LAO PEOPLE’S DEMOCRATIC REPUBLIC

______________________________________________________________

Lao Uplands Food Security Improvement Project

Environmental and Social Management Framework

July, 2010

E2473

Adoption of PRF Social and Environmental GuidelinesThe Lao Uplands Food Security Improvement Project (LUFSIP) will be implemented by the Ministry of Agriculture and Forestry (MAF) for parts 1, 2 and 4 in cooperation with the Poverty Reduction Fund for part 3. All community-based activities will be undertaken under Component 2 (support to farmer groups) and Component 3 (small productive infrastructure). These components will use the implementation structures and safeguard mechanisms already established by the Poverty Reduction Fund, with additional measures to provide for the agricultural activities in Component 1 (support to seed multiplication and research stations) and Component 2 (support to farmer groups). The following Social and Environmental Guidelines (SEG) developed by the Poverty Reduction Fund will apply to LUFSIP project activities and constitute the Project’s Environmental and Social Management Framework (ESMF) for LUFSIP. These Guidelines have received World Bank clearance and have been publically disclosed on 08 April 2008.

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TABLE OF CONTENTS

LIST OF ACRONYMS............................................................................................................4

1. Objectives and Legal Framework of the Social and Environmental Guidelines........5

2. Types of Prohibited Activities..........................................................................................7

3. Framework for Resettlement and Acquisition of Land or Assets (FRALA)...............8a) Policy context and scope of coverage:................................................................................8b) Guiding Principles for Involuntary Resettlement...............................................................8c) Procedures for Voluntary Contributions and Contributions with Compensation...............9d) Right to complain and take legal action............................................................................11e) Verification.......................................................................................................................11f) Procedures to be adopted in relation to the FRALA.........................................................11

4. Approach for Inclusion of All Ethnic Groups..............................................................15a) Introduction.......................................................................................................................15b) Ethnic Groups in Lao PDR...............................................................................................15c) Policy context....................................................................................................................16d) Challenges faced by vulnerable ethnic groups..................................................................18e) Difficulties encountered during PRF cycles 1 to 5...........................................................19f) New strategies...................................................................................................................22g) Procedures that will be adopted after Cycle V..................................................................23

5. Feedback and Conflict Resolution Mechanism............................................................24

6. Physical Cultural Resources..........................................................................................24

7. Environmental Management Framework....................................................................26a) Environmental Management Strategies............................................................................26b) Training.............................................................................................................................29

8. Pest Management……………………………………………………………………29a) Pest Management Strategy……………………………………………………………29b) Procurment, storage and usage of pesticide…………………………………………..30c) Training……………………………………………………………………………….31d) Monitoring………………………………………………………………………….....31

Annex 1 – Subproject Proposal Form (Template) Annex 2 – Simple Environmental Assessment TemplatesAnnex 3 – Typical Environmental Impacts and Mitigation MeasuresAnnex 4 – Environmental Monitoring and Inspection Form (Template)Annex 5 – Regulation number 2860/MAFAnnex 6 – List of Eligible and banned Pesticide

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LIST OF ACRONYMS

BCC Behaviour Change CommunicationCP Community Participation DDF District Develop FundDOA Department of AgricultureESMF Environmental and Social Management Framework EG Ethnic GroupsGoL Government of Lao PDRKB Koumban IEC Information, Education, CommunicationMBO Mass-Based Organizations MIS Management Information SystemNGO Non-Governmental OrganizationsNESDP National Economic and Social Development PlanNGPES National Growth and Poverty Eradication StrategyNTFP Non Timber Forest ProductO&M Operation and MaintenancePAP Person Affected by ProjectPRA Participatory Rural AppraisalPRF Poverty Reduction FundSESM Social and Environmental Safeguards Manual TA Technical AssistantUNDP United Nations Development ProgramVNPA Village Need Priority AssessmentVP Village Profile

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1) Objectives of the Social and Environmental Management Framework

The Social and Environmental Management Framework (ESMF) deal with the guidelines, policies and procedures to be used to avoid or minimize adverse environmental and social impacts of subprojects and to ensure that they meet with the requirements of the World Bank as described in its safeguards policies. Implementation will be carried out in accordance with Lao PDR’s national policy and legislation, and will comply with the World Bank Safeguards Policies. The objective of this framework is to provide the national, provincial and district government, the LUFSIP team, consultants, village officials, private and public sector agencies with adequate guidance for effectively addressing environmental and social safeguards in designing and implementing LUFSIP subprojects by adopting a community-driven approach in developing and implementing subprojects.

Since most subprojects are very small, no major environmental and adverse social impacts are expected. The program will, by the nature of the decision-making process, not fund any investment that is not acceptable to the majority of villagers involved, and to all of the villagers directly affected. Decisions on the allocation of funds are made by villagers themselves, through a negotiation process, and with information provided by program facilitators and technicians. The majority of the villagers in the districts in which LUFSIP will be implemented are from vulnerable ethnic groups. Therefore the subprojects are designed to enhance the impact on and be inclusive of all ethnic groups.

However, small-scale civil works may require minor land acquisition or may need special attention to the social or environmental aspects. In addition, the project will procure pesticide to be used in Rice Seed Center and selected farmer groups for rice seed multiplication in case of pest invasions at project area. Thus, these guidelines prescribe a screening and review process for all subprojects that may cause adverse impacts on the environment or people; procedures to avoid or mitigate these impacts; feedback and conflict resolution mechanism; and procedures for monitoring and evaluation. Screening and review will take place prior to submission of subproject proposals to the district meeting.

Preliminary screening will also be needed to assess the presence of Unexploded Ordinances (UXOs) and the danger they may impose on local subproject activities. As many districts throughout the Lao PDR are adversely affected by the presence of UXOs clearance may be required as a preliminary stage of subproject activities. The Technical Guidelines provide the procedures to be used in this regard. The PRF should seek advice from UXO Lao and local communities and authorities during the subprojects’ technical feasibility study in order to determine the levels of contamination of the subproject sites. (No contamination, moderate and high). In the areas with no contamination, subproject activities and construction can proceed without having to undertake any UXO screening activities.

The relevant WB safeguard policies are summarized in Table 1.

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Table 1: Selected WB social safeguards policies and core requirements under each safeguard policy

World Bank Policies Summary of Core requirements Public ConsultationEnvironmental Assessment (OP/BP 4.01) The World Bank’s Environmental

Assessment (EA) Policy is triggered due to some civil work being involved in subprojects. However, most adverse impacts will be highly localized to the subproject site, temporary in nature and easily mitigated through careful site selection, good construction practices and sensible management of the completed subproject.Environmental issues will be identified, mitigated and monitored using Environmental Management Framework in the ESMF which is applicable for all the subprojects.

EA Policy requires that program proponent consults with program-affected groups and local NGOs about the subproject’s environmental aspects and takes their views into account. This consultation will take place during subproject identification and design phases, and the results will be incorporated into the subproject design and mitigation measures.

Pest Management (OP 4.09 The World Bank’s Pest Management policy is triggered since the funds will be used for procuring pesticide as requested during the project negotiation. The eligible pesticide for the Bank finances project is referring to the World Health Organization's Recommended Classification of Pesticides by Hazard and Guidelines to Classification (Geneva:  WHO 1994-95). They must be in the following criteria: (a)  must have negligible adverse human health effects; (b) must be shown to be effective against the target species; (c)  must have minimal effect on nontarget species and the natural environment; and (d)  use must take into account the need to prevent the development of resistance in pests.

Training will be provided to the extension staff and farmer groups on the best practicing pesticide and ensure them to take actions to mitigate these risks; conduct consultation MAF’s regulation number 2860/MAF in all project areas as part of ESMF implementation. Consultations and trainings conducted will make the users aware of Bank requirement that any pesticides it finances be manufactured, packaged, labeled, handled, stored, disposed of, and applied according to standards acceptable to the Bank.

Involuntary Resettlement and Land Acquisition (OP/BP 4.12)

No involuntary resettlement or land acquisition by implementing agencies is expected under this Project. However, one project component has communities deciding where to build small infrastructures. Therefore a Framework has been developed to ensure that any land allocation for these infrastructures is done through voluntary contribution or with appropriate compensation by communities. Thus, the policy is triggered as a precaution to prevent any involuntary resettlement or land acquisition.

Consult program affected persons (PAPs) and host community; hold meetings to document contributions and agree on compensation to be provided by the community. Document agreements from all affected persons. Provide grievance mechanism.

Indigenous People (OP/BP 4.10) The Program will follow the key principles of the WB’s policy concerning ethnic groups which are to “ensure that indigenous peoples do not suffer adverse impacts during the development process,” and that they receive “culturally compatible social and economic benefits.” Ethnic groups in Lao PDR, include ethnic groups such as the Mon-Khmer, Hmong-Mien, Sino-Tibetan and Tai upland ethno-linguistic groups, who are vulnerable and who meet the characteristics used in the WB’s policy. These groups form the majority in most of the districts in which the program works hence the whole program is designed to comply with the OP/BP 4.10.

Identify ethnic groups in each village and ensure they can engage fully in the participatory processes of the subproject. Recruit ethnic facilitators, and train facilitators to work with ethnic groups and prepare materials in local languages. Consult ethnic groups from subproject planning, implementation and monitoring and evaluation. Involve MBOs to assist in subproject planning and implementation.

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Physical Cultural Resources (OP/BP 4.11) The PRF will investigate and provide inventory of cultural resources that are potentially affected and where impacts cannot be avoided, mitigation measures will be funded from the subproject.

Consult and document affected resources with program affected groups, concerned national, provincial and district government offices/authority and relevant MBOs. Identify options to avoid impact, or agree on mitigation measures to be included in the subproject.

Involuntary Resettlement and Land Acquisition (OP/BP 4.12)

No involuntary resettlement or land acquisition by implementing agencies is expected under this Project. However, one project component has communities deciding where to build small infrastructures. Therefore a Framework has been developed to ensure that any land allocation for these infrastructures is done through voluntary contribution or with appropriate compensation by communities. Thus, the policy is triggered as a precaution to prevent any involuntary resettlement or land acquisition.

Consult program affected persons (PAPs) and host community; hold meetings to document contributions and agree on compensation to be provided by the community. Document agreements from all affected persons. Provide grievance mechanism.

A joint screening form will be applied during subproject design phase for all environmental and social safeguards. The following sections will detail the procedures for complying with each of these policies.

2) Types of Prohibited Activities

To avoid certain adverse impacts on the environment and people, a number of activities are excluded from the menu of eligible subproject investments. These activities concern both environment and social impacts and are described below.

The Program will not fund new roads; electrical, gasoline or diesel generators or pumps; chain saws, asbestos; or other investments detrimental to the environment. No new settlement or expansion of existing settlements will be supported in critical habitats, protected areas or areas proposed for protection. Where settlements already exist proposals for funding should be in compliance with any local regulations on land management and other provisions of the protected area management plan. No road construction or rehabilitation of any kind will be allowed inside critical habitats and existing or proposed protected areas.

The Program will not fund the acquisition of land under any conditions and involuntary resettlement is not allowed. However some resettlement or land acquisition may occur on a voluntary basis or with compensation paid by the village's own funds in some of the subproject. These subprojects will undergo review by facilitators and any voluntary movement or resettlement of more than five households or household structures will need special approval from the National Executive Office in Vientiane prior to decision at the district level meeting.

The program will not support government programs involving village consolidation and/or resettlement that are not consistent with Bank safeguard policies.

Any activity unacceptable to vulnerable ethnic groups in a village of mixed ethnic composition cannot be funded without prior review. Activities that will have significant adverse impacts on vulnerable ethnic groups in villages and in neighboring villages cannot be funded.

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3) Framework for Resettlement and Acquisition of Land or Assets (FRALA)

The Framework for Resettlement and Acquisition of Lands and Asset (FRALA) is designed to provide policy and implementation procedures covering all aspects of resettlement or acquisition of land or assets that need to be addressed in the implementation of the subproject.

a) Policy context and scope of coverage:

In Lao PDR, compensation principles and policy framework for land acquisition and resettlement are governed by several laws, decrees and regulations as follows: (a) The Constitution (1991), (b) the Land Law (2003)1, (c) Road Law (1999). (d) Decree of the Prime Minister on Compensation and Resettlement of People Affected by Development Project (No. 192/PM, dated 7 July 2005), and (e) Regulations for Implementing Decree of the Prime Minister on Compensation and Resettlement of People Affected by Development Project (No.2432/STEA, dated 11 November 2005). The Prime Ministers Decree 192/PM is broadly in line with the World Bank policy OP/BP 4.12 on Involuntary Resettlement and the guiding principles of these policies are espoused in the FRALA.

Involuntary resettlement or land acquisition by implementing agencies is not permitted under this Project. However, communities may decide to allocate land for the construction of small infrastructures. The guidelines and procedures therefore focus on monitoring and ensuring that all resettlement or acquisition of land or assets is indeed voluntary, and describing the procedures for resettlement or acquisition in the implementation of subprojects through voluntary contribution, or compensation by communities own funds.

The broad Program description and components can be found in section 1.5 of the Operation Manual.

b) Guiding Principles for Involuntary Resettlement

The guiding principles for Involuntary Resettlement according to the laws of Lao PDR and the WB safeguard policies are:

a. Acquisition of land and other assets should be avoided when feasible and otherwise minimized;

b. If any persons are to be adversely affected, mitigation measures must provide them with sufficient opportunities to improve, or at least restore, incomes and living standards;

c. Lost assets should be replaced in kind, or compensated at replacement cost;

d. Compensation should be paid in full, net of taxes, fees or any other deductions for any purpose;

e. If any persons are required to relocate, transfer costs and subsistence allowances will be paid in addition to compensation at replacement cost for lost structures and other assets.

f. Absence of legal title to land or other affected assets will not be a barrier to compensation or other suitable forms of assistance;

1 The Land Law 04/NA of 21 October 2003 supersedes the earlier Law 01 /NA 12 April 1997.

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g. Adversely affected persons will be provided information relating to impacts and entitlements, will be consulted as to their preferences regarding implementation arrangements, and will be informed regarding methods and procedures for pursuing grievances.

No involuntary resettlement or land acquisition is allowed in the program and therefore no procedures have been included in the program manuals to address this. The Framework therefore defines terms and provides guidance for voluntary acquisition of land or other assets (including restrictions on asset use) caused by subproject implementation either through contribution or with compensation by communities and establishes principles and procedures to be followed to ensure equitable treatment for, and rehabilitation of, any persons adversely affected by subproject implementation. This Framework refers solely to LUFSIP activities which will be implemented by PRF and MAF’s agencies.

c) Procedures for Voluntary Contributions and Contributions with Compensation

The objective of these guidelines is to ensure that the acquisition of land is minimized and does not result in persons losing their home or suffering any decline in income, livelihood, or living standards as a result of the subproject implementation.

