vietnam irrigated agricultural improvement...

Vietnam Irrigated Agricultural Improvement Project (WB7, Hoa Binh Subproject Ethnic Minority Development Plan

SOCIALIST REPUBLIC OF VIETNAMMINISTRY OF AGRICULTURE AND RURAL DEVELOPMENT

IRRIGATED AGRICULTURAL IMPROVEMENT PROJECT

(IAIP)

ETHNIC MINORITY DEVELOPMENT PLAN

HOA BINH PROVINCE

(Draft 2)

Prepared byHoa Binh Provincial Project Management Unit

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July, 2013

TABLE OF CONTENTS

ABBREVIATIONS......................................................................................................................................4

DEFINITION OF TERMS............................................................................................................................5

EXECUTIVE SUMMARY............................................................................................................................7

I. INTRODUCTION..............................................................................................................................8

1. Project and Subproject Description................................................................................................8

2. Irrigated Agriculture Improvement Project- Hoa Binh Subproject..................................................8

2.1. Subproject 01: Improvement and upgrading of turbine and electric pump stations..............8

2.2. Overall objectives of the subproject improvement.............................................................8

2.3. Impacts of the subproject on the ethnic minority community..............................................9

II. LEGAL FRAMEWORK FOR ETHNIC MINORITY PEOPLE....................................................................9

1. The national legal and policy framework of Vietnam for ethnic minority people.......................9

2. The policies related to ethnic minorities...................................................................................10

3. Participation/grassroots democracy.........................................................................................10

4. The World Bank’s operational policy on ethnic minority peoples (OP 4.10).............................11

III. SOCIAL ASSESSMENT RESULTS.....................................................................................................12

1. Socio-economic status of the project area...............................................................................12

2. Socio-economic profile of the affected households..................................................................12

2.1. Demography.....................................................................................................................12

2.2. Education......................................................................................................................14

2.3. Health...............................................................................................................................14

2.4. Clean Water and Energy...................................................................................................14

3. Ethnic minority communities in the project area......................................................................15

3.1. Muong community in Hoa Binh Province......................................................................15

3.2. Thai Community in Mai Chau........................................................................................16

IV. SUMMARY OF PUBLIC CONSULTATION RESULTS WITH THE ETHNIC MINORITY COMMUNITIES18

V. CONSULTATION FRAMEWORK WITH THE ETHNIC MINORITY COMMUNITIES.............................20

1. Consultation framework with the ethnic minority communities during the project implementation................................................................................................................................20

2. Disclosure of EMDP...................................................................................................................21

VI. ACTION PLAN FOR MITIGATION MEASURES OR COMPENSATION FOR ADVERSE IMPACTS CAUSED BY THE PROJECT......................................................................................................................22

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VII. ESTIMATED COST BUDGET ALLOCATION FOR EMDP IMPLEMENTION.....................................24

VIII. GRIEVANCE REDRESS MECHANISM...........................................................................................24

1. The key principles of the grievance redress mechanism...........................................................24

2. Grievance Redress Mechanism.................................................................................................24

IX. MONITORING AND EVALUATION MECHANISM........................................................................25

1. Monitoring Principles................................................................................................................25

2. Internal Monitoring..................................................................................................................26

3. External Monitoring and Evaluation.........................................................................................26

ANNEXES...............................................................................................................................................28

ANNEX 1. PROJECT AREA......................................................................................................................28

PHỤ LỤC 2 - SOCIO-ECONOMIC FORM.................................................................................................29

ANNEX 3. BASIC INFORMATION OF THE PROJECT COMMUNES...........................................................35

ANNEX 4. SUMARY OF COMMUNITY CONSULTATION RESULTS...........................................................40

LIST OF TABLES AND CHART

Table 1. Legal documents relating to ethnic minorities.........................................................................11

Table 2. Number of project affected households..................................................................................12

Table 3. Summary of consultation results.............................................................................................18

Table 4. Action plans which involve the participation of the ethnic minorities......................................21

Table 5. Budget for EMDP Implementation...........................................................................................24

Chart 1. Everage Income Level of Population in Effected Communes.................................................13

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ABBREVIATIONS

APs Affected people

CPC Commune People's Committee

CPO Central Project Office

DARD Department of Agriculture and Rural Development

DMS Detailed Measurement Survey

DPC District People's Committee

DRC District Resettlement Committee

EMPF Ethnic Minority Policy Framework

EMDP Ethnic Minority Development Plan

EMP Ethnic Minority People

GOV Government of Vietnam

HH Household

IOL Inventory of Losses

MOLISA Ministry of Labor, War Invalids and Social Affairs

MOF Ministry of Finance

LURC Land Use Rights Certificate

NGO Non-Governmental Organization

OP 4.10 Operation Procedures on Ethnic Minority Peoples

PAD Project Appraisal Documents

PRA Participatory Rural Appraisal a

PPMU Provincial Project Management Unit

PPC Provincial People's Committee

RP Resettlement Plan

TOR Terms of Reference

VND Vietnam Dong

WB World Bank

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DEFINITION OF TERMS

Project impact

Means positive and negative impacts on EMs caused by all project components. Adverse impacts are often consequences immediately related to the taking of a parcel of land or to restrictions in the use of legally designated parks or protected areas. People directly affected by land acquisition may lose their home, farmland, property, business, or other means of livelihood. In other words, they lose their ownership, occupancy, or use rights, because of land acquisition or restriction of access.

Displaced (affected) people

Refers to individuals or organizations that are directly affected socially and economically by Bank-assisted investment projects caused by the involuntary taking of land and other assets that results in (i) relocation or loss of shelter; (ii) loss of assets or access to assets; or (iii) loss of income sources or means of livelihood, whether or not the affected persons must move to another location. The involuntary taking of land includes the exercise of possession when the proprietor has allowed and benefited from others' occupation of the area. In addition, displaced person is one for whom involuntary restriction of access to legally designated parks and protected areas that result in adverse impacts on livelihoods also; this category of displaced person would be unlikely in the urban area, however.

Indigenous Peoples

Equivalent with ethnic minority peoples in Viet Nam to refer to a distinct, vulnerable, social and cultural group possessing the following characteristics in varying degrees: (i) self-identification as members of a distinct indigenous cultural group and recognition of this identify by others; (ii) collective attachment to geographically distinct habitats or ancestral territories in the project area and to the natural resources in these habitats and territories; (iii) customary cultural, social, economic, social or political institutions that are separate from those of the dominant society and culture; and (iv) an indigenous language, often different from the official language of the country or region.

Vulnerable groups

Distinct groups of people who might suffer disproportionately or face the risk of being further marginalized by the effects of resettlement and specifically include: (i) women headed household (widow, disabled husband with elderly or children), (ii) disable or the elderly alone, (iii) poor people (living below the state poverty threshold), (iv) the landless, and (v) ethnic minority groups.

Culturally appropriate

Means having regard for all facets of the cultures, and being sensitive to their dynamics.

Free, prior and informed consultation

Is a consultation that occurs freely and voluntarily, without any external manipulation, interference, or coercion, for which the parties consulted have prior access to information on the intent and scope of the proposed project in a culturally appropriate manner, form, and language.

Collective attachment

Means that for generations there has been a physical presence in and economic ties to lands and territories traditionally owned, or customarily used or occupied, by the group concerned, including areas that hold special significance for it, such as sacred sites. “Collective attachment” also refers to the attachment of transhumant/nomadic groups to the territory they use on a seasonal or cyclical basis.

Customary rights to lands and resources

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Refers to patterns of long-standing community land and resource usage in accordance with Ethnic Minority Peoples’ customary laws, values, customs, and traditions, including seasonal or cyclical use, rather than formal legal title to land and resources issued by the State.

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EXECUTIVE SUMMARY

1. Hoa Binh Subproject 01 aims to improve 9 hydraulic pump stations and 1 electric pump station in 10 communes of 5 districts in Hoa Binh province. This Ethnic Minority Development Plan (EMDP) is formulated based on the Ethnic Minority Policy Framework (EMPF) of Viet Nam Irrigated Agricultural Improvement Project (VIAIP), social assessment and socio-economic survey of the sub-component area and an inventory of losses of this Sub-component in the Hoa Binh Province;

2. Among 10 improved pump stations, three stations will have impacts on land acquisition. They are stations namely Nhot, in Thanh Hoi commune, Tan Lac district; Bai Ve in Pieng Ve commune and Xuan Tien in Xam Khoe (Mai Chau district);

3. Affected ethnic minority communities of the Sub-component include the Thai community in Mai Chau District and the Muong ethnic community in all five project districts;

4. Three communes are affected by the improvement of the water pumps, namely Pieng Ve, Xam Khoe (Mai Chau District) and Thanh Hoi (Tan Lac District);

5. 17 ethnic minority households are affected by the sub-component, including six Thai households (three households in Pieng Ve Commune and three households in Xam Khoe Commune) and 11 Muong households (2 households in Xam Khoe and 9 households in Thanh Hoi);

6. Muong and Thai communities in the affected communes are long-standing ethnic minority communities in Hoa Binh Province. In Mai Chau District, due to the history of co-existence between Thai and Muong people, during the development process, they influence each other with regards to cultural factors. However, both Muong and Thai communities in Hoa Binh Province still maintain the traditional features of their own groups.

