Lao People's Democratic Republic Peace Independence Democracy Unity Prosperity Ministry of Public Works and Transport Stakeholder Engagement Plan The Southeast Asia Regional Economic Corridor and Connectivity Project (P176088) Prepared by: Environmental Research and Disaster Prevention Division (EDPD) Public Works and Transport Institute (PTI) 03 March 2022_Revised Final i LIST OF ACRONYMS AIIB Asian Infrastructure Investment Bank BCF Border Crossing Facility DOE Department of Environment-MONRE DAFO Agriculture and Forestry Office DOF Department of Forestry-MAF DOL Department of Land-MONRE DoR Department of Roads DPF Department of Planning and Finance DPWT Department of Public Works and Transport DRC District Resettlement Committee DWR Department of Water Resources EDPD Environmental Research and Disaster Prevention Division EGEF Ethnic Group Engagement Framework EGEP Ethnic Group Engagement Plan ESCP Environmental and Social Commitment Plan ESF Environment and Social Framework ESMF Environmental and Social Management Framework ESMP Environmental and Social Management Plan ESS Environment and Social Standards FPIC Free Prior and Informed Consent GBV Gender Based Violence GOL Government of Lao PDR IDA International Development Association IP Indigenous Peoples IUCN International Union for Conservation of Nature KBA Key Biodiversity Area LFND Lao Front for National Development LSB Lao Statistic Bureau LWU Lao Women’s Union MAF Ministry of Agriculture and Forestry MICT Ministry of Information Culture and Tourism ii MOF Ministry of Finance MOIC Ministry of Industry and Commerce MOPS Ministry of Public Security MPI Ministry of Planning and Investment MPWT Ministry of Public Works and Transport NCAW The National Commission for the Advancement of Women NDF Nordic Development Fund NGO Non-Government Organization NR2 National Road 2 NUOL National University of Laos PAFO Provincial Agriculture and Forestry Office PO Producer Organizations PRC Provincial Resettlement Committee PTI Public Works and Transport Institute RC Resettlement Committee ROW Right of Way RAP Resettlement Action Plan RPF Resettlement Policy Framework SA Social Assessment SEA/SH Sexual Exploitation and Abuse/Sexual Harassment SEARECC Southeast Asia Regional Economic Corridor and Connectivity Project SEP Stakeholder Engagement Plan WB World Bank WCS Wildlife Conservation Society ‘ iii Table of Contents LIST OF ACRONYMS .................................................................................................ii EXECUTIVE SUMMARY ............................................................................................ iii 1 Introduction/Project Description ........................................................................... 1 2 Project Location and Context ............................................................................... 6 3 Purpose of the Stakeholder Engagement Plan (SEP) ........................................ 10 4 Stakeholder identification and analysis .............................................................. 10 4.1 Affected parties ............................................................................................ 10 4.2 Other interested parties ............................................................................... 11 4.3 Disadvantaged/vulnerable individuals or groups.......................................... 12 4.4 Stakeholder Analysis; Needs and Methods of Stakeholder Engagement .... 13 5 Stakeholder Engagement Plan .......................................................................... 21 5.1 Purpose and timing of stakeholder engagement plan .................................. 21 5.2 Disclosure of Information ............................................................................. 22 5.3 Proposed strategy for consultation and disclosure ...................................... 27 5.3.1 At central level ....................................................................................... 28 5.3.2 At provincial and district level ................................................................ 28 5.4 Consultations and Covid 19 Safety Precautions .......................................... 29 5.5 Proposed strategy to incorporate the view of vulnerable groups ................. 30 5.6 Timelines ..................................................................................................... 32 5.7 Review of Comments ................................................................................... 34 5.8 Reporting back to stakeholder groups ......................................................... 34 6 Resources and Responsibilities ......................................................................... 35 6.1 Resources.................................................................................................... 35 6.2 Management functions and responsibilities ................................................. 35 7 Grievance Redress Mechanism ......................................................................... 38 7.1 Grievances Procedures ............................................................................... 38 7.2 Recording Grievances ................................................................................. 42 8 Monitoring and Reporting ................................................................................... 44 9 Annexes ............................................................................................................. 44 Annex 1: Form to Submit Grievances.................................................................... 45 i Annex 2: Results of Consultation Meetings and Interviews during Project Preparation ........................................................................................................... 46 Annex 3: Provisional budget for the SEP (For further discussion with PTI and E&S Consultants) .......................................................................................................... 73 Table 1 Summary of needs and methods for stakeholder engagement....................... 14 Table 2: Disclosure of Documents ...................................................................................... 24 Table 3 Indicative Timeline .................................................................................................. 32 Table 4 Staff and Responsibilities for SEP Activities....................................................... 36 Table 5 Sample Grievance Log for the at the Village Level ........................................... 43 ii EXECUTIVE SUMMARY This Stakeholder Engagement Plan (SEP) includes the process of engaging stakeholders for a clear purpose to achieve agreed outcomes. It is now also recognized as a fundamental accountability mechanism since it obliges an organization to involve stakeholders in identifying and understanding of the specific program/project and responding to issues and concerns raised by the stakeholders for decisions, actions, and hence improving program/project performance. The proposed SEARECC project will support the Government of Lao PDR (GoL) to improve regional and domestic trade and climate resilient transport connectivity along an East-West corridor in Southeast Asia, and to provide immediate and effective response in case of an Eligible Crisis or Emergency. It has five components: (a) Component 1: Lao PDR and Regional connectivity enhancement; (b) Component 2: Logistics services development and border-crossing management; (c) Component 3: Strengthening institutional capacity and regulatory framework in agriculture, transport, and investments planning; (d) Component 4: Project Management; and (e) Component 5: Contingency Emergency Response. This SEP will be managed and implemented by the Project Management Unit (PMU) of MPWT and Component Management Units (CMUs) of other ministries with the technical support from Environmental Research and Disaster Prevention Division of the Public Works and Transport Institute (EDPD/PTI). The overall objective of this SEP is to define the SEARECC stakeholders' engagement process, public information disclosure and consultation. Furthermore this SEP outlines the ways in which MPWT, DPWTs, other project implementing agencies, consultants and contractors will communicate with stakeholders, mechanism by which people can raise their concerns, and how the raised concerns will be acted and responded upon. These stakeholders identified are those either affected and/or interested parties. The identification of stakeholders under the SEARECC project will be based on (i) their roles and responsibilities; and possible influence/interest on the program. Particular attention will be given individuals at risk of being excluded from the subproject activities. Stakeholders to be involved in the project include: Positively affected - group of persons or organizations affected by an activity such as project affected person or community. Negatively affected - include individuals and institutions with various interests in the land that is within the Right-of- Way (RoW). Majority of these are the land owners with established structures or farms who will be affected by the loss of the land, structures and economic earnings. Other interested parties - group of persons or organizations interested in an activity and may include local or national government authorities, civil society organizations including NGOs. Vulnerable individuals or Disadvantaged groups identified include, children, iii women, ethnic groups, people with disabilities, the elderly and youth. The information disclosure and consultations with stakeholders will be conducted through a range of techniques including focus group discussion (based on age, gender and occupation), interviews, key informants, and e-mails. A verbal translation will be provided into ethnic language in communities where ethnic people are affected. Consultation may take the form of face-to-face meetings. Issuance of official letters (submitted at least two weeks ahead of the consultations) to inform affected and interested stakeholders of the purpose of the consultation event. Recognizing that face to face meetings are preferred, but when/where not feasible due to covid19, virtual meetings, using a variety of platforms, will be organized. Further, project-specific information (e.g., ESMF, RPF, EGEF, etc.), will be disclosed in MPWT website as well as World Bank’s external website, and will also be available at the provincial and district levels. Key information will be disclosed in both English and Lao language or even local dialects of ethnic groups which can be easily understandable format either by audio and photo or drawing /print (e.g. booklet or flyers) formats. This SEP and other E&S instruments were first disclosed on November 15, 2021 at the MPWT website www.mpwt.gov.la and consulted at the national, provincial, district and village level from November 29, 2021 until December 3, 2021. This updated ESMF incorporated the consultation feedbacks and was re-disclosed on March 3, 2022 at the same website. Comments from stakeholders will be received by the project in written and oral forms (using suggestion boxes, local leaders, public meetings, interviews, on-line, email, Facebook, etc). The PMU and CMUs with the support from EDPD/PTI will review stakeholders' comments and send back the final decision and a summary of how comments were taken into account. There will be establishment of GRM Committees at Village, District and Provincial levels as well as at the Project Management Unit of DPWT and Component Management Units of other ministries. For workers hired by contractors, the contractors will be required to produce their GRM procedure as a prerequisite for tender which at a minimum conform to these requirements. This SEP document offers a strategy and implementation plan for engaging stakeholders from the beginning of the project up to completion. Nonetheless SEP is the backbone of the project for effective and efficient success. And is a live document that will be revisited and updated if necessary on an regular basis as required to reflect the changes in stakeholder engagement due to project developments and new stakeholders if any. iv 1 Introduction/Project Description 1. The proposed SEARECC seeks to improve regional and domestic trade and climate resilient transport connectivity along an East-West corridor in Southeast Asia, and to provide immediate and effective response in case of an Eligible Crisis or Emergency. 2. Detailed Description of Components are as follows: ➢ Component 1: Lao PDR and Regional connectivity enhancement (US$106 million IDA; US$20 million GoL). This Component will support Lao PDR to improve connectivity in the northern part of Lao PDR to provide safe, efficient, climate-resilient, and reliable infrastructure for both international transit routes and domestic connectivity through: (i) Sub-Component 1.1: NR2W climate resilient improvement and maintenance (US$65 million IDA; US$17.5million GoL). This sub- component supports the improvement and maintenance of the climate resilience and safety of selected sections of NR2W1 to meet the Asian Highway Class III standards. This includes widening of the road from 6 meters to 8 meters (6 meters of the carriageway and 2 meters of shoulders-one meter each side to accommodate pedestrian safety) and rest areas. The Output and Performance-Based Road Contracts (OPBRC), with 3 years for construction and 7 years for operations and maintenance will be used. The Department of Road (DOR), MPWT, will be the lead implementing agency for this sub- component. (ii) Sub-Component 1.2: Local Road climate resilient improvement and maintenance (US$25 million IDA; US$2.5 million GoL). This sub- component supports the improvement and maintenance of climate resilience and safety of selected local roads in Phongsaly, Oudomxay, Luang Namtha, Xayabouly, and Luangprabang. The performance-based contract (PBC) approach will be used for maintenance. The Department of Road (DOR) and the provincial Department of Public Works and Transport (DPWT) will be the lead implementing agency for this sub-component. (iii) Sub-Component 1.3: Improvement of the border crossing facilities (US$9 million IDA). This sub-component supports the improvement of the border crossing facilities on road NR2 at (a) Pang Hok in Phongsaly bordering Dien Bien Phu, Vietnam and (b) Muang Ngeun in Xayabouly bordering Nan province, Thailand, through the upgrade of the existing facility and provision of goods and equipment for the digitization of cross-border business processes. The cross-border facilities will also include mini SPS labs, customs-bonded warehouse services and related equipment to support the CIQ operations. This subcomponent will also put in place measures to strengthen the preparedness 1 The NR2E sections will be financed by EIB in parallel to this project. 1 and response to communicable disease. This will also be led by the DOR with support from the Department of Urban Planning (DUP), and MPWT. (iv) Sub-Component 1.4: Implementation support and supervision consultant (US$7 million IDA). This sub-component will finance (a) implementation support and supervision consulting services for the design and supervision of the NR2, local roads, and cross-border facilities improvement, and (b) improving local road maintenance planning and financing systems, with incorporation of local agriculture potential. Climate resilience interventions will be applied across this component for both NR2W and local roads to adapt to increasing flooding and landslide risks from climate change, include elevating flood-prone road sections, paving road sections with steep slopes and sections passing through large communities, drainage improvement or construction, and slope improvement and stabilization, as required. Details are provided under the technical appraisal section. This component will also promote opportunities for women from local communities through improved working environment, such as toilets, separated dormitories for men and women at campsites, and access to information about safety at work. In addition, the project will request contractors to include a minimum quota of female workers in bidding documents and support road authority in the design and implementation of outreach activities to local communities aimed at encouraging women in taking employment opportunities for road and civil works contracts. The sensitization workshops targeting hiring managers of contractors, consultants, and road authorities will be carried out to promote women’s hiring and advancement. Local communities including ethnic groups, with a particular focus on increasing women’s voice and agency, will participate in the monitoring of the road improvement and maintenance. ➢ Component 2: Logistics services development and border-crossing management (US$11 million IDA). This Component will support the operations of cross-border trade and logistic development through: (i) Sub-Component 2.1: Logistics facilities development (US$7 million IDA). This sub-component supports MPWT to improve the efficiency and competitiveness of logistics services in the project provinces through: (a) formulation of policies to improve the enabling environment for competitive logistics services; (b) feasibility studies and PPP transaction advisory for pilot logistics facilities (which could be dry-ports, consolidation locations, truck terminals, and community-based consolidation points to enable access of smallholder producers); (c) the development of the Standard Operation Procedures (SOPs) for the development of the logistics facilities; and (d) provision of public utilities (access roads, electricity grid, water supply, and some structures for community- based logistics facilities) to the logistics facilities. The logistics facilities will be developed and operated through private 2 sector financing. This sub-component will be led by the DOT and involve agencies concerned at the provincial level. (ii) Sub-component 2.2: Regional integration and cross-border transport agreements (US$1 million IDA). This sub-component will support GoL to improve