Page 1 SAFEGUARD MANUAL )LQDOBfidotaccent\03)HEUXDU\\03fflflfldotaccent\03 E1831 Page 2 Khammouane Rural Livelihoods Project (KRLP) page 1 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government Abbreviations CRPF Compensation and Resettlement Policy Framework DDF District Development Fund DoF Department of Finance DoI Department of Irrigation DPI Department of Planning and Investment EA Environmental Assessment EIA Environmental Impact Assessment EMP Environmental Management Plan EMA Environmental Monitoring Advisor or Agency ESSF Environmental and Social Safeguard Framework FAO Food and Agriculture Organization (UN) FFS Farmer Fields School GoL Government of Lao PDR GRC Grievance and Redressal Committee IEC Information, Education and Communication IEE Initial Environmental Examination IPDP Indigenous Peoples Development Plan IPM Integrated Pest Management KRLP Khammouane Rural Livelihood Project MAF Ministry of Agriculture and Forestry NAFES National Agricultural and Forestry Extension Service NT2 Nam Theun 2 NTPC Nam Theun 2 Power Company OP Operational Policy (World Bank) O&M Operation and Maintenance PAFO Provincial Agriculture and Forestry Office PAP Project Affected People PCS Provincial Coordination Section PDF Provincial Development Fund PMP Pest Management Plan PPD Provincial Program Director RAP Resettlement Action Plan RPF Resettlement Policy Framework SNV Netherlands Volunteer Organization STEA Science, Technology and Environment Agency UXO Unexploded Ordnance VLS Village Livelihoods Support WB World Bank WHO World Health Organization (UN) WREA Water Resources and Environment Administration XBF Xe Ban Fai Page 3 Khammouane Rural Livelihoods Project (KRLP) page 2 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government Table of Contents CHAPTER 1: OVERVIEW AND HOW TO USE THIS MANUAL Page 1.1 Objectives of the Safeguard Manual ……………………………… 5 1.2 Limitations and Flexibility ………………………………………. 5 1.3. Policy and Legal Framework ……………………………………… 6 ƒ Government Laws, Decrees and Policy Guidelines …………. 6 ƒ World Bank Safeguard Policies ……………………………… 6 ƒ Key Differences in Lao PDR and World Bank Policies ………7 CHAPTER 2: SCREENING AND APPROVAL PROCEDURES 2.1. Social Screening and Approval Process …………………………… 9 CHAPTER 3: KRLP SAFEGUARD DOCUMENTS 3.2. Environmental Safeguard Document ……………………………….. 11 3.2.1. Environmental Management Plan …………………………. 12 3.2.2. Initial Environmental Examination …………………….… 12 3.2.3. Full Environmental Impact Assessment ……………….…. 13 3.2.4. Pest Management Plan …………………………………. 13 3.2.5. Unexploded Ordance (UXO) Safety Clearance …………. 13 3.2.6. Environmental Checklist for KRLP Subprojects ………… 14 3.2.6.1. Irrigation System ……………………………….. 14 3.2.6.2. Upgrading for Small Raods …………………….. 15 3.2.6.3. Other Small Infrastructure Investments …………. 15 3.3. Social Safeguard Document ……………………………………… 15 3.3.1. Compensation and Entitlements ………………………….. 16 CHAPTER 4: COMMUNITY CONSULTATION AND PARTICIPATION PROCESS …………………….…………. 17 CHAPTER 5: GENDER ACTION PLANNING ……………………………… 19 CHAPTER 6: GRIEVANCE PROCEDURE ………………………………… 23 CHAPTER 7: MONITORING AND EVALUATION ……………………….. 25 Page 4 Khammouane Rural Livelihoods Project (KRLP) page 3 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government CHAPTER 8: POLICIES ON PUBLIC CONSULTATION AND DISCLOSURE …………………………………………………… 26 List of Figures Figure 1 Overview of KRLP Social Screening Process List of Tables Table 1 Outline of the World Bank’s Social Safeguard Policies Table 2 KRLP Potential Environmental Requirements Table 3 UXO Safety Procedures Table 4 Coverage of Negative Social Impacts and Required Safeguard Documents Table 5 Framework for Community Consultation and Participation Process in KRLP Table 6 Gender Action Planning Matrix Table 7 Grievance Redressal Procedure List of Annexes Annex I - General KRLP Social Safeguard Checklist Form Annex II – KRLP Code of Practice for Construction of Small Scale Infrastructure Annex III – Initial Environmental Examination Annex IV – Full Environmental Impact Assessment Annex V - Integrated Pest Management Plan Annex VI - List of Active Ingredients Not Acceptable to KRLP Annex VII – Checklist for Irrigation Projects Annex VIII – Environmental Management Plan for Upgrading Small Road Annex IX – Checklist for Upgrading Small Roads and Bridges Annex X – Checklist for Water Supply Projects (Groundwater) Annex XI – Checklist for Small Water Impounding Projects Annex XII – Checklist for other Small Scale Infrastructure Projects Annex XIII – Summary of Information on Land Infrastructure Annex XIV – Contents of an Abbreviated Resettlement Action Plan (RAP) Annex XV – Outline for a Resettlement Action Plan Annex XVI – Information required for the for the preparation of IPDP Annex XVII - Preliminary Screening of Ethnic Minorities Annex XVIII - Entitlement Matrix Page 5 Khammouane Rural Livelihoods Project (KRLP) page 4 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government Annex XIX - Activities Subject to Internal Monitoring