7. All affected ethnic minority households have a level of education of secondary school and 100% of the households are engaged in agriculture, thus their main income source is from agriculture. The average income level of these households, although lower than the average income level of the communes, is higher than the poverty threshold standard established by MOLISA.

8. The affected Ethnic Minority (EM) households lose a total of 271 m2 of agricultural land (land for growing groundnuts) and 10 china trees (xoan). No structures are affected by the project or less than 10% of their landholdings are affected by the project. Among 17 affected EM households, there is 1 household headed by single woman and 1 poor household.

9. The consultation results show that the affected EM households and EM communities in the communes expect that the Project will be implemented as soon as possible because they are clearly aware of the benefits brought by the Sub-component. The civil works Sub-component mainly carried out on the existing canals; therefore, the construction works will not affect any places of worship, pagoda, temple or religious structure of the EM communities in the project area.

10. An Action Plan aiming to minimize the negative impacts is developed incorporating activities of the RAP and EMP. Costs of these activities are included in the RAP and EMP.

11. The PPMU is responsible for fully disclosing the project’s information to the EM communities in respect to their traditions and customs. The PPMU also ensures the consultation with and participation of EM communities in the project implementation

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process. An external monitoring agency is responsible for monitoring of EMDP activities.

I. INTRODUCTION

1. Project and Subproject Description

Vietnam Irrigated Agriculture Improvement Project (WB7)

The Government of Vietnam proposed to the World Bank for a loan to carry out a project called Irrigated Agriculture Improvement (WB7) to provide support for development of agriculture in 07 provinces in the Central Coastal and Northern mountainous provinces including Phu Tho, Hoa Binh, Ha Giang, Thanh Hoa, Ha Tinh, Quang Nam and Quang Tri. The proposed project consists of the following components (i) Institution and Policy to support water resources management; (ii) Upgrade of irrigation scheme; (iii) Climate smart agriculture support services; and (iv) Monitoring and evaluation of the project.

Development objectives of the Project

The development objective of the project is the improvement of sustainability of irrigated agriculture production system in the selected provinces of Central coastal and Northern mountainous provinces of Vietnam. The project was proposed in the context that the Government prioritizes restructuring of agriculture, increase in efficiency for public spending, resilience to climate change and a broader framework for sustainable development of water resources. This development objective will be realized through rehabilitation of irrigation and drainage services, provisions of complementary advisory services, and strengthening institutional capacity at the provincial level, scheme and farm/community levels.

2. Irrigated Agriculture Improvement Project- Hoa Binh Subproject

2.1. Subproject 01: Improvement and upgrading of turbine and electric pump stations

Subproject No. 01: Improvement and upgrading of 10 turbine pump stations and 1 electric pump station together with the irrigation system in 10 communes including Mai Hich, Pieng Ve, Xam Khoe, Thanh Hoi, Gio Nhan, Lo Son, Gia Mo, Tan Vinh, Cao Phong Town, and Tan My belonging to 5 districts, namely Luong Son, Lac Son, Tan Lac, Cao Phong and Mai Chau of Hoa Binh Province.

2.2. Overall objectives of the subproject improvement

The objectives of the Project will be achieved through the following specific activities: (i) the Project will provide the advisory activities in order to strengthen the institutional capacity at provincial level, scheme and farm/community levels to improve irrigation and drainage services,; (ii) support more flexible and more diverse land use, increase water use efficiency, and minimize adverse impacts on the environment (including greenhouse gas emissions through a “Climate-Smart Agriculture” approach in different ecological contexts will); and (iii) design and introduce a water management approach based on water productivity to encourage institutional improvements at provincial, IMC and scheme levels.

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Specific objectives of the Subproject No. 01: Improvement and Upgrading of Turbine and Electric Pump Stations

Assure supply of reliable gravity irrigation for 1,048 ha of agricultural land including 648 ha of rice-growing land and 400 ha of land for growing oranges trees and other crops.

Supply domestic water for people and water for livestock husbandry purposes.

Increase assured water-supplied area.

Increase rice yield by 1.5 tons per ha (from 4.5 tons/ha to 6.0 tons/ha).

Increase crops, from one-crop rice to two-crop rice.

Increase area of rain-fed crops.

2.3. Impacts of the subproject on the ethnic minority community

Positive impactsSubproject 01 irrigated for 1,048 ha and has 5,352 benefited households. Total number of beneficiaries of Subproject 01 is 21,448 people; of which 80.6% is ethnic minorities.

The hydraulic pump stations and electric pump station of Subproject 01 were constructed with the main objective which is to supply irrigating water for fields in the communes; in addition, to husk, generate electricity or supply water for fish pond of the ethnic minority households. Due to the fact that the construction time was long ago, currently, the stations are degraded, the canal system is leaking, and there is not enough water for the designed fields’ irrigation.

The consultations show that the improvement of the stations will bring ethnic minority communities effectiveness in production and indirectly increase the people’s income. These positive impacts are presented in following aspects:

Increasing irrigated area of land for rice; therefore, number of rice harvest season can be risen from 1 to 2 for the ethnic minority communities;

It can utilized to intercrop to make a more diversified livelihood for the ethnic minority communities;

Increasing area of fish pond of the households, especially Thai ethnic households – ones are really good at aquaculture;

Upgraded stations will reduce competitiveness in using irrigating water; thus, disputes and disunity of the ethnic minority households will be decreased;

Negative impacts

17 ethnic minority households (11 Muong households and 6 Thai households) will be affected by the construction of the turbine stations

All of these households are affected on their productive land and no household is affected on residential land and structures.

The total land area to be acquired is 264 m2 and no household loses more than 10% of their agricultural landholdings.

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II. LEGAL FRAMEWORK FOR ETHNIC MINORITY PEOPLE

1. The national legal and policy framework of Vietnam for ethnic minority people

The Constitution of the Socialist Republic of Viet Nam (enacted in 1992 and amended 2001) acknowledges the equality among ethnic groups and includes the following general principles as stipulated in Article 5, Article 30, Article 36 and Article 39 of the Constitution:

Viet Nam is a united nation of all ethnic groups living within the country.

The State applies a policy of equality, solidarity and mutual support among the various ethnic communities and prohibits all acts of ethnic discrimination and division.

All ethnic groups have the right to use their own languages and writing systems and to preserve their traditional customs and culture.

The State implements policies of all-round development aimed at gradually improving and raising the material and spiritual and living conditions of ethnic minorities.

The State will take charge of and will ensure the promotion of the cultural values of all nationalities in Viet Nam.

The State gives priority for the development of education and health care to mountain inhabitants and ethnic minorities.

2. The policies related to ethnic minorities

The Government of Viet Nam has passed a series of policies related to ethnic minority development, particularly in remote mountainous areas. One of the most relevant of these is Decision No.134/2004/QD-TTg (referred to as “Program 134”) of the Prime Minister, dated on 20 July 2004, which includes a number of policies to provide some land support policies for agricultural production, residential land, dwelling houses and clean water for daily-life to poor ethnic minority households meeting with difficulties. .

Decree No.60/2008/ND-CP of the Prime Minister, dated 9 May 2008, prescribes the functions, tasks, powers and organizational structure of the Committee for Ethnic Minority Affairs (CEMA). This ministerial level agency is under the Government, which performs its functions of state management on ethnic minority affairs nationwide and on public services within its authorities, and provincial departments. Provinces with a numerous ethnic minority population have Departments of Ethnic Minority Affairs under the Provincial People’s Committees. The functions of a CEMA ranges from the development of laws to the implementation of programmes, monitoring and acting as an inter-agency of different ministries of Viet Nam and cooperating with international organizations within its authorities regulated by law. In 1995, CEMA developed a framework for external assistance with the development of ethnic minorities. This framework resulted in a strategy for the development of ethnic minority people within the Government's goal of stability, sustainable growth and reduction of poverty. The key points of this framework are: a) To fight against poverty; b) To encourage the active participation of the populations of ethnic minorities in their own development; c) To reinforce the institutions involving ethnic minorities; d) To develop natural and human resources in a sustainable manner; and e) To ensure mutual respect and increase responsibility of the parties involved.

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3. Participation/grassroots democracy

The Government’s documents on the grassroots democracy and public participation are also relevant to this EMPF. Ordinance No.34/2007/PL-UBTVQH11, dated 20 April, 2007 (superseding Decree No.79/2003/ND-CP dated 7 July 2003) on the implementation of democracy in commune, ward and township levels, provides the basis for the community participation and supervision in the preparation and development of plans in Viet Nam. The Prime Minister’s Decision No.80/2005/QD-TTg, dated 18 April 2005, promulgates the regulations on the community investment supervision.

The enacting of economic and social policies, which take the needs of ethnic minorities into account, is a requirement. Vietnam’s Socio-Economic Development Plan and Socio-Economic Development Strategy specifically call for attention to ethnic minorities. Major programs targeting ethnic minority people include Program 135 (socioeconomic development for extremely poor communes in ethnic minority and mountainous areas, Phase 1 &2) and Program 134 (support of productive land, residential land, housing and clean water for poor ethnic minorities and hard life). A policy on education and health care for ethnic minorities is in place. All legal document references are in Table 1.

