Lao People's Democratic Republic Second Education Development Project [EDP 11] World Bank Project ID: P078113 Component 1.1: School Construction Operations Manual for the Community-Based Contracting of School Construction DOCUMENT ISSUE PLAN DATE Draft No 1-outline Issued for discussion 20 Dec 02 Draft No 2 - complete Issued for review 31 Jan 03 Draft No 3 PART- partial issue Issued as Rev D for WB review 04 Apr 2003 Draft No 3 BETA- issue without Ch 8 and 9 Issued as Rev Ebeta for WB review and approval 15 Apr 2003 Draft No 3 COMPLETE- complete issue Issued as Rev F for WB review and approval 1 6 Apr 2003 Draft No 4-with fully detailed Annexes Planned in phases for for implementation as Condition of Effectiveness Nov 2003 FILE COPY Lao PDR EDP II Operations Manual Page 1 of 95 Community-Based Contracting of School Construction doc ID: CBCOM-April 15-2003 12 Safeguards This Chapter sets out the measures the Component will take in order to minimize any negative environmental and social effects of Component activities. Risk Management Matrix The following Risk Management Matrix summarizes the risks and proposed mitigation strategies for each risk: LRO - Likelihood of Risk Occurring (Low, Medium, High) IRO = Impact if Risk Occurs (Low, Medium, High) Risk Factor LRO I IRO Management Response 1 Environmental a Villagers purchase and use asbestos- H H Simple instructions in Quality based building products Checklists for avoiding asbestos b School latrines contaminate water M M Simple design guidelines in Village supply Guide and architectural drawings c Benching of land for school M L Simple design guidelines in Village construction precipitates erosion Guide and architectural drawings 2 Social a Social stress due to opportunities M M School Procurement Committee offered by Project composition provides checks and balances, ensures work distributed equitably b Increase in existing internal inequities M M School Procurement Committee due to opportunities offered by composition provides internal checks Project and balances to ensure work is distributed equitably Lao PDR EDP II Operations Manual Page 86 of 95 Community-Based Contracting of School Construction doc ID: CBCOM-April 15-2003 c Component fails to benefit currently M H Villages in each district divided into disadvantaged communities, 'on the road' and 'off the road', and including ethnic minorities both types progressed in parallel d Component is used to motivate L M Eligibility restricted to villages in resettlement existence for three years or more, with schools that have been running for one year e Land acquisition for school L M Provisions in CBCOM for agreement construction disadvantages families and compensation for affected within the Village persons. 3 Other a School construction activities uncover L L Provisions in CBCOM for notification (and destroy) ruins or artifacts of of authorities, stop work, and historical or archaeological compensation of Village. significance Note: Additional Documents The table above, and the detailed analysis below, makes reference to the following documents and standards outside this Chapter * Simple instructions in Quality Checklists for avoiding asbestos * Simple design guidelines in Village Guide and architectural drawings (for latrines and erosion) Preparation of these documents are described in Chapter 3: Building Designs and Costing, In summary: * The cited checklists, guidelines and drawings will be prepared during Project Mobilization. * Technical content will be developed by the School Documentation Team, building on best practice as identified from an analysis of the procedures of other education construction projects. The results will be incorporated into this Manual as Annex B: Building Designs and Annex D: Quality Checklists. * Technical content will be translated into a simple community format by the Community Development Specialist, for incorporation into the Village Guide, which will be appended to this Manual as Annex G: Village Guide * All material will be subject to approval by the World Bank prior to incorporation into this Manual. Completion of the Annexes is a Condition of Effectiveness. Lao PDR EDP II Operations Manual Page 87 of 95 Community-Based Contracting of School Construction doc ID: CBCOM-April 15-2003 Risk Assessment Environmental Impact Risks The Component consists wholly of small buildings, and it is anticipated that the largest finished school size will be six rooms - except in rare cases where several villages are clustered within a radius of 20 minutes travel time. Therefore, the potential environmental impact of a Subproject is small, and generally proportionately smaller than the impact of that the Village itself has on the environment. Risks have been assessed as follows: * Asbestos * Water pollution from latrines * Erosion due to benching Social Impact Risks The Component will provide villagers with construction funding to build schools. The quantum of this funding is substantial, by Village standards. The poverty line for Lao families is defined as an annual income of USD300 or less, and the target Villages are poor villages. The anticipated subproject size is USD10,000. This means in turn that each subproject will represent and influx of funds equal to more than 30 times family income, many times more than the Villages has managed in the past. In addition, the CBC approach means that the Villages will have substantial