Annex XX – Indicators for External Monitoring Annex XXI – Sample Public Consultation and Disclosure Plan Page 6 Khammouane Rural Livelihoods Project (KRLP) page 5 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government KHAMMOUANE RURAL LIVELIHOOD PROJECT (KRLP) SAFEGUARD MANUAL CHAPTER 1: OVERVIEW AND HOW TO USE THIS MANUAL 1.1 Objectives of the Safeguard Manual The Safeguard Manual presents the guidelines, policies and procedures in planning and implementation of various subprojects under the Khammouane Rural Livelihood Project (KRLP). Implementation will be carried out in accordance with Lao PDR’s national policies and legislation, while at the same time the KRLP will comply with World Bank Environmental and Social Safeguard Policies and international best practices. As a part of the grant agreement between the Government of Lao (GoL) and the World Bank (WB), the KRLP Environmental and Social Safeguards Framework (ESSF) providing the overall guidelines and procedures to be applied to avoid or minimize adverse environmental and social impacts of KRLP supported project activities. The objective of this manual is to provide the national, provincial and district government, the KRLP Project Coordination Section (PCS), Consultants, village officials, private and public sector agencies with adequate guidance for effectively addressing environmental and social safeguards design and implementation of KRLP subprojects by adopting a community- driven approach in developing and implementing subprojects. In addition, it would also assist the executing agencies in appraisal and improve safeguard compliance for the duration of the Project. This Manual will also describes how safeguards issues will be dealt with by (i) detailing specific safeguards procedures and measures for activities with environmental and/or social impacts; (ii) detailing the types of activities that will not be supported by the Project; (iii) detailing the types of activities that may only be permitted in conjunction with specific safeguards procedures; and (iv) outlining institutional and monitoring arrangements. Specific procedural requirements and implementation arrangements on relevant and key safeguard aspects are drafted and annexed to this manual. 1.2. Limitations and Flexibility Because of the voluminous compilation and publication constraints, this Manual cannot provide all information in the annexes. However, the Manual will refer to these documents to the extent possible. On the other hand, this Manual has been designed to be flexible. Circumstances however may change in the course of the KRLP implementation, which may require changes in procedures and mechanisms for subproject approval/implementation. Taking this into account, the proposed changes will be submitted for approval by both KRLP- PCS and the World Bank. This flexibility was intention on the writers of the manual in the light of the nature of the project development process that is considered to be dynamic and evolving. Mechanisms are provided for incorporating necessary adjustments. Page 7 Khammouane Rural Livelihoods Project (KRLP) page 6 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government 1.3. Policy and Legal Framework of the Safeguards As a part of the grant agreement between the Government of Lao (GoL) and the World Bank (WB), a KRLP Environmental Safeguards Framework (ESSF) has been prepared to provide the overall guidelines and procedures to be applied to avoid or minimize adverse environmental and social impacts of KRLP supported project activities. · Government Laws, Decrees, and Guidelines 1.3.1. In Lao PDR, governed by several laws, decrees and regulations as follows: (a) the Environmental Protection Law (1999) and its Implementing Decree (2002); (b)the Decree on Environmental Impact Assessment (EIA, 2000); (c) the Forest Law (1996), complemented by the Decision of the Prime Minister in April 2007 on the Endorsement of the outcome of the Nationwide Forest Conference, held in April 2007; (d) The Constitution (1991), (e) the Land Law (2003) 1 , (f) Road Law (1999); (g) Decree of the Prime Minister on Compensation and Resettlement of People Affected by Development Project (No.192/PM, dated 7 July 2005), and (h) Regulations for Implementing Decree of the Prime Minister on Compensation and Resettlement of People Affected by Development Project (No.2432/STEA, dated 11 November 2005). · World Bank Safeguard Policies 1.3.2 . The World Bank operational policies on environmental and social referred to as the Bank’s “safeguard policies”. The KRLP are required to comply with WB environmental and social safeguard policies which includes Public Consultation and Information Disclosure (O.P. 17.50) which defines the Bank’s requirements for giving the public access to project information and documentation. Table 1 Outlines the WB social safeguard policies and its core requirements under each safeguard policies. World Bank Policies Description Environmental Assessment (ref. OP 4.01): Any grant or