Table 1. Legal documents relating to ethnic minorities

2010

Decree No.82/2010/ND-CP of government, dated 20 July 2010 on teaching and learning of ethnic minority languages in schools.

2009

Decree No.69/2009/ND-CP of government, dated 13 August 2009 on regulating additional planning of land use, land prices, land acquisition, compensation, assistance and resettlement.200

8Resolution No.30a/2008/NQ-CP of government, dated 27 Dec. 2008 on support program for rapid and sustainable poverty reduction for 61 poorest districts.

2008

Decision No.74/2008/QD-TTg of the Prime Minister dated 9-June-2008 on support productive land and residential land for poor ethnic minority households in Mekong Delta area.200

8Decree No.60/2008/NĐ-CP dated 9-May-2008 of the government on the functions, tasks, authorities and structure of the Committee for Ethnic Minority Affairs.

2007

Decision No. 112/2007/QĐ-TTg dated on 20/7/2007 on support policy for services, improvement and increase in people’s lives, provision of legal assistance for raising awareness of laws in program 135, phase II.

2007

Decision No.33/2007/QD-TTg of the Prime Minister dated 05-July-2007 on the policy of assistance to relocate ethnic minority people for settled, from 2007 to 2010.

2007

Decision No.01/2007/QD-UBDT dated 31-May-2007 of the Committee for Ethnic Minorities Affair on the recognition of communes, districts in the mountainous areas.

2007

Decision No.05/2007/QD-UBDT dated 06-September-2007 of the Committee for Ethnic Minorities Affair on its acceptance for three regions of ethnic minorities and mountainous areas based on development status

2007

Circular No.06 dated 20-September-2007 of the Committee for Ethnic Minorities Affair guidance on the assistance for services, improved livelihood of people, technical assistance for improving the knowledge on the laws according the decision 112/2007/QD-TTg

2007

Decision No.06/2007/QD-UBDT dated 12-January-2007 of the Committee for Ethnic Minorities Affair on the strategy of media for the program 135-phase 2

2007

Decree No.84/2007/ND-CP of the Government of Vietnam on revision of issuing LURC, land acquisition, implementation of land use right, procedure for compensation, resettlement when land acquired by State and grievance redress.

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2001

Decree No.70/2001/ND-CP: all documents registering family assets and land use rights must be in the names of both husband and wife.

4. The World Bank’s operational policy on ethnic minority peoples (OP 4.10)

The WB’s Operational Policy 4.10 (Ethnic Minority Peoples) requires engaging in a process of free, prior, and informed consultation. The Bank provides project financing only where free, prior, and informed consultation results in broad-based community support to the project by the affected ethnic minority peoples. Such WB-financed projects must include measures to (a) avoid potentially adverse effects on the ethnic minority communities; or (b) when avoidance is not feasible, minimize, mitigate, or compensate for such effects. WB-financed projects are also designed to ensure that ethnic minority peoples receive social and economic benefits that are culturally appropriate and gender and intergenerational inclusive.

As a prerequisite for any investment project approval, OP 4.10 requires the borrower to conduct free, prior and informed consultations with potentially affected ethnic minority peoples and to establish their broad-based community support to the project objectives and activities. It is important to note that the OP 4.10 refers to social groups and communities, and not to individuals. The primary objectives of OP 4.10 are:

To ensure that ethnic minority groups are afforded meaningful opportunities to participate in planning project activities that affects them;

To ensure that opportunities to provide ethnic minority groups with culturally appropriate benefits are considered; and

To ensure that any project impacts that adversely affect them are avoided or otherwise minimized, mitigated or compensated.

In the context of Irrigated Agricultural Improvement Project, the ethnic minority groups in the subproject areas are likely to receive long term benefits from the improved irrigation system and water supply system to the people, but they may be negatively affected by land acquisition and/or relocation. Specific policy and action plan to mitigate the potential impacts due to land acquisition and relocation are addressed through the Resettlement Plan (RP) for the case of each sub-project is land acquisition is involved.

III. SOCIAL ASSESSMENT RESULTS

1. Socio-economic status of the project area

By administrative border, the Subproject lies in 10 communes of 5 districts of Hoa Binh Province. The natural land area of these 10 communes is 21,356.41 ha including 7,955.26 ha of agricultural land. The total area of used land is 4,823.91 ha. There are 1,866.58 ha of rice-growing land including one-crop, two-crop and three-crop rice growing lands. The area for growing rain-fed crops is 4,144.43 ha.

The total population of the communes in the subproject area is 40,872 people belonging to 9,932 households. The household size on average is 4.11 persons.

The population density of these communes is 214.53 people per square kilometer, which is higher than the average density of Hoa Binh Province (174 people per square kilometer).

The poverty incidence of 10 communes is 23.2%. However, among 10 communes, the rates of poor households vary significantly. For example, Cao Phong Town, Tan Vinh

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Commune and Thanh Hoi Commune have the percentages of poor households of 1.2%, 5%, and 7%, respectively. Two communes in Mai Chau District, namely Mai Hich and Xam Khoe, have poverty incidences more than 10% (16.23% and 10.92%, respectively). These communes have lower poverty rates compared to the average rate of Hoa Binh Province, which is 24.5%. However, the rest has much higher poverty rates, from 28.7% to 55.09%.

Apart from Cao Phong Town where Kinh people account for the majority (93%), the other communes have high proportions of ethnic minority people, occupying nearly 100%. Only 3 communes in Mai Chau District have higher proportion of Thai ethnic group; in the other communes in the subproject area, Muong people make up the majority.

2. Socio-economic profile of the affected households

2.1. Demography

Three communes are affected by the construction and upgrading of the turbine pump stations, which are Pieng Ve, Xam Khoe (Mai Chau District), and Thanh Hoi (Tan Lac District). The total number of affected households in 3 communes is 51, including 17 affected ethnic minority households (3 Thai households in Pieng Ve, three Thai households and two Muong households in Xam Khoe, and nine Muong households in Thanh Hoi).

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Table 2. Number of project affected households

District/ Commun

e

Total numbe

r of PAHs

Total number of

SES respondin

g household

s

Total numbe

r of person

s

Including Ethnicity

Male

Female

Kinh Muong ThaiHH

Person

HH

Person

HH

Person

Pieng Ve

04 04 13 3 10 01 02 0 0 03 11

Xam Khoe

38 38 138 68 70 33 133 02 02 03 03

Thanh Hoi

09 09 31 16 15 0 0 09 31 0 0

Total 51 51 182 87 95 34 135 11 33 06 14

Source: SES and IOL survey data

There are 47 persons in 17 affected EM households. The percent of these household members who are in the working age accounts for 76.4%, including 28.6% of people in the 18 to 30 age group and 47.8% in the 31 to 60 age group.

The level of education of most of the household members is secondary school (not graduated from secondary school), which accounts for 47.8%. The illiteracy rate is 1.1%, mostly common among the elderly belonging to Thai ethnic group in Xam Khoe Commune.

100% of the affected EM households are engaged in agriculture. The agricultural activities are mainly growing rice, crops and forestation. Most of their agricultural products are for family use while forestry products (timber trees) are their source of income. Particularly, Thai people in Mai Chau District earn their income from other non-timber forest products such as bamboo sprouts and mushrooms, etc.

The average income of the affected EM households is mainly below VND 2 million (accounting for 76.4% of the affected EM households) or from VND 2 million to VND 3 million and more than VND 6 million (both figures are 11.8%). In which, agriculture is their primary source of income. Although this income level is higher than the poverty threshold regulated by MOLISA, it is much lower than the average income level of the rest of population in the project area.

Xăm Khòe Piềng Vế Thanh Hối0

200000

400000

600000

800000

1000000

1200000

1400000

Average income of the affected EM HHsAverage income of the commune

Chart 1. Everage Income Level of Population in Effected Communes

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2.2. Education

All of the 3 communes do not have high school but primary and secondary schools. According to the report of the 3 CPCs, their achievement is that all children go to school at the right school-age. However, ethnic minority students tend to drop out of school; in addition, the percentages of children leaving school among Thai and Muong groups in these communes are similar.

Most of the household members are able to fluently use Vietnamese (listening, speaking, reading and writing skills). Only 2 elderly women of 2 affected Thai households in Xam Khoe Commune are illiterate.

2.3. Health

All 3 affected communes in the subproject area have solidly-built health station. All of these stations have doctors except for Xam Khoe Commune, physicians, and nurses. The number of staff in each health station is from 3 to 5 people. The stations are all in the communes’ centers; therefore, there are villages up to 7 to 10 km from the clinics. However, the numbers of people going for medical examination in these communes are around 2,000 people per year in Xam Khoe Commune and up to 4,400 in Thanh Hoi Commune. In all communes, there are health staff networks at villages.

The common disease in these communes is ordinary influenza. There is only one malaria case reported in Thanh Hoi Commune.

Drug users and HIV-infected people are mainly concentrated in communes in Mai Chau District. However, Pieng Ve Commune does not provide the data concerning this issue. Xam Khoe Commune has 28 drug users and 8 HIV-infected people.

2.4. Clean Water and Energy

In these communes, people mainly use water for domestic purposes from dug wells or mountain creeks which is led to the village’s water tanks. These clean water tanks were built by capital of Rural Water Supply and Sanitation National Target Program. For the affected households, 76% use dug well water while 21.6% of the households use water from mountain creeks (running to their water tanks) and only 2% of the households use water from river, lake and pond.