cross-border transport efficiency. The proposed activities include technical assistance to (a) establish a collaboration platform for the dialogue among Lao PDR, Thailand, and Vietnam; (b) strengthen the capacity to implement cross-border transport agreements and address cross-border transport issues, such as harmonization of heavy vehicle dimensions and standards, permitted axle loads, driver licensing, climate change, road safety, communicable disease control (including multisectoral cooperation for Regional Health Security at boarder check points using the OneHealth 2 approach); and, (c) improve regulatory frameworks to support the implementation of existing cross-border transport agreements. (iii) Sub-component 2.3: Strengthening capacity of CIQ and Border Management (US$3 million IDA). This sub-component covers: (a) financing technical assistance to review and improve secondary legislation in border management; (b) providing training to strengthen the institutional and operational capacity of CIQ, including communicable diseases and human trafficking; (c) providing equipment and software customization of the existing automated systems to optimize efficiency and effectiveness of border clearance; and (d) promoting cross-border cooperation through operational and policy dialogues and training for improved CIQ management, including information sharing. This sub-component will place a particular focus on ensuring equal access to information related to CIQ for women and smallholder producers and traders. The Trade Facilitation Secretariat (TFS), MOIC, will be the lead coordinating agency for this sub-component. ➢ Component 3: Strengthening institutional capacity and regulatory framework in agriculture, transport, and investments planning (US$9 million IDA). This component will support strengthening institutional and operational capacity in agricultural development, transport sector, and investment management at national and provincial levels. (i) Sub-Component 3.1: Support on agricultural trade and SPS Management (US$6 million IDA). This sub-component will be led by the Department of Agriculture (DOA), Ministry of Agriculture and Forestry (MAF) and include the following: a) Capacity development to improve the efficiency of agricultural trade will focus on improving the enabling environment for agricultural trade 2One Health is a collaborative, multisectoral, and transdisciplinary approach — working at the local, regional, national, and global levels — with the goal of achieving optimal health outcomes recognizing the interconnection between people, animals, plants, and their shared environment. This should include animal health, human health, and food safety through improved trade of livestock and livestock products. 3 activities. The key activities include: (i) financing technical assistance to review and improve business process for cross border trade for agriculture products through streamlining of export and import permits, raising awareness of traders’ compliance with SPS requirements, and simplifying the registration of farm inputs; (ii) providing training to strengthen operational capacity for the MAF, Provincial Agriculture and Forestry Offices (PAFOs), District Agriculture and Forestry Offices (DAFOs) and smallholder producer organizations including ethnic groups in agricultural trade promotion; and (iii) capacity development to address key gender gaps in agricultural trade including unequal access to information for women, barriers registering businesses, accessing financial credit, technology and market. b) Capacity building for SPS management will focus on capacity building of MAF, Ministry of Health (MOH), PAFOs, DAFOs, border checkpoints and smallholde producer organizations for compliance of SPS requirements and reduce trade barriers in the targeted provinces and districts. Mainly, the activities cover (i) financing technical assistance to review and improve legislation relevant to SPS and develop a generic automated system in SPS certification 3 ; (ii) providing training to strengthen institutional and operational capacity in SPS management including border controls and its coordination between the mini labs at the border and the central and regional SPS labs; and (iii) financing technical assistance to carry out a laboratory assessment of the existing SPS labs for laboratory equipment upgrade, accreditation and testing services. (ii) Sub-Component 3.2: Institutional capacity development for transport sector (US$3 million IDA). This sub-component, led by DPF, MPWT, includes training, office equipment,and technical assistance: a) Multi-modal transport technical assistence includes: (i) update the Transport Sector Strategy to include multi-modal transport, logistics development, disaster risk management, climate change, public transportation, gender and social inclusion, and public-private partnerships; (ii) develop a multi-modal transport framework, including prioritisation and monitoring tools; (iii) develop a public transportation plan; and (iv) develop regulations and guidelines to support strategy implementation. b) Supporting the implementation of road safety action plan will focus on two areas: (i) road safety engineering, such as conducting road safety audits and safe system assessments; (ii) road safety data, services, and management, which support activities to maintain the road safety 3Support to SPS activities under this subcomponent is building on some ongoing and past experiences and success under the Lao PDR Agriculture Competitiveness Project (LACP), Lao PDR Competitivenss and Trade Project (LCTP) and Second Trade Development Facility (TDF2). 4 database; (iii) road safety campaigning and enforcement; and (iv) post- crash response capacity improvement. c) Strategic Capacity Building Program (SCBP) will focus on (i) strengthening the institutional and organisational capacity necessary to deliver the above plans and actions and identify further steps necessary to develop guidelines, tools, processes and modernised ways of working that can be transferable to other corridors and can be embedded in the mainstream activities of MPWT and Provinces, (ii) enhancing the skills and capabilities required to implement the above multi-modal transport framework and strategy, (iii) strengthening capacity to address the gender gaps in the transport sector, including integrating gender and social inclusion (GESI) considerations in developing regulations and guidelines to support the implementation of the sector strategy, including developing and rolling out annual advocacy and social and behaviour change communication campaigns to support necessary changes for raising women’s agency and voice, changing social norms to increase women’s mobility and access to transport. ➢ Component 4: Project Management (US$6.4 million IDA). This Component will provide technical and operational assistance for strengthening the environmental and social capacity of agencies concerned at national and local levels, the day-to-day management, monitoring, and evaluation of the project; digitized tool to support business processes and M&E (particularly on contract management); and the carrying out of technical and financial audits. In addition, this component will provide support for compliance monitoring for environmental and social aspects. The sub-component will also strengthen the resilience of communities living along the project roads against human trafficking, communicable disease, road safety, sexual exploitation, abuse and harassment through campaigns, training, and dissemination of information. The following documents, which will also be prepared as part of the project requirement, include the Project Procurement Strategy for Development (PPSD), including a procurement plan, and Project Implementation Manual (PIM)—containing detailed information on the project implementation arrangements and processes, including coordination mechanisms, project management, Monitoring and Evaluation (M&E), reporting arrangement, procurement, financial management, disbursements, and safeguards. ➢ Component 5: Contingency Emergency Response (US$0 million). This component will provide an immediate response to an eligible crisis or emergency, as needed. In the event of an eligible crisis or emergency, the World Bank can re-allocate project funds to support emergency response and recovery. 5 2 Project Location and Context 3. The NR2 corridor passes through Oudomxay, Phongsaly and Xayabouly Provinces. The road passes through diverse communities, several district towns, and one provincial capital. The World Bank has rated the overall environmental and social risk classification as Substantial. Project activities have the potential to generate social risks and impacts including (a) pre-construction phase impacts from land acquisition including the disruption of livelihoods and the relocation of households, along with the potential loss of culturally significant or spiritual spaces (b) construction phase risks such as restricted access to roadside properties, risks related labor and working conditions for construction workers, along with the risk of increased substance abuse and sexual exploitation and abuse/harassment and transmission of communicable diseases associated with labor influx (c) operational phase risks to community health and safety due to the increases in heavy traffic. Environmental risks and impacts expected are related to construction works on border crossing facilities and road improvement including widening and rehabilitation of the existing road network, the potential for downstream impacts from Technical Assistance activities in the agricultural component (still to be defined), and limited experience in the country with implementing the ESF. While some of these risks and impacts may be significant, they are for the most part predicable and possible to mitigate during the lifetime of the project. 4. A range of communities are expected to be affected (both positively and adversely) by the project, including ethnic groups whose livelihood is mainly dependent on agriculture and forest land and resources. While the SEARECC project includes improvement of transport connectivity and logistics in Lao PDR, trade facilitation, border crossing control management, and agriculture trade along the NR2 corridor and five provinces in the corridor catchment area, it is important to keep in mind the focus of the projects activities as defined in Section 1 as those will be the focus of this SEP. 5. There are several sensitive receptors along the NR2 West (NR2W) corridor including houses, schools, clinics, hospitals, restaurants, shops and pagodas. Space between these receptors and the road is limited, especially in the mountainous sections of the corridor. The road often lacks pavements with the road shared by all travelers, including pedestrians. Schools, from kindergarten to secondary school are located along the road with students walking on bicycle or motorbike to get to school. Some kindergarten children ages as young as 6 years old may travel unaccompanied by adults. In the more remote communities, women travel on foot along the roads for moving produce, harvested goods, and firewood. 6. NR2W road crosses various agricultural landscapes, upland plantations, and farms, including upland rotational cultivation, dry season (irrigated) commercial crops farms as well as paddy fields. Some sections traverse areas covered with shrubs, grasses, and sparse trees. 6 7. The Nam Beng River flows on flat terrain along NR2 West, and the road crosses the river at several points. The Nam Beng river flows into the Mekong River about 9 km beyond the end of NR2 West section proposed for SEARECC financing. Laos’s inland fish species are diverse and mostly native. Together with other aquatic species, they form important sources for household subsistence, income, and small-scale trade. 8. Meanwhile, some sections of NR2 East in Oudomxay Province are close to Phou Hiphi National Protected Area with pristine old growth forest with giant dipterocarps (nyang oil tree) and limestone outcrops. The fauna along the road alignment is largely made up of large and small livestock raised by some households. A range of agricultural crops are cultivated in the corridor, including those for own consumption, as well as cash crops. Traders from Lao, Thailand, Vietnam, and China are active along the corridor. While the SEARECC will not finance rehabilitation works in NR2E, the project’s Preliminary Environment and Social Impact Assessment (Pre- ESIA) and the Environment and Social Management Framework (ESMF), take cumulative impacts of the NR2 corridor improvement into account. 9. Due to COVID-19 related border crossing restrictions, current road traffic volumes in the NR2 corridor are low compared to 2019, especially on the eastern section towards Vietnam. 10. The Border Crossing Facility (BCF) in Vietnam is on a mountain top, surrounded by forest, and close to an internationally recognized Key Biodiversity Area (KBA) with important bird species and biodiversity value, with a community several kilometers away, on a lower location of the mountain. The BCF with Thailand is in a low sloping hilly area, surrounded by agricultural lands, several kilometers away from a community. Both border posts provide accommodation to the staff working at them. 11. Feeder roads of the NR2 corridor are seasonal gravel roads in a range of 5-30 km, crossing agricultural areas with communities living alongside these roads every several km and hard to travel during the wet season. 12. Lao PDR is considered extremely susceptible to the effects of climate change. The country is prone to floods and landslides following seasonal tropical storms. Bridge crossings along the road alignment have historically exhibited flood conditions under heavy rainfall events. These natural hazards largely affected the country’s agricultural and transport sectors. The transport infrastructure in Lao PDR is vulnerable to extreme weather events and climate change due to their poor design and low construction standards, lack of adequate maintenance, and technical designs that are not climate resilient. In 2018 flood damaged one-fifth of the Lao PDR’s Road network. 13. The Pre-ESIA prepared for the project, part of the Environment and Social Management Framework (ESMF) provides more extensive details as to the socioeconomic and environmental conditions of the project area, and should be read 7 in conjunction with this SEP. Figure 2-1 Key points of interests along the NR2 West Figure 2-2 National Road 2 at Lao – Thai Border 8 Figure 2-3 National Road 2 at Lao – Vietnam Border Figure 2-4 Location of proposed Dry Port and Consolidation Center in Muang Xay 9 3 Purpose of the Stakeholder Engagement Plan (SEP) 14. This Stakeholder Engagement Plan (SEP) is developed to inform engagement activities that will allow the project to identify and address key risks and impacts, as well as mitigation measures, and develop communication and engagement strategies and materials to effectively reach out to affected and interested stakeholders. The SEP aims to ensure accessibility and cultural appropriateness. The approach to engagement activities will take into account the needs of ethnic groups, vulnerability, language, literacy as well as consent, and child protection measures, both as part of engagement and assessment process. The engagement will ensure not only risks are managed but benefits are accessible to all. 4 Stakeholder identification and analysis 15. The project is expected to involve diverse groups of stakeholders from national to village levels, including local communities, government line agencies, mass organizations and the private sector. During the Pre-ESIA undertaken in preparation for project appraisal by the WB, affected and interested parties were identified and validated with a number of stakeholders. The SEP is a living document and, it should be consulted and refined once further assessments – such as the forthcoming full ESIA – are undertaken, as well as during project implementation, to ensure all stakeholders are identified and appropriately engaged. 16. At this stage of project preparation, three broad categories of stakeholders are identified: (i) Affected parties, who are those impacted by the project positively or negatively. (ii) Government Agencies who are responsible for project implementation (iii) Interested parties, who are those not impacted by the project but may be interested in the Project outcomes and/or may have an influence on the project. 4.1 Affected parties 17. Directly affected stakeholders include the following: 1) People living along the NR2W road corridor, near the BCFs and along selected feeder roads and/or consolidation facilities (to be defined during project implementation). 2) Land users along the NR2W corridor and near the BCFs, and in selected feeder roads and/or consolidation facilities. 3) Schools, health centers and cultural or religious centers that are on NR2W, or along feeder roads, and may be impacted by construction disturbances or by land acquisition. 10 4) Ethnic peoples who may have collective attachment to the project area. 5) Disadvantaged/vulnerable individuals/groups (further defined in 3.4). 4.2 Interested parties 18. Relevant government departments at the national, provincial and district levels, involved in issues of environment, investment, development, research, data generation and education, including: 1) Ministry of Public Works and Transport (MPWT) 2) Ministry of Industry and Commerce (MOIC) 3) Ministry of Agriculture and Forestry (MAF) 4) Ministry of Finance (MOF) 5) Ministry of Public Security (MoPS) 6) Provincial Offices of Department of Public Works and Transport (DPWTs) 7) Ministry of Planning and Investment (MPI) 8) Ministry of Health and provincial and/or district-level departments 9) Ministry of Education and provincial and/or district-level departments 10) Department of Land (DOL)/Ministry of Natural Resources and Environment (MONRE). 11) Department of Environment (DoE), MONRE. 