investment activity that involves construction work or changes to land or water use has the potential to generate negative environmental impacts. Negative impacts must be avoided or minimized to the greatest extent possible through exploring alternate project design. Small-scale construction activities may proceed after the application of a standard technical safeguard screening checklist and the application of standard ‘best-practice’ operating procedures (‘ Code of Practice’ ). Please refer to Annex II. Pest Management (ref. OP 4.09 The KLRP will promote an organic farming approach and not procure any pesticides. In compliance with the WB Pest Management Safeguard Policy Resource Access Restriction (ref. OP4.01, OP 4.10, and OP 4.12): As defined under the Decree on Resettlement Policy and WB policies, PAPs include those whose business, occupation, work, place of resid ence, 1 The Land Law 04/NA of 21 October 2003 supersedes the earlier Law 01/NA 12 April 1997. Page 8 Khammouane Rural Livelihoods Project (KRLP) page 7 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government habitat or standard of living would be adversely affected by the execution of a project activity. Proposed activities which would restrict access to resources, notably efforts to enforce national laws or local regulations in protected areas, will therefore trigger safeguards policies Involuntary Resettlement and Land Acquisition (OP/BP 4.12) The KRLP will apply proper involuntary resettlement and compensation principles to ensure that all Project Affected People (PAPs) will be compensated for their losses at replacement cost and provided with rehabilitation measures to assist them to improve, or at least maintain, their pre-project living standards and income earning capacity. Indigenous People (OD 4.20) The project will follow the key principles of the WB's policy concerning ethnic minorities which are to "ensure that indigenous peoples do not suffer adverse impacts during the development process, ” and that they receive “culturally compatible social and economic benefits." Ethnic minorities, or " Ethnic Groups " as used for the KRLP, includes ethnic groups in Lao PDR, such as the Mon-Khmer, Hmong-Mien, Sino-Tibetan and Tai-upland ethno- linguistic groups, who are vulnerable to the development process and who meet the characteristics used in the WB's policy. Physical Cultural Resources (OP 4.11) The KRLP will investigate and provide inventory of cultural resources that are potentially affected · Key Differences in Lao PDR Law and World Bank Policies on Involuntary Resettlement The recent changes in the Government of Lao PDR legislation related to compensation and resettlement in development represents a significant improvement in the rights of citizens when their livelihoods, possessions and society are affected by development projects. Both Lao PDR Law and World Bank policies entitle PAPs to compensation for affected land and non-land assets at replacement cost. However, definition of severely affected PAPs varies between World Bank (OP 4.12) at 10% and Decree 192/PM (Article 8) at 20% of income generating assets affected. However in accordance with Decree 192/PM (Article 6) which entitles all PAPs to economic rehabilitation assistance to ensure they are not worse off due to the Project, the 10% definition of severely affected will be adopted as part of the KRLP’s resettlement policy. Another is that, both Lao Law and World Bank policies entitle non-tilted PAPs to compensation for affected assets at replacement cost and other assistance so that they are not made worse off due to the Project. Decree 192/PM goes beyond World Bank’s policy and provides PAPs living in rural or remote areas, or PAPs in urban areas who do not have proof of land-use rights and who have no other land in other places, compensation for loss of land- use rights at replacement cost, in addition to compensation for their other assets and other assistance. Should PAPs be found to be non-titled and required to relocate, the Project will Page 9 Khammouane Rural Livelihoods Project (KRLP) page 8 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government ensure they are provided replacement land at no cost to the PAPs, or cash sufficient to purchase replacement land. Voluntary donation will not be applied for any assets except very minor losses of residential land. Voluntary donation of small strips of residential land will be according to the following criteria that will be strictly complied with, i.e., ( i) the AP’s total residential land area is not less than 300 m 2 ; (ii) if the AP’s total residential land area is more than 300 m 2 , the strip of land that can be donated cannot be more than 5% of the total land area; and (iii) there are no houses, structures or fixed assets on the affected portion of land. Page 10 Khammouane Rural Livelihoods Project (KRLP) page 9 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government CHAPTER 2: SCREENING AND APPROVAL PROCESS Screening Procedures All proposed KRLP project activities will undergo an environmental and social safeguard screening prior to their approval and implementation. The screening procedures will determine (i) if the proposed activity is eligible for KRLP funding; (ii) if and what environmental and social safeguard issues need to be addressed; and (iii) what environmental and social safeguard documents need to be prepared. 