100% of the households use electricity for lighting and other activities such as listening to radio or watching TV, etc. However, for cooking, 100% of the EM households use firewood.

Project’s impacts on the ethnic minority households

The construction and improvement of turbine pump stations in 3 communes, Pieng Ve, Xam Khoe and Thanh Hoi, requires land acquisition of 271 m2 belonging to 14 ethnic minority households. Land area to be acquired is mainly in Xam Khoe Commune and a small part is in Thanh Hoi Commune. 3 EM households in Pieng Ve Commune are only affected on trees and crops.

All of the affected EM households lose less than 10% of their total land holdings.

The main type of affected land of these households is agricultural land for growing groundnuts; there is no household affected on their rice-growing land.

3 ethnic minority households in Pieng Ve Commune lose 10 china-trees which are planted on the land area under the management of the Commune People’s Committee.

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The consultations show that all of the EM households have been granted land-use right certificates and they report that the land acquisition does not significantly affect their family income. When the project is finished, irrigation water supply will be improved, which will facilitate the increase in yields and crops. Therefore, communities consulted the quick implementation giving their full support to the Project. The current irrigation practices are described below.

3. Ethnic minority communities in the project area

3.1. Muong community in Hoa Binh Province

Muong ethnic group has a population of 1,137,515 people nationwide, mainly in Hoa Binh, Phu Tho, Son La, Yen Bai, Thanh Hoa, and Ninh Binh provinces and scattered in other provinces such as Hanoi, Ha Nam and Central Highland provinces. Particularly in Hoa Binh Province, the population of Muong ethnic group is 479,197 people, accounting for 63% of the province’s total population and they still maintain their own traditions. Muong people are considered as indigenous people in Vietnam. In addition, according to the scholars, they have the same ancestors with Kinh people and share the same language family with the Kinh (Vietnamese-Muong language family).

Subsistence

Wet rice is their main food staple. They are mainly involved in labor-intensive traditional agriculture; although ploughs and rice plucking machines are available, they are not popular. People still thresh rice by hand.

Trading, business and services in the area observe a growing trend. Markets in the communes attract several business households and customers from other areas, especially during New Year and other festivals.

Quarrying for extracting building materials has been increasing recently; however, it causes many problems for the residents, particularly dust and noise pollutions.

Water management for cultivation

Traditionally, to distribute river water for agricultural irrigation purposes (growing wet rice), Muong people in Hoa Binh province have created an impoundment and irrigation canal system. As for the villages in the mountainous areas which are far from rivers, people have found a way to make water pipes to distribute water to the fields to serve wet-rice cultivation. The construction, management and protection of the irrigation canal system as well as water pipes are instructed by the village leaders with the contribution from people in the village. People are self-aware of the management, protection and use of such water supply system.

Currently, the CPC has established a Cooperative for managing and using water, grinder and electric generator. The Cooperative has been working under the instruction and supervision of the CPC, similarly to other agricultural cooperatives in the area and personnel includes the communal agricultural and environmental official as a person in charge of water distribution in the whole commune; members of the cooperative which are village leaders is directly responsible for water supply in the village. Fund obtained from husking and power generation was used to fix the pump station’s minor damage and support the cooperative members.

Due to the growing demand for water and a decrease in the capacity of the dam, over the last 20 years, it is difficult to take water for irrigation for the wet-rice fields. Several households have to send their family members to be on night duty to take water. Such difficulties have led to disputes and conflicts among households. In addition, there are currently similar disputes related to productive water. For this type of disputes, the commune

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and village leaders will resolve with the households having conflicts by reconciliation and propose the household implement according to following principle: water has to run from the higher field to the lower field and from the nearer one to the farther one.

Cultural and social

Muong people are still living in stilt houses; however, several Muong families have changed to build and live in earth houses/ flat houses as Kinh’s. Especially, many Muong families who are rich have built one-storey or two-storey solid houses. Their traditional cultural and spiritual life is still maintained although Muong people have been influenced by new cultural factors from costumes, household commodities to modern means such as television, disk player, motorbike, car, etc.

3.2. Thai Community in Mai Chau

Thai ethnic minority people in Mai Chau in general as well as Thai community in 3 communes Pieng Ve, Xam Khoe and Mai Hich are White Thai (Tay Khao) who migrated from Muong Huoc Puoc Kha (Bac Ha-Lao Cai Province) since the 14th century. Due to the proximity to Muong people, Thai people are influenced in several cultural factors of Muong people, which are reflected in their houses, costumes, and funeral ceremonies. However, Thai’s traditional spiritual culture and some ceremonies are still maintained.

Subsistence

Thai people in two communes namely Pieng Ve and Xam Khoe are mainly engaged in wet rice cultivation (which is called “Na” in Thai ethnic language). However, Thai people in this area, apart from wet rice farming, also cultivate rice on burnt-over land (called “hay”). Before, Thai people often grew two crops (fall crop and spring crop), and mainly cultivated glutinous rice. Nevertheless, today they grow more non-glutinous rice with new varieties and high yields. In addition, Thai people grow rain-fed crops such as maize, sweet potato and cassava. Hunting activities hardly exists. The majority of Thai households are involved in livestock husbandry (buffalo, pig, and chicken) to serve their family needs and use them as sacrifices in the ceremonies such as funeral, wedding, etc. Some households keep pond fishes.

On the fields, people grow cassava, maize and edible canna. In addition to livestock husbandry, some households also keep caged birds. Apart from rice and crops, Thai people grow “luong” bamboo (land for growing bamboo is allocated to the households by commune/village, bamboo seeds are supported by the Government funding).

In these communes, households also set up small shops selling miscellaneous goods including salt, monosodium glutamate, instant noodles, confectionary, cigarettes, stationery, etc. Traditional handicrafts such as growing cotton, raising silkworms and weaving fabric have been lost.

Physical culture

Thai people live in stilt houses (normally 5 compartments, 2 lean-tos, 2 stairs and several windows). Their stilt houses are greatly influenced by the structures of Muong’s stilt houses. In addition, costumes of Thai women in Mai Chau are also influenced by many Muong factors.

Before, Thai people only ate sticky rice; now they eat more non-glutinous rice. Their traditional dishes include grilled fish, sour fish, sour meat, and boiled pork on banana leaves.

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Even in Thai cuisine in Mai Chau, there are many elements from Muong cuisine, including square and wooden tray.

Social culture

Thai people gathered and lived in the area. The head of the village is called “tao ban”, there are a deputy-head who is in charge of social associations and a person called “cham ban” responsible for festivals and ceremonies. In each village, there are many families; however, “Ha” family often accounts for the majority. Other families in Mai Chau include Ha/Kha, Vi, Luong, Ngan and Quang. Noble family is “Ha Cong”. In Bang village, Ha family is the majority.

Spiritual culture

Before, Thai people in Mai Chau worshipped the “village ghost”. Each village had its village temple and the village ghost was worshipped annually in August according to the Lunar Calendar. The village ghost worship is conducted after worshiping the district ghos. However, since 1954, these ceremonies are no longer maintained. Today, Thai people only worship the “house ghost” (phi huon) and their father, which means that when the father passes away, only his son(s) can set up the altar in the house.

Thai people have their own script according to Pili-Sanskrit system. The content of ancient books is often about their migration history, family annals or traditional customs. However, today the number of Thai people who are able to read and write Thai language is very small.

Thai people have rich tradition of dances and folk-songs including many songs (khap) singing the praises of the country’s and village’s beautiful sceneries, duo songs, songs for wedding ceremonies and celebration of a baby’s first month old. The famous dances are fan dance, flower dance, dance with scarves, etc. especially during festivals or weddings and house-warming ceremonies.

Water use and management for cultivation

According to the traditions in Mai Chau in general, the management and use of water sources to serve production activities (irrigation), livestock husbandry and domestic purposes (cooking, washing) are prescribed in details in each provision of “Muong Law”. For example, according to “Muong Law” of Ha Cong Family in Mai Chau, the Provision 1 on field disputes specifies “If a person lets water out of the field of other people to steal water, he/she will be fined one ounce of silver together with alcohol and pork and has to give “một đồng cân bạc” (equal to 3.15 gramme of silver) with alcohol and chicken to the field owner. If a person drains off water pipes to the field of other people to steal water, he/she will be fined 3 ounces of silver together with alcohol and pork and has to give một đồng cân bạc” (equal to 3.15 gramme of silver) with alcohol and chicken to the field owner”.

The protection of domestic water source includes prohibitions of water pollution, especially at the river wharfs, in any form such as grazing cattle, burying dead people, poisoning (powdered lime, toxic substance), defecating, throwing carcasses, slaughtering chickens and pigs, fishing out placentas of newborns, excavating, washing clothes and swimming (particularly women who are in lying-in period) at the riverhead and around the wharfs. People who violate for the first time will be warned but if they repeat and are caught, they will be fined according to the village’s rules.

Currently, in order to ensure irrigation water for the fields, the hamlet management board establishes a three-member group to manage supervises and protects the operation of the station. The group will sign a contract with the management board for the duration from 3 to 5 years according to negotiations and agreements between two parties.