12) Department of Forestry (DoF), Ministry of Agriculture and Forestry (MAF) 13) Department of Water Resources (DWR), MONRE 14) Lao Front for National Development (LFND): Ethnicity issues. 15) Lao Women’s Union (LWU): Women issues. 16) The National Commission for the Advancement of Women (NCAW) (GBV focus) 17) Lao Statistical Bureau (LSB): Social Economic Data. 18) National University of Laos (NUOL). 19) Private investors who may be impacted, positively or negatively, by road improvement, BCFs or consolidation facilities (e.g., road construction companies, agribusiness, road transport companies, and infrastructure); and 20) Government staff benefitting from the capacity building and government staff working at the border posts. 21) Contractors in charge of civil works, and their staff 22) Local media sources. 11 23) Frequent road users 24) Road safety network 25) Supply chain (businesses) 26) Entities working on ethnic groups, children, human trafficking, Sexual Exploitation and Abuse/Sexual Harassment (SEA/SH), Gender Based Violence (GBV) and environment such as: a. Gender and Development Association (GDA) (Local NGO) b. Save the Children International (International NGO) c. CARE International (International NGO) d. Wildlife Conservation Society (WCS) e. International Union for Conservation of Nature (IUCN) f. The Asia Foundation (TAF) g. Plan International h. Helvetas i. Association Development Women Legal Education (ADWLE) 4.3 Disadvantaged/vulnerable individuals or groups 19. Disadvantaged/vulnerable individuals or groups includes 1) households below the poverty line of $3.20 per day, 2) households headed by elderly with no means of support; (3) female headed households, especially those below the poverty level; (4) households with a disabled member; and (5) Ethnic people. 20. These people/groups are disadvantaged/vulnerable due to their potentially significantly lower ability to access and/or understand information about the project and its impacts compared to other groups due to physical, social or cultural constraints. 21. These categories of people will be given particular attention through targeted methods that will enable information sharing and understanding of the nature of project activities and the anticipated positive and potential negative impacts of the project as well as their expectations. Specific meetings and focus groups as well as individual household visits with these groups of people with specific and tailored messages will be used in consideration of their existing challenges. This will include both the sharing of information as well as the gathering of information. So, for instance, impact assessment will ensure specific targeting of these groups to understand their specific needs and that risk assessment and mitigation take these into account. Information sharing activities will also ensure these groups are specifically targeted, to ensure they received information in an appropriate manner and are able to provide feedback. 12 22. Ethnic people in some parts of the project provinces such as Phongsali do not speak Lao. Meanwhile, some ethnic people may speak Lao, but their level of proficiency may be low, with low understanding and low literacy. While project information can be provided in written forms, vulnerable groups of people may still have difficulty in reading and understanding and may need different targeting methods. Vulnerable groups of people will need to be provided with translation in a minority language or local dialects, as appropriate, sign language, large and readable print, non-print materials, etc. Other considerations may also need to be taken into account, such as choosing accessible venues for events; providing transportation for people in remote areas to the nearest meeting; having small, focused meetings where vulnerable stakeholders are more comfortable asking questions or raising concerns, etc. Interested stakeholders, especially organizations active in the project area which work with vulnerable people/groups (who may be more aware the best ways to engage various vulnerable groups), should be consulted and may be contacted for assistance in engaging with vulnerable groups. 4.4 Stakeholder Analysis; Needs and Methods of Stakeholder Engagement 23. A summary of the specific needs and methods for stakeholder engagement is provided by Table 1. 13 Table 1 Summary of needs and methods for stakeholder engagement Group Characteristics Interest or Concern Proposed Strategies Affected Stakeholders People living or People living along project sections A. People living along project sections of NR2, Conduct consultation and FGDs at the concept running businesses of NR2, Crossing Border Facilities; - Improved road condition will increase convenience of stage to understand their views, expectations along the road and Feeder roads; Consolidation travel between Districts and Provinces, which will also and concerns. Stakeholders will be engaged within the location of facilities, including residents, lead to an increase in tourism to identify potential project risks/impacts as the crossing border farmers, land users, vulnerable - Buying and selling of goods for businesses will also well as mitigation measures as part of the Pre- facilities, special groups, private sector and vendors improved ESIA and the ESIA. provisions for women, (including those running restaurants, - Concerns about construction-related concerns such as children and those with shops, tourism businesses, etc.). dust, noise and traffic, including speeding (post- Will be consulted in village-level consultations a disability Special attention to women, construction) to introduce the project as well as to discuss particularly to Phongsaly and B. Crossing Border Facilities (BCF) in Lao-Thai Border and disclose the draft Environment and Social Luangnamtha only have just over - Upgraded border crossing facilities will make for the Management Plan (ESMP) and any other half the female population literate. importing and exporting of goods more accessible. relevant plans including a special focus on Schools, health centers and cultural - However it could increase the risk for human trafficking, gender issues, jobs and the Grievance or religious centers that are on wildlife trade or illicit drugs. Redress Mechanism (GRM). NR2W, or along feeder roads, and C. Crossing Border Facilities (BCF) in Lao-Vietnam may be impacted by construction border Will be closely informed before and during civil disturbances or by land acquisition. - Staff would like to see improved checkpoint facilities works so they know the timeline. May also such as track scales and scanning of passports. included in trainings, such as gender and road An estimate of 256,000 people live - Also improved accommodation facilities. safety. in districts along NR2W in 2020 - Improved waste management An estimate of 19,000 people live in - Improved parking area at checkpoint, for larger vehicles Women may need to be consulted individually, Meuang Ngeun district, where the in particular regarding Gender Based Violence Cross-border is located. C. Feeder roads; Consolidation facilities, (GBV) risks. A written IEC materials, to make - Improved feeder roads will benefit local villagers who are sure can reach women in the best way not directly on NR2W, by encouraging logistics and travel possible, particularly if they are directly from more remote Villages 14 Group Characteristics Interest or Concern Proposed Strategies An estimate of 28,000 people live in - Concerns about construction-related concerns such as impacted by the project (such as land Meuang Mai district, where the dust, noise and traffic, including speeding (post- acquisition or other direct impacts). Cross-border is located. construction), concerns about Covid transmission, worker’s camp and/or labour influx, etc. Project billboards. The majority of the population in 5 provinces are rural residents, who would positively benefit from the rural-feeder road improvement. People living along project sections of NR2, Crossing Border Facilities; Feeder roads; Consolidation facilities include residents and vendors (including those running restaurants, shops, tourism businesses, etc.). Special attention to women, including vendors, those living with a disability and children. People or businesses Affected Households (AHs) of the A. People living along project sections of NR2, As above. Would also be closely consulted impacted by NR2W, BCF, Feeder road, and As above plus information about the extent of land before the socioeconomic baseline and involuntary land Consolidation location (to be acquisition, compensation rates, alternative options, Census as part of the Resettlement Action acquisition, whether confirmed during Detailed Design) livelihood restoration, etc. Plan (RAP), during the preparation of the temporary or who will have assets minimally To be further defined during the Pre-ESIA stage when the RAPs, including defining entitlements and permanent, (special impacted by land acquisition, such extent of impacts is known. compensation rates. Project Information provisions made as as concrete driveways and B. Crossing Border Facilities Booklets to be developed with specific per RAPs if vulnerable overhanging roofs TBD during the Pre-ESIA stage when the extent of information regarding land acquisition at person) impacts is known. different stages (detailed measurement, calculation of entitlements, etc.) 15 Group Characteristics Interest or Concern Proposed Strategies C. Feeder roads; Consolidation facilities, TBD during the Pre-ESIA stage when the extent of impacts is known. Ethnic Groups Khmou, Hmong, Hor, Lue, Phounoy, A. People living along project sections of NR2, To be determined during the full ESIA stage consistent with ESS7 Tai As under points 1 and 2. To be further defined during the and detailed design, guided by this SEP and (see guidance in the Pre-ESIA stage when the extent of impacts is known and the EGEF, and further refined based on the ESMF and EGEF) screening of ethnic groups take place. Social Assessment part of the Ethnic Group’s Engagement Plan (EGEP). Based on the B. Crossing Border Facilities, Lao-Thai border guidance in the EGEF it will also need to be Khmou, Lue, Hmong, As under points 1 and 2. To be further defined during the assessed whether Free Prior and Informed Pre-ESIA stage when the extent of impacts is known and Consent (FPIC), based on WB ESS7, is screening of ethnic groups take place. required and/or desirable in any of the subprojects. C. Crossing Border Facilities, Lao-Vietnam border Akha, Hmong, Khmou, Lue, As under points 1 and 2. To be further defined during the Phounoy, Tai, Bid Pre-ESIA stage when the extent of impacts is known and screening of ethnic groups take place. C. Feeder roads; Khmou, Akha, Ewmien, Hmong, As under points 1 and 2. To be further defined during the Lue, Phounoy, Tai, Pay, others. Pre-ESIA stage when the extent of impacts is known and screening of ethnic groups take place. Akha, Hmong, Hor, Khmou, Lue, Consolidation facilities in Oudomxay Phounoy, Tai, others. As under points 1 and 2. To be further defined during the Pre-ESIA stage when the extent of impacts is known and screening of ethnic groups take place. 16 Group Characteristics Interest or Concern Proposed Strategies Khmou, Hmong, Ewmien, Hor, Leu, Consolidation facilities in Luang Prabang, Ngoaun, Phouth, Phounoy, Pray, As under points 1 and 2. To be further defined during the Tai, Thaine, Yang, others. Pre-ESIA stage when the extent of impacts is known and screening of ethnic groups take place. Farmers, land users, - Local farmers and other land users will see benefit from Will be consulted on the project’s ESMF and vulnerable groups, increased ability to sell local produce relevant plans including LMP, Codes of private sector and - Concers about Covid transmission, opportunities to Conduct and Grievance Redress. government staff access trainings benefiting from training, Contractors in charge Contractors will be encouraged to - Concerns about OHS measures, Covid transmission, job Introductory training on staff related to Code of of civil works, and their hire local people for unskilled labor, opportunities, discrimination, pay, SEA/SH, etc. Conduct (gender, violence, children), training staff in particular interested women (likely To be further defined during the Pre-ESIA stage on gender, OHS measures. Labor contracts. 15% target) Posters on aspects Code of Conduct. Information on the COVID19 health and safety protocols Government Specific government ministries and - Project outcome Consultations/meetings before project authorities responsible departments at the national, - Responsibility for the project, in particular ensuring implementation to inform them of the project. for project activities provincial, district and village level that the appropriate GOL staff are assigned to the Ongoing communication, meetings, phone (see Section 3.2.). Government staff benefitting from right Project component for their specific role. e.g. calls, emails and field work between project Special attention to the capacity building and Environmental Staff to supervise environmental authorities to ensure everyone is updated on include Village government staff working at the component of Project timelines, objectives, mitigation measures, Women’s Group border posts. - Ensuring understand the project and E&S responsibilities etc. commitments and responsibilities, as well as the WB's ESF Project billboards; Website; Whatsapp and - Capacity building opportunities for implementing emails agencies including DPWT, PONRE, local Women’s group. 17 Group Characteristics Interest or Concern Proposed Strategies Interested Stakeholders Frequent road users, People living along project sections - Concerns about construction-related concerns such as Provision of updates to keep updated on special provisions as of NR2, Crossing Border Facilities; dust, noise and traffic, including speeding (post- project timelines and potential impacts and necessary for women Feeder roads; Consolidation construction) mitigation measures including GRM. and children facilities as well as those travelling To be further defined during the Pre-ESIA stage Disclosure of the ESMP in accessible to markets, schools, health centers, locations, such as village offices and the temples. Special attention to women MPWT website. Project billboards. Conduct and children. road safety trainings in particularly targeted at school children and young men (since statistically they form the largest group of road accident victims). Government Specific government ministries and - Project outcomes, responsibility, training opportunities, Continuous communication and consultation authorities needing to departments at the national, project timeline meetings to ensure relevant government be consulted, or those provincial, district and village level To be further defined during the Pre-ESIA stage groups are updated on timelines, objectives, that may be interested that may need to be consulted due mitigation measures, responsibilities etc. (see Section 3.3). to their area of responsibility (for Disclosure of ESMP and other project instance health centers or schools). documents. Local consultations disclosing RAP and ESMP. Project billboards; Website; Whatsapp and emails NGOs interested in Wildlife and environment NGOs that Wildlife Conservation Society (WCS) Meetings and continuous communications and environment have projects in the proposed - GOL capacity including capacity building opportunities meetings, including during Pre-ESIA and project area (see Section 3.3) International Union for Conservation of Nature (IUCN) ESIA, Disclosure of project information. Local Laos consultations. Project billboards. - Currently working on wetlands/peatlands across Laos - Main projects are Wetlands in southern Laos - Plan to map all wetlands in Laos 18 Group Characteristics Interest or Concern Proposed Strategies - IUCN plan to do further survey in the Northern Provinces To be further defined during the Pre-ESIA stage NGOs interested in NGOs interested in ensuring IUCN Meetings and continuous communications and gender benefits to women as well as - IUCN’s main role is to develop guidelines and meetings, including during Pre-ESIA and dealing with issues relating to management tools ESIA, on Gender Action Plan (GAP) and Gender Based Violence (GBV); - Community engagement is important, especially with relevant parts of the ESMP or other Sexual Exploitation and Abuse and local women documents. Disclosure of project information. Sexual Harassment (SEA/SH) (see - IUCN had a project called Mainstreaming Gender in the Local consultations. Posters on gender issues. Section 3.3) National Biodiversity Strategies and Action Plan Implementation and Monitoring. In which aimed to establish a gender responsive National Biodiversity Strategy and Action Plan To be further defined during the Pre-ESIA stage NGOs working on If ethnic groups are identified, NGOs To be further defined during the Pre-ESIA stage Consult as part of Pre-ESIA and ESIA and any ethnic group issues interested in ensuring benefits to other Social Assessment. Disclosure of project ethnic groups as well as protection information. Further consultations if ethnic of these groups, in particular issues groups are identified during project relating to land and culture of ethnic implementation. groups (see Section 3.3) Road Safety Network Ensuring traffic standards are Road safety aspects during construction and road Meetings and ongoing consultation on road followed and the road safety is a speeding risks and general safety post-construction safety measures. Disclosure of project priority and road accidents and To be further defined during the Pre-ESIA stage information. deaths are reduced 19 Group Characteristics Interest or Concern Proposed Strategies Supply Chain Suppliers of materials for civil works Materials needed, requirements for underage Suppliers to be informed via phone calls, such as cement, food, safety gear, labour/forced labour checks (i.e. compliance with meetings, emails that goods acquired for etc. LMP/project measures) construction will need to come from sources Contractors in charge of civil works, To be further defined during the Pre-ESIA stage with good labor standards and no child or and their staff indentured labor. 