Principles of the Procedures

Land acquisition will be kept to an absolute minimum and no person will be involuntarily displaced under the Program.

The Program will not fund the acquisition of land under any conditions: it cannot approve the use of grant funds for any purchase or rental/lease agreement with any group or individual.

Some land acquisition or relocation may occur in the implementation of subprojects, but only on a voluntary basis or with compensation (possibly in-kind) provided by the community.

Subproject proposals that would require the demolition of houses or the acquisition of productive land, permanently or temporary, must be carefully reviewed by District Coordinators and approved by the Provincial LUFSIP and/or PRF Office. The review process should confirm that no satisfactory alternative is available, that affected persons have been informed about their rights to compensation and ensure that they have agreed with the arrangements.

A description of the resettlement or land acquisition impact must be included in the subproject proposal.

Subprojects with more than 100 persons affected, in which more than 10% of an individual’s holdings is affected, or for subprojects with more than five households or structures being resettled or moved will require preparation of a Land Acquisition and Resettlement Report which needs to be reviewed and approved at the national level.

As it will not be possible in many cases to eliminate the need for acquisition, the guidelines allow for acquiring assets through the following two methods:

Voluntary Contributions: Community members have the right to make a contribution of their land or other assets, or to move their homes temporarily or permanently, without

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seeking or being given compensation. This can often be justified because the subproject will either increase the value of the remaining property or provide some other direct benefit to the affected people. Voluntary contribution is an act of informed consent. District Facilitators must assure that voluntary contributions are made with the prior knowledge that other options are available, and are obtained without coercion or duress. Proposals including voluntary contributions will not be submitted for approval where they would significantly harm incomes or living standards of individual owners or users (the amount contributed on a voluntary basis should not exceed 5% of that individual’s holding).

Contributions with compensation: Persons who contribute their land or other assets have the right to seek and receive compensation (the subproject grant cannot be used to pay compensation). In such cases, District Coordinators will ensure that the following means of compensation are agreed upon and provided before works are undertaken:

a) Replacement of land with an equally productive plot or other equivalent productive assets;

b) Materials and assistance to replace fully solid structures that will be demolished;

c) Replacement of damaged crops, at market value;

d) Other acceptable in-kind compensation.

Consultation Principles

The village must ensure that all the people affected by the subproject are consulted at a public meeting in the village. During this meeting, which should happen during the subproject design phase, their right to compensation must be explained, as well as such alternatives as found in the guidelines. Formal minutes of the meeting (to be filled in a compensation form) are made and will include the main points of discussion as well as any decisions reached, including:

a) For voluntary contributions, the name of the affected person and details of the contribution;

b) For compensated assets, the names of the persons receiving compensation, and details of the type and amount of compensation,

c) In addition, the minutes will contain the signatures of the affected persons and the village chief. There will be notes about complaints made by the affected persons. Also, a map will show the location of the affected assets.

The Koumban facilitator will deliver a copy of the above notes to all those people who are affected by the subproject, to determine directly their wishes in regards to compensation, their perception of whatever agreements had been reached, and their complaints (if any).

As the process of determining compensation is the responsibility of the village, wherein the facilitator has no decision-making power, the Koumban facilitator is bound to do the following:

He or she must delay final approval until all persons affected by the subproject are satisfied with the compensation they are to receive, even if this causes a stalemate,

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the changing of design, or lengthy negotiations. Outsiders must not intervene to impose a solution.

He or she must delay implementation until compensation is realized. Whenever a subproject has reached the implementation stage, the senior consultants, government officials, and donor should assume that compensation has been successfully delivered.

Land Acquisition and Resettlement Report

A Land Acquisition and Resettlement Report is required where subprojects affect more than 100 people, or in which more than 10% of an individuals holding is affected, or for subprojects for which more than five households or structures are moved. District Coordinators will support the villagers in preparing the Report and provincial staff will provide input as needed. The Community Development Officers at the provincial office must first review the Report and then forward it to the National LUFSIP and/or PRF Office for approval. No subproject requiring a Land Acquisition and Resettlement Report will be submitted to the District Decision Meeting unless the National LUFSIP and/or PRF Office has approved it. A template for the Land Acquisition and Resettlement Report will be developed by the National Office.

d) Right to complain and take legal action

All complaints should be handled and solved at the village level. If the problem cannot be solved in the village, complaints and legal action against these guidelines, the implementation of agreements found in the minutes, or other grievances can be filed according to the procedures summarized in Section 4 of this chapter and detailed in Chapter 5.5 of the Operation Manual dealing with the Feedbacks and Conflict Resolution Mechanism.

e) Verification

LUFSIP and/or PRF will keep all forms in district offices. At any time, all records regarding compensation, including minutes of the meeting and proof of receiving compensation must be available for inspection by the District Coordinator, Provincial consultants, auditors, and persons assigned to monitor aspects of the subproject by the subproject Secretariat. The Village Minutes and evidence of compensation having been made shall be provided to the Koumban facilitator assisting the village, to supervising engineers, auditors and socio-economic monitors when they undertake reviews under the subproject.

f) Procedures to be adopted in relation to the FRALA

Steps Description Reference Tools

Step 1.Training of program staff and facilitators

PRF principles, procedures, rules, regulations, structure and organization, the subproject menu and prohibited activities, methods to conduct VNPA meetings during the 1st year, the 2nd year, the Social

Training modules

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and Environmental Safeguards Guidelines, differences between PRF Phase 1 and 2

Step 2. Socialization and information dissemination

During the socialization meetings and VNPA, the facilitators will explain the ESMF and record the outcomes in the minutes;

Refer to the meeting guidelines at the socialization and VNPA meetings

IEC tool in the form of a brochure explaining the FRALA, distributed at the village level

IEC tool: separate pamphlet (to be placed on Koumban news board)

Develop meeting guidelines.

Step 3. Village profile to screen for migrations/ relocation

In VP, two types of resettlements – physical relocation and administrative consolidation - will be tracked, distinguished from temporary (or seasonal) migration.

Village Profile form in the Manual of Operations

Step 4. Training of Koumban teams

PRF principles, policies, process, working method, menu of eligible subprojects and prohibited activities.

The ESMF Training for the Koumban team on how to

complete form and write minutes

Training modules

Step 5.Subproject proposal preparation

Subprojects proposed for selection are described in details: what is to be built or carried out, size, beneficiaries (men, women, vulnerable ethnic groups), location and timing, responsibility in terms of implementation, organization for efficient operation and sustainable maintenance, estimated cost, community contribution (amount and nature: kind, labor or cash), amount of PRF grant and method for procurement.

Environmental and social checklists and assessment templates

Meeting guidelines Social and Environment

Assessment templates Revised subproject

proposal form (including checklists); see Manual of Operations

VNPA Meeting’s Form

Step 6.Meeting to decide contribution or compensation

Separate meeting with affected persons to agree on mitigation measures, contribution, or compensation.

Form signed by each villager affected and village head

Meeting guidelines MIS Report providing

the number of subprojects that involve resettlement and acquisition of lands, number of villagers affected by resettlement and acquisition of lands

IEC tool: Voluntary contribution Compensation by Communities

Contribution and Compensation Form documenting each individual agreement and signed by all affected people

Step 7. Facilitators assist villagers to prepare the Template for Land

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Preparation of Land Acquisition and Resettlement report (if required)

report. Acquisition and Resettlement report

Step 8. Verification and approval process

Approval given during the district decision meeting by the village authorities at the Koumban and district levels

District Officers monitor procedures are followed, check and approve Contribution and Compensation meeting minutes

LAR report checked by Community Development officer and sent to National PRF Office for approval

All approvals must be received before subproject implementation commences

Step 9.Monitoring

Monitoring will be carried out by the PRF. One report will be prepared by the Koumban facilitators detailing the process related to resettlement and compensation.

MIS forms and follow-up guidelines,

Step 10. Grievance and feedback

Feedback and Conflict Resolution Mechanism

See related chapter in the Manual of Operations

Develop Feedback and Conflict Resolution Mechanism

Key definitions

Land Acquisition: A process by which any person is compelled to relinquish ownership, possession, control or use of all or part of their land, structures, or other assets. This includes land or assets for which the possessor or user enjoys customary or uncontested access but lacks legal title (e.g. trees, grazing rights, cultivatable land).

Program-Affected Person: Any person who, on account of the execution of a subproject would have either their:

(i) Right, title or interest in any house, land (including residential, agricultural and grazing land) or any other fixed or movable asset acquired or possessed, in full or in part, permanently or temporarily; or

(ii) Business, occupation, work, place of residence or habitat adversely affected; or

(iii) Standard of living adversely affected.

Replacement Cost: The principle of valuation used to determine appropriate compensation for lost land or other assets. Replacement cost refers to the amount necessary for actual replacement of the lost asset. To achieve replacement cost, assets cannot be depreciated for age or prior use. Replacement cost also is net of taxes, fees, or any other deductions for any other purpose. The Program funds cannot be used to pay such costs; therefore proposals must explain how the village will provide appropriate compensation where this is necessary.

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Voluntary contribution

without compensation (no more than 5% of individuals holdings)

Summary of FRALA

Screening

Procedures

No

Contribution with

compensation by community

(up to 10% of individual holdings, less than 100

people affected or up to 5 houses moved)

NoContribution with compensation by

community(more than 10% of individual

holdings, more than 100 people affected, or more than

5 houses demolished)

Record affected persons and details of contributions in the Compensation form.Compensation form signed by affected villagers and village head.PRF keeps forms in district offices.

Record affected villagers and details of compensation in the compensation form.Compensation form signed by affected villagers and village head.PRF keeps forms in district offices.

Prepare Land Acquisition or Resettlement ReportObtain approval from National OfficePRF keeps report in National Office.

4) Approach for Inclusion of All Ethnic Groups

a) Introduction

The purpose of this Approach for Inclusion of All Ethnic Groups is to ensure that the Program follows the key principles of the World Bank’s policy concerning ethnic groups (OP/BP 4.10 on Indigenous Peoples), which are to “ensure that indigenous peoples do not suffer adverse impacts during the development process... and that they receive culturally compatible social and economic benefits”; and also to ensure that the concerns of all ethnic groups are met through the design of the Program itself as well as in accordance to government policy. Thus, this Plan aims at assuring that throughout the LUFSIP and PRF’s subprojects’ implementation the cultures of the multi-ethnic society are respected and that gender issues are integrated at all levels.

The LUFSIP and PRF will be implemented in districts included on the government’s list of 47 priority districts. These districts represent 20 percent of the population of Lao PDR, but an estimate of 55 percent of the poor population. Moreover, the population in the 47 priority districts is more than 80 per cent from non Lao-Tai ethnic groups. In this respect, the vast majority of the program beneficiaries are expected to be from the vulnerable ethnic groups and the subproject itself is designed to comply with OP/BP 4.10.

The LUFSIP and PRF will, by the nature of the community decision-making process, not fund any investment that is not acceptable to the majority of villagers involved, and to all of the villagers directly affected. Decisions on the allocation of funds are made by villagers themselves, through a negotiation process, and with information provided by program facilitators and technicians. Vulnerable ethnic groups are concentrated in the government’s priority poverty districts where subprojects will be implemented. Therefore the subprojects are designed to ensure consultation with, enhance the impact on, and be inclusive of all ethnic groups. With the majority of project activities focused in areas with vulnerable ethnic groups, the entire project is considered an ethnic group development program.

The following sections provide background on the ethnic groups in Lao PDR and the issues they face, and explain the steps that will be taken in the program to ensure they benefit fully, and appropriately, from program activities. These guidelines are also developed to ensure the full participation of vulnerable ethnic groups who i) speak a language different from the official language of the country; ii) maintain their own separate ethnic identity through their dressing codes and customary and traditional practices which are different to what is common in other parts of the country.

b) Ethnic Groups in Lao PDR

Lao PDR is characterized by a variety of cultural groups. Although their numbers have differed, specialists mostly agree on the following classification: there are four main ethno linguistic groups, including the majority Lao Tai which comprises 66 percent of the population. These four groups are further sub-divided into 49 officially recognized sub groups, and again into more than 200 smaller groups (See Table 2 for a summary of the main characteristics associated with the four ethno-linguistic groups).

Table 2: Ethnicity of Population2

Ethno-Linguistic

Language Family Summary Characteristics

Tai Kadai Lao Phoutai 65% of the population, living mostly along the economically vibrant Mekong corridor along the Thai border or in Northern lowlands; settled cultivators or urban dwellers; migrated into Lao PDR since the 13th century ; Buddhists.

Austroasiatic

Mon Khmer 24% of the population, living mainly in highland areas in the North and Central South, smaller groups (Khmou) live also in the Northern lowlands; the most diverse ethnic group and the first one to inhabit large areas of Lao PDR; animist and shifting cultivators; fairly assimilated due to hundreds of years of interaction with Lao-Tai, single communities live in isolation as hunter-gatherers.

Hmong - lu Mien

Hmong Yao 8% of the population, living mainly in mid- and upland areas in the North; Hmong is the largest subgroup; animist with strong ancestor cults, although many converted to Christianity; typically shifting cultivators, migrated to Lao PDR in the 19th century.

Chine – Tibetan

Tibeto Burman

3% of the population, living mainly in poorly-connected upland areas in the North; animist and shifting cultivators; migrated to Lao PDR in the 19th century.

c) Policy context

The official terminology for describing the diverse population of the Lao People’s Democratic Republic is ‘citizens of all ethnicity’. This terminology, introduced with the 1991 Constitution, acknowledges the need to incorporate all ethnic groups’ concerns in all sectors of the developing policy.

While article 89 of the Constitution specifically indicates that “the Lao language and script are the official language and script.”3; article 8 relates to ethnic groups as it specifies that there exists unity and equality among all groups, who also have the right to protect, preserve, and promote the customs and cultures of their own and that of the nation. Likewise, the State is committed to gradually develop and upgrade the socio-economic conditions of different ethnic groups and to prohibit all acts that could create division and discrimination among them. The basis of the GoL’s approach to Ethnic Groups is articulated in the 1992 Resolution of Party Central Organization for which:

The main objectives are Accomplishment of equality between ethnic groups Increasing the level of solidarity among ethnic groups as members of the

greater Lao nation Preventing problems which results from inflexible and vengeful thinking

as well as economic and cultural inequality

2 Lao People’s Democratic Republic: Northern Region Sustainable Livelihoods Development Project, Indigenous Peoples Development Plan, Document Stage: Final Project Number: 35297, August 2006, Prepared by the Government of Lao People’s Democratic Republic for the Asian Development Bank (ADB), page 5 and NSC/CPI, ADB, SIDA and the World Bank, 20063 Lao PDR: Proposed Sector Development Program Asian Development Fund Grants Lao People's Democratic Republic: Basic Education Sector Development Program, Gender and Ethnic Groups Development Plan, Document Stage: Draft, Project Number: 32312, July 2006, page 3.