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Regarding their responsibilities and entitlements, the 3 member group is responsible for opening and closing the turbines to ensure irrigation water for the cultivated area, and giving an annual amount of VND 1 million to 1.2 million to the Management Board. The money earned from grinding business will belong to the 3 member group. If the machines need small repairs, the group shall fix by themselves; otherwise, they shall report to the Management Board and mobilize villagers to contribute for repairing.

Dredging irrigation canals and dams is the work shared by all households in the village. Accordingly, every year, before engaging in farming, the Management Board will mobilize people in the village to carry out this work. Distribution of irrigation water is carried out based on the principles of distance that is from the fields nearest to the canals to the farthest. No one is allowed to drain water from the fields.

IV. SUMMARY OF PUBLIC CONSULTATION RESULTS WITH THE ETHNIC MINORITY COMMUNITIES

The public consultations with the ethnic minority communities in Mai Chau were conducted during the preparation of the investment project, EMP, RAP and social assessment. The discussed topics during the social assessment and EMDP preparation include (i) the provision of information on the project and subprojects; (ii) the current livelihoods of the communities; (iii) learning about the current state of the irrigation system and clean water supply in the area; (iv) land acquisition, compensation, assistance and resettlement; and (v) evaluating people’s support for the project.

The consultations were organized in forms of in-depth group discussions and public meetings for ethnic minority in the project area. Both affected and non-affected people were invited by the Ethnic Minority Specialist to participate in the meetings. In addition, in-depth interviews with the prestigious elderly in the communities were conducted. People could take part in discussions as facilitated by the Ethnic Minority Specialist without any external interferences or constraints.

The discussions with ethnic minority communities were organized in the CPC and informed to the affected community. Among the consultations in the CPC, official language was used for consultation is Vietnamese, because all of participants are fluent in Vietnamese.

A total of 75 people participated in public meetings and group discussions including 38 commune officials and representatives of the mass organizations such as Women’s Union, Fatherland Front and Farmers’ Association and 3 prestigious persons from the ethnic minority communities and 37 community members (14 males and 23 females).

There are 10 elderly people in the ethnic minority communities of 3 affected communes participating in in-depth interview with the Ethnic Minority Specialist. These interviews were carried out in Thai language (for Thai ethnic community in Mai Chau) and in Kinh language for Muong ethnic community in other communes.

The results of community consultations are summarized in the Table 3 below.

Table 3. Summary of consultation results

Commune Date Participants Feedbacks and opinions from community members

Xam Khoe May 16

28 participants from PAHs and representatives of the

As the irrigation project is designed based on the existing irrigational canal system, the land acquisition impacts are not significant and thereby not severely affect household incomes

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commune leaders, including: 10 males and 18 females.

Pham Van Chien- Deputy Chairman of the CPC

Bui Van Dam- Party Cell Secretary, Xuan Tien Village

1/10 of the village is affected including 9 poor households and 2 Thai households.

from agriculture. People are very happy if the irrigation canals are built to serve cultivation and increase productivity. Therefore, people are willing to support the Project.

As the project is implemented based on the existing canal, there is only a section of around 450 meter long cutting through agricultural land for growing rice and crops (1 rice crop and 1 groundnut crop).

The local authorities are happy and expect that the project will be implemented as soon as possible because during the spring crop, there is a lack of irrigation water for agricultural production annually. Since the majority of the households are engaged in agriculture, thus their main income source is from agriculture. In addition, the village does not have any secondary income sources or traditional handicrafts, only some households have their family members working in other communes or districts.

We totally agree on acquisition of agricultural land. However, since it is permanent impact, it is required that the Project should provide adequate compensation.

The existing canal is using the drain of the road; therefore, when the project is implemented later, land acquisition is required.

It is suggested that the Project should consider and carry out a survey to build another canal connecting to the Hien field to supply irrigation water for both sides.

We are concerned that if the project is not finished and delayed, there will be no water for irrigation.

Pieng Ve May 10

4 PAHs

Ha Van Nhuong- Chairman of the CPC

Ha Van Thinh- Deputy Chairman

Ha Van Thiet-cadastral official of the CPC

Ha Van Nhan-Head of Bang village

Support the project;

The impacts are insignificant, so we expect that the project is implemented as soon as possible to have irrigation after for the fields.

Thanh Hoi May 13

5 PAHs

3 CPC officials/

We support the project and expect that the project will be finished as soon as possible.

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NGO Although the project does not cause significant impacts on Muong people, we are satisfactory that there will be compensations.

During the construction period, if there is any impacts emerged on crops, there should be compensation for losses for affected people.

People in the communes do not use water from pump station for domestic purposes but for irrigation of the fields.

V. CONSULTATION FRAMEWORK WITH THE ETHNIC MINORITY COMMUNITIES

1. Consultation framework with the ethnic minority communities during the project implementation

The consultation results with the ethnic minority communities in the project area show broad support from the affected ethnic minorities towards the Project. The consultations with the affected people and particularly affected ethnic minority households will be conducted before and during the project implementation.

To ensure that the consultations are transparent, the EM community consultation framework during the project implementation is summarized as below:

The PPMU will be responsible for ensuring that the ethnic minority people will be consulted about all of the subproject activities which can cause positive or potentially negative impacts on EM people during the subproject cycle.

The PPMU will be responsible for ensuring community participation through ward and commune people’s committees, community level groups/associations, local and EM leaders, Women's Union and Fatherland Front, and the local EM Affairs. It is crucial to invite all EM villagers to the meetings, and conduct separate meetings with EM women groups to get their perspective on the project activities and identify positive and negative impacts on their lives.

The PPMU will set up regular meetings with the Commune People’s Committees, Women's Union, Village Leaders, local community to ensure that all the involved people have full awareness and understanding about the project content. The aim of the consultations is that all the EMP people who are expected to be affected by the project will be properly informed and informed early about the project, its scope, expected impacts on the local community, mitigation measures, grievant redress mechanism, and implementation schedule. These meetings will be scheduled to follow set milestones throughout the subproject phases. The PPMU will coordinate with province level Department of EMP Affairs or the district level officials dealing with local EMP issues in order to ensure that all impacts are expressed and assessed in a timely manner.

Through the consultation process, the PPMU will inform EMP of their rights, the scope of the project and the potential effects on livelihoods, environment and resources. The PPMU will submit documentation of the engagement process to the WB for review and investigation. Where there are major differences or conflicts between the EMP and executing agency, the PPMU will adopt a process of “good faith” negotiations to resolve these differences. This includes mutual respect for cultural differences, discussing issues with legitimate representatives of EMP, allowing time for decision

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making, being willing to compromise, and documenting outcomes.

Culturally appropriate and gender inclusive methods and styles of communications will be used to address communication barriers. This may include translation of documents into local ethnic languages, using interpreters at community meetings; greater use of pictorial communications in subprojects when illiteracy or low education levels exist in EMP communities; and separate meetings for men and women where this is culturally necessary.

Above activities are summarized in table 4 below.

Table 4. Action plans which involve the participation of the ethnic minorities

Stage Activities and Target Participants Responsibilities

Project implementation

Guiding the Compensation, Assistance and Resettlement Boards at district and commune levels to carry out the survey on scope of impacts according to the detailed design of the Design Consulting Agency.

Conducting detailed measurement survey (DMS) in the area where EMs are living, updating the unit prices (if necessary)

Meeting affected EMs to discuss and ask about their feedbacks about DMS results, project’s resettlement policies, entitlements and resettlement options.

Summarizing EMDP in form of leaflet in the language appropriate to the EM groups or in languages of the relevant EM groups (if necessary).

Distributing leaflets to the affected EMs and posting the abbreviated EMDP at the CPCs’ and DPCs’ offices where the EMs are living.

Implementing EMDP.

Internal and external monitoring agencies carry out monitoring of EMDP implementation.

PPMU and Project detailed design consulting agency

DCARB, Social Consultant (if any) with support from commune and village officials

PPMU, Social Consultant (if any) with support from commune and village officials

PPMU, Social Consultant (if any)

PPMU, DCARB and Social Consultant

PPMU and DCARB with support from Social Consultant (if any)

Social Consultant (if any) and EMA

After completion of RP and EMDPAppraisal of EMDP objectives

Overall review of the completion of the project and conduct interviews with the PPMU and selected concerned agencies and EM DPs to ensure that the objectives of EMDP are achieved.

Monitoring agency

2. Disclosure of EMDP

EMDP will be disclosed to the EMs in the languages of the affected EM groups during the public meetings. Information about EMDP will be posted at public places such as offices of the communes’ and wards’ PCs or houses of the village patriarchs/ leaders. Information

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should be disclosed in form of written text together with pictures in order to ensure the accessibility to information of the EMs.

Draft EMDP will be disseminated at commune level in a public meeting with the participation of all stakeholders. The final EMDP will also be disclosed in a commune public meeting. Women representing the PAHs should be present at these meetings. The copies of EMDP (in Vietnamese) will be posted at the offices of the CPCs/WPCs and houses of the village leaders of the EMs. In addition, a copy of EMDP will be kept at the Info shop of World Bank office in Hanoi and uploaded on the website of the World Bank.