20 5 Stakeholder Engagement Plan 5.1 Purpose and timing of stakeholder engagement plan 24. The objectives of the Stakeholder Engagement Plan are to: • Offer opportunities for stakeholders to raise their concerns and submit their opinions, to incorporate this into the project when possible, and to provide this feedback to stakeholders. • Create avenues for complaints handling and grievance management. • Create opportunities for information sharing and disclosure. • Foster strong project community relationships. • Ensure meaningful consultation and the consideration of stakeholder’s expectations and concerns into the implementation arrangements for the programme, including feedback on environmental and social mitigation measures and their implementation. 25. In order to achieve this, the Project shall: • Provide meaningful information in a format and language that is readily understandable. • Provide information in advance of consultation activities when possible. • Disseminate information in a manner and location easy for stakeholders to access it. • Establish a two-way dialogue that gives the Project and stakeholders the opportunity to exchange views and information, and have issues heard and addressed. • Ensure inclusiveness in representation of views, including those of women, the elderly, people living with a disability, ethnic peoples, and other vulnerable people, as necessary. • Ensure any obstacles to participation that are identified are removed so that views of different stakeholders can be obtained. • Ensure there are clear mechanisms for responding to people’s concerns, suggestions, and/or grievances. • Incorporate feedback of stakeholders into project design, and report back to stakeholders. • Monitor stakeholder engagement activities and include project stakeholders in monitoring to the extent possible. 21 • Incorporate stakeholder engagement as part of the Project management responsibilities of the MPWT, and ensure staff, especially the Environment and Social Officers (ESOs) are equipped with specific responsibilities and budget. 26. The Project will engage stakeholders at various stages: during the preliminary impact assessment stage, full ESIA stage, initial design of road improvement, detailed design, prior to civil works commencing and during, and post-civil works. Engagement will vary in each stage of the project life and this SEP will be dynamic and flexible to these changes. This SEP should be read together with other project documents (i.e., ESMF, RPF, EGEF and ESCP). 27. There will be several ways to engage with stakeholders and the Project shall choose the most appropriate method depending on the type of stakeholder and the goal of engagement. 28. This SEP is a living document and shall be updated as needed. Once consultations have taken place, minutes of meetings and relevant comments from project stakeholders shall be incorporated. 5.2 Disclosure of Information 29. Disclosure of information refers to making information accessible and in a manner that is appropriate and understandable to interested and affected stakeholders. 30. Project information will be disclosed in both English and Lao language or even local dialects of ethnic groups which can be easily understandable format either by audio and photo or drawing /print (e.g. booklet or flyers) formats. 31. The guiding principles when disclosing information are for it to be: 1. Transparent 2. Accessible 3. Presented in a straightforward manner 4. Disclosed as early as feasible 5. Used to support consultation activities, and 6. Provided with meaningful and useful information. 32. Disclosure of information is an on-going process of the Project. Type of information to be disclosed will vary between project stages with two key stages before World Bank project appraisal, and during project implementation. a) Before World Bank Project Appraisal i. Purpose, nature and scale of the Project and its components, including potential environmental and social risks and impacts as ways to enhance project benefits. Project documents to be disclosed will include: 22 (a) Environment and Social Management Framework (ESMF) – including the Pre-ESIA and annexes such as the Labour Management Procedures (LMP) (b) Resettlement Planning Framework (RPF) (c) Ethnic Groups Engagement Framework (EGEF) (d) Environment and Social Commitment Plan (ESCP) (e) Stakeholder Engagement Plan (SEP) b) During project Implementation. i. Detailed impacts, mitigation measures and project schedule. Project documents will likely include: a) Environment and Social Impact Assessment (ESIA) b) Environment and Social Management Plans (ESMPs) c) Resettlement Action Plans (RAPs) d) Ethnic Groups Engagement Plan (EGEP) e) Updates to the Stakeholder Engagement Plan (SEP) f) Implementation Status Report ii. Job opportunities, if any. iii. Training on gender, labour rights and health, as appropriate; and iv. Monitoring reports. 33. Methods used may vary between stakeholders. Main methods of disclosure are presented in Table 2. 23 Table 2: Disclosure of Documents Project Stage List of Documents Method of Disclosure Timetable/ Location Target Responsibilities Stakeholders Prior to World Draft SEP, ESMF (with Disclosed at 15 November 2021 Government Staff MPWT, EDPD/ Bank Appraisal LMP), EGEF, ESCP, RPF, PTI/MPWT’s Website. responsible and PTI, including executive Hard copy and electronic interested summary of each of the draft documents stakeholders document in Lao language distributed to target stakeholders. Draft SEP, ESMF (with National Consultation 29 November 2021 All interested MPWT, EDPD/ LMP), EGEF, ESCP, RPF, (via virtual consultation) stakeholders PTI, including translated executive summaries Draft SEP, ESMF (with Local consultations for 30 November 2021 – Affected EDPD/ LMP), EGEF, ESCP, RPF, stakeholders at 03 December 2021 stakeholders Provincial and including translated provincial, district, and District offices executive summaries village levels. (via virtual consultation) Project Full Feasibility Study/ ESIA Local consultations. Starting in June 2022 People impacted CMUs, PTI and Implementation by the Project. FS/ ESIA Consultations with Consultant Affected People (APs) – those affected by the project and those affected by land acquisition One-on-one meetings with APs 24 Project Stage List of Documents Method of Disclosure Timetable/ Location Target Responsibilities Stakeholders Information about the Local consultations. Likely August 2022 People impacted EDPD/PTI, CMUs, project and E&S risks and onwards (post World by the Project. and Consulting mitigation measures. Consultations with Bank appraisal) firm Detailed RAPs, including Project Affected People information on eligibility, (PAPs) – those affected entitlement matrix, by the project and those timelines, GRM. affected by land acquisition One-on-one meetings with PAPs Project website (include also Final Version of SEP, ESMF, EGEF, ESCP and RPF, including feedback from consultations) and site- specific plans. ES screening forms, Local consultations Affected and EDPD/PTI, CMUs, expected impacts, and Trainings to Contractors interested and Consulting mitigation measures those Training to workers stakeholders firm impacting people’s health Public Boards and safety, jobs, civil works Radio (office renovation), staff Newspaper code of conduct. Posters Project website 25 Project Stage List of Documents Method of Disclosure Timetable/ Location Target Responsibilities Stakeholders Key elements in Ethnic Local consultations, Likely July 2022 Ethnic Peoples CMUs and EDPD/ Group (e.g., Social including consultations onwards. impacted by the PTI Assessment, procedures separated by gender project, with for FPIC if applicable, and/or age group. special EGEP, GRM, etc.) if consideration for applicable. Pictorial posters and/or women and/or the in local language vulnerable. Village announcement Also include NGOs working on Trainings (on project ethnic people and process, GRM, gender vulnerable groups and/or other issues as active in the area. relevant) Others as may be desirable by ethnic groups Monitoring reports Local consultations and Likely July 2022 Affected and CMUs; and EDPD/ project website onwards. interested PTI stakeholders and World Bank 26 5.3 Proposed strategy for consultation and disclosure 34. The project supports a participatory and consultative approach involving meaningful engagement with different populations (ethnic peoples and vulnerable groups – women and female/male youth and children, men, the elderly and disabled, landless, and poor, etc.), CSOs (NPAs, CBOs) and other relevant stakeholders. During the Pre-ESIA, consultations and engagement activities were conducted through field visits along the road side of NR2 West wherein the villagers expressed their support to the improvement or rehabilitation of roads. The ESF instruments (ESMF, RPF, EGEF, ESCP and this SEP) were first disclosed at the MPWT website on 15 November 2021 to ensure effective communication and coordination with all stakeholders and different populations at national and local levels. 35. Consultation is a two-way process of dialogue between the project and its stakeholders. The project consultations will provide opportunities to share information about the project and get feedback, including on issues such as working conditions for contractors, engagement of vulnerable groups, ethnic groups, women, and ways to mitigate potential project risks and impacts. 36. Some methods that should be helpful in guiding consultations with local-level stakeholders, particularly affected people, include: (i) Face-to-face consultations should be inclusive of all stakeholder groups for different sections of the roads, such as women, elderly, people living with a disability and other vulnerable persons, including breaking it down by gender and age when appropriate. (ii) One-on-one household interviews and focus group discussions will be conducted in a locally/culturally sensitive manner and without external interference or pressure so that interviewees can speak freely. (iii) Notices of meetings/consultations shall be sufficiently notified in advance at prominent locations and information shall be disclosed ahead of time when applicable. (iv) Comments and suggestions received from stakeholders shall be collected and incorporated into this SEP, and other project documents, especially ESMF and EGEF, and in ongoing project implementation as much as possible, and stakeholders shall be made aware how this was done in follow-up meetings/consultations. 37. During project preparation, consultations were organized in late November/early December 2021, in Xayaboury province to discuss the border crossing facility (BCF) at the Lao-Thai border and NR2W which passes through the province. Consultations were also conducted in Oudomxay province to discuss NRW2 with potentially with affected villages. A separate consultation was also organized for the BFC at the Lao-Vietnam border in Phongsaly province. Participants at these consultations included village representatives, government authorities and 27 representatives of ethnic groups, Lao Women’s Union, youth groups and individual villagers. Moreover, preliminary consultations had been conducted during September to gather data on the villages and potential project impacts to inform the preliminary ESIA that was conducted as part of the ESMF. Please see Annex 2 for list of questions raised. 5.3.1 At central/national level 38. Due to COVID19 restrictions, a virtual consultation was organized and conducted by EDPD/PTI on 29 November 2021 with 65 participants from 6 government agencies; 5 International NGOs; 2 CSOs; 2 funding agencies and development partners; 1 private sector from which 12 are females from 28 total number of registered participants. The consultation introduced the project and all its components, and informed stakeholders of the preparation of ESF documents, namely the ESMF (with the Pre-ESIA), RPF, EGEF, ESCP and this SEP. The main aspects of these documents were discussed, in particular the identified potential social and environmental risks and impacts from the project, potential mitigation measures, and the procedures for preparing specific plans (ESMPs, RAPs), including the carrying out of the full ESIA in 2022. Stakeholders were also informed of the proposed project Grievance Redress Mechanism outlined in this SEP. Highlight of questions raised during the consultations on November 29 are included in Annex 2. 39. In the future, national-level consultations may take the form of face-to-face meetings with issuance of official letters (submitted at least two weeks ahead of the consultations) to inform affected and interested stakeholders of the purpose of the consultation. Alternatively, online consultation using WebEx may be conducted, as indicated above. 5.3.2 At provincial and district level 40. Initial consultations were conducted in September 2021 to collect data on the villages, share information about the project, and understand potential project impacts to inform the preliminary ESIA, part of the ESMF. Virtual Consultations at the province, district and village level were conducted during project preparation from 30 November 2021 to 03 December 2021 with 95 participants of which 16 are females from the Provinces; 62 participants of which 9 are females from the Districts; and 16 representatives of which 4 are females and 4 are from the ethnic groups of Laoloom; Khmu and Hmong from the villages. Representatives line agencies from provinces and districts; and mass organizations, as well as other interested stakeholders (e.g., civil society, academia, or private sector), were able to participate and main comments and questions raised are highlighted in Annex 2. Executive Summaries of the ESF documents had been shared. Due to ongoing COVID-19 restrictions, consultations had to be held virtually. Efforts were made to ensure as many stakeholders as possible were able to connect, including by making phone calls and encouraging stakeholders to connect on their phones or via their nearest district office. Similar to the national- level consultations held on November 29, these consultations focused on introducing the project, the ESF documents prepared, potential risks and impacts of the project 28 that have been identified, etc. The aim of the consultations was both to inform stakeholders of the project, its preparation status and forthcoming additional studies in 2022 (ESIA, full feasibility), but also to gather comments and feedbacks from participants. Sufficient time was given for people to think about what had been presented and then share thoughts and questions. In addition, a Whatsapp number was provided for people to submit their comments, whether the day of the consultations or the following couple of days, in order to give people time to think about the project but also in order to give those stakeholders that could not attend the opportunity to ask questions or provide feedback. 41. There was robust discussion during the consultations and the feedback sessions, with numerous stakeholders highlighting the project benefits but also to ensure environmental impacts were properly mitigated, that resettlement was done in line with WB ESF and Lao legislation, that there were appropriate compensation payments, as well as interest in the timing of future studies such as the ESIA. Other important aspects highlighted were job opportunities, Covid-19 restrictions and importance of traffic safety. Of particular interest, and useful for both the Pre-ESIA and future full ESIA, was information about human trafficking experience in both Phongsaly and Oudomxay province, and the potential benefits from the project in curbing this by having stronger customs and immigration measures and procedures in place at border crossing facilities. This aspect has been particularly highlighted in the ESMF as an area where more focus, attention and information gathering will be needed during the full ESIA. 42. The project will continue to consult with stakeholders during the preparation of future studies (ESIA, full feasibility, detailed design), and to do this face-to-face as much as possible. Moreover, as the project progresses consultations may be done with identified affected households directly on specific topics such as land acquisition impacts, construction timelines, trainings on health and safety and Gender Based Violence, job opportunities, etc. 5.4 Consultations and Covid 19 Safety Precautions 43. The current context of Covid 19 outbreak affects the Bank requirements for public consultation and stakeholder engagement. In the case of projects under preparation and stakeholder engagement is about to commence or is ongoing, such as in the project E&S planning process, stakeholder consultation and engagement activities should not be deferred, but rather designed to be fit for purpose to ensure effective and meaningful consultations to meet project and stakeholder needs following the Bank’s Technical Note on Public Consultations and Stakeholder Engagement in WB-supported operations when there are constraints on conducting public meetings dated March 20, 2020. The note advises to avoid public gatherings (taking into account national restrictions), including public hearings, workshops, and community meetings, and minimize direct interaction between project agencies and beneficiaries / affected people, make all reasonable efforts to conduct meetings through online channels, including WebEx, zoom and skype meetings and rely more 29 on social media and online channels. In situations where online interaction is challenging, information can be disseminated through digital platform (see Error! R eference source not found.). 