2.1. The main steps in the social screening and approval process are: Step 1: Initial Eligibility Screening. An initial screening will determine whether the proposal involves any activities from the negative list or triggers any of the specific safeguards procedures, and whether these can be avoided or any negative impacts reduced by re-designing aspects of the project. A field visit is compulsory where ethnic groups and gender concerns are an issue, or where any specific safeguards procedures are triggered. Figure 1 shows the process of screening negative list for KRLP. Step 2: Technical Safeguard Screening . For activities which are not on the ‘negative list’, a technical screening process will be applied to identify possible social and environmental safeguard issues. It is anticipated that a number of KRLP activities, despite triggering specific WB safeguards procedures for land acquisition, resource access restriction, and environmental assessment are permissible when proper environmental/social management and mitigation measures are applied. Annex 1 An Environmental and Social Safeguard Screening Checklist Form will also enable the Project staff to identify the possible social safeguard issues and decide upon subsequent social safeguard documents to be prepared. Step 3: Preparation of Safeguard Documents. Using the environmental and social assessment checklist in Annex 1. Chapter 3 provides required safeguard documents must be prepared corresponding to its impacts. Step 4: Securing Formal Approvals and Clearances. Finally, upon the satisfactory preparation of the required documents and incorporation the safeguard recommendations into the proposed activities, the Project Staff will ensure that all formal approvals and clearances are obtained by the responsible agencies or local governments. Page 11 Khammouane Rural Livelihoods Project (KRLP) page 10 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government Figure 1 - Overview of KRLP Screening Process Identification and Initial Screening for Negative List Larger Projects with Identified Safeguard issues: Discuss the Safeguard Screening with Local Government and/or Communities. Has the Proposed Activity Significant Safeguard Impacts or Safe guard Risks? Yes: Also Prepare required Safeguard Documents or Abandon Grant Application No: Proceed with preparation of Grant Agreement Obtain Approval of DoE/WREA and/or World Bank Attach Safeguard Screening Checklist, and/or Safeguard Documents to Grant Agreement Pass: Preparation of Details of the Proposed Grant Screening of potential Grant Activity for Safeguard requirements Grant Implementation and Safeguard Compliance Monitoring Preparation of Safeguard Reports according to KRLP ESSF, Lao Regulations, and WB Safeguard Policies Smaller Projects with non or limited potential Safeguard issues: Fail: Discard Sub-loan Application Make arrangement on the preparation of the Safeguards Document with the PCS, DoI and PAFO: Before the Grant Agreement or as Page 12 Khammouane Rural Livelihoods Project (KRLP) page 11 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government CHAPTER 3: KRLP SAFEGUARD DOCUMENTS 3.1. Environmental Safeguard Document For the KRLP, it is foreseen that only selected environmental safeguards documents may be required during its implementation. For the small size subprojects, a simple environmental screening will be applied by applying the KRLP Safeguard screening form (Error! Reference source not found.). It is not anticipated that the smaller subprojects will cause significant environmental impacts. Many of the works are small and limited to rehabilitation of existing structures. Accordingly, it is anticipated that only a KRLP Code of Practice for Constructors (Annex II) will need to be attached to the Grant Agreement. Table 2 provides an overview of potential requirements for anticipated outcomes of the screening process. The Project will keep records of all proposals received and screening decisions for review by the GoL, WB, or other external stakeholders. Anticipated Activities Potential Environmental Safeguard Requirements (and References Component 1 – Support for Local Development and Provincial Capacity Building 1.1 - The District Development Fund: Block grants for small infrastructure. Simple Safeguard screening checklist (Annex 1) Environmental Management Plan 1.2 - Provincial Capacity Development Simple Safeguard screening checklist Environmental Management Plan 1.3 - Component Administration None Component 2 – Support for Irrigation Development along NT2 Downstream Channel and Lower XBF 2.1 - Rehabilitation of Tha Thot Irrigation