VI. ACTION PLAN FOR MITIGATION MEASURES OR COMPENSATION FOR ADVERSE IMPACTS CAUSED BY THE PROJECT

The project’s impacts are not significant and according to the social assessment results, most of Muong and Thai people do not use water from the irrigation canals from the pump stations for their domestic purposes and cooking, even for aquaculture. Both ethnic minority groups are able to receive and understand information provided and discuss in Vietnamese.

Land acquisition impacts are insignificant although affected households are those rely on productive land. However, land area to be acquired is not considerable, thus does not affect people’s income sources.

The positive impacts and benefits brought about by the Project to the community in general and affected people in particular are great since irrigation area and crops will be increased and thereby raise people’s income levels.

In order to minimize impacts caused by land acquisition and negative impacts on ethnic minority communities in a culturally appropriate manner, the following issues will be monitored:

The Project shall not acquire land of the ethnic minority people if it does not receive their broad support for the Project;

Affected ethnic minority people participate in all activities of the land acquisition process;

If they are directly affected by the Project, the ethnic minority communities are entitled to compensation for all affected land and assets, income and business at replacement cost and provision of full restoration measures to support them improving or at least maintaining their living standards, income and production capacity as pre-project level;

The lack of legal rights to the assets and loss of access will not prevent them from being eligible for compensation and rehabilitation measures.

The action plan for mitigation measures and compensation for adverse impacts caused by the Project is formulated based on:

Investment report of the Project;

Resettlement action plan;

Social assessment results on affected ethnic minority communities in which learning about their livelihoods, crop schedule, and crop structure of the communities in the affected communes and of the affected people;

The consultation results with the ethnic minority communities in the project area and with the affected households group. These consultations were conducted in form of

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public meetings and group discussions by gender, types of impacts and prestigious people in the communities.

Specifically:

Minimize land acquisition impacts

A Resettlement Action Plan has been developed in order to minimize adverse impacts caused by land acquisition. RAP specifies compensation and assistances for the affected people by types of impacts. In which:

Affected land will be compensated based on the following principles: (i) land-for-land compensation with land plots with equivalent area and productive capacity; or (ii) compensation in cash at the market value at the compensation time;

Other assets including houses, trees and crops will be compensated at replacement cost.

Minimize impacts on income and livelihoods

Assistances will be provided to make up for the impacts on income of people as specified in the RAP. Based on the degree of impacts of the affected households, assistances will be delivered at the same time of compensation payment.

Technical assistances for cultivation will be provided for the households who demand.

Vocational training and job creation assistances for the households losing agricultural land

For households losing agricultural land, apart from compensation and assistances as described above, they are entitled to job supporting and vocational training policy for people in the working age (Decree 52/2012). Accordingly, DPs losing agricultural land will be provided with the following assistances free of charge:

Vocational training assistance including: short-term vocational training (primary level and vocational training less than 3 months) or intermediate and college level with one-course fee paid by the State. Vocational training expenditures are included in the total cost of the investment project or approved compensation, assistance and resettlement plan;

Job-creation: consulting for vocational training, introducing jobs free of charge at the Job Centers under DOLISA. In case a business receives several labors who lose agricultural land to work will be entitled to preferential policies regarding land, credit, and tax according to the current regulations.

Besides, the EMDP also covers some specific activities in order to ensure the entitlements of ethnic minority people and women in the Project. The following activities will be carried out:

Conduct consultations about resettlement activities with the ethnic minority households, women, woman-headed households and elderly women;

DCARB will comprise representatives from the affected ethnic minority communities, District and Commune Women’s Unions, and women/ EM women from the affected households;

When carrying out DMS during RAP implementation, both men and women of the affected households will participate in this activity;

Compensation and assistances in cash will be delivered for both husband and wife of the affected household. Special attention will be paid for the poor and woman-headed households and elderly women through provision of compensation and assistances in

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a timely manner and formulation of appropriate livelihoods activities for the poor and woman-headed households and elderly households;

Land-use right certificates will be granted in the names of both husband and wife in case of land acquisition.

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VII. ESTIMATED COST BUDGET ALLOCATION FOR EMDP IMPLEMENTION

CPO/PPMU will ensure budget for implementing EMDP. Specific information is presented in table 5 below.

Table 5. Budget for EMDP Implementation

Agenda Specific activities Cost

Compensation for impacts on land and assets of affected EMs

Including compensation for losses of land and assets on land; other assistances

Included in RAP

Vocational training and job creation support

According to provisions in the Decree No. 52/2012/ND-CP

Implementation in compliance with the provisions of Decree 52/2012/ND-CP

Conduct consultations with affected EM communities during project implementation

Information disclosure;Distribution of leaflets/PIB;Public meetings

To be carried out during RAP implementation and included in RAP cost estimates (2% of the total cost of RAP implementation)

Communication campaign on HIV-prevention for workers and community

Communication campaign on HIV prevention for workersCommunication campaign on HIV prevention for community

Cost expected to be included in EMP

VIII. GRIEVANCE REDRESS MECHANISM

1. The key principles of the grievance redress mechanism

During the project implementation, ethnic minority people and other local communities and stakeholders may raise their grievance, claims to executing agencies or local authorities. As a result, a grievance redress mechanism (GRM) that supports for the whole project will also apply for EM people. To assure the mechanism is pragmatic and acceptable to affected EM people, this GRM ensures:

Basic rights and interests of affected EM people are protected.

EM people have the rights to lodge grievances and get their grievances settled for free of charge.

The GRM is part of the community-based conflict resolution process and is culturally appropriated

The GRM process and access must be publicly disclosed to affected communities and they should be informed about contact addresses of the respective organizations at relevant levels where complainants can send their grievances and complaints. Grievances related to any aspect of the Project will be handled through negotiations aimed at achieving the consensus.

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2. Grievance Redress Mechanism

The grievance mechanism is established to resolve complaints of EM people, which will pass through 3 stages before they could be elevated to a court of law as a last resort.

Stage 1, at the commune people’s committee level: An aggrieved affected household may bring his/her complaint before the receiving department of a Commune People’s Committee to be received and guided for necessary procedures. The CPC will meet personally with the aggrieved affected household and will have 5 days following the lodging of the complaint to resolve it (Note: in remote and mountainous areas, the complaint should be resolved within 15 days. The CPC secretariat is responsible for documenting and keeping file of all complaints that it handles. Upon issuance of decision of CPC, the complainants can make an appeal within 30 days. If the second decision has been issued and the household is still not satisfied with the decision, the household can elevate his/her complaint to the DPC.

Stage 2, at the district people’s committee level: Upon receipt of a complaint from a household, the DPC will have 15 days (or 45 days in remote and mountainous areas) following the lodging of the complaint to resolve the case. The DPC is responsible for documenting and keeping file of all complaints that it handles. Upon issuance of decision of DPC, the complainants can make an appeal within 30 days. If the second decision has been issued and the household is still not satisfied with the decision, the household can elevate his/her complaint to the PPC.

Stage 3, at the provincial people’s committee level: Upon receipt of complaint from the household, the PPC will have 30 days (or 45 days in remote and mountainous areas) following the lodging of the complaint to resolve the case. The PPC is responsible for documenting and keeping file of all complaints. Upon issuance of decision of PPC, the household can make an appeal within 45 days. If the second decision has been issued and the household is still not satisfied with the decision, the household can elevate his/her complaint to the court within 45 days.

Stage 4, the Court of Law: Should the complainant file his/her case to the court and the court rule in favor of the complainant, then provincial government agency will have to increase the compensation at a level to be decided by the court. In case the court will rule in favor of PPC, the complainant will have to receive compensation as described in the approved compensation plan and obey all requirements of land clearance.

IX. MONITORING AND EVALUATION MECHANISM

1. Monitoring Principles

To ensure that the EMDP is transparently implemented and complies with the EMPF and the World Bank’s Indigenous People Policy (OP4.10), a monitoring and evaluation mechanism is necessarily established for all project components throughout the process of the project implementation. Monitoring and evaluation is a continuous process. The PPMU will be in charge of the internal monitoring and an external agency recruited by CPO will be in charge of the independent monitoring and evaluation. Basing on the monitoring mechanism, a monitoring and evaluation plan of mitigation measures will be made by the PPMU. The plan will describe:

The internal monitoring process;

The key monitoring indicators which would be used for internal and external monitoring;

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The institutional arrangements;

The frequency of reporting and content for internal and external monitoring, process for integrating feedback from internal and external monitoring into implementation;

The methodology for external monitoring;

Financial arrangements for external monitoring and evaluation

2. Internal Monitoring

The objectives of the internal monitoring are:

Ensure that all negative impacts of the subprojects on EM people are mitigated, minimized or compensated in compliance with RPF, RAP, EMPF and EMDP.

Ensure that measures of benefit maximization and adverse impact mitigation are implemented in culturally appropriate way for ethnic peoples.

Identify whether the free, prior and informed consultations for ethnic people communities are conducted in culturally appropriate manner for ethnic peoples or not.

Determine if complaint procedures are followed the EMPF and propose solutions if there are pending issues.

Conformity between relocation and land clearance and construction commencement to ensure that affected EMP has been provided with compensation, allowance, and relocation satisfactorily before construction commencement.