44. The project will also commit to Lao governments’ epidemiological guidelines and restrictions associated with COVID-19. Caution needs to be given to COVID-19 developments in Lao PDR and requirements by the GoL, as well as updated guidance issued by WHO. All measures implemented to address COVID-19 related risks need to be in accordance with the local applicable laws and policies, especially those related to media and communication. All required government health and safety measures shall be strictly complied such as limit the number of participants and attendees during meetings and interviews with stakeholders to maintain social distancing and encourage participants to wash their hands and check for body temperatures. Consultation meetings shall be held on a well ventilated area (open space) and provide hand sanitizer gel or alcohol and face masks to distribute to all participants prior to the meeting. If necessary, also required to have their individual Personal Protective Equipment (PPE) during meetings and field visits. 45. If face-to-face consultations are not possible due to Covid restrictions, online consultation using WebEx, Zoom or Skype or other digital platforms will be conducted. Relevant project documents will be made accessible on the MPWT website and relevant information will be directly sent to the stakeholders that the project intends to receive feedback from. 5.5 Proposed strategy to incorporate the view of vulnerable groups 46. Due to the travel restrictions and required social distancing due to COVID19, the following are health and safety protocol measures to be followed during field visits, consultation meetings and Focused-Group Discussion (FGDs) with stakeholders, particularly with the vulnerable groups: • Consultation meetings and FGDs can utilize other means of communication applications for interviews, FGDs and disclosures such as Zoom; Webex; Whatsapp; Facebook; Emails, etc.;l • Limit the number of participants and attendees during meetings and interviews with stakeholders and vulnerable groups to maintain social distancing (1 meter) and encourage participants to wash their hands and check for body temperatures; and • Conduct consultation meetings on a well ventilated area (open space) and provide hand sanitizer gel or alcohol and face masks to distribute to all participants prior to the meeting and have the option to wear the required individual Personal Protective Equipment (PPE) during meetings and field visits. 30 47. The views of vulnerable/disadvantaged groups (Please see Section 4.3 for disadvantaged/vulnerable individuals/groups) will be sought during the consultation process through the following measures to remove obstacles to participation: • Sign language, large print. • Choosing accessible venues that are well ventilated area (open space) • Providing transportation for people in remote areas to the nearest meeting (ensure social distancing during travels using transportation or vehicles). • Having small, focused meetings where vulnerable stakeholders are more comfortable asking questions or raising concerns. • Good facilitation to ensure meaningful participation in the consultation • Providing special assistance in grievances of the vulnerable groups. 48. Using appropriate translators or ethnic language speakers, with village groups split by gender, to discuss the potential impacts of project activities, both positive and negative. During consultation involving communities’ representatives, village level representative of the LWU will be invited from each village and gender disaggregated FGD to ensure women voices are heard and recorded. 49. The SEP should be coordinated with the EGEF. If Ethnic Groups are found in the project areas, it will be assessed if circumstances requiring Free, Prior and Informed Consent (FPIC) apply and/or are desirable. Determination on whether FPIC applies should be agreed with the World Bank, considering the requirements of the Environmental and Social Framework (ESF), and as provided for in the EGEF for the project. Regardless of whether FPIC is required, special attention should be given to the need for consultation with ethnic peoples with EGEF. The government mass organizations including LFND and LWU with local presence nationwide have mandate to represent and protect the ethnic groups and ethnic women’s rights and interest. In ethnic villages, tribal leaders are usually elected as the head of village, with LFND representing them and chairing the village mediation unit. In multi-ethnic villages, leaders or representatives of each ethnic groups are usually included in the community organization. Both LFND and LWU will be part of past and further consultations. Ethnic groups in Laos observe one of two systems, or structures, of power: one is clan-based and, the other, on a council of elders. They need to be consulted throughout the project life cycle. Power or authority at the community level is shared both by the customary holder of a position of power and, also, by the mass organisations presided over by the village chief. These ethnic group leaders will be consulted during the project cycle. 50. The project will ensure that women will be involved and actively participate from the planning and implementation stages of the project. For example, there may be specific women-only FGDs led by women moderators. 51. As per the ESS7, FPIC is required in circumstances in which the project will: 31 (a) have adverse impacts on land and natural resources subject to traditional ownership or under customary use or occupation (For detailed description of the potential impacts, please see EGEF, a separate document on Ethnic Group Engagement Framework, for more details). (b) cause relocation of Ethnic Peoples from land and natural resources subject to traditional ownership, or under customary use or occupation; or (c) have significant impacts on Ethnic Peoples’ cultural heritage that is material to the identity and/or cultural, ceremonial, or spiritual aspects of the affected Ethnic Peoples (Para 24-26, ESS7). 5.6 Timelines A summary of timelines for key activities is provided in Table 3. Table 3 Indicative Timeline Activity Project Phase Timeline Responsibility Location Field visits, initial Conceptual Design, September – MPWT, Project consultations, local- Prior to World Bank October consultants. provinces level meetings to Appraisal 2021 introduce project, information gathering for Pre-ESIA and draft ESF documents Disclosure of the ESF Prior to World Bank 15 MPWT, Website of Documents, including Appraisal November consultants. the MPWT translated Lao version 2021 of the Executive Summary of ESMF. National/central Prior to World Bank 29 MPWT, Vientiane consultations on Draft Appraisal November consultants. ESF documents 2021 Provincial and local Prior to World Bank 30 MPWT, Locally consultations on Draft Appraisal November – consultants. and/or ESF Documents. 3 December virtually 2021 depending on Covid restrictions Specific extent of E&S Full ESIA TBD MPWT, Project impacts, based on Consultants provinces location of road segments/sub-projects to be financed 32 Activity Project Phase Timeline Responsibility Location Preparation of ESMPs Implementation TBD ESIA Consultant, Project Detailed Design Contractor (for provinces design), MPWT Central and, Provincial Detailed measurement Implementation: TBD ESIA Consultant, Project of land acquisition Detailed Design Contractor (for Provinces impacts. Preparation design), MPWT, of Resettlement Plans Provincial, District and consultations with and Village affected people, etc. Resettlement Committee (RCs), CMUs If applicable, If EGs are found, in TBD ESIA Consultant, Project preparation of Ethnic line with WB ESS7. CMUs with Provinces Group Engagement support from PTI Plan(s) and DDIS (additional Ethnic Group consultant may also be needed) Implementation of Implementation: TBD RCs (for land Project Detailed RAP ahead of Civil Works acquisition), Provinces civil works (i.e., CMUs, Contractor, delivery of MPWT. entitlements), hiring of local workers, trainings on gender, trainings for contractors and staff, road safety, etc. Disclosure of ESMPs, Implementation: TBD MPWT and Project RAPs and any other Detailed Design consultants (and Provinces, relevant plans RCs if land MPWT acquisition) Websites, WB Websites Works commence, Ahead of Civil TBD Contractor, CMUs, Project implementation of Works Design and Provinces Detailed RAP ahead of Supervision civil works (i.e., Consultants, RCs delivery of (if land acquisition) entitlements), Hiring of local workers, Ahead of Civil TBD Contractor, CMUs, Project trainings on gender, Works Design and Provinces trainings for Supervision 33 Activity Project Phase Timeline Responsibility Location contractors and staff, Consultants, RCs etc. (if land acquisition) 5.7 Review of Comments 52. All draft ESF documents (ESCP, SEP, ESMF, RPF, EGEF) have been shared with project stakeholders at the central, provincial and district level via MPWT’s Website, WhatsApp, and email where accessible and a brief power point presentation to be distributed in advance prior to each consultation to ensure that all participants had sufficient time to acknowledge the content and formulate comments, feedback, and suggestions as per the ESS10 requirement. Contact details at EDPD/PTI to receive feedback and suggestions were provided. An Executive Summary of all the ESF documents in Lao language has been prepared and distributed to the provincial and district offices. Similar approaches will be in place during project implementation. As needed, in the future additional measures will be taken to ensure relevant documents are available in a format accessible to ethnic minorities as well as illiterate persons. 53. During each consultation, notes with attendance lists shall be taken ensuring that age, gender, ethnicity and social position and their feedback and concerns are recorded. 54. During consultations for project preparation in Nov/Dec 2021, feedback and questions received from the stakeholders during consultations as well as via e-mail and WhatsApp was recorded by the PMU and CMUs and EDPD/PTI and incorporated into the content of the ESF Documents where relevant and noted in Annex 2 of the SEP. A similar approach shall be taken during future consultations as the project moves from preparation to implementation phase. 55. The ESF Documents are living documents subject to further improvement and re-disclosure to reflect outcomes from continued consultations, feedback and lessons learned from the implementation of these ESF instruments during the project lifetime. 5.8 Reporting back to stakeholder groups 56. The SEP will be periodically revised and updated following future consultations or as necessary during project implementation to ensure that the information presented herein is consistent and is the most recent, and that the identified methods of engagement remain appropriate and effective in relation to the project context and specific phases of the development. Any major changes to the project related activities and to its schedule will be duly reflected in the SEP. The PMU-MPWT shall notify the WB on the updated SEP (if changes made in the plan are minor) and will send it to the WB for prior review and clearance (if changes are significant) before re-disclosure. 34 57. Monthly summaries and internal reports on public grievances, enquiries, and related incidents, together with the status of implementation of associated corrective/preventative actions will be collated by responsible staff and referred to the senior management of the project. The annual summaries which are public documents will provide a mechanism for assessing both the number and the nature of complaints and requests for information, along with the Project’s ability to address those in a timely and effective manner. Stakeholders shall be reminded periodically of the availability of the grievance mechanism. 58. Information on public engagement activities undertaken by the Project during the year may be conveyed to the stakeholders in two ways: 1. Publication of a standalone annual report on project’s interaction with the stakeholders. 2. Several Key Performance Indicators (KPIs) will also be monitored by the project on a regular basis, including the following parameters: a) number of public hearings, consultation meetings and other public discussions/forums conducted annually. b) frequency of public engagement activities. c) number of public grievances received monthly and number of those resolved within the prescribed timeline; and d) number of press materials published/broadcasted in the local, regional, and national media. 6 Resources and Responsibilities 6.1 Resources 59. EDPD/PTI will be in charge of organizing stakeholder engagement activities and provide the required technical support and assistance to undertake stakeholder engagement. A provisional budget of US$80,700 is estimated for implementation of SEP and stakeholders' engagement activities excluding the cost of consultations which are embedded in various project activities (see Annex 3). 6.2 Management functions and responsibilities 60. A Project Steering Committee (PSC) shall be established to provide guidance for the SEARECC project. The PSC will be chaired by MPWT, with Committee Members of the Ministry of Industrial and Commerce (MOIC), Ministry of Agriculture and Forestry (MAF), Ministry of Foreign Affair (MOF), Ministry of Public Security (MoPS), and Department of Public Works and Transport (DPWTs). The PSC is assisted by its Project Management Unit (PMU) of the MPWT. It shall be responsible for facilitating inter-agency coordination and cooperation in executing Project activities. 35 61. The PMU has a project team in charge, with a Project Director in the lead, a Project Manager; CMUs of other ministries with technical support from EDPD/PTI. 62. Implementation of the Stakeholder Engagement Plan will be the responsibility of MPWT Project Director (PD), Project Manager (PM); Component Managers from other ministries and EDPD/PTI. They will guide the process of stakeholder engagement throughout the preparation and implementation of the SEARECC. The PMU of the MPWT; Component Management Units (CMUs) of other ministries with the technical support from Environmental Research and Disaster Prevention Division of the Public Works and Transport Institute (EDPD/PTI). shall have office with staff and budget, and it will be the responsibility of this office to oversee the delivery of this SEP. Certain parts of the SEP, as detailed above, will also be the responsibility of contractors or consultants, as necessary and the EDPD/PTI will oversee this work as appropriate. CMUs report to their respective Director General in the province. 63. The PMU with the technical support and assistance from EDPD/PTI, under the guidance of the Project Director (PD) and Project Manager (PM), will be responsible for: • Leading, or supervising, consultations, as per the SEP. • Leading, or supervising, the disclosure of information, as per the SEP. • Reporting on grievance resolution, as per the SEP. • Review monthly monitoring reports provided by contractors and/or consultants; and • Regularly reporting to the Project Director and Project Manager. 64. Stakeholder engagement should be periodically evaluated by the Project in line with overall monitoring and other relevant project documents. The Project will strive to include project stakeholders in monitoring activities. 65. The EDPD/PTI are supported by consultants during the project preparation phase, and trainings to the line government agencies involved and CMUs on the WB ESF and stakeholder engagement shall be conducted. Additional capacity building of the MPWT and CMUs will be needed during project implementation and should be done as described by Table 4. Table 4 Staff and Responsibilities for SEP Activities Staff Responsibility Project • Reviews and approves monthly reports on MPWT Director grievance redress and stakeholder engagement; and • Keeps World Bank informed on the implementation of the SEP. 36 Staff Responsibility Project • Oversees EDPD/PTI and CMUs and the process of Manager of grievance redress and stakeholder engagement; PMU and • Submits monthly reports to the Project Director. EDPD/PTI • Supervise; monitor and report the SEP (with the implementation including other safeguard support of instruments Environment • Provide technical support on capacity building for and Social staff of government agencies involved in the Consultants) implementation of SEP to address environmental and social safeguards issues • Assesses the progress, accessibility, and efficiency of the Grievance Redress Mechanism (GRM) and the overall project GRM database is maintained and reported on at this level. • Conducts trainings on gender-based violence, HIV/AIDS, road safety and others as described in this SEP and/or as required by the PSC. • Assists in the identification of Ethnic Groups, working with the EDPD/PTI. • May be tasked with preparing the Social Assessment and Ethnic Group Engagement Plan (EGEP) if relevant, or this may be the task of a separate consultant and/or the ESIA. • Conduct biannual and annual Environmental and Social safeguard (ESS) compliance monitoring and reporting. The biannual and annual monitoring reports and key findings from the implementation of SEP activities and be shared with DOR-MPWT PMU, and WB. CMUs in other • Implements stakeholder engagement activities as ministries described in the SEP, including consultations, disclosure, trainings on gender-based violence, road safety, etc. • Coordinates with village authorities and contractor on the grievance redress mechanism, ensuring that grievances are recorded and promptly resolved. • Oversees stakeholder engagement activities being conducted by the contractor and/or consultants. • Coordinates with other agencies; and • Leads the process of identification of Ethnics Groups. Contractor Chief • Carries out consultations with stakeholders on Engineer project timeline, mitigation of civil work activities 37 Staff Responsibility (such as dust, traffic), informs stakeholders about jobs. • Ensures careful consideration of women and vulnerable groups, including them in consultations and that they do not miss out on job opportunities. • Conducts training on Code of Conduct for workers, including on appropriate behavior and relations with community and gender-based violence (GBV) , Sexual Exploitation and Abuse/Sexual Harassment and Violence Against Children (VAC). • Conducts trainings and awareness activities on road safety to be implemented together with the traffic police and target audience. Contact details of Implementing Agency: Project Management Unit of the SEARECC Project Department of Planning and Finance (DPF) Ministry of Public Works and Transport (MPWT) Name: Mr Sengdarith Kattignasack, Assistant of MPWT’s Minister, Head of Project Coordination Committee. Cell Phone: +85620 99999995 Address: LanXang Avenue, Phonxay Village, Saysettha District, Vientiane Capital, Lao PDR. Tel: +85621 412265, +85621 412266. E-mail: ksengdarith@yahoo.com 7 Grievance Redress Mechanism 7.1 Grievances Procedures 66. The overall project Grievance Redress Mechanism (GRM) is set out in the project’s SEP. This GRM is also applicable to Gender Based Violence (GBV), Sexual Exploitation and Abuse/Sexual Harassment (SEA/SH) and Violence Against Women (VAC) related grievances, although complainants can also choose to submit their complaints directly to GBV Service Providers. The key principles of the grievance mechanism are to ensure that: • The basic rights and interests of affected people, including ethnic groups, are protected. • The concerns of affected people, including ethnic groups, arising from the project implementation process are adequately addressed. • Entitlements or livelihood support for affected people, including ethnic groups, if required, are provided on time and accordance with the above stated government and World Bank’s ESF, and 38 • Affected people, including ethnic groups, are aware of their rights to access grievance procedures free of charge for the above purposes. 