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In sum, this shall be achieved through: Strengthening of national thinking and feelings Gradually improving the living conditions of the ethnic groups Promoting the cultural heritage and ethnic identity of each group as well

as their capacity to participate in the affairs of the nation (Pholsena 2003).

Furthermore, the National Growth and Poverty Reduction Strategy (2004) and the National Socio-Economic Development Plan 2006-2010, which integrates the NGPES, lay out the Government’s policies on poverty reduction. In particular the poverty reduction strategy articulated in the NESDP has five components, of which three are pertinent to the PRF:

Provision and effective use of basic social services Participation and empowerment Development of the 47 poorest, and 25 poor areas which includes the

following:o Preparation of focal area development plans for Koumbans

(groups of villages) in pilot districts o Targeted interventions including focal area development, village

development funds, and poverty reduction fund.4

The NESDP also includes guidelines for remote village development which refers specifically to the ethnic groups who mostly inhabit these areas:

Develop and implement the socio economic development plan in remote, ethnic areas. Strive to supply the necessary infrastructure for these villages.Reduce the disparity of living conditions among different ethnic groups. Encourage and promote permanent settlement to ensure production. Upgrade living conditions in accordance with their traditions and based on the focus village arrangements ……. Improve and expand … education, health care, culture, and information for ethnic groups. …. Additionally, the Ethnic Groups Committee under the National Assembly is charged with responsibility for drafting and evaluating proposed legislation concerning ethnic minorities. Implementation of the Party's policy on ethnic groups is tasked to the Lao Front for National Construction (LFNC). The mandate of the Institute for Linguistic Research includes research on languages and writing systems, and coordination on matters of curriculum and research. The Ministry of Education has a Gender and Ethnic Minority Unit tasked with developing appropriate strategies and monitoring sector policies and impacts on these groups5.

4 Lao PDR Poverty and Social Impact Analysis: Impact of Poverty Reduction Programs on Ethnic Minorities and Women, draft, June 2007, Document of the World Bank, page 355 Additional Annex 11: Social Assessment and Ethnic Group Development Plan, Lao People's Democratic Republic: Second Education Development Project, page 3http://www-wds.worldbank.org/servlet/WDSContentServer/WDSP/IB/2003/07/22/000094946_03070304043562/Rendered/INDEX/multi0page.txt

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Ethnic poverty in Lao PDR still remains concentrated in upland areas inhabited largely by remote ethnic communities. Moreover, the cultural and linguistic differences are greater among many of these upland communities. Actually, often due to their remote location, the ethnic groups have comparatively less access to government services. As such, this higher incidence of poverty makes them more vulnerable socially and economically. Furthermore, even though the quantitative analysis of the Lao Expenditure and Consumption Surveys (LECS) shows that poverty fell from 39 per cent in 1997-98 to 33 percent in 2002-03, there still exist wide regional and ethnic discrepancies.

Rural poverty at 38 percent is far higher than urban poverty at 20 percent, and the majority Lao Tai group have a 25 percent poverty incidence while for the Mon Khmer the figure is more than twice as high at 54 percent6.

Table 3: Ethnic Group Poverty Patterns in Lao PDR, 2002/3

% of National Population Incidence of PovertyHeadcount Index (% of pop.)

Total Lao PDR 100.0By Geographic AreaUrban 23.0 19.7Rural 77.0 37.6With all-season road 31.4Without all-season road 46.2

By Ethnic GroupLao-Tai 66.6 25.0Mon-Khmer 20.6 54.3Hmong-lu Mien 8.4 40.3Chine-Tibet 3.3 45.8Source: World Bank 2005 based on LECS3

d) Challenges faced by vulnerable ethnic groups

The challenges faced by vulnerable ethnic groups in Lao PDR can be grouped into three areas. The first is linked to transitions taking place in the uplands. Indeed, the market-economy, the changes taking place at the village level (for example mixed villages) and issues related to land use, have a direct impact on ethnic groups’ lifestyles and quality of life; and may contribute to increasing the ethnic groups’ vulnerabilities. In fact, it appears that vulnerable ethnic groups may not be able to make the most out of the market-economy opportunities with women being the least able to. Secondly, institutional changes, such as the creation of the Koumban committees, also have a direct impact on vulnerable ethnic groups insofar as they demonstrate the difficulties faced by these groups in accessing information and being represented in decision-making; thus, contributing to negotiation discussions that may be imbalanced. Lastly, the changes mentioned above, also have an impact on traditional gender roles that may lead to persistent gaps between men and women, especially those belonging to vulnerable ethnic groups.

6 Lao PDR Poverty and Social Impact Analysis: Impact of Poverty Reduction Programs on Ethnic Minorities and Women, draft, June 2007, Document of the World Bank, page 21

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e) Difficulties encountered during PRF cycles 1 to 5

The first main difficulty encountered pertains to language obstacles that limit non-Lao speaking communities’ participation. Also, villages with very high proportions of poor households have difficulties in participating in the planning process7 because of this language barrier. Furthermore, a lack of translation services between Lao and the other ethnic groups’ languages is a major constraint, especially on women’s participation8. Second, even though women are included in a formal sense; in the actual decision-making, at least on higher levels, they are only playing a marginal role. Additionally, large numbers of women in the Koumban team are illiterate; similarly it may be difficult for some women to get involved as village representatives because they do not speak Lao fluently and have limited ability to travel; thus, they cannot fully participate in the process and decision-making. Thirdly, in areas with large vulnerable ethnic groups Koumbans have difficulties in finding persons that are educated enough to operate financial transaction and bookkeeping9.

In addition, throughout the PRF process, various problems have been identified and mitigation measures which will also be applied for the implementation of LUFSIP are presented in table 4.

7 Participatory Poverty Assessment II (2006), Lao People’s Democratic Republic, National Statistics Center, Asian Development Bank, James R. Chamberlain, October 2007, page 108 Community-Based Approaches in Lao PDR: A Review of the Poverty Reduction Fund (PRF) and Other Projects, November 6, 2007, page 229 Community-Based Approaches in Lao PDR: A Review of the Poverty Reduction Fund (PRF) and Other Projects, November 6, 2007, page 22

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Table 4: Issues identified during the PRF’s subprojects’ processIssues PRF until present Procedures adopted to date Potential measures for a greater integration

Language Ethnic groups’ members who do not speak or understand Lao may be less likely to participate; and thus may not feel as motivated or empowered.

The village representatives from the vulnerable ethnic groups may not understand the proceedings and may not be able to represent adequately his/her three (3) village needs. Therefore, at times the village may not be selected. This may also lead to animosity from the other villagers because his/her village was not selected.

Most IEC tools used are in Lao; therefore, those who do not understand the language cannot comprehend them.

PRF teams conduct the VNPA meetings at the village level in Lao. However, Koumban facilitators are not fluent in Lao.

Vulnerable ethnic groups cannot fully participate in KB and District meetings, which are carried out in Lao.

Interpreters are used during all the meetings.

Community radio broadcasts concerning the Program’s process are in vulnerable ethnic languages: strategy, financial management, subprojects’ maintenance, community contribution. This has been accomplished in three districts: Ta Oi and Samoi in Saravanne Province and Khoun District in Xieng Khouang Province.

Elect one woman or man from each ethnic group to act as a Koumban facilitator.

Develop appropriate IEC tools: use visual aid (pictures, photos etc.) to explain the PRF Program.

Youth, especially from vulnerable ethnic groups, broadcast radio spots in vulnerable ethnic languages.

Gender Difficulties in finding women who speak Lao Difficulties in electing women and/or men from

vulnerable ethnic groups to act as Koumban facilitators or as village representatives due to language barriers

Women, at the community level, have limited mobility due to cultural/social constraints (some husbands do not authorize their wives to go to other villages and participate in meetings).

Difficulties in increasing women’s participation , especially those belonging to vulnerable ethnic groups

Separate women and men’s meetings One facilitator is a woman When selecting the village’s three priority

needs; one must come from the women’s group.

Initiatives to increase women’s participation (for example the quadrant game)

Provide training

Leadership/representativity

Vulnerable ethnic group members may be shyer as their education level is different from that of other villagers.

Both women and men are divided into two groups. In many remote villages, a woman in the women’s group and a man in the men’s group will speak more often than the rest of the group and will not facilitate the participation of the vulnerable ethnic groups’ members.

Difficulty in mixed villages for the newcomers to become leaders

Provide special training for vulnerable ethnic groups’ village representatives so that they are better able to represent their village needs during the Koumban meeting: Negotiation and Communication skills

There should be the same number of facilitators as of various ethnic groups.

Rearrange sitting arrangements so as to seat the villagers, especially those belonging to vulnerable ethnic groups, in the middle of the room.

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Ownership Some vulnerable ethnic groups’ villagers do not understand the O&M of their subproject; thus can not operate or maintain the infrastructure. Also, some cannot contribute to the maintenance fund at the village level due to lack of income. This may contribute to a reduced feeling of ownership towards the subproject.

Community radio broadcasts in local language concerning the Program’s process, including O&M. This has been accomplished in three districts: Ta Oi and Samoi in Saravanne Province and Khoun District in Xieng Khouang Province.

Use appropriate IEC tools to sensitize the villagers. Share orally key Program documents into the

language of vulnerable ethnic groups Youth, especially from vulnerable ethnic groups,

broadcast radio spots Cross-visits to other areas

Facilitation by PRF and Koumban facilitators

Some PRF and Koumban facilitators do not use participatory tools (ex: group brainstorming, ranking exercises etc.), that would enable the Program not only to gather data on important issues, such as the community’s vision of development or village poverty level but also would also facilitate the vulnerable ethnic groups’ participation.

Refresher training for the PRF team and Koumban facilitators:

Communication skills with special emphasis on vulnerable ethnic groups

Gender issues Participatory planning process Organizing meetings (lessons

learned) Present the poverty levels of different

villages to establish a consensus amongst all villagers on who is actually poor;

The principle “empathy” or siding with the poor is used to reinforce the consensus.

Every time PRF team evaluates, monitors or supervises activities in the village, s/he must train the community in relevant issues such as subproject’s maintenance; technical terms, planning (in relation to PRF work and the problems encountered in the area).

Include local government and officials in training

PRF Guidelines The guidelines pertaining to the number of priority needs that women and men can express is not clear.

Specify in the guidelines that the PRF will favor two needs expressed by the women’s group.

Subproject appraisal Sometimes subprojects are not feasible in villages solely inhabited by vulnerable ethnic groups due to the remoteness: it is difficult to bring the material needed for the subproject’s implementation

The Koumban and PRF facilitators should use the problem tree analysis to identify the villagers’ needs. Then it would be possible for them to understand the priorities expressed, identify the problems that would arise during the subproject’s implementation and select the most appropriate one considering the village’s resources and specificity.

Mixed village Newest people are the most vulnerable: no leadership position. They are living on state land.

PRF does not work with resettled communities.

The PRF will apply affirmative action towards an vulnerable ethnic group member from a mixed village and select him/her

Village profile and participatory mapping on an annual basis

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f) New strategies

The LUFSIP Program seeks to empower vulnerable ethnic groups by enabling them to have better access to education, to health services and to roads; thus, a better quality of life; so that they may also take advantage of different market-economy possibilities. In addition, the Program aims at expanding the vulnerable ethnic groups’ space for negotiation and interaction with the government while preserving their cultural specificities. Through this respect and empathy for diverse cultures, the PRF’s proactive approach intends not only to provide information but also to increase vulnerable ethnic groups’ participation in all of the subprojects’ implementation under LUFSIP’s subprojects. As such, PRF’s main objectives in relation to vulnerable ethnic groups which applicable to LUFSIP are:

To empower the vulnerable ethnic groups to benefit from development by building capacity through increasing access to information as well as encouraging part in decision-making;

To empower the vulnerable ethnic groups in seizing the opportunities brought by the PRF’s subprojects: access to education via the construction of schools, to market opportunities via the development of access roads, to a better health via the building of health centers and water infrastructures.

To promote gender equality and increase the participation of women at all levels of the PRF’s subprojects’ implementation.

In order to empower vulnerable ethnic groups, the strategies that will be adopted by LUFSIP include some of the following:

Training on gender and vulnerable ethnic groups provided not only to the LUFSIP and PRF team as well as the Koumban team and the district officials, so as to increase awareness and sensitization on these issues;

Increasing the sense of ownership amongst vulnerable ethnic groups also through the oral sharing of key documents in their ethnic languages;

Maintaining and expanding partnerships with Mass-based organizations, projects and others involved with vulnerable ethnic groups as well as women;

Piloting new tools such as the IEC material and other Participatory Rural Appraisal (PRA) tools (participatory mapping, the pocket chart) as well as new initiatives (such as the quadrant game) in order to increase confidence and skills to participate as well as to better integrate vulnerable ethnic groups at the onset of the subprojects’ implementation;

Increasing access to information or development issues in general;

Using an enhanced village profile that will lead to a better monitoring and evaluation of the subprojects’ impacts on vulnerable ethnic groups as well as a better tracking of the differences in terms of ethnic groups’ composition at the village level.

The following table presents other activities that may permit a better integration of vulnerable ethnic groups under LUFSIP program implementation.

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g) Procedures that will be adopted for LUFSIP

1 Train LUFSIP and PRF staff, Koumban facilitators in gender and ethnic sensitization (See Training manual).

2 Share orally key Program documents into local language during the cross Koumban meeting.

3 Village profile: include data on different ethnic groups living in the village and levels of poverty. Update data annually (See Operation Manual). Simple mapping presenting ethnic groups’ concentration in villages.

4 Provide capacity building to village representatives, especially those who belong to vulnerable ethnic groups (See Training manual).

5 Supervision in local ethnic language.6 Conduct workshops and training on relevant issues for vulnerable ethnic groups (See

Training manual).7 Organize study visits between Koumban facilitators working in villages where there

are different ethnic groups on the methods, difficulties, solutions retained when integrating, socializing and mobilizing vulnerable ethnic groups.

8 Learning experience from other countries through research and study tours.9 Link with key partners experienced in vulnerable ethnic groups’ participation,

mobilization (such as the following MBO: LWU, Lao Front for National Construction) in the areas of provision of training, monitoring and evaluation and other areas which are complementary.