Scheme Environmental Management Plan Initial Environmental Examination ( Annex III) 2.2 - Support for Pilot Downstream Irrigation in Tha Thot Area Environmental Management Plan Initial Environmental Examination Full Environmental Impact Assessment (Annex IV) 2.3 - Strategic Plan for Irrigation Development along Downstream Channel None 2.4 - Rehabilitation and Institutional Strengthening of Small Pump Irrigation Schemes along Lower XBF Simple Safeguard screening checklist Environmental Management Plan Page 13 Khammouane Rural Livelihoods Project (KRLP) page 12 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government 3.1.1. Environmental Management Plan A project’s Environmental Management Plan (EMP) is a practical tool that steers the project’s works and operation for due environmental consideration and Best Practices. Usually, it is an appendix to major work contracts, and its application is mandatory. It consists of the set of mitigation, monitoring, and institutional measures to be taken during implementation and operation to eliminate adverse environmental and social impacts, offset them, or reduce them to acceptable levels. For many Category B projects, the Environmental Assessment may result in an EMP only. The EMP is an instrument to implement the requirements of the EA report approved before project implementation begins. The EMP identifies feasible and cost-effective measures that may reduce potentially significant adverse environmental impacts to acceptable levels. The plan includes compensatory measures if mitigation measures are not feasible, cost-effective, or sufficient. Specifically, the EMP: 1. Identifies and summarizes all anticipated significant adverse environmental impacts (including those involving indigenous peoples or involuntary resettlement) 2. Describes—with technical details—each mitigation measure, including the type of impact to which it relates and the conditions under which it is required (for example, continuously or in the event of contingencies), together with designs, equipment descriptions, and operating procedures, as appropriate 3. Estimates any potential environmental impacts of these measures 4. Provides linkage with any other mitigation plan (for example, involuntary resettlement, indigenous peoples, or cultural property) required for the project. 3.1.2. Initial Environmental Examination All projects not exempt from environmental assessment must undertake an IEE. The project owner may prepare the IEE or arrange for a consultant, entity or a local or foreign organizations to prepare it. In all cases, the IEE report must: (i) identify the person(s) or entities or organization responsible for its preparation, and (ii) disclose any direct or indirect financial interest that the person(s) or organizations may have in the project. If the IEE report concludes that no EIA is needed, an EMP must be developed within the IEE report, which must have the following contents: · Measures to prevent and minimize environmental impacts · Programs for environment control and monitoring · Responsibilities, organization, schedule and budget for implementation of the EMP and other issues that the DPRA may deem necessary for the protection of the environment. The indicative format of an IEE report for development projects is shown in Annex III. Page 14 Khammouane Rural Livelihoods Project (KRLP) page 13 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government 3.1.3. Full Environmental Impact Assessment A full EIA report (for a Category A project) focuses on the significant environmental issues of a project. The r eport’s scope and level of detail should be commensurate with the project’s potential impacts. Annex IV presents the outline of a Full EIA report. 3.1.4. Pest Management Plan The KRLP Procedural Guidelines on Integrated Pest Management will be applied as the Pest Management Plan (PMP) for the Project. The PMP is largely based on the Nam Theun 2 Pest Management Plan. The KRLP PMP focuses on the agriculture impacts of the proposed activities under Component 2: Development of Irrigation in the lower Xe Ban Fai area. Anticipated adverse impacts relevant to WB 4.09 for KRLP Component 1 (potentially covering the entire Khammouane Province) are considered minimal and do not warrant a separate PMP. In case where an additional specific PMP may be considered necessary or requested, the KRLP staff will develop the PMP in accordance with the WB Safeguard Policy Guidelines on Pest Management . Annex V shows outline in preparing a Pest Management Plan. Annex VI describes the active ingredients not acceptable to KRLP. 3.1.5. Unexploded Ordnance (UXO) Safety Clearances Construction of subprojects will not take place in an area which poses a security threat. In consistency with the KRLP ESSF, the local governments and communities should be responsible for making sure that the activities they propose are not in UXO contaminated areas. Table 3 shows UXO Safety Procedures. A UXO clearance should be issued and formally requested by