: LARC CONSULTATION AND COORDINATION Houay Xo Irrigation Subproject Paktha District - Bokeo Province PHOTO 1: INCEPTION WORKSHOP: KICK-OFF EVENT OF THE PROJECT PHOTO 2: ORIENTATION WORKSHOP: INTRODUCTION OF DISTRICT / PROVINCIAL PROJECT STAFF INTO LARC LAWS / REGULATIONS PHOTO 3: RECONNAISSANCE VISIT: INTRODUCTION MEETING BETWEEN DISTRICT / PROVINCIAL STAFF AND GIC PHOTO 4 AND 5: BRIEFING TO PPO, DRC AND DCO ABOUT LARC AND DMS (DETAILED DESIGN STAGE). ITINERARY PHOTO 5: PUBLIC MEETING. PHOTO 6: INTERVIEW AFFECTED PEOPLE ON SES AND SIGNING THE SES FORMS. DATE ACTION DESCRIPTION 13-18 July 2010 PPTA related cooperation and consultation with authorities and villagers Inception workshop Introduction to key stakeholders including representatives 03 August ------------------------------------------------ from MAF, MoF and Project staff from Bokeo, Luang 2011 Vientiane City Namtha, Phongsaly and Oudomxay provinces 07 September 2011 24-26 October 2011 23 November 2011 14/15 December 2011 24-27 December 2012 O7 June 2012 31 Aug 2012 9-10 March 2013 Introductory field visits ------------------------------------------------ Subproject areas Orientation workshop for Bokeo and Oudomxay provinces, and 5 districts ------------------------------------------------ Bokeo Feasibility study engineering ------------------------------------------------ Subproject area PMS fact finding mission ------------------------------------------------ Subproject area Capacity Development Training ------------------------------------------------ Oudomxai Town Detailed design engineering ------------------------------------------------ Subproject area DMS fact finding mission. Formal land acquisition. ------------------------------------------------ Subproject area Preliminary fact finding mission by GIC staff to the three provinces of Bokeo, Luang Namtha, and Phongsaly to: (i) Introduce GIC team to provincial/district Project staff; (ii) Get preliminary LARC related overview. Concerning 34 provincial and district staff incl. 17 women: (iii) Distributing LARC related Lao laws and technical guidelines to all attendants; (iv) Briefing formal and practical LARC aspects; Review of technical aspects at site including among others: (v) Conditions of existing irrigation infrastructure; (vi) Existing and/or new canal alignments. LARC related planning: (vii) Village consultation meeting; (viii) Transect walk with villagers and subproject staff; (ix) Preliminary Measurement Survey of land/ trees; (x) Discussion key-finding for LAC by PPO and GIC. Training Component Social Safeguard for Project Staff: (xi) General M&E of LARC related items; (xii) Specific criteria concerning pre-construction, construction and post-construction (operation) phases. Review of technical aspects at site including among others: (xiii) Final modification or confirmation of rehabilitation; (xiv) Existing and/or new infrastructure. Implementation of land acquisition: (xv) DMS and SESAH; (xvi) Disclosure of LAC related content; (xvii) Official procedures for land acquisition. A - 4
ATTACHMENT 4.2: ATTENDANCE LISTS OF COORDINATION AND VILLAGE CONSULTATION MEETINGS A - 5
ATTACHMENT 5.1: SUMMARY OF INVENTORY OF LOSS ATTACHMENT 5.2: OVERVIEW OF AHS, THEIR SOCIAL STATUS, AFFECTED LAND, THE RELATED THRESHOLD AND MAIN REASONS FOR THEIR VOLUNTARY DONATION A - 6
ATTACHMENT 6.1: COMPENSATION UNIT RATES AT PAKTHA DISTRICT LEVEL A - 7
ATTACHMENT 6.2: COMPENSATION UNIT RATES AT PAKTHA DISTRICT LEVEL A - 8
ATTACHMENT 6.3: COMPENSATION UNIT RATES AT PAKTHA DISTRICT LEVEL A - 9
ATTACHMENT 7.1: SIGNED COMPENSATION ENTITLEMENT FORMS SURVEY NUMBER 1 ENGLISH LAO A - 10
ATTACHMENT 7.2: SIGNED COMPENSATION ENTITLEMENT FORMS SURVEY NUMBER 2 ENGLISH LAO A - 11
ATTACHMENT 7.3: SIGNED COMPENSATION ENTITLEMENT FORMS SURVEY NUMBER 3 ENGLISH LAO A - 12
ATTACHMENT 7.4: SIGNED COMPENSATION ENTITLEMENT FORMS SURVEY NUMBER 4 ENGLISH LAO A - 13