10 Youth, especially those from vulnerable ethnic groups, broadcast radio spots on the community radio.

11 Exchange experiences among ethnic groups living in other villages.12 Recruit qualified personnel from vulnerable ethnic groups, especially women.13 Monitor and evaluate LUFSIP vulnerable ethnic groups’ coverage and support. This

could also include ad hoc studies related to vulnerable ethnic groups done by consultants according to the Program’s needs (ex: Studies to identify potential adverse effects on vulnerable ethnic groups to be induced by the Program, and to identify measures to avoid, mitigate, or compensate for these adverse effects).

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5) Feedback and Conflict Resolution Mechanism

The Purpose of the Feedback and Conflict Resolution Mechanism is to ensure that the LUFSIP and PRF has in place a system to receive feedbacks/complaints, listen to the voices of the poor and vulnerable, and resolve the issues effectively and expeditiously. Such a system will allow the LUFSIP and PRF to be fully responsive to its beneficiary communities and empower the vulnerable ethnic groups and poor in villages.

Principle of the SystemThe Program encourages transparency and community ownership, and it is inevitable that there

will be feedbacks/complaints registered as the subproject progresses. Also, at present the system incorporates the anonymity or confidentiality factor.

Source of Feedbacks/ComplaintsIn principle, feedbacks can be expressed by anyone involved in the LUFSIP and PRF. However,

this system will be setup exclusively to hear voices from villagers, especially from the poor and vulnerable (such as vulnerable ethnic groups and women), as these groups of people are expected to have less means to vocalize.

Means of Receiving Feedbacks Feedbacks can be made verbally or in a written form. Feedback and Conflict Resolution Forms

(FCRF-Form) are available at the Koumban level, where a “Feedback Box” is currently located. Plaintiff is encouraged to fill out the CPF-form for investigation, but the issue can also be explained on plain paper. All feedbacks in written form should be submitted to the Feedback Box.

Feedbacks can also be conveyed verbally by visiting LUFSIP and/or PRF offices. All feedbacks received must be written on the CPF-Form by the LUFSIP and/or PRF staff.

Types of FeedbacksFeedbacks may include: misuse of funds; corruption allegations; inappropriate intervention by

outside parties; and violation of Program policies and principles. Many times, the “feedbacks” may just be simple inquiries about subproject procedures or rules.

Organizational StructureWhen a feedback has been referred for investigation, the Feedback and Conflict Resolution

committee at Koumban level will investigate the feedbacks, to discuss and consult with the involved/affected parties. All feedbacks will initially be dealt with at the local level. If the feedback cannot be solved at the Koumban level it will be transferred to next level for further investigation.

For additional information, refer to chapter 5.5 of the Operation Manual.

6) Physical Cultural Resources

The kinds of physical cultural resources that may be affected by subprojects are those that may have important social or cultural significance, or are part of the cultural identity or practices of the community, or specific ethnic groups within the community. All efforts will be made to mitigate impacts on such resources, however in the event that impact is unavoidable, the affected people should agree on appropriate mitigation actions.

24

Mitigation activities may be included in the subproject proposal, and the costs, for example, can either be covered through voluntary contribution or included in the costs of the subproject. Activities in which the costs of mitigating impact to cultural resources exceed 2 percent of the total subproject costs will not be allowed. The procedures which will be followed are described below. Each step may be implemented in conjunction with the EA process provided in Section 6.

Steps Description Relevant documentsStep 1. Training and socialization

Information about Physical Cultural Resources and procedures for mitigating impact included in socialization and training for staff and facilitators

Socialization Meeting guidelines

Training modules

Step 2. Participatory planning and subproject preparation

Facilitators identify physical cultural resources at planning stageCommunity discuss options for avoiding impact

VNPA meeting guidelines

Subproject proposal format

Step 2. Screening Screening and checklist included in subproject proposalDistrict staff follow up where impact is noted

Checklist included in subproject proposal

Step 3.Agreement on mitigation measures

At the Contribution and compensation meeting, the affected villages also discuss mitigation measures, or measures to preserve or restore cultural significance

Minutes of the meetings will include the measures and be signed by representatives of the affected people

Step 4. Verification District Coordinator will verify that the steps are appropriate and agreed by the affected people

Step 5. Grievance The grievance mechanism can be used by people directly affected, to lodge complaints

Grievance mechanisms in Chapter 4

When a subproject happens to encounter underground physical cultural resources during construction, the incident should be reported to a relevant authority in charge and the civil work is suspended until guidance from the authority is provided. In case the civil work is sub-contracted, such a ‘chance finds’ mechanism should be included in the contract obligations.

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7) Environmental Management Framework Although the impacts of LUFSIP and PRF subprojects on the environment can not be denied,

they will remain extremely limited because of the nature and scale of the subprojects.

The following table gives an indication of the land mobilized by the infrastructures funded by PRF and therefore of the very limited scope of the environmental impact.

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Land surface affected by PRF subprojects during the first four cycles.

Infrastructures Maximum size Number of subprojects

Total land surfa

ce

Schools 5 classrooms x

7m x 8 m = 280

m2

354 schools

0.01 km2

Roads Width: 3.5 m

2420 km

8.47 km2

Markets

25 m x 10 m = 250

m2

9 markets

0.00 km2

(2,250

m2)

Dispensaries 9 m x 11 m = 99 m2

31 0.00 km2

(3,069

m2)

Water reservoirs10 Ø 100 m =7,850

m2

60 Water reservoirs

0.47 km2

Water tanks 10 m3 = 6 m2 1,012 Tanks0.01 km2

(6,072 m2)

Total:8.96 km2

The following figures (Cycle I - IV) give additional indications of the limited volume of the PRF activities in terms of environmental impact:

10 For the sake of this calculation, it is considered that half of the irrigation schemes involve the construction of one reservoir.

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- Totality of irrigation channels built and renovated: 35 km

- Clean water distributed annually to villagers annuallyby clean water systems set up with PRF support: 4,250,000 m3

The PRF technical assessment11 conducted in December 2006 assessed the environmental impacts of the Program and concluded that most subprojects implemented by PRF had little or no impact on the environment. There were no major case of heavy landslide and the subproject location did not create any disturbance or prejudice to the villagers. Since LUFSIP subprojects will partly be implemented by PRF, therefore no or minor environment impact is expected under LUFSIP. However, since the project will support small infrastructure works, good construction practices will be included in the Project Operational Manual to ensure that the potential negative impacts during rehabilitation and/or construction works is minimized.

a) Environmental Management Strategies

In order to minimize the subprojects’ impact on the environment, the PRF has developed an Environmental Management Framework in compliance with the World Bank’s Environmental Assessment Policy (OP/BP 4.01) aiming at:

- Screening and assessing the potential impacts of a proposed subproject before it is approved;

- Mitigating the negative impacts of approved subprojects during their design, construction and implementation and in the long term.

1) Subproject identification phase

Before a subproject is approved, several meetings will be facilitated by the LUFSIP and/or PRF district staff at village, Koumban and district level. During these meetings, the LUFSIP and/or PRF staff inform the communities of the potential environmental risk of the subproject, raise awareness of communities about the protection of the environment by the communities, and gather information on areas where a subproject is implemented; for instance, the current land use of the site, existence of protected area, etc. If the subproject is found to include activities specified in the prohibited activities in Section 2, it will be screened out or reconsidered to exclude such activities.

2) Subproject design phase

Subprojects which are submitted by a village and which have been pre-selected during the Koumban and the district prioritization meetings are then designed by the villagers with the technical support of the LUFSIP and/or PRF teams.

The Subproject Proposal Form (SPPF) used to document the design includes a quick environmental screening (see Annex 1) which allows the team to check if there are any specific risks. LUFSIP and/or PRF teams fill in the form based on the villagers’ knowledge, on in-situ observations and on prior discussions with district government staff (in order, for example, to cross-check that the subproject will not

11 MEK Consultants Co., Ltd and ACCMIN Consultants Co., Ltd. December 2006. PRF Final Report for Technical Assessment. Vientiane. Prime Minister Office.

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be located in a protected area). At this stage, subproject activities specified as prohibited in Section 2 are completely excluded from the subproject. If sensitive environmental issues do not exist and the scale of the subproject is less than the threshold, further EA work is not required and the subproject follows the standard operating procedures in the Engineering and Technical Guidelines while environmental due diligence should be provided, as appropriate, using Annex 3 as a reference.

If a potential environmental risk is identified, a simple EA is conducted by the LUFSIP

and/or PRF district team (see the Simple Environmental Assessment Template in Annex 2). Typical environmental impacts and mitigation measures by subproject category are available in Annex 3 for a reference to conduct the EA and identify appropriate mitigation measures. A draft EA is disclosed to and consulted with the village members and other stakeholders to seek and incorporate their views into the subproject design and mitigation measures. Upon the completion of draft EA, the LUFSIP and/or PRF team will send the draft EA to the district government technical staff for review and approval before the subproject is submitted for approval at district level (district decision meeting).

Note: The quick environmental screening included in the SPPF (see Annex 1) has been revised during the update of the PRF Manual of Operations at the beginning of 2008. Based on PRF experience, the main environmental risks are not linked to the size of the infrastructure but rather to the location chosen to build it. However, it is necessary to be particularly cautious when the size of one infrastructure is over LUFSIP and PRF standards. As a result the size of the infrastructure is still an important criterion triggering (or not) the EA but the thresholds were reviewed as indicated in the excerpt of the updated SPPF below:

a) Environmental Impact Environmental Assessment

Rural roads, tracks and footpaths > 10 km (YES – Tick )

Bridges, ramps and piers > 20 m (YES – Tick )

Domestic Drinking Water systems > 200 users (YES – Tick )

Irrigation schemes ALL (YES – Tick )

Buildings (community halls, health centres, schools, markets) > 400 m2 (YES – Tick )

Sanitation Facilities (latrines) > 200 users (YES – Tick )

SCA

LE

Mini-hydro generators ALL (YES – Tick )

Changes are likely to occur in water use and/or water availability (YES – Tick ) Protected area or area proposed for protection by the Government (YES – Tick ) Others Specify_________________________________________________________________

_________________________________________________________________ (YES – Tick )

3) Subproject implementation phase

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The implementation of mitigation measures as well as the monitoring and inspection of environmental consequences is the responsibility of subproject-implementation communities. Training and awareness raising activities will be implemented to ensure that communities are aware of subprojects environmental risks and to ensure them to take actions to mitigate these risks and to increase their capacity to check that contractors are respecting their obligations in terms of environmental protection. IEC tools will be developed before the beginning of LUFSIP and training sessions on environmental protection and good engineer practice will be conducted by the LUFSIP and/or PRF community development team at the inception and during the implementation of the subprojects.

Contract templates for sub-contracted work will also be modified to include specific clauses detailing sub-contractors’ obligations in terms of environmental protection. LUFSIP and PRF will also expand the clause detailing communities’ commitments in terms of environment protection in the contract signed between the communities and LUFSIP or PRF.

During the implementation phase, regular technical monitoring visits are conducted by the LUFSIP and/or PRF team to monitor environmental impacts and inspect the implementation of mitigation measures. When the work is sub-contracted, a final inspection visit is organized before handing over the infrastructure. The LUFSIP and/or PRF team uses a specific form to assess the quality of the work during the visits which includes an environmental monitoring and inspection checklist (see Annex 4).

4) Management of UXO related risks

When a proposal is prepared by communities with support from LUFSIP and/or PRF team, villagers are asked whether there are UXO in the subproject site or in its vicinity. Their response is documented in the Subproject Proposal Form (SPPF) and cross-checked with UXO Lao (Lao National Unexploded Ordnances Disposal Program) district team. Additionally, UXO Lao district team participates in the district decision meeting and comment on all subprojects in relation to UXO risks.

If there is a potential risk and if the area had not been previously surveyed and / or cleared by UXO Lao, the LUFSIP and/or PRF will send a letter with the list of all the subproject sites needing to be surveyed or cleared prior to the beginning of the implementation phase to UXO Lao both at district and provincial level so that the sites are included in UXO Lao work plan.

If a potential risk has been identified during the design phase, the LUFSIP and/or PRF will not transfer the first budget Installment to the Koumban Team unless a clearance or survey certificate from UXO Lao is attached to the request.

b) Training

Before the beginning subprojects implementation, LUFSIP and PRF will organize training to LUFSIP and PRF teams on how to use the various checklists, table on typical

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environmental impacts and mitigation measures and conduct simple EA during the subproject cycle in order to ensure proper implementation of the Environmental Management Framework.

8) Pest Management Framework The GOL is not intended to support the use of any pesticide and chemical fertilizer in

promotion agricultural productivity; however the country has experienced severe pest invasions, including in Project areas. The GOL is therefore may have to use some pesticides to limit losses and damages to rice seed production due to pests. Project funds could be used to procure pesticides for rice seed production activity at the centers and selected farmer groups, if needed. The pesticides will only be used for LUSIF activity under parts 1 and 2 which will be implemented by MAF’s agencies.

a) Pest Management Strategies

The GOL experienced in used of pesticide in the country and its neighbors; to ensure the human health and environmental impact from the usage of pesticide, by JICA and FAO support, MAF had produced in March 2000 the Regulation number 0886/MAF and recently updated in June 11, 2010 into the regulation number 2860/MAF (Annex 5) on Pesticide Management in Lao PDR based on the WHO recommended Classification of Pesticide by Hazard and Guideline to Classification 1994-1995. The GOL had registered in January 2010 the companies who import pesticides, fertilizers and seeds into Lao PDR. Registered pesticide has been adjusted in May 2010 based on the new regulation. The Department Agriculture under MAF is mandated to oversight all the usage of pesticide. The LUFSIP will implement Regulation number 2860/MAF on Pesticide Management for subproject implementation and subject to compliance with the Bank safeguard policy OP 4.09 on Pest Management.

1) Subproject identification phase

Before a subproject is approved, several meetings will be facilitated by the LUFSIP staff with rice seed centers and selected farmer groups. During these meetings, the LUFSIP team will consult of the potential pesticide risk in project areas, raise awareness of the user groups about the risk of pesticide usage and protection method. If the subproject is found to include pesticide specified in the prohibited list in the Regulation number 2860/MAF, it will be screened out or reconsidered to exclude such activities.

2) Subproject design phase

As project will use the pesticide only at rice seed center and selected farmer group in case of pest invasions to minimize the loses of rice seed production; during the preparation phase of the subproject, LUFSIP team will ensure the proposed procure pesticide is in the eligible list identified under Regulation number 2860/MAF including of proper storage of procured pesticide. The best practicing of pesticide should be included in the proposal and training cost need to be clearly allocated for training the user. The list of eligible and banned pesticides is in annex 6.