opportunities to direct wage and materials income to the Village, and also to retain a net profit within the Village. This represents a positive opportunity for the Village to develop its management capacity, and improve its financial position. Furthermore, the CBC approach empowers and relies upon the internal social structure of the Village, and therefore the risk of undermining indigenous culture or ways of life is low. However, there is also a risk that the sudden inflow of funds will stress these relationships, and lead to disputes, or the strengthening of any existing internal inequities. In addition, there are risks that extend beyond the scope of the individual Village. These are that the school construction might be used as a driver or incentive for resettlement, that the project might be rolled out in such a way as to further disadvantage already disadvantaged groups, such as ethnic minorities or that land acquisition for school construction affects individual families. In sum, risks have been assessed as follows: * Social stress due to opportunities offered by Project Lao PDR EDP II Operations Manual Page 88 of 95 Community-Based Contracting of School ConstrucUon doc ID: CBCOM-April 15-2003 * Increase in existing internal inequities due to opportunities offered by Project * Component fails to benefit currently disadvantaged communities, including ethnic minorities * Component is used to motivate resettlement * Land acquisition for school construction disadvantages families within the Village. Cultural In addition to the principal risks outlined above, there is also a small risk that: * School construction activities will uncover ruins or artifacts of national historical or archaeological significance. Risk Analysis and Response Asbestos Asbestos building materials are available in the region, and have not yet been outlawed in Thailand. There appears to be no public awareness of the dangers of the material. There is therefore a high risk that if fibrous sheet is specified in the buildings, that asbestos sheet will be used. Areas where this is most likely to occur are: * linings for latrines * roof sheeting Response: In the Building Designs, the specification sheets for materials will include either: * a very clear and simple method for identifying asbestos from other fiber-cement products, or * a ban on all fiber-cement products. Water pollution School latrines create a concentration of human waste products. Latrines will typically be unlined pit latrines, and will therefore leach effluent in the surrounding ground. There is a small risk that this effluent will contaminate sources of drinking water. Response: ECDM, through the UNICEF-funded water and sanitation projects, has access to a range of simple sanitation designs, manuals, and guidelines. The Building Designs will include a simple Siting Guide for latrines - based on existing ECDM documents - to ensure that there is no contamination of drinking water. Lao PDR EDP II Operations Manual Page 89 of 95 Community-Based Contracting of School Construction doc ID: CBCOM-April 15-2003 Erosion Classrooms typically have floors on grade, which in tum require leveling of the ground. There is a small risk that incorrectly drained and leveled benches will lead to further erosion. Response: The Building Designs will include a design for benching, to ensure that benches slope back into the hillside. Social stress Social stresses are likely to arise from disputes arising from the distribution of financial benefits from school construction. These are: * assignment of paid work roles or materials supply contracts within the Village * use of any surplus from the Subproject Agreement Response: In order to ensure equitable distribution of the benefits available under the Subproject Agreement, the Subproject Agreement specifies certain safeguards in the structure of Village decision-making. These are that all procurement - whether of inputs under the agreement, or of the surplus after construction is complete - be unanimously agreed by a School Procurement Committee consisting of traditional leaders of all ethnic and clan groups within the Village, and of both men and women. The Subproject Agreement also specifies that the VDC agree a specific plan of use for any surplus funds must be decided prior to effectiveness of the Agreement. This prioritization is also subject to the approval of the SPC. Internal inequities In Villages of mixed ethnicity where one ethnic group dominates, benefits flowing from the Subproject Agreement (work, contracts to supply material, benefits from the expenditure of surplus) may be distributed inequitably. This might also occur in Subprojects where the school has a catch-basin of more than one village, or villages in which clan divisions are strong. Response: All expenditure has to be according to a simple procurement plan, The procurement plan must be approved unanimously by the School Procurement Committee. Composition of the Committee includes all clans and ethnic groups. The Committee shall ensure that the procurement not only represents good value for money, but distributes benefits such as employment equitably among the groups within the community. Ethnic minorities h goup IrLas, uc asth Lao PDR EDP II Operations Manual Page 90 of 95 Community-Based Contracting of School Construction doc ID: CBCOM-April 15-2003 Due to historical reasons, ethnic minorities tend to be located: * off the road * more distant from District centers. There is a risk that Ethnic Minorities will be excluded from this demand-driven component, because their distance from the road makes them last to hear news, last in programming, and the most difficult to implement. Response: The Subproject Cycle has been designed so that each phase includes two components - on the road, and off the road. Each group is scheduled in parallel. Within each group, patrols are organized to work from the most distant point in towards the centre. Subproject Agreements for off the road villages are 'front end loaded' in their payment of the margin, to provide greater liquidity. OD 4.20 requires that the Project 'ensure that indigenous peoples do not suffer adverse impacts during the development process ... and that they receive culturally compatible social and economic benefits.' Response: The main response to the risk is in the design of the Component itself, which gives control of the construction planning and process to the community. There are also provisions in the Building Designs to use local building forms, techniques, and materials wherever possible. Resettlement School construction might be used as an aid or incentive to resettlement. Response: Schools are only eligible if they have been operating for one year, and have been in existence for three years. In their School Development Plans, they are only allowed to count students in a catch-basin defined by a 20 minute walk. The application form developed by the CBCM and the PPMs, and incorporated into this Manual in Annex F: Management Forms and Procedures. Land acquisition Some schools may not have enough land in order to expand to completion. Completion may require land acquisition, which may disadvantage affected persons. Response: Land acquisition will follow the Land Acquisition Process, defined in detail below. Archaeological sites School construction activities will uncover ruins or artifacts of national historical, Lao PDR EDP II Operations Manual Page 91 of 95 Community-Based Contracting of School Construction doc ID: CBCOM-April 15-2003 archaeological or cultural significance. Response: The Subproject Agreement will have a clause specifying that if artifacts are uncovered, the Village will: - stop work - notify the Project - be reimbursed costs under the insurance clause, to allow it to complete the school on an alternative site. The Project will in turn seek guidance as appropriate from the District and Provincial Culture and Information Offices, and from the National Ministry of Culture and Information Office. Institutional Arrangements Overall responsibility for the implementation of these guidelines lies with the EDP II Project Manager in Vientiane. The EDP II PM will ensure that the guidelines are appropriately disseminated and that project staff have the required skills and receive appropriate training. The PM is responsible for proper monitoring of social and environment issues and will incorporate necessary changes to the guidelines and procedures, in agreement with the World Bank, based on recommendations from monitoring exercises. Monitoring and Evaluation Approved projects with environmental and/or social impacts will be supervised and monitored by District Engineers, and the Provincial Program Managers to whom they report. Findings and any recommendations will be recorded in quarterly reports to be furnished to the Project Manager, through the PUCDA and shared with World Bank supervision missions. General monitoring and evaluation of the project will pay attention to issues concerning the environment, ethnic minorities and resettlement. Complaint mechanism Complaints related to environmental, ethnic minority or resettlement issues will be handled as follows: * As a first stage, affected or concerned persons will present, verbally or in writing, their complaints to the District Engineer or DEB as appropriate, who will have to provide a documented response to the claimants within 30 days. * If the claimants are not satisfied with the decision of district facilitators or authorities, the case may be submitted to the PES or the EDP II Project Manager, as well as to Lao PDR EDP II Operations Manual Page 92 of 95 Community-Based Contracting of School Construction doc ID: CBCOM-April 15-2003 relevant government authorities, such as the Provincial Assembly or the Lao Front for National Construction. Specified project office or authorities should record receipt of complaints and reply to the claimants within 15 calendar days. Claimants will be exempted from any administrative or legal charges associated with pursuing complaints. Land Acquisition Process Land acquisition will be kept to an absolute minimum and no person will be involuntarily displaced under the project. However some land acquisition or relocation may occur on a voluntary basis or with compensation provided by the Village. Thus, School Development Plans that would require demolition of houses or acquire productive land must be reviewed by District Engineer and approved by the Provincial Program Manager. The review process should confirm that * no satisfactory alternative is available * that affected persons have been informed about their rights to compensation and assures that they have agreed with the arrangements. A description of the resettlement or land acquisition impact must be included in the SDP. School Development Plans with