67. The MPWT will be responsible for receiving and resolving in a fair, objective, and constructive manner, all concerns or complaints raised by project affected persons (PAPs). Their broad responsibilities of the grievance management include: • Developing and publicizing the grievance management procedures. • Receiving, reviewing, investigating, and keeping track of grievances. • Adjudicating grievances. • Monitoring and evaluating fulfilment of agreements achieved through the grievance mechanism. 68. For the interest of all parties concerned, the grievance mechanism is designed with the objective of solving disputes as soon as possible. A recommended timeframe for the resolution of a complaint should be sought within two weeks. 69. In the SEARECC it is envisaged there could be four types of grievances: o Grievances relating to land acquisition, that follow the Resettlement Action Plan’s GRM (detailed in the project’s RPF/Draft RAPs). o Grievances related to ethnic groups o Grievances related to project implementation (including relating to environmental and social impacts, health, worker’s camp, road safety, pollution and waste, etc.). Some of these may be specific to ethnic groups. o Job-related disputes (detailed in the project’s LMP). 70. Based on the SEP, wherever possible, the project team shall seek to resolve complaints as soon as possible, and thus avoid escalation of issues. However, where a complaint cannot be readily resolved, then it must be escalated. In order to effectively and quickly resolve grievances of affected people, according to the Law on Grievance Redress or the revised Law on Handling Petitions 012/NA approved by the National Assembly on December 5, 2014 and the President in 2015 and also the guideline on consultation with ethnic groups was launched by the Lao Front for National Development (LFND formerly known as LFNC), in 2013, in line with the National Guideline on Public Involvement, 2012, to ensure an effective and efficient grievance, a mechanism for the project is proposed as follows: Stage 1: The first level of complaint resolution, following traditional methods in Laos, should be the Village through its Village Mediation Unit (VMU) and/or Sub-district (kum) level who may be able to resolve issues on the spot. The VMU at the village level would comprise of representatives of ethnic group community leaders, and head of mediation unit or village elder persons. 39 Complaints can be submitted in verbal or written forms. It is expected that some complainants such as ethnic groups or vulnerable individuals/households might not be able to submit complaints in writing. If this is the case, a person from the village authority will support the write-up for these people. Complainants may also retain the right to bypass the VMU procedure and as such can direct their grievance directly to DPWT, as provided by law in Lao PDR. The VMU shall make the arbitrated decision within 10 days. The Village/Sub- district level, specifically the Chief of Mediation Unit, Village Chief and/or Kum Chief, should record the grievance and how it was resolved. There are no fees or charges levied for the lodgment and processing of grievances at this level. In cases where grievance is related to a labour dispute, the grievance may be first submitted to the contractor and/or human resource staff of the contractor directly as detailed in the project’s Labor Management Procedures (LMP). Stage 2: In cases where grievances cannot be resolved on the spot, in the second stage, people will be able to file grievances directly with Component Management Units of the responsible ministries. People will have been informed of the CMUs contact information during consultations. The CMUs will be able to record the grievance and offer a solution within 15 days, consulting with the Project Management Unit (PMU) at the MPWT, as needed. This may include a visit to the project site by the PMU if necessary. There are no fees or charges levied for the lodgment and processing of grievances at this level. All online submitted grievances (WhatsApp, Facebook, email etc) are likely to enter the GRM at this level. Stage 3: in cases where grievance still cannot be resolved, or not resolved to the satisfaction of the any complainant, he/she shall have the right to submit a complaint to the Project Manager and Director of the PMU under the MPWT as desired by the complainant. The administrative arbitration organization shall make the arbitrated decision within 20 days. Like the two previous stages, there are no fees or charges levied for the lodgment and processing of grievances at this level. Stage 4: if the complainants are still unsatisfied with the arbitrated decision made by the administrative arbitration organization at the Provincial level, after receiving the arbitrated decision, they can file a lawsuit in a civil court according to relevant laws and regulations of the Lao PDR. The complainant will bear the cost at this stage but will be reimbursed for their expenses by the MPWT if their complaint is successful. It is important to note that the WB ESF and GRM do not apply to person-to- person disputes, but only state-to-person disputes. Person-to-person disputes should be dealt with by the regular land registration dispute resolution mechanism. 40 71. In cases where a grievance still cannot be resolved, or not resolved to the satisfaction of the person making the complaint, the person has the right to submit a complaint to the District or Province authorities, as desired by the complainant. The Complainant could also decide to submit to complaint directly to the Courts. The complainant will bear the cost for these steps but will be reimbursed for their expenses by the MPWT if their complaint is successful. 72. Where accessible, complainants may opt to raise their grievances directly to PMU of DPF-MPWT as the Project Management Unit of the SEARECC Project via alternative means hotline call and/or text message (WhatsApp) largely used even in most rural area or via the project website to be set up under the project. Contact detail of focal staff from PMU-MPWT and CMUs of other ministries with the technical support form EDPD/PTI are responsible for GRM should be provided in project information leaflet/booklet to be prepared and distributed to all project villages well in advance of consulting and GRM training for village mediation committees. GRM booklets should also include contact information for the relevant Village Mediation Units (first step of grievance redress). 73. The project will provide GRM committee in all target villages and districts/landscapes with a logbook where grievances are registered in writing and maintained as a database for monitoring and reporting. Sample templates for GRM logbooks (Table 5 and grievance forms are included in the SEP (Annex 2: Form to Submit Grievances). 74. Following engagement and feedback, the GRM and its operationalization considers the needs of various affected groups including from vulnerable groups, ethnic groups, and their representatives to ensure on methods are culturally appropriate and accessible and take account their customary dispute settlement mechanisms. Some sensitive cases of grievances, such as those relating to Sexual Exploitation and Abuse and Sexual Harassment (SEA/SH) or Violence Against Children (VAC) may require a professional or concerned entities to be engaged to help investigate and resolve. Budget for this is included in the implementation of ESMF instruments, including SEP. Confidentiality shall be preserved for anonymous complaints. The full ESIA should further look to examine the appropriateness and accessibility of the GRM, especially for ethnic groups. 75. As mentioned, if ethnic group are found, this GRM will need to be adjusted based on the needs of ethnic groups and this would be done in consultations with them. A representative from the Lao Front National Development will be invited to provide support to the GRM Committee and ensure that a local translator for a specific needs of the ethnic groups for their respective dialects is available during consultations. 76. Ethnic group interpreters will be used to address the language barrier to avoid misunderstandings and enhance cooperation and participation in activities with the support from the LFND. Therefore, at least one ethnic group interpreter will be used in each consultation and communication with ethnic group villages, regardless of where 41 the village is located, to ensure that all villagers, especially the elderly and children, who often do not speak Lao, are able to understand information provided by the project. Also, since ethnic languages may not be written, communication materials will need to take this into account and adapt so that messages can still reach ethnic groups. 77. In order to facilitate women and vulnerable people’s access to the mechanism, they will be specifically consulted with the support from the Lao Women’s Union (LWU) who will be a member of the GRM Committee to ensure they are able to access the grievance mechanism. 7.2 Recording Grievances 78. Established and managed by the PMU and CMUs, and RCs, a complaints register will be established as part of the project to record any concerns raised by any stakeholder during the implementation of the SEARECC Project. Any serious complaint (such as life-threatening, relating to GBV/SH or criminal) will be advised to the World Bank within 24 hours of receiving the complaint. This register is multi-tier (village, district, province, PMU), with the PMU having overall responsibility for the database. 79. A summary list of complaints received, and their disposition, along with key statistics on the number of complaints and duration taken to close out, must be reported in each regular progress report. Each record is allocated a unique number reflecting year and sequence of received complaint (for example 2021-01, 2021-02 etc.). Complaint records (letter, email, record of conversation) should be stored together, electronically or in hard copy under the responsibility of the PMU and CMUs. The EDPD/PTI will hire a Consultant to develop and install an user-friendly database program to be used by the PMU and CMU prior to the implementation of the project. 80. Grievances can be submitted anonymously, or the aggrieved person can also request their name be kept confidential. Responsibility for the Grievance Log will be with the PMU office and CMU offices. Grievances will be recorded in a Grievance Logs (Please see Table 5). This information shall include: • Stakeholder name and contact details (if not anonymous). • Details of the nature of the grievance. • Date received, date investiged, date decided on, who decided on it, what response was provided, date of implementation of decision, etc., and • How it was submitted, acknowledged, responded to, and closed out. • Grievances can be submitted anonymously, or the aggrieved person can also request their name be kept confidential. Responsibility for the Grievance Log will be with the Project Management Unit (PMU) and Component Management Units (CMUs) and RCs. 42 Table 5 Sample Grievance Log for the at the Village Level Grievance Log Name of Sex Contact Date Details of the To whom Actions to Date How was Complainant (M/F) info Received nature of the was resolve grievance the (or grievance grievance grievance was response anonymous) submitted settled provided? (Environmental impacts, social (and what impacts, labour, stage) health, SEA/SH, etc.) 43 8 Monitoring and Reporting 81. Monitoring will be conducted as a routine exercise to avoid occurrence of environmental and social risks in the operation phase. Monitoring of Environmental and Social issues will focus on impacts identified in ESIA and its proposed mitigation. During SEARECC implementation phase, PMU and CMUs of MPWT with the technical support from EDPD/PTI will monitor implementation of safeguards to ensure that the contractor is in line with the Environmental and Social Management Plan (ESMP). The CMU offices will be responsible for day to day monitoring of ESMPs as implemented by the contractor and addressing grievances occurred. Furthermore, the CMUs together with EDPD/PTI will continue to monitor effectiveness of the ESMPs after construction phase and identify any risks which may emerge during operation phase. Contractor will prepare quarterly, semi-annual and annual progress reports that will summarize the ESMPs compliance, these reports will be submitted to CMUs and later on shared with the EDPD/PTI and the WB. These reports will also be disclosed to the public. The CMUs and contractor through will prepare brief monthly reports on stakeholder engagement activities for the Operations which include: • Activities conducted during each month; • Public outreach activities (meetings with stakeholders). This reporting wil include if translation was provided into relevant ethnic languages; • Entries to the grievance register; • Entries to the commitment and concerns register; • Number of visitors to the information center at the PMU and CMUs and department agencies in the provinces; • Progress on partnership and other social projects; • New stakeholder groups (where relevant); and • Plans for the next month and longer-term plans. 9 Annexes 44 Annex 1: Form to Submit Grievances Grievance Form ID Number: ___________ Date Received: ___________ Complaints Received by (please check (√) the appropriate box): □ MPWT □ DPWT □ Provincial □ District □ Village Complaint made via (please check (√) the appropriate box): □ In person □ Phone □ E-mail □ SMS □ Website □ Complaint Box / Other advice □ Community/Village Meeting □ Others______________ FULL NAME AND LAST NAME of Complainant (or Anonymous): ___________________________________________________________________ GENDER: □ Male □ Female AGE: _____________________________ CONTACT DETAILS (by post, by telephone, by e-mail): ___________________________________________________________________ STATEMENT OF GRIEVANCE (Reason for complaint and activity leading to complaint. Please include as much details as possible to answer the following questions: (i) what happened, (ii) when did it happen, (iii) who did it happen to, (iv) what was the impact of what happened. Include additional information as needed/desired. ____________________________________________________________________ __________________________________________________________________ ____________________________________________________________________ ____________________________________________________________________ REMEDY REQUESTED BY COMPLAINT: ____________________________________________________________________ __________________________________________________________________ ____________________________________________________________________ ____________________________________________________________________ _________________________________________________________________ SIGNATURE: _____________________ DATE: ________________________ FOR ADMIN USE ONLY: 45 Grievance Received by: ____________________________________________________________________ Action taken or required: __________________________________________________________________ Annex 2: Results of Consultation Meetings and Interviews during Project Preparation Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up 1 18/09/202 PPWT/ODX 1 - Road improvement - ES Project - Road accidents due to poor - Widen the roads 1 Province - Capacity building experience? road/narrow condition & low - Develop bypass road to facilitate the - institutional - ES framework, skilled truck drivers flow of trucks and decrease the arrangement road construction, - Bigger traffic volume would volume of traffics as well as risk - stakeholder and - Local livelihoods result in road damage in down reduction of road accidents community activities town and the higher risks of - Capacity building opportunities for engagement - Challenges road accidents implementing agencies including - Needs - Officials are not familiar with PPTW, PONRE, local Women’s union. - Opportunities the new ESS The capacity building could be by - Female employees in the peer-to-peer exchange between the departments are less due to previous projects, training course, the nature of field. Female study visit. staff are mostly assigned to - Involvement of Women’s Union in the work on admin jobs. work. - Formation of committee to - Increase the involvement with work with local community senior/elderly of ethnic groups and the - Shortage of funding for road LFNC (Neo Home). Early engagement construction and improvement with local communities to build trust as the only available source of and understanding is fundamentally fund is from the national road important. funding scheme. 