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3) Subproject implementation phase

The Project will address the risks of pesticide usage through applying MAF regulation number 2860/MAF in the project areas. The implementation of mitigation measures as well as the monitoring and inspection of human and environment risk in usage of pesticide is responsible by the subproject. Training will be provided to the extension staff and farmer groups on the best practicing pesticide and ensure them to take actions to mitigate these risks; the project will allocate enough budgets to distribute and conduct consultation of MAF’s regulation number 2860/MAF in all project areas as part of ESMF.

b) Procurement, storage and usage of pesticide

Procurement, storage and monitoring of the usage of pesticide financing under LUFSIP is fully a responsibility of DOA. The DOA should strictly follow with articles 18 and 19 of the MAF’s regulation number 2860/MAF for procuring the pesticide; articles 20, 21 and 22 for transportation, storage and trans-boundary transportation of pesticides; and articles 23 and 24 for the safety use of pesticide.. The DOA or user may refer in addition to the article 25 and 26 for the storage and usage of pesticide.

c) Training

Before the beginning subprojects implementation, LUFSIP and DOA will organize training to LUFSIP and DOA staff at province and district level on eligible pesticide to be procured, how to store them and the best practice on pesticide use. The training will include immediate action required incase misuse of the pesticide by staff or farmer. All articles under section IV, V, VI, VII and IX in regulation number 2860/MAF need to include in all trainings. This training activity will be required as part of Environmental Safeguard Management Framework implementation.

d) Monitoring

Staff will be assigned in DOA to monitor the use of pesticide including a) ensure the procured pesticide is in eligible list provided in annex 5, b) ensure procured pesticides are properly kept, c) ensure training delivery to the user before distribution, and d) monitor compliance usage of pesticide according to the MAF’s regulation number 2860/MAF. The World Bank team will carry out the Implementation Support Mission in every six months period as usual procedure. The World Bank will use its Pest Management Guidebook as a standard to monitor compliance of the use of pesticide procured under the project.

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Annex 1 – Subproject Proposal Form (Excerpt from the template)

15. Social and Environmental impacts

a) Environmental Impact Environmental

Assessment

SCA

LE

Rural roads, tracks and footpaths > 10 km (YES – Tick )

Bridges, ramps and piers > 20 m (YES – Tick )

Domestic Drinking Water systems > 200 users (YES – Tick )

Irrigation schemes ALL (YES – Tick )

Buildings (community halls, health centres, schools, markets) > 400 m2 (YES – Tick )

Sanitation Facilities (latrines) > 200 users (YES – Tick )

Mini-hydro generators ALL (YES – Tick )

Changes are likely to occur in water use and/or water availability (YES – Tick ) Protected area or area proposed for protection by the Government (YES – Tick )Others Specify_________________________________________________________________

_________________________________________________________________ (YES – Tick )

b) Impact on Physical Cultural Resources Assessment of

Impact on PCR

Subproject location with known archaeological or paleontological value (YES – Tick )Subproject location with known historical value (YES - Tick )Subproject location (land, water source, forest, etc.) with known cultural or religious value (such as spirits or traditional meeting ground) (YES - Tick )

Subproject location with known unique natural values (YES - Tick )Others Specify_________________________________________________________________

_________________________________________________________________ (YES - Tick )

c) Land Acquisition and Resettlement

Specific meeting and use of the

Contribution and Compen

sation Form

Subproject involving voluntary contributions (YES - Tick )

Submission of a Land

Acquisition and Resettle

ment Report

33

Subproject involving the voluntary resettlement of more than 100 persons (YES - Tick )Subproject involving the voluntary contribution by at least one individual of more than 10% of their holdings (YES - Tick )

Subproject involving displacement of more than 5 households or structures (YES - Tick )

34

Annex 2 – Simple Environmental Assessment Templates

for Bridges, Culverts and Rural Road

Name of Subproject: ...................................................................................................................

Subproject No: ............................................................................................................................

Date of site visit: …………………….

Persons consulted ….............................................................................................................

Description of Subproject (including objective, location, expected benefits and population served): …….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................……..................................................................................................................................................................................................................................................................................................................

Are there environmentally sensitive areas through which the road passes? Yes No

If yes, describe ............................................................................................................................................................. …….....................................................................................................................................................…….....................................................................................................................................................……........................................................................................................................................................................................................................................................................................

A. Environmental Effects Related to Subproject Location and Design

(Tick against relevant category)

Type of Environmental Resource Likely Effect/Impact

Negligible/Small Medium Major

Natural habitat and wildlife

Erosion and Silt Control

Drainage Pattern

Water Quality

35

Land Use & Settlement

Scenic, Historical & Cultural Sites

Describe any environmental effects, alternatives considered and proposed mitigation measures …….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................

B. Environmental Effects Related to Construction and Operation

(Tick against relevant category)

Type of Environmental Resource Likely Effect/Impact

Negligible/Small Medium Major

Natural habitat and wildlife

Land Use and Settlement

Health and Safety

Erosion and Silt Control

Noise and Dust

Spill of Hazardous Materials

Water Quality

Describe any environmental effects and proposed mitigation measures

…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................

36

…….....................................................................................................................................................…….....................................................................................................................................................

C. Does the subproject involve any land acquisition (circle answer) Yes No

Does the subproject involve relocating people (circle answer) Yes No

If yes, Provide specific information on the persons affected, impacts involved (e.g. land, trees, crops, houses and other structures), agreements reached, who at the community level is responsible for land acquisition and relocation and provide supporting evidence to show that both land acquisition and relocation of people have been dealt with appropriately. Verify that affected villagers have been consulted and are satisfied with the agreement for compensation.

…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................……............................................................................................................................

D. Are there any vulnerable ethnic groups living in the area of the subproject or likely to be affected by the activities of the subproject (circle answer) Yes No

If yes, Provide specific information and provide supporting evidence to show that vulnerable ethnic groups have been consulted on the development subproject, that they do not face adverse impacts from the subproject and that they are satisfied with the arrangements.

…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................

E. Does the subproject impact physical cultural resources (circle answer) Yes No

If yes, Provide a description of the impact, supporting evidence showing that consultation with affected people has been conducted, and the description and cost of the agreed mitigation plan.

37

…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................

Overall Assessment of Environmental and Social Impact of Rural Road Subproject

(Circle one category only)

Negligible/Small Medium Major

38

For Irrigation and Well

Name of Subproject: ...................................................................................................................Subproject No: ............................................................................................................................

Date of site visit: …………………….

Persons consulted ….............................................................................................................

Description of Subproject (including objective, location, expected benefits and population served): …….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................……..................................................................................................................................................................................................................................................................................................................

Are there environmentally sensitive areas through which the road passes? Yes No

If yes, describe .......................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................

A. Environmental Effects Related to Subproject Location and Design

(Tick against relevant category )

Type of Environmental Resource Likely Effect/Impact

Negligible/Small Medium Major

Impacts of the flooding on ecology

Safety of upstream Dam or Reservoir

Aquatic Ecology and Fish Resources

Erosion and Silt Control

Hydrology

Drainage Pattern

River Flow Regimes

39

Water Quality

Land Use and Settlement

Scenic, Historical and Cultural Sites

Describe any environmental effects, alternatives considered and proposed mitigation measures …….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................

B. Environmental Effects Related to Subproject Construction/Operation

(Tick against relevant category)

Type of Environmental Resource Likely Effect/Impact

Negligible/Small Medium Major

Impacts of the flooding on ecology

Aquatic Ecology and Fish Resources

Erosion and Silt Control

Hydrology

Drainage Pattern

River Flow Regimes

Water Quality

Land Use and Settlement

Scenic, Historical and Cultural Sites

Health and Safety

Erosion and Silt Control

Noise and Dust

Describe any environmental effects and proposed mitigation measures

40

…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................

C. Does the subproject involve any land acquisition (circle answer) Yes No

Does the subproject involve relocating people (circle answer) Yes No

If yes, Provide specific information on the persons affected, impacts involved (e.g. land, trees, crops, houses and other structures), agreements reached, who at the community level is responsible for land acquisition and relocation and provide supporting evidence to show that both land acquisition and relocation of people have been dealt with appropriately. Verify that affected villagers have been consulted and are satisfied with the agreement for compensation.

…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................

D. Are there any vulnerable ethnic groups living in the area of the subproject or likely to be affected by the activities of the subproject (circle answer) Yes No

If yes, Provide specific information and provide supporting evidence to show that vulnerable ethnic groups have been consulted on the development subproject, that they do not face adverse impacts from the subproject and that they are satisfied with the arrangements.

…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................……...............................................................................................................................................

41

......…….....................................................................................................................................................…….....................................................................................................................................................

E. Does the subproject impact physical cultural resources (circle answer) Yes No

If yes, Provide a description of the impact, supporting evidence showing that consultation with affected people has been conducted, and the description and cost of the agreed mitigation plan.

…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................

Overall Assessment of Environmental and Social Impact of Subproject (circle answer)

Negligible/Small Medium Major

42

For School and Health Centre

Name of Subproject: .................................................................................................................

Subproject No: ........................................................................................................................Date of site visit: …………………….Persons consulted ….............................................................................................................

Description of Subproject (including objective, location, expected benefits and population served): …….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................……..................................................................................................................................................................................................................................................................................................................

...............................................................................................................................

Are there environmentally sensitive areas through which the road passes? Yes No

If yes, describe ..........................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................……........................................................................................................................................................................................................................................................................................

A. Environmental Effects Related to Subproject Location and Design

(Tick against relevant category )

Type of Environmental Resource Likely Effect/Impact

Negligible/Small Medium

Natural Habitat and Wildlife

Land Use and Settlement

Drainage

Water Quality

Traffic Congestion

43

Noise

Health and Safety

Describe any environmental effects, alternatives considered and proposed mitigation measures …….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................

B. Environmental Effects Related to Subproject Construction/Operation

(Tick against relevant category)

Type of Environmental Resource Likely Effect/Impact

Negligible/Small Medium

Natural Vegetation

Land Use and Settlement

Health and Safety (incl. health care waste disposal)

Drainage Pattern

Water Quality

Noise and Dust

Traffic Congestion

Describe any environmental effects and proposed mitigation measures

…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................

44

…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................

C. Does the subproject involve any land acquisition (circle answer) Yes No

Does the subproject involve relocating people (circle answer) Yes No

If yes, Provide specific information on the persons affected, impacts involved (e.g. land, trees, crops, houses and other structures), agreements reached, who at the community level is responsible for land acquisition and relocation and provide supporting evidence to show that both land acquisition and relocation of people have been dealt with appropriately. Verify that affected villagers have been consulted and are satisfied with the agreement for compensation.

…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….............................................................................................................

D. Are there any vulnerable ethnic groups living in the area of the subproject or likely to be affected by the activities of the subproject (circle answer) Yes No

If yes, Provide specific information and provide supporting evidence to show that vulnerable ethnic groups have been consulted on the development subproject, that they do not face adverse impacts from the subproject and that they are satisfied with the arrangements.

…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................

E. Does the subproject impact physical cultural resources (circle answer) Yes No

45

If yes, Provide a description of the impact, supporting evidence showing that consultation with affected people has been conducted, and the description and cost of the agreed mitigation plan.

…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................…….....................................................................................................................................................

Overall Assessment of Environmental and Social Impact of Subproject (circle answer)

Negligible/Small Medium

46

Annex 3 – Typical Environmental Impacts and Mitigation Measures

Environmental Effects and Mitigation Measures for Road SubprojectsActivity Potential Effects Possible Mitigation Measures

Planning, Design and Land Acquisition

Setting Design Standards If standards are too high excessive earthworks can cause other effects. (See activities under “3 Construction”)

Set standards appropriate for class of road, traffic and terrain

Design – General Land requirements affect local people Minimize land acquisition and resettlement in selecting alignment.

Existing buildings, possibly constructed within the subproject site could be affected

Attempt to negotiate a fair design or compensation solution which does not cause undue hardship.

Work on roads, bridges and culverts can affect existing trees.

Minimize impact on trees and replant when work is completed.

Access roads and bridges can have impacts on wildlife, virgin forest areas, cultural relics etc.

Avoid such areas as much as possible in the design.

Roads, bridges and culverts can cause an increase in traffic speeds and accidents affecting road users, local people and animals.

Ensure a safe design including speed restriction and warning signs, to control livestock as necessary and where possible discuss possible designs with local people.

Design – Drainage Can alter hydrological regimes and affect flooding and existing irrigation systems.

Ensure culvert, bridge and road are suitably designed to minimize effects on hydrology.

Can cause negative impacts of concentrating water and increasing scour and soil erosion.

Ensure design improves the drainage system by rectifying any existing problems such as scour of adjacent lands, which should be checked for during the monsoons. Include tree planting in design where possible.

Construction Preparation

Mobilizing equipment Air and noise pollution for any nearby settlements.

Control contractors’ vehicle speeds and noise.

Mobilizing workforce The introduction of an outside workforce can have a negative impact on the health and social well-being of local people.

Contractor employs local people where possible.

Possible solution cause by domestic sewage and solid wastes.

Contractor installs and maintains a septic tank system and a system of disposing of solid wastes.

Possible excessive or uncontrolled use of fuelwood in labor camp.

Contractor supplies alternative fuel for cooking and heating in the labor camp.

Possible development of labor camp into a permanent settlement.

Contractor removes the labor camp at the completion of the contract.

Possible hunting of wildlife for food. Prohibit poaching and make contractor responsible for his workers.

Establishment and Air and noise pollution for any nearby Locate base camp and workshop away

47

Operation of Base Camp and Workshop.

settlements. from any residential settlements.

Possible surface water and ground water contamination by oil, grease, and fuel in yards.

Collect and recycle lubricants. Avoid spills and have a ditch around the area with a setting pond, oil trap at the outlet.

Possible ground and water contamination by bitumen or solvents.

Avoid spills but surround area with a ditch with a settling pond/oil trap at the outlet.

Cutting down trees to use as fuel for heating bitumen and stones.

The contractor does not use wood for heating during the processing of any materials.

Operating a borrow Pit. Noise, vibration and dust could affect nearby settlements or other sensitive areas.

Locate plant away from any residential or other environmentally sensitive areas such as hospitals, intensive livestock production areas or wildlife breeding areas. Also avoid farmlands or forests as much as possible. Restrict work to daylight hours and limit the size and frequency of blasting.

Changing the river bed could affect local fishing areas.

Discuss proposed locations with local people/fishermen and insist contractor obtains their approval.

Construction

Possible noise and vibration, especially if earthworks involve blasting, could affect nearby settlements or other sensitive areas.

Restrict work to daylight hours and limit the size and frequency of any blasting near settlements (especially hospitals) near intensive livestock production and wildlife breeding areas.

Historical remains or cultural items could be uncovered.