more than 100 persons affected or with more than five households or structures being moved will not be approved without the written review and consent of the Project Manager. Review will require a separate Land Acquisition Report. The key principles of the World Bank's policy on Involuntary Resettlement are: * Acquisition of land and other assets should be avoided when feasible and otherwise minimized; * Compensation measures must provide affected persons with sufficient opportunities to improve, or at least restore, incomes and living standards; * Lost assets should be replaced in kind, or compensated at replacement cost; * Absence of legal title to land or other affected assets will not be a barrier to compensation or other suitable forms of assistance; and * Adversely affected persons will be provided with information relating to impacts and entitlements, will be consulted as to their preferences regarding implementation arrangements, and will be informed regarding methods and procedures for pursuing grievances. Key definitions include: Land Acquisition: A process by which any person relinquishes ownership, possession, control Lao PDR EDP II Operations Manual Page 93 of 95 Community-Based Contracting of School Construction doc ID: CBCOM-April 15-2003 or use of all or part of their land, structures, or other assets. This includes land or assets for which the possessor or user enjoys customary or uncontested access but lacks legal title (e.g. trees, grazing rights, cultivatable land). Project-Affected Person: Any person who, on account of the development of a school, would have their: * right, title or interest in any house, land (including residential, agricultural and grazing land) or any other fixed or movable asset acquired or possessed, in full or in part, permanently or temporarily; or * business, occupation, work, place of residence or habitat adversely affected; or * standard of living adversely affected. Replacement Cost: The principle of valuation used to determine appropriate compensation for lost land or other assets. Replacement cost refers to the amount necessary for actual replacement of the lost asset. To achieve replacement cost, assets cannot be depreciated for age or prior use. Replacement cost also is net of taxes, fees, or any other deductions for any other purpose. The project funds cannot be used to pay such costs, therefore proposals must explain how the village will provide appropriate compensation where this is necessary. In accordance with traditional practices villagers may choose to voluntarily contribute land or assets and/or relocate temporarily or permanently from their land without compensation. Voluntary contribution is an act of informed consent. District Engineers must assure that voluntary contributions are made with the prior knowledge that other options are available, and are obtained without coercion or duress. Villagers may volunteer to relocate or contribute land against compensation from the village. In such cases, District Engineers will ensure that the following means of compensation are agreed to and provided before the Subproject Agreement is signed: * replacement of land with an equally productive plot or other equivalent productive assets; * materials and assistance to replace fully solid structures that will be demolished; * replacement of damaged crops, at market value; * other acceptable in-kind compensation. For both types of land acquisition (voluntary or against compensation), District Engineers will! ensure that all occupants of land and owners of assets affected are consulted and agree to the arrangements. The School Development Plans will include a description of the persons affected, impacts involved (e.g. land, trees, crops, houses and other structures) and agreements reached (e.g. nature and amount of compensation). District Engineers will arrange a village meeting to inform villagers about their rights to compensation and options available in accordance with these guidelines. Lao PDR EDP II Operations Manual Page 94 of 95 Community-Based Contracting of School Construction doc ID: CBCOM-April 15-2003 For subprojects with significant land acquisition (e.g. affecting more than 100 persons or more than 10% of the holdings of project affected persons) a separate Land Acquisition Report will be required. For subprojects requiring voluntary movement or resettlement of more than five households or household structures a Resettlement Report will be required. The reports will include the following elements, as relevant: * basic data identifying impacts and persons affected; * arrangements for in-kind replacement of land or for compensation at replacement cost, including signed statements by all affected landowners confirming that these arrangements are satisfactory; * a schedule of assets (other than land), which will require to be replaced, and signed statements by the affected owners confirming that these arrangements are satisfactory; * an implementation schedule indicating that replacement land will have been provided before the Subproject Agreement is signed; * a siting map and field measurements validated by villagers, showing replacement land to be provided, sufficiently detailed to allow verification; District Engineers will aid the villagers in preparing the Report. Lao PDR EDP II Operations Manual Page 95 of 95 Community-Based Contracting of School Construction doc ID: CBCOM-April 15-2003