The internal monitoring will be monthly conducted by the PPMU. All findings of the internal monitoring should be reported to the CPO and the WB. In practice, the internal monitoring of EMDP implementation should be combined with internal monitoring of RAP implementation. The findings of both RAP monitoring and EMDP monitoring should be included in one report to submit to the CPO and the WB for review.

3. External Monitoring and Evaluation

External monitoring will be conducted by an external agency which is specialized in the social science. The external monitoring of EMDP implementation for all components should be included in the external monitoring of RAP implementation with the same methodology and monitoring indicators but focusing on EM peoples. The monitoring is periodically conducted twice a year and findings reports will be submit to CPO and the WB for review.

Key indicators of external monitoring and evaluation are presented:

a. Public consultation and awareness of project benefits, resettlement policy and entitlements of affected EM;

b. DMS of affected assets and compensation payment as per policies in approved RPs;

c. Land acquisition and transfer procedures;

d. Construction/rebuilding of replacement houses and structures on residual land or to new relocation sites;

e. Level of satisfaction of affected EMs with the provisions and implementation of the RPs and EMDP;

f. Grievance redress mechanism (documentation, process, resolution);

g. Effectiveness and sustainability of entitlements and income rehabilitation measures for affected EMs;

h. Gender impacts and strategy;

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i. Capacity of affected EMs to restore/re-establish livelihoods and living standards. Special attention provided or to be provided to severely affected and vulnerable households;

j. Resettlement impacts caused during construction activities;

k. Participation of affected EMs in RP and EMDP planning, updating and implementation;

l. Institutional capacity, internal monitoring and reporting; and

m. Channeling of government funds for compensation payment and allowances for severely affected EMs if any.

Number of training courses and workshops were held and number of beneficiaries

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ANNEXES

ANNEX 1. PROJECT AREATable 6: List of communes in the project area

No

District/ Commune Construction component Land acquisition and impacts on assets on land

I Lac Son District1 Tan My Nai turbine pump station and canal solidification NoII Luong Son District1 Tan Vinh Dong Chui Hamlet turbine pump station and

canal solidificationNo

III Tan Lac District

1 Thanh Hoi Nho turbine pump station and canal solidification Yes2 Do Nhan Ta turbine pump station and canal solidification No3 Gia Mo Tram turbine pump station and canal

solidificationNo

4 Lo Son Cung turbine pump station and canal solidification

No

IV

Mai Chau District

1 Pieng Ve Bai Ve turbine pump station and canal solidification

Yes

2 Xam Khoe Xuan Tien turbine pump station and canal solidification

Yes

3 Mai Hich Hai Son and Hai Den turbine pump stations and canal solidification

No

V Cao Phong District1 Cao Phong Town Tra reservoir station No

Source: Investment Project Report

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PHỤ LỤC 2 - SOCIO-ECONOMIC FORM

SAMPLES TO GATHER INVENTORY DATA AT THE PROJECT COMMUNES GUIDELINES TO GATHER DATA AT THE FIELD SITE

(Data in 2011 or 2012)

Commune.......................District…………..Province………………

I. Socio-economic situation 1. AreaTotal natural area: ......................ha (km2)Administrative unit (village, administrative under commune)...................………..Name of unit:……………………………………………………………………….2. Population - employmentTotal number of households in the commune: .......................households;Total population: ......................persons

In which: Male:....................personsFemale:.......................persons

Total employment from 16 to 60 years olds: ...................personsMale:....................personsFemale:.......................persons

Total employment under 16 years old and over 60 years old: ....................personsUnder 16: .........................personsOver 60: .........................persons

3. Group

Seq. Group Number of HHs (%)

Number of persons (%)

Position where is the most concentrated

12345

4. Religion (Number of households or % of households)

Seq. Religion Number of HHs (%)

Number of persons (%)

Position where is the most concentrated

1 None2 Buddhism3 Protestantism4 Catholicism5 Others

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5. Household classification according to living standard The average income

Convert into paddy………………..kg/person/month Convert into money………………..VND/person/month

Seq. Kinds of households Number of HHs No of persons1 Rich HHs

2 Welfare HHs

3 Average HHs

4 Poor HHs (poverty)

6. Land:Seq Kinds of land Area (ha)

1 Total land area2 Land for growing yearly plants

3

Land for growing rice 1 season

2 seasons 3 seasons (crops, vegetables)

4 Land for growing perennial plants

5

Forestry landNatural forest

Productive forest

6Area of water face

May be develop aquatic

7

Specialized landResidential land

Specialized land for public works

8

Unused landMay be reclaim into productive landMay be develop forestry Wild land

II. Infrastructures

1. TransportationHow far from the commune to national road is it? ...................kmHow far from the commune to the centre of the district is it?....................kmHow far from the commune to district hospital, health center is it?...................kmHow far from the commune to the nearest car-park is it? .....................kmDo coaches enter the commune? Yes: No: Are coaches able to enter villages? Yes: No:

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2. Electricity: How many households in the commune use electricity?.............households

Network power:..............householdsSmall hydroelectricity: ...............households

3. Schools

Schools Total

No. of rooms

Temporary houses

Semi-solid, bricked house of one storey

Multi-storey houses Library

KindergartenPrimary schoolSecondary schoolHigh school

No of teachers: .................persons Ethnic teachers:...............personsGrade I....................persons Ethnic teachers:............... personsGrade II..................persons Ethnic teachers:............... personsGrade III.................persons Ethnic teachers:............... persons

In which: Male................... persons Female.................. persons

No of pupils ..................... personsGrade I.................... personsGrade II................... personsGrade III.................. personsUniversity, college, intermediate school.............. persons

In which: Male................... persons Female.................. persons Ethnic pupils:........persons No of school-off pupils: ...................persons

No of drop out of pupil in the commune.................personsIn which: Male................... persons Female.................. persons

No of illiterate persons in the commune .................personsIn which: Male................... persons Female.................. persons

No of children of 6 – 15 years old haven’t ever gone to school In which: Male................... persons Female.................. persons

4. Health stationSolid-built: Area:.................m2

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Semi-solid built Family Planning station Yes: Area:.................m2

No: The most far residence zone to health station: …… kmHow many are there sick-beds? ..................bedsDoctors:...................personsPhysicians: ..................... personsNurses ............................ personsMid-wives:...................... personsPharmacists:.................... personsMid-wives (not working in the health station):..................... personsHealers:..................... personsNo of persons examine their health in the year .............. persons

Adults:……… persons Children (under 17 years old):…… personsKind of popular diseases in commune

a.b.c.d.

How many people use drugs in commune:……………people

How many patient were infected HIV……..people

No. of death newborn (under 1 year) in 2007:..................childrenPopular cause:

a.b.c.

No. of malnutrition children.....................children (%):..........%Level 1:..................childrenLevel 2:..................childrenLevel 3:..................children

No. vaccination in commune..................children (%):..........%

5. Radio, communicationIs there broadcasting station: Yes: No:

Broadcasting from... ....... to ...... No of households have television:.............householdsNo of households have radio:................ householdsNo of telephones

Public ones:.................Private ones:................

Are there post offices?: Yes: No: Is there a culture house? Yes: No: Is there an entertainment zone for children? Yes: No:

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6. MarketsDaily trade Market-days

*If there is not any market in the commune, how far is it from nearest market to the centre of the commune?...............km

7. Houses Seq. Kinds of houses No of households

1 Multi-storey building

2 One-storey bricked house of titled roof or flat roof

3 Wood house, or bricked house of cottage roof

4 Thatched cottage, temporary tents5 No house

8. Clean water

Seq. Water resource No of HHs No of persons1 Tap-water2 Drilled well3 Digging well, deep well,4 River and springs, ponds and

lakes5 Rainy water6 Others

III. Economy1. No of households classified according to production category (according to main occupation of the household or householder)

Seq. Production category No of households No of persons1 Total households2 Agriculture3 Forestry4 Pisciculture5 Industry and small handicrafts6 Construction7 Commerce8 Service

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9 Others

2. Density of communal economic structure Agriculture:.............%Forestry:.............%Industry:.............%Service:....................%Names of mainly grown trees: Names of mainly bred poultry and cattle: Names of main handicrafts:Names of main service trading activities:

IV. Program for social development, projects have been implemented at the locals

Seq. Projects/Programs Purpose of the projects/programs

Implementation year

No of HHs are beneficiaries

Information provided people

37


ANNEX 3. BASIC INFORMATION OF THE PROJECT COMMUNES

Population information of the project communes

No.District/

commune

No. of househ

olds

No. of peopleNo. of people in the working age (16-60

years old)

No. of people out of the working age

(<16 & >60 years old)

Total Male Female Total Male Female Total< 16 > 60

I Mai Chau 2129 9090 4499 4591 5158 2626 2532 3932 620 453

1 Xam Khoe 649 2730 1351 1379 1657 840 817 1073 620 453

2 Mai Hich 903 3864 1854 2010 2463 1285 1178 1401 - -

3 Pieng Ve 577 2496 1294 1202 1038 501 537 1458 - -

II Lac Son 1547 7038 3303 3735 4291 2135 2156 2747 NA NA

4 Tan My 1547 7038 3303 3735 4291 2135 2156 2747 - -

III Tan Lac 3505 15100 5590 6272 7490 3947 3543 4372239

6 1976

5 Lo Son 760 3225 1200 2025 1997 1012 985 1228 846 382

6 Gio Nhan 511 2279 1200 1079 1692 920 772 587 300 287

7 Thanh Hoi 1506 6358 3190 3168 3801 2015 1786 2557125

0 1307

8 Gia Mo 728 3238

IVCao Phong 1344 5222 - - - - - - - -

9Cao Phong 1344 5222 -

- - - - - - -

VLuong Son 1222 4602

- -2805

- -1797

- -

10 Tan Vinh 1222 4602 - - 2805 - - 1797 - -

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Information regarding land of the project communes

No.