Contractor to ensure all such finds are reported and discussed with representatives of the local people.

Drainage Improvement Works

Works can have temporary affects on irrigation or washing/drinking water supplies.

Ensure contractor takes into account local water uses. Temporary drainage may have to be constructed.

Effect on traffic and pedestrian safety. The contractor uses safe traffic control as necessary and causes the minimum possible disruption to all traffic.

Bituminous Surfacing. Possible pollution of waterways or groundwater by bituminous products or solvates.

Strict control to avoid spills or clean up immediately after and prohibit work in rain.

Transport of Subproject Materials.

Air and Noise pollution for any nearby settlements and damage to existing roads.

Control contractors vehicles speeds, noise and weight of loads and control dust and flying debris by covering loads or wetting material if necessary. Construct temporary roads if necessary. Use locally available construction material wherever possible to minimize transport distances.

48

Environmental Effects and Mitigation Measures for Public Buildings (Markets, schools, health centers etc.)

Activity Potential Effects Possible Mitigation Measures

Before construction starts

Brick moulding Disturbance of habitats

Loss of land

Land degradation

Air pollution from dust

Pressure on existing water resources

Reallocation of farming land

Possible use of cement block as an alternative

Provision of boreholes

Brick curing Deforestation

Pollution from smoke

Afforestation (tree planting) Quotas per construction (school, dispensary, markets etc.) community based woodlots

Construction

Civil works building Noise and air pollution

Pressure on existing water resources

Creation of borrow pits

Establishment of additional possible water sources

Landscaping

Carpentry Deforestation

Noise

The provision of timber by the community should be approved by the local authorities

Use of alternative materials (bamboo, steel, reinforced concrete

Afforestation (tree planting) Quotas per construction (school, dispensary, markets etc.) community based woodlots

Labourers Faecal / other wastes Provision of latrines

Operations

Provision of desks / furniture

Deforestation The provision of timber by the community should be approved by the local authorities

Use of alternative materials (bamboo, steel)

Afforestation (tree planting) Quotas per construction (school, dispensary, markets etc.) community based woodlots

Disposal of medical wastes

Contamination and pollution in surrounding environment

Include incinerator in health centre subproject proposal

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Environmental Effects and Mitigation Measures for Boreholes

Activity Potential Effects Possible Mitigation Measures

Sitting Loss of land

Land degradation

Nuisance and aesthetic impacts

Consultation with communities

Reallocation of land

Landscaping (planting of trees / crops)

Drilling Disturbance of stream channels, aquatic fauna

Social disruption by construction workers

Construction hazards

New diseases (STD)

Re-vegetation

Establish settlement location for workers out of village to mitigate social interactions

Pump installation Ground and surface water contamination by oil, grease etc.

Experienced drillers only

Enforcing standard safety procedures

Civil works Waste water

Solid wastes

Proper disposal

Drainage, soaking pits

Operation Reservoirs may be breeding areas for water born diseases (worms, mosquitoes etc.)

Water may be contaminated during transport or storage

Spills and leakage contamination of water

Reduction in water quality because of decomposed matter

Over pumping of ground water causing a lowering of ground water table

Disruption to downstream hydrology

Incorporate health and sanitation Education programme

Ensure adequate provision for the operation management and maintenance of facilities (Including proper staff and community training)

Potential Negative Impacts and Mitigating Measures for Irrigation Schemes

Potential Negative Impacts Mitigating Measures

Soil Erosion Proper design and layout of furrows or field avoiding too steep a gradient.

Land Levelling

Design of terraces on hillsides minimizing surface erosion hazard.

Maintain vegetation Cover

Water logging of soils Regulation of water application to avoid over-watering.

Installation and maintenance of adequate drainage system.

Use of lined canals or pipes to prevent seepage.

Accurate calculation of delivery of irrigation requirements.

Salinization of soils Measures to avoid water logging:

Leaching of salts by flushing soils periodically

50

Cultivation of crops with salinity tolerance.

Scouring of canals Design of canal system to minimize risk

Use of canals lined with rocks

Clogging of canals by sediment Measures to minimize erosion on fields

Design and management of canals to minimize sedimentation.

Provision of access to canals for removal of weeds and sediments.

Leaching of nutrients from soils Avoidance of over-watering

Replacement of nutrients by fertilizer and/or crop rotation.

Accurate calculation of fertilizer requirements.

Algal blooms and weed proliferation. Appropriate application of fertilizers (timing and quantity).

Clogging of canals by weeds. Design and management of canals to minimize weed growth.

Provision of access to canals for treatment or removal of weeds.

Deterioration of river water quality below irrigation subproject and contamination of local ground water (higher salinity, nutrients, agrochemicals) affecting fisheries and down stream users.

Improved water management; improved agricultural practices and control of inputs (particularly pesticides and chemical fertilizers).

Imposition of water quality criteria.

Sea water intrusion into freshwater systems.

Location of Scheme

Appropriate water management

Reduction of downstream flows affecting flood plain use, flood plain ecology, riverine and estuarine fisheries, users of water, dilution of pollutants.

Relocation or redesign of subproject.

Regulation of takeoff to mitigate effects.

Compensatory measures where possible.

Encroachment on swamps and other ecologically sensitive areas.

Chose subprojects’ site to avoid or minimize encroachment on critical areas.

Establishment of compensatory parks or reserved areas.

Threat to historical, cultural or aesthetic features.

Chose subprojects’ site to prevent loss.

Salvage or protection of cultural sites.

Alteration or loss of flood plain vegetation and disturbance of coastal ecosystems (e.g. mangroves)

Chose subprojects’ site to less vulnerable area.

Limitation and regulation of water take-off to minimize problems to extent possible.

Introduction or incidence of water-borne or water-related diseases.

use of lined canals or pipes to discourage vectors

avoidance of stagnant or slowly moving water

installation of gates at canal ends to allow complete flushing

filling or drainage of borrow pits along canals and roads

water testing

disease prophylaxis and treatment

Disease and health problems from use Wastewater treatment (e.g. settling ponds prior to use).

51

of wastewater irrigation. Establishment and enforcement standards for wastewater use.

Conflicts over water supply and inequalities in water distribution throughout service area.

Means to ensure equitable distribution among users and monitor to assure adherence.

Establishment of effective water users associations

Over-pumping of groundwater. Limitation of withdrawal so that it does not exceed "safe yield"(recharge rate).

External

Water quality deteriorated or made unusable by upstream land use and pollutants discharge.

Control of land use in watershed areas.

Control of pollution sources

Water treatment prior to use.

Failure of upstream dams or reservoirs on which the subproject activities depend.

Check of dam or reservoir safety prior to subproject implementation

52

Annex 4 – Environmental Monitoring and Inspection Form (Template)

Environment checklist Yes / No Remarks1 Compliance with the planned mitigation

measures and environmental obligations2 Occurrence of notable environmental pollution

such as dust, water pollution, noise3 Encroachment to natural habitats and physical

cultural properties4 Improper operation and maintenance of

construction equipment, fuels and oils5 Occurrence of complaints6 Site cleaning upon completion7 Disposal of construction wastes8 Removal of temporal access roads upon

completion 9 Erosion prevention measures for used borrow

pits10 Removal of temporary water flows’ diversions

or blockages upon completion11 Removal of construction camps upon

completion

53

Annex 5 – Regulation number 2860/MAF

People’s Democratic RepublicPeace Independence Democracy Unity Prosperity

Ministry of Agriculture and Forestry No 2860/MAFVientiane Capital, date June 11, 2010

Regulationon the control of pesticides in Lao PDR

- Pursuant to the Law on Agriculture No. 01/98/NA, dated 6 November 1998.- Pursuant to the Environment Protection Law No. 02/99/NA, dated 3 April 1999.- Pursuant to Law on Local Administration No. 03/NA of 5 October 2003;- Pursuant to the Law on Food No. 04/NA, dated 15 May 2004.- Based upon the proposal of the Minister of Agriculture and Forestry No. ..../MAF,

dated................2009.

The Minister of Agriculture and Forestry issues the Regulation on the Control of Pesticide as follows:

PART IGeneral provision

Article 1. ObjectiveThis regulation defines the principles, rules and measures for controlling activities

involved with pesticide in Lao PDR in order to protect human health, animal plant and environment, and to be consistent with agreements and international regulations.

Article 2. OutputThis regulation is as a tool of monitoring, control of the production processing,

import-export, distribution, transport, storage, usage, destroy, disposal properly and safety to human health, animal plant and environment; to ensure the usage, making the business units and pesticide activities smoothly undertake accordingly to the defined rules and principles.

Article 3. Definitions Terms used in this regulation shall be interpreted as follows:

Pesticide means any substance or mixture of substances intended for preventing, destroying or controlling any pest, including vectors of human or animal disease, unwanted species of plants or animals causing harm during or otherwise interfering with the production, processing, storage, transport or marketing of food, agricultural commodities, wood and wood products or animal feedstuffs, or substances which may be administered to animals for the control of insects, arachnids or other pests in or on their bodies. The term includes substances intended for use as a plant growth regulator, defoliant, desiccant or agent for thinning fruit or preventing the premature fall of fruit, and substances applied to crops either before or after harvest to protect the commodity from deterioration during storage and transport.

54

Banned pesticide means a pesticide for which all uses have been prohibited by final regulatory action, in order to protect human health or the environment. The term includes a pesticide that has been refused approval for first-time use, or has been withdrawn by industry either from the domestic market or from further consideration in the domestic approval process, and where there is clear evidence that such action has been taken in order to protect human health or the environment.

Unwanted plant means the plant is not in the target of growing.

Pesticide industry means all those organizations and individuals engaged in manufacturing, formulating or marketing pesticides and pesticide products.

Trader means anyone engaged in trade, including export, import and domestic distribution.

Formulation means the combination of various ingredients designed to render the product useful and effective for the purpose claimed; the form of the pesticide as purchased by users.

Active ingredient means the biologically active part of the pesticide.

Registration means the process whereby the responsible national government or regional authority approves the sale and use of a pesticide following the evaluation of comprehensive scientific data demonstrating that the product is effective for the intended purposes and does not pose an unacceptable risk to human or animal health or the environment.

Label means the written, printed or graphic matter on, or attached to, the pesticide or the immediate container thereof and also to the outside container or wrapper of the retail package of the pesticide.

Manufacturer means a corporation or other entity in the public or private sector or any individual engaged in the business or function (whether directly or through an agent or entity controlled by or under contract with it) of manufacturing a pesticide active ingredient or preparing its formulation or product.

Distribution means the process by which pesticides are supplied through trade channels to local or international markets.

Advertising means the promotion of the sale and use of pesticides by printed and electronic media, signs, displays, gift, demonstration or word of mouth.

Personal protective equipment means any clothes, materials or devices that provide protection from pesticide exposure during handling and application.

Disposal means any operation to recycle, neutralize, destruct or isolate pesticide waste, used containers and contaminated materials.

55

Residue means any specified substances in or on food, agricultural commodities or animal feed resulting from the use of a pesticide. The term includes any derivatives of a pesticide, such as conversion products, metabolites, reaction products and impurities considered to be of toxicological significance. The term "pesticide residue" includes residues from unknown or unavoidable sources (e.g. environmental) as well as known uses of the chemical.

Risk is a function of the probability of an adverse health or environmental effect, and the severity of that effect, following exposure to a pesticide.

Toxicity means a physiological or biological property which determines the capacity of a chemical to do harm or produce injury to a living organism by other than mechanical means.

Integrated Pest Management (IPM) means the careful consideration of all available pest control techniques and subsequent integration of appropriate measures that discourage the development of pest populations and keep pesticides and other interventions to levels that are economically justified and reduce or minimize risks to human health and the environment. IPM emphasizes the growth of a healthy crop with the least possible disruption to agro-ecosystems and encourages natural pest control mechanisms.

Natural enemies means disease and insect usefully controlling pest in the nature include predators, parasitoids, and pathogens.

Aricle 4. ScopeThis regulation applies to all persons, juristic persons or organizations engaged in

manufacturing, importing, exporting, selling, using, transport, storage, destroying and disposal of pesticide in Lao PDR.

PART IIBusiness on pesticides

Article 5. Business on pesticidesA person, juristic person or organization having the intention to conduct business

on pesticide shall submit a request licenses through agriculture sector and others related sector for getting an approval and shall register its enterprise with industrial and commerce sector as determined in the Law of Enterprise.

Article 6. Import and export, selling licenseRegistered Pesticide prior to import and export shall be applied document to

Agriculture Sector prior import or export 3 working days, 20 days for selling.

Article 7. RecordingA Person, juristic person or organization intend to import, export, manufacture, store

pesticide shall record on whole of quantities of pesticides and other related information for using as a statistic providing to pesticide management.

Article 8. Responsibility on pesticide business

56

A person conducting pesticide business shall ensure the safety to minimize risks to human health, animal and the environment. In the case of accident where pesticide caused damage to human, animal and environment the pesticide business operator shall be responsible according to the laws. In addition the pesticide business operator shall be cooperated and facilitated to pesticide inspectors and other related authorities.

PART IIIRegistration of pesticides

Article 9. Registration of pesticideAll pesticides that produce, import, export, distribution and use in Lao

PDR must be registered with the Department of Agriculture, Ministry of Agriculture and Forestry.

Article 10. Exception pesticide registration1. Registrartion is not required for botanical pesticide that are not packed for sale;2. Provisional registration can be granted for products imported for the purpose of

research , trial or exhibition, but need to be requested from DOA, MAF, with requires evidence that the products register in the country of origin.

Article 11. Qualifications for pesticide registrationA person, juristic person or organization who want to register pesticide shall have the

following qualifications: 1. Person holding license as described in article 19 of this regulation;2. Imported pesticide shall be registered in exported country.

Article 12. Application for registration A person,jusristic person of organization having intention to register

pesticide shall submit apllication to pesticide registration committee in Ministry of Agriculture and Forestry.

The registration application shall consist of following documents: 1. Copy of enterprise registration certificate;2. Copy of pesticide registration certificate of exporting country or/and original country;3. Nomination letter for registration from manufacturer or exporting country;4. Instruction of pesticide use;5. Sample of pesticide.

Article 13. Registration consideration Pesticide registration Unit of DOA shall consider application whether to register

or denied registration within 60 days from the date the application is received. In the case of denial of registration, the written notice shall be given to applicant by the DOA.

Article 14. Pesticide registration certificate

Pesticide registration certificate is an official document issued by Director General of DOA, Ministry of Agriculture and Forestry and valid for two year. Prior two months of expiration, the Certificate Owner shall submit a request for renewal certificate

57

to the DOA. The application and process of consideration will be proceed as described in article 12 and 13 of this regulation.