46 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up - Some challenges in working with local communities such as ethnic minorities 2 18/09/202 PPWT/PSL 5 - Dry - Needs - Concerns on the increasing - New bypass road 1 Province and port/consolidation - Challenges volume of heavy traffic - Land use law/awareness raising on DPWT/ center - Land use mostly - Minor concern on the nearby the land right of local people Meuang 01 category cemetery and some impacting - Early engagement with Koua/PSL - Local livelihood plants seniors/elderlies of the village Province activities - Other related projects 3 18/09/202 Pac HoC 5 - Improvement of - What - There is a lack of modern - Staff would like to see improved 1 Immigration immigration and improvements immigration facilities and lack checkpoint facilities such as track Staff, customs checkpoint would they like to of technology usage. scales and scanning of passports. Lao/Vietnam facilities see? - Delay due to the use of - Also improved accommodation Checkpoint/PS - Are there any manual screening/checking facilities. L province problems with freight - Improved waste management illegal trade of - Limited area due to the - Improved parking area at checkpoint, wildlife and human mountainous location for larger vehicles trafficking? - Lack of clear/visible signage - Accommodating - PPP LS company - Insufficient dormitories agreement/arrangement work in - QIC relation to the LS company or others 47 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up - Lack of government’s intemperance over the private company (LS) - Scattered individual shops - Waste management concerns - No issue on wildlife and human trafficking 4 19/09/202 PPWT/ODX 1 - Experience - What are they - Labour is important, local - Seek key skilled labour from 1 province (Rial regarding socio- main problems skilled workers are harder to neighboring provinces Way Project economic related to encountered? control than migrant workers - Imposing stricter and clearer rules responsible China Railway - Experience in land and the quality of work is lower and regulation for labour to follow. Officer) construction acquisition and than foreign workers - Coordinate with Public security to concession. - Site security control is assign security officers around the - CHS, OHS, labour, challenging. Construction area contractor issues materials are often stolen - PPWT should regulate rules and - Security - Labourers are not used to monitoring system to ensure that - Waste wear safety uniforms companies comply with the set rules. management - Community health issues is - Coordination handbook and training overseen by the contracting should be jointly developed and company should be provided prior the project - Coordination is unclear start 5 19/09/202 Site 3 - Dry Port - General site visit of - Dry port will increase potential - Area is mainly farm land and rice fields 1 observation to - Access road proposed facility for efficient logistics between Train improvement road and railway 48 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up Station/Meuan g Xay/ODX Province 6 19/09/202 ODOP, 2 - Local livelihoods - What is the current - Only positive outcomes if rail - Opportunities emerging from the 1 Meuang Xay, - Trade problem with sales and road network are railway connectivity road are logistic ODX Province and logistics? improved especially on system and potential export to - How would an logistics, export and import, neighbouring countries as well as improved rail and influx tourist, cost and time inflow of tourists, improve product road network efficiency, better access to value and packaging improve their market opportunities - Area to improve/challenges: Quality livelihood? - Unstable supplies from local Control for Lao agricultural products, - What is the supply communities time consuming for product chain? - Product quality certification is certification, capital, low supply, - Potential exporting still challenging to obtain unqualify product quality, and market because of the over chemical marketing. - Current market usage and lack of knowledge opportunity and - Lack of negotiation future projection? power/skills - How their business - Lack of innovative solutions to benefits local add values to local products communities? - Raw materials are sold at the - Business plan very low cost. - Local product - Lack of attractive marketing development strategy strategy 49 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up - Obtaining Food and Drug certification is also complicated and time consuming 7 19/09/202 Agri-tech 1 The center could help - Mandate/roles/fun - Facility is not used in its full - Require human resource, technical 1 Centre/ODX boost the Agricultural ctions/strategy of capacity support, funding and strategy Province Dept. capacity the centers? - Not enough technical capacity development - What is this center to operate - The centre has a lack of water supply, lacking? - Insufficient government insufficient capacity and resources, - What support and the center has to marketing strategy improvements can support itself by growing and - Advantages road and rail could be made selling local produce, livestock improve export of livestock and - Opportunities and and poultry produce; Chinese could also provide challenges livestock and poultry; if lab is operational and it could create international standards certification for Laos - If maximized, the facility’s service development could generate income for the centre. Importantly, it could provide helpful services to local, regional, and national partners. More importantly, it could also support income generation to local 50 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up communities through alternative livelihood activities - Potential PPP/private sector to develop Agro-tourism - Could potentially act as the regional/National/International QIC and certify body 8 20/09/202 Deputy Village 2 - Livelihood activities - Ethnic groups in - - Welcomes the project and upgrading 1 chief & wife/ the village of road and rail facilities Bane - Main livelihood Yor/Meuang activities Beang, ODX - Family income Province 9 20/09/202 Local Pottery 2 Part of tourism and - What - Proper marketing could help - New machinery would help increase 1 Production MSMEs for the local improvements can logistics and sales production area be made? - Improved road and rail - Better financial access - How would network could increase - Business, product design and improving road tourism marketing plan network improve - Shortage of raw material their livelihood (Cray) - Shortage of labour - Labour intensive job 51 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up 10 20/09/202 Quick chat with 1 - Livelihood and - Online business - - Online business training 1 Hmong lady economic activities opportunities - Access to wider products along the road - SH/GBV - Livelihood activities - Family income 11 20/09/202 Cotton/ ODOP 2 - Part of socio- - What - Lower sales - They see benefits from improved road 1 M. Samkang/ economic improvements can - No project support network Meuang improvement be made? - Only elderly work (four - To improve community show room for Beang, ODX - Community - How would children study and work with displaying and selling products Province Cooperatives improving road government) - Engage with younger generation in this network improve traditional product development and their livelihood preserving local culture 12 20/09/202 DPWT/ 5 - Consolidation - Needs and - Increased traffic within - Benefit of bypass would reduce risk of 1 Meuang Houn, Center challenges townships, especially heavy traffic accidents, and also decrease ODX Province - Bypass road vehicles will create traffic risks travel time 13 21/09/202 Nam Nguen 2 - Improvement of - What - There is a lack of modern - Develop facility 1 Lao/Thai immigration and improvements immigration facilities - Awareness raising among Border customs would they like to - Lower border crossing surrounding communities on land Checkpoint checkpoint facilities see? activities due to Covid rights and usage - Are there any - Reported not to have any problems with issues on wildlife and human illegal trade of trafficking 52 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up wildlife and human - Surrounding communities are trafficking? planting in the area - Regulation/guideli ne and practice - Wild life and human trafficking 14 22/09/202 PPWT/LPB 4 - Consolidation - General site visit - - PPP in on the development of dry 1 Province Center, parking and proposal of port area new facilities - Improve bypass road - Bypass road 15 29/09/202 Wildlife 3 Stakeholder - What region does - Are there any Protected areas - The rotation of GOL staff at the ministry 1 Conservation Engagement/ ESMF the organization within the project area. level can be a set back, especially Society (WCS) and Pre ESIA operate in? - Have there been any studies when carrying out capacity building - If so, what are the carried out within the Project with GOL staff. All resources are put main challenges Area into training up a staff member and then working in that they are transferred into another region or specific department area - Have there been any studies in the proposed Project Area, if so what were the outcomes. 53 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up - Do you have any documentation to share 16 29/09/202 International 4 Stakeholder - What region does - Are there any Protected areas - Currently working on 1 Union for Engagement/ ESMF the organization within the project area. wetlands/peatlands across Laos Conservation and Pre ESIA operate in? - Have there been any studies - Main projects are Wetlands in southern of Nature - If so, what are the carried out within the Project Laos (IUCN) Laos main challenges Area - Plan to map all wetlands in Laos working in that - Funding mainly comes from GIZ and region or specific European Union area - IUCN plan to do further survey in the - Have there been any Northern Provinces studies in the - IUCN’s main role is to develop proposed Project guidelines and management tools Area, if so what were - Community engagement is important, the outcomes. especially with local women Do you have any documentation to share 17 29/11/21 Dr. Syseng – Improved connectivity - What do you think - Some negative impacts Livestock and between all provinces about this project? include increased risk of - BCF would need facility upgrades National disease to agriculture and such as on site QIC, laboratories, Fisheries 1 for import export of - What do you think Level livestock and vehicle spray/sanitation Departments, livestock and are the equipment Consultati - Agricultural and residential Ministry of agriculture positive/negative land impacts resulted from on 54 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up Agriculture and impacts on new road, road improvement - Suggests to have rest stops along Forestry. Environment and and expansion. the road for vehicles to park and for Socials - Social issues: ethnic groups, drivers to take a rest. gender - Carefully consider location of other - What do you think about the ESMF - project facilities, as not to impact tools? Are they farmland. Especially in the hilly areas where agricultural land is scarce, sufficient and suitable for the ensure not to take away from mitigation and livelihoods. management of potential enviro/social risks and impacts? - Any suggestions on ESMF tools? - In the past agreements - Use similar past projects as examples between developer and when preparing documents stakeholders not being Ms. Latsamee - Propose to arrange Lao product shops carried out. It might not be Vetsaphong – Stakeholder well studied prior project in train stations Lao Business 1 Engagement/ ESMF - As above agreement is made. - Propose to have impact Women’s and Pre ESIA - Impact on agricultural land assessment, feasibility study, One Association of local people especially on door service to provide information the fair and rightful and technical supports to compensation and investors/entrepreneurs who are resettlement process. interested to improve/establish their 55 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up - The limited access of businesses, strengthen negotiation replaced communities to mechanism/skills for Lao business livelihood activities. to ensure the best benefits for Laos; improve Lao products to compete with international products. - Ensure to mitigate social impacts Mr. Sombun and any resettlement in line with new Resettlement Law no. 45. Lengsavanh, Especially on the establishment of - Local farmland and other Deputy property may be impacted local resettlement committee which Stakeholder Director by construction works has to consist of member from MAF. 1 Engagement/ ESMF - As above General – - The old law is still in use by - Ensure that the most recent/updated and Pre ESIA some agencies/ministries. law is used. Ministry of Agriculture and - Ineffective law enforcement. - Suggest to provide employment opportunities for local populations to Forestry ensure their better livelihood and lift them out of poverty. Ms. Phengdy - Regarding ethnic groups, not only Vilayvong, follow WB guidelines but also Lao Technical National Guidelines and Lao Law as Officer, Stakeholder well Department of 1 Engagement/ ESMF - As above - Ethnicity - Document in more detail vulnerable - Vulnerable groups groups, including widows and Ethnicity, Lao and Pre ESIA female headed households Front for - Propose to have GRM and Village National Reconciliation Unit based on the Development reconciliation decree. 56 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up - The Forestry Department has had good experience with working - NPAs such as Phou Hipee together with WB Mr. Savanh and Nam Ha should be - Follow WB safeguards Chantakoumm carefully assessed prior - Various committees should be ane - Forestry Stakeholder - Forest law may not well established prior to any construction Department, 1 Engagement/ ESMF - As above obliged by some groups or resettlement especially Lao local people - Data on biodiversity and NPAs Ministry of and Pre ESIA because are highly /forest should be collected Agriculture and dependent on forest NTFP - Accumulation impacts of road Forestry for their livelihoods and construction/improvement should be income. well assessed and mitigation measures should be well designed accordingly Mr. Keodala Road safety during - As above - Impacts from construction - Ensure construction workers Sengthang, construction and area are noise and dust follow all guidelines regarding operation phases - Locals do not understand noise and dust Police – Traffic construction details and - Provide training and awareness department, 1 have increased risk of raising for local villagers on road Ministry of accidents safety conditions Public Security - Road users travel faster on - Project consultants should provide roads, therefore increasing clear guidance on the plan and risk of accidents. implementation at local levels. - Increased chance for illicit drug trafficking due to better road condition and this may lead to road accident 57 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up - During construction, there - Ensure follow all guidelines set out will be some impacts to Mr. Bounxou Stakeholder in the documents environment. FDD 1 Engagement/ ESMF - As above - how to avoid impacts to - Workers and labor condition, (local and Pre ESIA important plants and and international) focus on health animals and safety and community health - Multi-sectoral project such as STI. Mr. Lampone Khounphakdy, - Make sure to follow framework and Stakeholder - Aware of the importance of find out what is additionally needed Road 1 Engagement/ ESMF - As above the connectivity of the road - DOR is in the final stages of Management and Pre ESIA and economic condition selecting a consulting company to Division– carry out FS by December of 2021 DOR, MPWT Environment - Ensure erosion control plans are in place during construction and - Potential impacts from especially during the wet season. erosion Check high risk areas - Impacts water quality, - Water quality needs to be monitored noise/dust/ Stakeholder during construction, ensuring that - Impacts to NPA’s and PPA’s Mr. Li Xiong Engagement/ ESMF soil disposal areas are away from - As above and wildlife water courses and Pre ESIA Social - Implement dust control in residential conditions - Ensure that all - Ensure NPAs, PPA, Conservation compensation is carried out areas are not impacted correctly and according to all - Consider animal crossings if there laws and guidelines are areas in which may have 58 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up potential to restrict animal movement - Make sure that compensation amount is distributed properly and villagers are trained in how to manage their money Social Impacts - If there is any resettlement, make Stakeholder - Improvement of roads may sure that the locations are not far Lao Farmer’s from their farmland Engagement/ ESMF - As above impact local farmland by Network encouraging international - Positive impacts from improvements and Pre ESIA interest and taking away to feeder roads and consolidation from local villagers. areas will also be a huge benefit - When going to site and doing field work, ensure translators and Focus - Some ethnic groups may not Group Discussion in place to enable understand Lao language space for full participation and Ms. Vimala, - Villagers who have received engagement of local villagers. Plan Stakeholder Engagement/ ESMF - As above compensation may spend all - Ensure the information on positive International the money at once and negative impacts are provided and Pre ESIA to local villagers. - Villagers may not understand the WB - Provide training on management of safeguard documents money and financial literacy - Suggest to conduct evaluation by the end of the project. Ms. Phoukam - They will discuss internally - As above and then respond via email - – Water Dept. officially 59 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up (DWR) MONRE 18 - Consult properly with every village and district who live in close Songthor – proximity to the road 30/11/21 Department of - Villagers may not be - When developing documents, Provincial Investment Stakeholder consulted properly ensure to detail all impacts and Consultati and Planning Engagement/ ESMF - As above - Consulting companies might mitigation measures ons 08:00 Xayabouly and Pre ESIA not follow the correct - Carry out detailed survey to ensure Province guidelines correct compensation to avoid – 12:00 issues in grievance raised by local villagers which consequently may lead to further delay. - Negative impacts include Soulixay - Establish E&S guidelines prior to noise and vibration during Hongsakhone any construction construction - Offer training to local villagers about – Deputy - Potential Human trafficking the potential risk of human Director especially vulnerable groups Stakeholder trafficking, and increase of labor General, including women and Engagement/ ESMF - As above - Locals will also benefit by having children Department of more shops to support increased and Pre ESIA - But also increase risk of Planning and travel, increased development and disease from inflow of Investment, tourism travelers Louangpraban - Promote higher level of local - Increase competition for participation in impact assessment g Province farmland and unfair - business conditions. 