District/

commune

Total area of natural

land (ha)

Agricultural land (ha)

Forestry land (ha)

Surface water

land (ha)

Specialized land

(including residential land) (ha)

Land for perennial

plants (ha)

Unused land (ha)

I Mai Chau 8154.92 398.1 6147.33 11.55 138.86 171.8 1287.36

1 Xam Khoe 2555 137.40 1574.00 5.00 47.70 5.00 785.90

2 Mai Hich 4050 109.70 3672.43 4.05 60.56 18.40 184.86

3 Pieng Ve 1550 151.00 900.90 2.50 30.60 148.40 316.60

II Lac Son 3124.84 338.98 2116.95 23.75 332.03 249.36 63.93

4 Tan My 3125 338.98 2116.95 23.75 332.03 249.36 63.93

III Tan Lac 8087.17 844.48 5836.95 157.21 928.28 191.01 129.07

5 Lo Son 1626 196.00 1117.14 59.02 206.00 32.12 15.72

6 Gio Nhan 1829 148.90 1314.05 72.40 190.00 64.77 38.88

7 Thanh Hoi 2656 315.68 1880.39 12.00 361.00 51.00 35.93

8 Gia Mo 1976 183.90 1525.37 13.79 171.28 43.12 38.54

IV Cao Phong 1172 711 250 46 90 65 10

9 Cao Phong 1172 711.00 250.00 46.00 90.00 65.00 10.00

V Luong Son 1926.63 200.72 1347.52 7.96 254.4 83.79 32.61

10 Tan Vinh 1927 200.72 1347.52 7.96 254.40 83.79 32.61

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Information regarding occupation structure of the project communes

No.District/

commune

Agriculture Forestry FisheryIndustry

and handicraft

Construc-tion

Commerce Service Others

I Mai Chau 1842 0 0 160 6 22 99 0

1 Xam Khoe 603 18 6 22

2 Mai Hich 673 135 95

3 Pieng Ve 566 7 4

II Lac Son 1358 63 0 46 15 0 26 39

4 Tan My 1358 63 46 15 26 39

III Tan Lac 2694 0 0 10 19 68 182 21

5 Lo Son 700 50 10

6 Gio Nhan

7 Thanh Hoi 1303 10 19 68 95 11

8 Gia Mo 691 37

IVCao Phong 1310 0 0 0 0 0 47 0

9Cao Phong 1310 47

VLuong Son 784 0 0 233 0 0 205 0

10 Tan Vinh 784 233 205

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Information regarding the households’ average income of the project communes

No.District/

commune

Poor household

Average household

Wealth household

Rich household

Average income

(VND/person/month)

No. Of hhs %

No. Of hhs %

No. Of hhs %

No. Of hhs %

I Mai Chau 291 13.6 244 11.4 619 29.0 106 4.9 920000

1 Xam Khoe 129 19.8 32 4.9 120 18.4 80 920,000

2 Mai Hich 162 17.9 212 23.4 499 55.2 26 2.9

3 Pieng Ve - -

-

II Lac Son 438 28.3 238 15.3 571 36.9 300 0 915000

4 Tan My 438 28.3 238 15.3 571 36.9 300

III Tan Lac 695 19.8 973 27.7 780 22.2 116 0 1,218,000

5 Lo Son 291 38.2 269 35.3 200 26.3 1,000,000

6 Gio Nhan 298 58.3 -

-

7 Thanh Hoi 106 7.0 704 46.7 580 38.5 116 1,318,000

8 Gia Mo -

-

-

IV Cao Phong 15 1.1 0 0 0 0 0 0 1,133,333

9 Cao Phong 15 1.1 -

- 2,390,000

V Luong Son 33 2.7 0 0 0 0 0 0 1,344,000

10 Tan Vinh 33 2.7 -

- 1,344,000

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Medical information of the project communes

No.District/

commune

Have solid/semi-

solid medical center

(Yes=1, No=0)

No. of doctor (people

)

No. of physician (people)

No. of nurse

(people)

No. of midwives

No. of pharmacist Healers

I Mai Chau 3 2 6 4 3 0 3

1 Xam Khoe 1 2 2 1

2 Mai Hich 1 1 2 1 3

3 Pieng Ve 1 1 2 2 1

II Lac Son 1 0 3 0 1 1 0

4 Tan My 1 0 3 0 1 1 0

III Tan Lac 4 1 6 6 5 0 10

5 Lo Son 1 2 2 1

6 Gio Nhan 1 1 2 10

7 Thanh Hoi 1 1 1 1 1

8 Gia Mo 1 0 2 3 1

IVCao Phong 1 1 5 2 0 0 0

9Cao Phong 1 1 5 2

VLuong Son 1 2 3 2 0 1 0

10 Tan Vinh 1 2 3 2 0 1 0

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ANNEX 4. SUMARY OF COMMUNITY CONSULTATION RESULTS

Location Date Participant Summary of people’s opinions

Xam Khoe Commune

16/5 28 participants form AHs and representative of the commune authorities, including 10 male and 18 female.

Pham Van Chien- Vice president of CPC

Bui Van Dam- Secretary of Party Department of Xuan Tien Commune

1 affected communes among 10 ones. 9 poor households and 02 Thai ethnic households.

- People really support the project because the project improves the canal, which will contribute to improvement of the irrigation for the fields, increase in productivity of plants and livestock. Because the project only improves and upgrades based on the old canal system, there is no impact on the people.

- Because the route is based on existing canal, only a new part of 450m traverses agricultural land for rice and crops growing (1 rice harvest and 1 peanut harvest).

- Mr. Mai Duc Chinh, village leader said that local people as us are very excited and wish the project can be done the sooner the better because annually, there is a lack of water for agricultural production during Chiem Xuan harvest, households in the village are farmer only, earning their lives mostly from agriculture, the village has no auxiliary or traditional job and only some households having children who go far away or outside of the district to do business.

- Ms. Luong said “We agree with the agricultural land acquisition, but we lost the land permanently not for one year. Therefore, we propose the project to compensate for us permanently”.

- Do Thi Man told “We are at remote area, cared for rebuild this construction; we are really excited and thankful. About the compensation, we follow the construction. If the canal can be rebuilt, we can use it forever.”

- Le Thi Lien reported that digging affected people’s crops.

- Currently using canal is using transportation’s ditch, therefore later reconstruction has to encroach the people’s land.

- The project is proposed to investigate more and build a canal connecting to Hien field to irrigate two sides.

- People worry that if the project is not completed, there will be no water for irrigation.

Pieng Ve Commune

10/5 6 people

02 male

02 female

Village leader

Communal cultural official

- Hydraulic pump station of Bang village is called Ve Canal (built in Pieng Ve commune, so it is called Ve Canal/Dam) built in 1969. Aim of the station is for irrigation for a 10.6ha field. Because water for irrigation can be controlled actively, there are often two harvests, such as spring and autumn. Because a 6ha field uses water from the canal, there is only one harvest there. Therefore, we really support the project because the project will provide irrigating water for the people, increase productivity and harvest for the field.

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- In the past, all of domestic water is supplied from the pump station. At the moment, water from the pump station is only for raising fish and watering plants. The project will contribute to increase productivity for local people’s aquaculture. Therefore, we really hope the project will be conducted soon.

- We are not impacted significantly and only hope the project can be implemented quickly to have irrigation water for the field;

- We are really happy and support the project. However, we think that design power of the pump station and the canal should take into account the lowest water amount so that the effectiveness will be more practical, it is possible to avoid the situation in which the power is high but the water amount is less, waste and cannot be operated.

- Dredging canals and dams are common tasks for all of the households in the village (Ve canal is 500m long, currently only 200m of it is concreted). According to it, annually, before starting harvest, Village Management Unit mobilizes the village’s people to implement this common responsibility. Now, the project is conducted, we all support it.

Thanh Hoi Commune

13/5 10 people - We support the project and wish it can be conducted the sooner the better.

- The project does not affect much on Muong people; it is very good that there is still compensation for them.

- If the implementation impacts on crops, it is necessary to compensate for people to mitigate their disadvantages;

- In traditional society, Muong people often use water from river, stream or underground water for domestic use purpose. People in the commune do not use water from the pump station for domestic purpose, only for watering field.

- At the moment, water system of the canals is more and more depleted due to the canal scheme’s degradation. We really expect the project can be implemented to improve the canal scheme, facilitate people’s production and increase productivity of plants and animal husbandry.

- People’s demand for using water is greater and greater; difficulty in using water for production may lead to conflicts between the households. Therefore, we really hope the project can be conducted to solve the people’s current problem of lacking productive water.

- It is very good to improve the pump station and canal scheme. We propose that after the construction is complete, it is necessary to maintain periodically to ensure its durability better and to serve local people’s production better.

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