Article 15. Withdrawal of pesticide registration certificate

The pesticide registration certificate may be withdrawn prior to its expiration date by the Director General of Department of Agriculture in any following case:

There is a material violation of this regulation or other related laws by the certificate owner or his authorized representatives;

the pesticide is no longer effective for its intended use; the pesticide has been withdrawn from the market; In case of cancellation of a registration, the Registration Committee shall fix a

reasonable phasing-out period for the distribution and use of the product concerned.

Withdrawn certificate of registration shall be informed to related agencies.

Article 16. Pesticide registration UnitPesticide registration Unit is an unit under administration of the Department of

Agriculture, Ministry of Agriculture and Forestry, which has the main role and task as following:1. Review application for registration of pesticide and take registration decision ; 2. Regualry review the list of registered of pesticide to determine whether they still

meet the requirements, taking into consideration the latest scientific information;3. Edit and approve labels of pesticide;4. Implement others right and task as described in related legislations.

PART IV

Management of production, import, export, distribution, transportation, storage and transit of pesticide

Article 17. Formulating pesticideA person, juristic person or organization having the intention to formulate pesticides shall submit an application to Ministry of Agriculture including socio-economy document and production technique.

Article 18. Import-Export of pesticideOnly registered pesticides can be imported or exported. Registration has to be

applied for from the Department of Agriculture , Ministry of Agriculture and Forestry and shall comply with other related laws, exclude the pesticide determined in article 10 of this regulation.

Article 19. Distribution or selling pesticideDistributors or traders must have criteria as following:

1. Attended in training of pesticide and have related certificate;2. Have material safety data sheets, instruction of pesticide for customer using

properly;3. To ensure there are not hamful to neigboring people or environment;4. To supply plant protection clothes for customers;

58

5. Storage must strictly follow article 21;6. Must have records purchase orders and selling.

Prohibitions of distribtors or traders of pesticide are following:1. Distribute without license of related authorities;2. Sale pesticides which

did not register in Lao PDR have exceeded their expiry date, or have changed their physical appearance or

behavior, such as color, sedimentation, inability to disperse, etc… or container break or leak container;

lack of sign or was destroyed that could not read;

repack for sale

Article 20. TransportationTransporters/ carriers of pesticide shall adhere to the following rules:

1) For consignment of Pesticides, either of same or different groups, exceeding 100 litres (fluids) or 1000 kg (solids), separate documentation has to be issued and be kept with the driver. The documentation shall have the following content:

1. Name, address, phone number of owner and shipper2. Trade name or common name of transported Plant Protection Products3. Formulation types and concentrations of Plant Protection Products transported4. Volume of Plant Protection Products5. Emergency procedures, in the case of breakage or spill6. A safety data sheet for each of the materials transported

2) For consignments greater than 1000 litres or 1000 kg the transport route must be declared in advance.

3) Plant Protection Products carried by means of public transport, shall not exceed 20 1 for liquids or 20 kg for solids. However, they shall be wrapped properly and kept separately from the passengers and other goods.

4) The drivers of vehicles carrying Plant Protection Products shall be selected properly – they shall be reliable and competent.

5) Prohibit to transport pesticides with living organizm and others goods;

Article 21. StorageIf pesticides are store more then 10 litres/kilogram the following requirement should be met:

1) A pesticide storage facility should be located in an area where flooding is unlikely and far from people and domestic animal farm at least 100 m;

2) All pesticides must be kept in a facility that can be locked and posted as a pesticide storage area;

3) Kept pesticide far from sources of heat or directly in the sun4) Separate pesticide from others goods;5) Lay out pesticide by group and hazard classification;6) Kept pesticide in original containers with label;7) Absorbed substances such as charcoal, sawdust, sand;8) Take care floor clean and dry, clean up when spillage of pesticide occurred,

leaking from container;

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9) Soap and water are available for washing when contact with pesticide;10) Use stand or pallets for placing pesticide and avoid direct on floor;11) Kept empty containers in safety place prior to disposal.

Article 22. TransitionAll pesticides passing through Lao PDR in transit shall comply with relevant bilateral or

multilateral agreements to which Lao PDR is a party.

PART VUse of pesticide and disposal

Article 23. Use of pesticide

A person intending to use pesticide shall recognize its characteristic and pay attention to following matters:

1. Use Integrated Pest Management especially controlling pest by using natural enemies;2. Use pesticide in proper way and implement as described on the label;3. Wear protective equipments whenever apply pesticide, employers should provide proper

equipments including training on pesticide application for employees. 4. ensure preventing dangerous effects of pesticide to human health, animal and

environment;5. Any accident involving pesticides that requires specialist assistance or poses a threat

to human health or the environment should immediately be reported to the relevant authority.

Article 24. Disposal of pesticideSubstandard pesticide, counterfeit, expired products, pesticide waste including empty

containers shall be properly disposed or buried in an approved landfill without effecting to environment, the location is on flat ground , far from water resource and well or underground water and follow technical guideline as specified by Water Resources and Environment Administration (WREA).

PART VIIIPackaging Labelling and Advertising

Article 25. PackagingRepackaging of pesticide is prohibited unless specific permission has been obtained

from pesticide registraton unit, DOA. Pesticides should be in original package which safety while import, transport, store or

distribute and ensure safe when handle to protect harmful to human health, animal and environment.

Article 26. LabellingAll packaging of pesticide should be affixed label on or attached label in the pesticide

container. The label must be in Lao language and/or English which could easily to read, clear and does not easily to tear.

1. The contents and form of label shall be approved by the pesticide registration unit, and contains the following information:1.1 Trade name;

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1.2 Chemical (common ) name, formulation and concentration of active ingredient;

1.3 Purpose of usage, e.g. which crops and pests1.4 Dosage and mode application1.5 Signs and instructions see paragraph 2 of this article1.6 Directions for storage, mixing, usage, packaging and recommended personal

protection from hazards;1.7 Pre-harvest interval1.8 Warnings1.9 Symptoms of poisoning, methods of mitigation, directions for physician1.10 Hazard classification (WHO or GHS)1.11 Name of producer1.12 Volume of package1.13 Production or expiry date1.14 License number

2. Instruction for labeling2.1 Pesticide under WHO hazard Class Ia must be labeled with a clear danger

sign, the skull and crossed bones, and bear the text ‘extremely toxic’ which should be accompanied by the appropriate signs as under 3 below.

2.2 Pesticide under WHO hazard Class Ib must be labeled with a clear danger sign, the skull and crossed bones, and bear the text ‘highly toxic’, accompanied by the appropriate signs as under 3 below

2.3 Pesticide under WHO hazard Class 2 must be labeled with a clear danger sign, flash, and bear the text: ‘dangerous’, accompanied by the appropriate signs as under 3 below.

2.4 Pesticide under WHO hazard Class 3 must bear the text: ‘attention’ accompanied by the appropriate signs as under 3 below.

3. The following phrases shall be used to mark characteristics of usage and to Mark of usage and characteristic precautions:

3.1 Keep away from children

3.2 Wash after handling

3.3 Dangerous to animals

3.4 Dangerous to fish and aquatic animals, prohibited to contaminate water ways

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3.5 The following phrases shall be used in either “usage” or “mixing” directions, as appropriate:

3.5.1 Wear eye protection

3.5.2 Wear breathing protection

3.5.3 Wear mask

3.5.4 Wear gloves

3.5.5 Wear protective clothing during spraying or handling

3.5.6 Wear rubber boots

Article 27. AdvertisingA person, juristic person or organization shall only advertise registered pesticide.Prohibit to advertse over reality or not correctly as characteristic of pesticide

which lead misunderstanding of customers and users.

PART VIIManagement and inspection

Article 28. Management and inspection of pesticidesPesticide management and inspection sections comprise of:

- Department of Agriculture, Ministry of Agriculture and Forestry;- Provincial Agriculture and Forestry Office ;- District of Agriculture and Forestry Ofiice;

These three sections will assign pesticide inspection unit which include trained staffs on pesticide management from DOA.

Article 29. Inspection of pesticide

Inspection of pesticide refers to monitoring of pesticide manufacture process , import – export, distribution, advertising, storage, using and disposal of expired pesticide or

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pesticide waste include empty containers on farm, concession farm, individual farm, governmental and private farm to compliance with laws of Lao PDR.

Article 30. Types of pesticide inspection

There are three types of pesticide inspection :1. Regular inspection;2. Inspection with advance notice;3. Immediate inspection.

Regular inspection refers to an inspection performed regularly according to plans at pre-determined times which shall conduct at least once a year

Inspection by advance notice refers to an inspection which is not included in the plan, which is performed when deemed necessary and for which advance notice is given.

Immediate inspection refers to a sudden inspection performed without advance notice to the person to be inspected.

Article 31. Right and duties of Department of Agriculture

In the management and inspection of pesticide, the Department of Agriculture has following rights and duties:

1. To conduct research on policies, laws and regulations on management and and inspection of pesticide and then propose to Minister for consideration;

2. To disseminate and train policy, laws and regulations on pesticide management and inspection;

3. To cooperate with related agencies and local administration for pesticide management and inspection;

4. To implement the pesticide registration as specify in PART .... and make available regular update of the lists of registered and banned pesticides;

5. To monitor the licensing for the import-export of pesticide; 6. To train and upgrade officials involving to pesticide management and inspection on

politic, ideology, moral, and technique;7. To appoint inspectors taking into consideration based on proposal and to provide them

with the necessary badge that empower them to conduct their task; 8. To provide traning to traders to obtain basic knowledge about pesticide and their risks;9. To cooperate with international organizations on pesticide management and

inspection;10. To regularly report to government on the implememtation of its duties in pesticide

management and inspection through out the country .11. To exercise other rights and duties as stipulated in related legislations.

Article 32. Right and duties of Provincial Agriculture and Forestry Office (PAFO)

In the management and inspection of pesticide, Provincial Agriculture and Forestry Office has following rights and duties:

1. To supervise the implementation of laws and regulations on pesticide management and inspection within its own province;

2. To issue the imported lisence to person or juristic person which registered pesticide, or to be representative of pesticide distributor, and must be based on requirement of use of pesticide in local province to avoid over supply leading to expire date.

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3. To issue sell and/or imported lisence to person or juristic person which meet the the requirement for such business;

4. To implement the inspection of pesticide shops in their provinces and to follow up in cases of violation;

5. To make available the necessary staffs and budget to exercise the duties assigned under the regulation;

6. To make proposal regarding appointment of pesticide inspectors under its control to the Minister of Agriculture and Forestry ;

7. To cooperate with other involving agencies on pesticide management and inspection;

8. To regularly report to the Ministry of Agriculture and Forestry on the implementation of its duties in pesticide management and inspection;

9. To exercise other rights and duties as stipulated in the laws.

Article 33. Right and duties of District Agriculture and Forestry Office (DAFO)

District Agriculture and Forestry Office has following rights and duties:1. To implement the laws and regulations on pesticide management and inspection

within its responsible area;2. To cooperate with other involving agencies on pesticide management and inspection;3. To regularly report to PAFO on the implementation of its duties in pesticide

management and inspection ;4. To exercise other rights and duties as stipulated in the laws.

Article 34. Rights and duties of pesticide inspectorsThe pesticide inspectors have following rights and duties:

1. Inform traders (import-export, sale, storage) of their obligation under this regulation;2. While conducting inspection of pesticide, inspectors shall show the nominated

certificate and identity card to persons subject to the inspection and shall duly and strictly comply with the laws and regulations;

3. carry out periodic inspections of all persons, juristic person or organizations who involved in import, export, manufacture, pack, repack, label, store, distribute, advertise or use pesticides to determine whether the provisions of this Decree are being complied with;

4. require for inspection, the production of certificates, permits, licenses, records or any other document or authorization granted or issued under this Decree;

5. take samples of any pesticide, substances or other objects related to pesticide for analysis;

6. seize any equipment, pesticide, document, record, or other thing which the Inspector believes has been used in, or which appears to afford evidence of, a contravention of national legislation, so long as:

- the inspector gives a receipt in the prescribed form to the person from whose custody the item was taken;

- the item is returned to that person once the inquiry has been completed, except for illegal pesticides, which if so declared by the court, shall be disposed as prescribed in article 11 of this regulation;

7. Take the appropriate action with the responsible authorities to follow up on violation; 8. Report violation that required fining to the PAFO on the result of inspection to the

Head of Provincial Agriculture and Forestry Office and DG of DOA.

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PART VIIIFees and Service charges

Article 35. Fees and service charges

Fees and service charges for registration certificate or licenses of pesticide shall be based on curcular of Ministry of Finance on fees and service charges which has been promugated from time to time.

PART XIIRewards and sanctions

Article 36. RewardsAny person, juristic person or organization having a good deeds in implementing

this regulation shall be adequately rewarded and privilaged from treatments determined by Ministry of Agriculture and Forestry.

Article 37. Rewards for government officialsGovernment official work involved pesticide continously over 5 years shall be

received pension before the date as discribed in article 59 of Labor Law.

Article 38. Measures towards violatorsAny person, juristic person or organization having violated of this regulation shall

be educated, warned fined and punished, depending on the gravity of the cases as follow:

1st violation: educate, warn and record in file;2nd violation: seize goods and fine 50% of the goods according to the market price

and record in the file;3rd violation: seize goods and fine twice of the goods value according to the market

price, record in the file, collaborate and submit to the concerned authority for temporally or closing the business depending on the case.

Any violation in the first time, second or third, if it being strong consequences to the human health, animal, plant or environment shall be punished according to criminal law.

Any person who suffers from the imports, exports, manufacture, packaging or storage of pesticides which are unqualified and dangerous to human health and the environment, or from their illegal use, shall be compensated by the competent court.

In case of disposal pesticides or send back to exported country the violators must be responsible for all expenditure.

PART XFinal provision

Article 39. Implementation The Department of Agriculture, Ministry of Agriculture in collaboration with

concerned organizations has to develop and implement this regulation for effectively result.

Article 40. Effectiveness

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This regulation comes into force after the date of its signing. Regulations and provisions which are contradicted to this regulation shall be null.