60 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up Mr. Phonsay - Environmental impacts will be Toulaphan– - Health, Dust and Noise, properly managed in accordance Deputy ensure villagers and with GOL and WB laws and Stakeholder protected safeguards Director Engagement/ ESMF - As above - Illegal labor, human - The project will benefit villagers by General, and Pre ESIA trafficking should also be the providing a network to connect with Department of responsibility of GOL not other provinces and countries Health, only the Project - And follow guidelines set out in the Phongsaly documents Mr. Salika Douangpasert - If the project goes ahead, it will have – Deputy positive impacts for locals Director - The train line will also help to General, Stakeholder Engagement/ ESMF - As above improve travel time for visitors into Department of - None LPB Public Works and Pre ESIA - Ensure that guidelines are followed and Transport, - Provide training and awareness LPB raising on road safety Mr. Souk Sounthala, - Consider taking lessons learnt from Stakeholder - Resettlement for residents other projects Department of residing along the road, Engagement/ ESMF - As above - Ensure the better livelihoods, fair Natural farmland, livelihoods and Pre ESIA and rightful resettlement for local Resources and people. Environment, 61 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up Oudomxay Province Mr. Laiphone - Develop Logistic center in Keomanivone, Oudomxay province as Oudomxay Division of is the central points. Planning and - Provide capacity to government Cooperation, Stakeholder Engagement/ ESMF - As above officials on BCF and road Department management Industry and and Pre ESIA - Develop coordination system with Commerce, private sector by having Provincial Oudomxay Chamber of Commerce and Industry Province as a key player - Many positive impacts, especially for villagers for travel between provinces and internationally - Ensure all environment and social – Department impacts are mitigated of Planning - And if any compensation is carried and Stakeholder - Compensation may not be out to make sure it is fair and Investment, Engagement/ ESMF - As above detailed and unfairly detailed Phongsaly and Pre ESIA distributed - Recruit consultant and project Province implementation unit to be responsible for the mitigation measures implementation and information dissemination to ensure that local people are aware of and understand the project. 62 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up Mrs. Manichanh Keomanivong, Deputy Director Genral, Stakeholder - It may be difficult to control - Needs to have trainings and Department of Engagement/ ESMF - As above the inflow of migrant labor awareness raising at the local level Public and also the increased risk and Pre ESIA about human trafficking of human trafficking Security, Louangnamtha Province Mr. Leokham, Department of Public Works Stakeholder - Impacts to environment will - Discuss and consult closely with and Engagement/ ESMF - As above be an issue but need to local villages about environmental Transport– follow all guidelines to issues, as they will be the ones and Pre ESIA mitigate risks affected the most. Oudomxay Province 19 01/12/21 - Wants improvement to waste MPWT – Stakeholder disposal for the BCF and District - No waste management Meuang Mai Engagement/ ESMF - As above surrounding area, as there is Level currently in place and Pre ESIA currently no waste management Consultati system in place on 63 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up - Would like to know if the Pang Hoc E&S team will come back to - The environmental consultants would BCF, Stakeholder Engagement/ ESMF do further study prior carry out further studies Phongsaly - As above - Potential impacts to villagers - Provide information dissemination Province and Pre ESIA livelihood when carrying out on impacts to local levels. construction. - Please consider detailed study at Pang Hoc Village, as to not have - Regarding waste at Meaung any impact on locals Ms. Bouphet, Mai, there is no proper solid - Request for improvement to waste Natural waste disposal location. disposal. Resource and Stakeholder Especially in the wet season - Provide financial support and Environmental disposal locations are hard training for schools and villages for Engagement/ ESMF - As above Office, and to access environmental programs and Pre ESIA Mai District, - Pollution of waterways - During construction, please take Phongsaly during construction care of local waterways and villages. Province - Existing land fill is not up to In the past, other projects have not standards taken care of the environment - Development of waste management program Mr, Xaysomphet, Deputy Stakeholder - Waste issues that caused Engagement/ ESMF - As above - Key priorities have been submitted Director by LS company and shops to the MPWT General, and Pre ESIA around in the BCF Department of Public Works 64 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up and Transport, Phongsaly Province - Meaung Mai have had history with human trafficking - Over 5 years ago, Chinese workers would come and marry girls following all local - Follow Lao Law on human traditions and cultures. trafficking, need to do training in - In the case of one woman, villages Mrs. Beung she got pregnant and after - Want to propose to the project to Ounlathong, some time she called the provide financial support to Lao Women’s Human trafficking, authorities because she was Women’s Union to organize Union, Mai and the influx of labor - As above being treated unfairly, and awareness raising and deliver district, into construction area they came to pick her up training for villagers. Phongsaly and back to her family - Provide IEC materials to enable Province - This happens regularly, better engagement and access to when men (mostly Chinese) information of local villagers. The come and ask women needed equipment/materials are: (usually poor) if they want to LCD, VDOs, posters, speakers... be married. Family of women also think that it may benefit as usually these girls don’t have any form of employment. 65 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up - The root causes for human trafficking are: poverty, unemployment, lack of information, insufficient budget for LWU to educate villagers on the human trafficking issues. - Proposed to get a budget for Agriculture and - Currently there are issues building animal fences or areas for Forestry, Stakeholder Engagement/ ESMF - As above with livestock being the livestock for each village, all the Phongsaly cause of many road ones close to the main road. Province and Pre ESIA accidents - Agriculture Dept, staff and villagers will be the ones to maintain. - Great opportunity for better livelihoods for local people as it brings better Mr. Laiphone, - Increased risks in human access, transportation, and products Technical trafficking, sexual Officer, Lao import and export, attraction of tourists harassment Women’s Stakeholder to Laos. - Business opportunities Union, Beang Engagement/ ESMF - As above - Propose to provide financial support to especially local potential district, and Pre ESIA women’s union to organize awareness products such as local Lhue Oudomxay ethnic fabric patterns, raising and provide training for local Province villagers on human trafficking, gender, natural yarn bags. (Whatsapp) child rights. - - Organize product development trainings 66 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up Mai District – - Request to have guard rails installed Traffic safety - As above - Have had many accidents Traffic Police on high-risk areas, especially on the between Khua to Mai district way up to Pang Hoc BCF Mr. Leokham, - Propose to the consulting firm to Department of work closely with local authorities to Public Works - As above - Proper ESIA ensure proper ESIA and data and Transport, collection, and project Oudomxay implementation and monitoring. Province - They have already established specific areas for the BCF that they can share with the project Mr. - 7-8 villages along NR2W, and Thongphanh propose a detour road Souksavath, Stakeholder - Increased traffic on roads - Many benefits for new road, Vice Governer, passing through Villages including increased income for local Engagement/ ESMF - As above Ngeun district, may increase the risk of residents and Pre ESIA Xayyaboury traffic accidents - Also prepared to support in any way Province for the project - We are confident in the development of these tools and ready to support the project. Mr. Stakeholder Souksakhon - What are the real impacts - Detailed study regarding Engagement/ ESMF - As above Phonpasith, for villagers living directly on compensation must be carried out and Pre ESIA Communicatio 67 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up n officer, Lao the road and riverbanks prior to ensure clear and detail Trade Union (Namphak and Nambeang) compensations. Office, Xay - An example of district, compensation problems with Oudomxay the trainline province - Landfill and KM8 and Meuang Khua need to be improved - Potential impacts to enviro/socio, women have - Our human resources and capacity lots of impacts such as is ready to work and support the human trafficking, married to project. Buaphet foreigners according to local - Would like assistance in providing Soutthivong, cultures and practice but not budget and support for training President, – according to procedure locals about human trafficking Womens Stakeholder - Need support in providing skill required by law Unions, Xay Engagement/ ESMF - As above training to victims and women to - No direct budget for anti- district, and Pre ESIA enable better readiness to enter to human trafficking support, Oudomxay this needs to request from employment opportunities which province consequently leads to less chance the Provincial office. - Also, no resources for team to return, engage in crime and to help and monitor women human trafficking. victims who have returned to provinces and villages 68 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up Xayaboury Stakeholder Engagement/ ESMF - As above - Propose to upgrade landfil province and Pre ESIA - B. Don Saart, B. Saysana may have to relocate if road is upgraded Mr. Bounyern - Pak Beng is mountainous - Consult with Nam Beng Hydro, not Souttideth, Head of office, district with most of the to impact existing infrastructure Natural and population living along the - Establish a budget for environmental Environmental road monitoring during and after the Stakeholder project Office, - Impacts to natural land from Engagement/ ESMF - As above - Would like to see a representative Pakbeang construction works district, and Pre ESIA from the Province to be on site to - Put effort into supporting Oudomxay local villages especially help in monitoring Province women - Propose to have a consultant at - central or provincial level to coordinate and support works with local levels. Mr. Vannasone - Sometimes the actual Phonpaseth, condition is not according to - Need to establish various committees Stakeholder what is described in the and monitoring units at all levels to DONRE, Hoon Engagement/ ESMF - As above documents oversee construction activities district, and Pre ESIA - Contractors would not follow Oudomxay province what is stated in the documents 69 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up - Establish mechanism to ensure fair Ms. Bouasone, - Labour management and treatment treatment for labourers Trade Union, - Ensure that compensations are made Pakbeang Stakeholder - Criminal issues caused by unemployed labours during fair for impacted farmland and district, Engagement/ ESMF - As above Oudomxay covid 19 agricultural products and Pre ESIA - 119 labourers are available to province - Land and agricultural (Whatsapp) products impacts support project and subproject works Mr. Sithat, - Propose to the project to have a Deputy Head, proper study/ assessment by working Lao Front for closely with local authorities National - Negative impacts: farmland, - Make a proper information, law and Development Stakeholder residential areas, regulation dissemination to local Office, Hoon Engagement/ ESMF - As above agricultural products and villagers to make sure the access and district, and Pre ESIA environmental issues. understanding of information. Oudomxay - LFND has the obligations to work province (Whatsapp) support project to work with local villagers. 20 03/12/21 Head of - Potential impacts to property - Ensure that compensation is carried Phonesavanh and farm land, Stakeholder out fairly, logically and is agreed Village village, Houn - How would compensation Engagement/ ESMF - As above upon by all stakeholders. The Level district, be carried out? And what and Pre ESIA summary of the RPF was presented Consultati Oudomxay are the guidelines the and discussed during the meeting province project will use. on 70 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up - Fully support project and our village authorities will take responsibility in Senior committee, Stakeholder working with our village members to Phonsavanh Engagement/ ESMF - As above ensure effective collaboration with the village and Pre ESIA project - Wish to see the project happen in near future. Village women union, - Welcome and ready to support the Phonsavanh - project village Village youth union, - compensation and support - Agreed and ready to support the Phonsavanh - project to affected villagers village - Supports the project and all Villagers Mr. Bounkong welcome the construction as it will Thammavong, Stakeholder - Impacts on farmland, human bring more positive impacts to the Village head, trafficking, conflicts with village Xaysana Engagement/ ESMF - As above local people, road accidents - Need to understand the compensation village, and Pre ESIA resulting from better road rates in urban and rural areas. Pakbeang district, condition. - 71 Key Department/ Number Relevance Sub-project Questions/Points No Date Project Concerning Issues Recommendation/suggestion Organization Participants Activity Discussed and Follow-up Oudomxay province Mrs. Bounsone, Xaysana village, - Human trafficking especially - Propose to project to support on Pakbeand - anti-human trafficking work risks on women district, Oudomxay province Mr. Bounsong, Xaysana - Propose to have higher engagement village, of women in project works especially Pakbeang - on reconsilliation unit and anti- district, human trafficking works. Oudomxay province - *Note; Number of village level consultations were lower than anticipated due to the COVID restriction. However it was emphasized that any stakeholder or villager can still submit their concerns or comments via whatapp or the project email as provided in the Invitation letters 72 Annex 3: Provisional budget for the SEP (For further discussion with PTI and E&S Consultants) Project stage Project List of Methods proposed Target stakeholders % reached Estimated activities information to Budget be disclosed ($) Project ESF Instruments Website, E-mail, Government agencies, 100% relevant Inception WhatsApp, Hard CSOs, INGOs, agencies 200 Copies Development partners, communities, private sector Project Updated project’s Information leaflets, All 100% stakeholders Implementation ESF instruments, posters, and stakeholders reached 5,000 brochures; audio-visual materials, social media and other direct communication channels such as mobile/ telephone calls, SMS, etc.; Feedback of Public notices: All 100% stakeholders project Electronic publications stakeholders reached 500 consultations and press releases on the MAF websites; Press releases in the local media (both print and electronic). 73 Project stage Project List of Methods proposed Target stakeholders % reached Estimated activities information to Budget be disclosed ($) Process in ethnic Ethnic groups 100% ethnic languages representatives 30,000 reached As part of EGEP implementation budget Grievance Information leaflets, All 100% communities Redress posters, and stakeholders reached 50% are Mechanisms brochures; audio-visual women materials, social media 20,000 and other direct 100% installed at communication the PMU and CMUs channels such as before mobile/ implementation telephone calls, SMS, etc. Development and 25,000 Installation of GRM CMUs Databased at the PMU As part of GRM and CMUs implementation budget Total Budget $80,700 74