Minister of Agriculture and Forestry

Annex 6 List of eligible and banned Pesticide in Lao PDR, May 2010 6.1. List of eligible and registered pesticides

No Common name a.i (%) Trade name Type of application

Countries of origin

Toxicity class

1 2,4- D 80% Zico 80 WP Herbicide Vietnam WHO II

22,4-D dimethy Lammonium 84% Dee Jai Herbicide Thailand WHO II

3 2,4-D dimethyl ammonium 82.1% Obet Herbicide Thailand WHO II

42,4-D dimethyl ammonium 84% B K Amin Herbicide Thailand WHO II

EPA II5 2.4 D 60% ZICO 720 SL Herbicide Vietnam WHO II6 2.4 D 48% Zico 48 SL Herbicide Vietnam WHO II

745% buprofezin + 15% Imidacloprid 60% DIFLOWER ®

600WP Insecticide Vietnam WHO U

8 Abamectin 1.80% Khum Pleum Insecticide Thailand EPA IV9 Abamectin 1.8% Coundown Insecticide Thailand EPA IV

10Abamectin 1.8%-3.6%-

5%DIBAMEC®1.8EC-3.6EC-5WG

Insecticide Vietnam EPA IV

11 abamectin 1.8% Intake Insecticide Thailand EPA IV

12Abamectin 0.9% + Bacillus thuringensis 1.15 2% ABT 2 WP Insecticide China EPA IV

13 Acetochlor 50% Dibstar 50 EC Herbicide Vietnam WHO III

14Acetochlor 80% Saicoba 80 EC Herbicide Vietnam WHO III

15 Acting   AI-Net Acting Plant Growth regulator Thailand  

16 Agrio-streptomycin 72% Agrio-streptomycin Bactericide China  17 Alachlor 48% Anchor Herbicide Israel WHO III18 Alpha cypermethrin 5% Sapen-Alpha 5 EC Insecticide Vietnam WHO II19 Alpha-Cypermethrin 2% Dominex Insecticide Thailand WHO II20 Alpha-Cypermethrin 5% DANTOX®5EC Insecticide Vietnam WHO II

21Ametryn 50%,80% Sametrin 50 WP, 80

WPHerbicide Vietnam WHO III

22 Atrazine 80% Mizin 80 WP Herbicide Vietnam WHO U

23Atrazine 90% B K Mac P 90WG Herbicide Thailand WHO U

EPA III

24Azoxystrobin + Propiconazole 32,5 % Saiprobin 325 SC Fungicide Vietnam WHO U

25 Bensulfuron methyl 10% Beron 10 WP Herbicide Vietnam WHO U26 Bifenthrin 24% Biflex - TC Termiticide Thailand WHO II27 Bifenthrin 0.50% Fentax 10 WP Insecticide Thailand WHO II28 Bifenthrin 1.25% Bistar- D Insecticide Thailand WHO II

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29 Bifenthrin+Malathion 2%+40% Bistar - M Insecticide Thailand WHO II30 Buprofezin 40% Lang van Insecticide Thailand WHO U31 Butachlor 5%-10% DIBUTA®60 EC Herbicide Vietnam WHO U32 Butachlor 60% Butaxim 60 EC Herbicide Vietnam WHO U33 Butachlor + Propanil 70% Por Jai Herbicide Thailand WHO U

34Butachlor+Bensulfuron Methyl 21%+4% ALOHA®25WP Herbicide Vietnam WHO III

35 Carbendazim 50% Sabay Dee Fungicide Thailand WHO U

36Carbendazim

50%DIBAVIL® 50FL -50WP Fungicide

Vietnam WHO U

37 Carbendazim 50%Carbendazim 500 FL Fungicide Vietnam WHO U

38 Carbendazim 50%Carbendazim 50 WP Fungicide Vietnam WHO U

39 Carbendazim + Mancozeb 6.2%+73.8% C M plus Fungicide Thailand WHO U

40 Carbosulfan 20% Kanir Insecticide Thailand WHO II41 Cartap 95% Big cock 95 SP Insecticide China WHO II42 Cartap 4% Big cock 4 G Insecticide China WHO II43 Cartap hydrochloride 50% Chodsanit Insecticide Thailand WHO II

44 Chlorothalonil 75% Mention Fungicide Thailand WHO U

45 Chlorothalonil 53.0% Daconil 720 SC Fungicide Japan WHO U

46 Chlorpyifos methyl 3% Sago-Super 3 G Insecticide Vietnam WHO U47 Chlorpyifos methyl 20% Sago-Super 20EC Insecticide Vietnam WHO U48 Chlorpyrifos 40% Temsoob Insecticide Thailand WHO II49 Chlorpyrifos 40% Casto Insecticide Thailand WHO II50 Chlorpyrifos 40% CJ - 40 Insecticide Thailand WHO II

51Chlorpyrifos Ethyl + Cypermethrin 532g/l+55g/l Golden dragon 585

EC Insecticide Vietnam WHO U

52 Chlorpyrifos+cypermethrin 50%+5% New teen 55 Insecticide Thailand WHO II53 Chorothalonil 75% Chorothalonil Fungicide China WHO II

54 Copper hydroxide 77% Microbucob Fungicide Thailand WHO III

55 Copper Oxycloride 85% Saicoxy 85 WP Fungicide Vietnam WHO III

56 Cyhalofop-Butyl 10% , 20% Sagolince 100 EC,200 EC Herbicide Vietnam WHO U

57Cyhalofop-Butyl + Pyribenzoxim 50% + 20% Sagoshots 70 EC Herbicide Vietnam WHO U

58 Cymoxanyl + Mancozeb 8% + 64% Saicymance 72 WP Fungicide Vietnam WHO III

59 Cypermethrin 10% Jud Hai Insecticide Thailand WHO II

60 Cypermethrin 35% Rup four 35 Insecticide Thailand WHO II

61 Cypermethrin5%-10%-

25%DANTOX®5EC-10EC-25EC Insecticide Vietnam WHO II

62 Cypermethrine 25% Secsaigon 25 EC Insecticide Vietnam WHO II

63 Cypermethrine 10% Secsaigon 10 EC Insecticide Vietnam WHO II

64 Cypermethrine 5% Sec saigon 5 EC Insecticide Vietnam WHO II

65 Cypermethrine 50% Secsaigon 50 EC Insecticide Vietnam WHO II

66 Cyst-Forming protozaon200,000-

§ò¦ªþ Prorodent Rodenticide Thailand  

67Denotefuran + Imidacloprid 5%+15%

EXPLORER ® 200WP Insecticide Vietnam WHO II

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68 Diazinon 10% Diaphos 10 G Insecticide Vietnam WHO II

69 Diazinon 50% Diaphos 50 EC Insecticide Vietnam WHO II

70 Dimethoate 40% Dimenate 40 EC Insecticide Vietnam WHO II

71Dimethoate + Fenvalerate 21.5% +3.5% Febis 25 EC Insecticide Vietnam WHO II

72 Dinotefuran 20% Sagoshin 20 WP Insecticide Vietnam WHO U

73 Diuron 80% Ansaron 80 WP Herbicide Vietnam WHO U

74Effective Microorganism ( EM) 5% GENO-MI® 5 SL Plant Growth

regulator Vietnam  

75Emamectin + Benzoate 5%+2%

COMDA 5WDG,2EC,2SC, 5EC,5SC

Insecticide Vietnam WHO II

76 Emamectin benzoate 0.20% Emamectin benzoate Insecticide China WHO III

77 Ethephon 2,5% Sagolatex 2.5 PA Plant Growth regulator Vietnam  

78 Fenobucard 50% Bascide 50 EC Insecticide Vietnam WHO II

79 Fipronil 5% Sagofipro 5 SC Insecticide Vietnam WHO II

80Fipronil 5%-0.3%-

80%LEGEND®5SC-

0.3G-800WGInsecticide Vietnam WHO II

81 Fluazifop-p-butyl 15% Hekio Herbicide Thailand WHO III

82 Flumetralin 25% Flumetralin Plant Growth regulator China WHO U

83 Fomesafen 25% Dilamma Herbicide Thailand WHO III84 Fosetyl aluminium 80% Kan Aeng Fungicide Thailand WHO U

85Fosetyl aluminium 80% Alpine 80 WP; 80

WDG Fungicide Vietnam WHO U

86 Fosetyl aluminium 80% DIBAJET®80WP Fungicide Vietnam WHO U87 Glyphosate 41% Lyphoxim 41 SL Herbicide Vietnam WHO III88 Glyphosate IPA Salt 48% Dibphosate 480 SL Herbicide Vietnam WHO III

89Glyphosate isoproylammonium

48% Burn up 48 Fungicide ThailandWHO III

90Glyphosate isoproylammonium 48% Glyfosate 48

Herbicide ThailandWHO III

91Glyphosate isoproylammonium salt 48% Grafic Herbicide

ThailandWHO III

92Glyphosate isoproylammonium salt 48% Baca up 48

Herbicide ThailandWHO III

93Glyphosate isoproylammonium salt 48% Baka up 48

Herbicide ThailandWHO III

94 Greenfast   AI-Net Greenfast Plant Growth regulator Thailand  

95 haloxyfop-R-methylester 10.8% Hork Herbicide Thailand WHO II

96Hexaconazole 5%,10% Saizole 5SL,

10EC,10SC Fungicide Vietnam WHO U

97Hexaconazole

5%-10%DIBAZOLE ® 5 SC-10SL Fungicide

Vietnam WHO U

98 Imidacloprid 10% Saimida 100 SL Insecticide Vietnam WHO II

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99Imidacloprid 5%-10%-

70%

ARMADA®50EC-100SL-100EC-100WG-700WG

Insecticide Vietnam WHO II

100 Imidacloprid 50% Imidacloprid Insecticide China WHO II101 Iprobenfos 50% Kisaigon 50 EC Insecticide Vietnam WHO III102 Iprobenfos+ Tricyclazole 14%+6% Lua vang 20 WP Fungicide Vietnam WHO III103 Isoxaflutole 75% Balance Herbicide Thailand EPA III104 Lamda Cyhalothrin 2,5 % Vovinam Insecticide Vietnam WHO II105 Magnesium Phosphide 66% MAGTOXIN Fumigant Germany EPA 1106 Malathion 73% Malate 73 EC Insecticide Vietnam WHO III107 Mancozeb 80% Dipomate 80 WP Fungicide Vietnam WHO U108 Mancozeb 80% Kroche Fungicide Thailand WHO U

109 Mancozeb 25% Khob Jai Fungicide Thailand WHO U

110Mepiquat chloride 97% Animat 97 WP Plant Growth

regulatorChina WHO III

111 Metalaxyl 25% Chiket Fungicide Thailand WHO III112 Metalaxyl 25% Chud Jen Fungicide Thailand WHO II113 Metalaxyl + Mancozeb 8% + 64% Mexyl MZ 72 WP Fungicide Vietnam WHO II114 Metsulfuron Methyl 20% DANY®25 DF Herbicide Vietnam WHO III

115 N – ONE   AI-Net N- One Plant Growth regulator Thailand  

116 N- TWO   AI-Net N- Two Plant Growth regulator Thailand  

117 N-Function   AI-Net N-Function Plant Growth regulator Thailand  

118Nitrogen 4% GENO-SUPER Plant Growth

regulator Vietnam  

119 Nitrogen 21% GENO-N-SUA Plant Growth regulator Vietnam  

120 Pacecilomyces lilacinus 50% Palila 500 WP Fungicide China  

121 Paclobutrazol 15% Saigon P1 15 WP Plant Growth regulator Vietnam WHO III

122 Pendimethalin 330g/l Pendimethalin Herbicide China WHO III123 Phosalone + Cypernethrin 17,5% + 3% Sherzol 205 EC Insecticide Vietnam WHO II124 Pretilachlor 30% Venus 300 EC Herbicide Vietnam WHO U125 Propanil 36% Protocom Herbicide USA WHO III126 Propiconazole+Prochloraz 49% Sai Jai Fungicide Thailand WHO II127 Propineb 70% Saitracone 70 WP Fungicide Vietnam WHO U128 Pyrazosulfuran ethyl 60% Red dragon60WDG Herbicide Vietnam WHO U129 Pyribenzoxim 3% Pyanchor 3 EC Herbicide Vietnam  130 Quinalphos 25%-5% FAIFOS®25EC-5G Insecticide Vietnam WHO II131 Quinclorac 50% DANY®25 DF Herbicide Vietnam WHO U

132 Seaweed Extract 6% GENO-ROOTS Plant Growth regulator Vietnam  

133 Sulfur 80% Sulox 80 WP Fungicide Vietnam WHO U

134Tebuconazole 2,5% + 4,5 % Saifolicer 250 WG,

430 SC Fungicide Vietnam WHO III

135Tebuconazole + Trifloxystrobin 5% + 2.5 % Sainative 750 WG Fungicide Vietnam WHO III

136 Temephos 1% Chemfleetsan dagarid

Insecticide Thailand WHO U137 Thiophanate methyl 70% Thio - M 70 WP Fungicide Vietnam WHO U138 Thiophanate methyl 50% Thio-M 500 FL Insecticide Vietnam WHO U

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139Thiophanate methyl + Tricyclazole 36%+14% Pysaigon 50 WP Fungicide Vietnam WHO U

140Tricyclazole 20% + 75 % Trizole 20WP,

75WP.75WG Fungicide Vietnam WHO II

141 Validamycin 5% Vanicide 5 SL Fungicide Vietnam WHO U142 Validamycin 3% Kwan Jai Fungicide Thailand WHO U

143 Validamycin A 5% Vanicide 5 WP Fungicide Vietnam WHO U144 Validamycin A 3% vanicide 3 SL Fungicide Vietnam WHO U

6.2. List of banned pesticidesInsecticides and acaricides

1. Aldrin2. BHC3. Chlordane4. Chlordimeform5. Chlorfenvinphos6. Chlorthiophos7. Cyhexatine8. DDT9. Dieldrin10. Dimefox11. Dinitrocresol12. Demeton13. Endrin14. Endosulfan15. Ethyl Parathion16. EPN17. Heptachlor18. Hexachloro cyclohexane19. Leptophos20. Lindane21. Methamidophos22. Methomyl23. Methyl parathion24. Monocrotophos25. Pholy chlorocamphene26. Phorate27. Schradan28. TEPP29. Toxaphene

Fungicides30. Binapacryl31. Captafol32. Cycloheximide33. Mercury and mercury compounds34. MEMC35. PMA36. Selenium compound

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Rodenticides37. Chlorobenzilate38. Sodium fluoasetate

Herbicides39. 2,4,5 -T40. Dinoseb41. Dinoterb acetate / Dinitrobutyphenol42. Paraquat43. Sodium chlorate

Fumigants 44. EDB45. Ethylene oxide46. Methyl bromide

Others47. Arsenic compound 48. Calcium arsenate - Herbicide, rodenticide, molluscicide, insecticide 49. DBCP - Nematocidide50. Daminozide - Plant growth regulators 51. Fluoroacetamide - Insectide, rodenticide 52. Oxamyl - Insecticide, acaricide, termiticide 53. Phosphamidon - Insecticide, nematodicide 54. Sodium Arsenite - Insecticide, fungicide, herbicide, rodenticide55. Thallium ( i ) sulfate) - Rodenticide, insecticide

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