the Village representatives and/or District Government. It will become a mandatory attachment to the project documents and subsequent grant agreement. The document will also be attached to the construction contracts. Financing agreements with the communities should make clear that communities are solely liable in case of a UXO-related accident. Page 15 Khammouane Rural Livelihoods Project (KRLP) page 14 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government Table 3 – UXO safety procedures for KRLP Activity preparation During the Safeguard Screening Step to be taken: A. If the local Government and/or community members certify that there is no known UXO contamination in the proposed area. 1. The Local Government and/or Community representatives co-sign the Safeguard Screening Form 2. The Local Government and/or Community representatives take full responsibility for the assessment, and external organizations cannot be made liable in case of an accident. B. If the Local Government and/or community members suspect that UXOs may be present in the proposed area. 1. The Local Government and Communities will complete the UXO Questionnaire and develop a UXO Clearance plan, in cooperation with UXO Lao. 2. If the local government and/or community have included an UXO Lao (or by a UXO action organization accredited by UXO LAO) assessment/clearance task as part of the proposed project, the project can go ahead for selection. 3. If the Local Government and/or community have not included an UXO Lao (or by a UXO action organization accredited by UXO LAO) assessment/clearance task as part of the proposed project, the clearance plan should still be prepared prior to the approval of the activity by the KRLP. 4. UXO clearance tasks must be implemented by UXO LAO or by a UXO action organization accredited by UXO LAO. Communities are not allowed to clear UXOs by themselves (and subsequent funding by KRLP funded projects shall be reduced or cancelled if they elect to clear UXO on their own). 3.1.6. Environmental Checklist for KRLP Subprojects 3.1.6.1. Irrigation Systems Based on the work of the International Commission on Irrigation and Drainage 2 (ICID). Annex VII shows an extensive environmental checklist has been prepared to guide the identification of Environmental Impacts of proposed KRLP irrigation projects. 3.1.6.2. Upgrading of Small Rural Roads 2 The ICID is a non-governmental professional association drawing together the diverse disciplines and professions involved in the planning, design, operation and management of irrigation, drainage and flood control works throughout the world. Page 16 Khammouane Rural Livelihoods Project (KRLP) page 15 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government For the upgrading of small rural roads, the standard environmental safeguard checklist can be applied to assess possible environmental impacts. An example for an Environmental Management Plan for the upgrading of small roads is given in Annex VIII. 3.1.6.3. Other Small Infrastructure Investments For all other smaller infrastructure to be constructed (e.g. schools, upgrading or small rural roads and bridges, building of public markets, etc..), the standard safeguard screening may be sufficient to apply. As the scale of the works will be small, and no significant adverse environmental impacts are expected, for most of the supported activities a simple safeguard screening will be sufficient. Upon the approval of the proposed activity, the KRLP Code of Practice (see Annex II) will be attached to the Grant Agreement. Examples possible impacts and mitigation measures for selected eligible KRLP activities are annexed to this manual. These include: roads and bridges (Annex IX), Water supply from groundwater (Annex X), small water impounding structures (Annex XI), and other general small scale infrastructure (XII). Please note that these sample checklists are only provide to give an indicative summary of potential impacts, but that the actual impacts will need to be assessed during the screening. 3.2. Social Safeguard Documents Social safeguards, commonly known as the OP 4.12: Involuntary Resettlement and OP 4.20: Indigenous People, are usually triggered when there is an issue of involuntary resettlement involved with activities to be financed under KRLP or when there are anticipated negative impacts on indigenous or vulnerable groups (e.g. Makong). Under the social safeguards manual, the KRLP has prepared a Compensation and Resettlement Policy Framework (CRPF), which is explained in more detail steps for preparing Resettlement Action Plans (RAPs) for subprojects. If the OP 4.20 is triggered, the Bank requires an Indigenous People Development Plan (IPDP) to be submitted prior to subproject appraisal and approval. Table 4 shows the coverage of negative social impact and its corresponding required safeguard document and Annex XII provides Summary Information on Affected Land and Infrastructures. Table 4 shows the general rules for determining the type of social safeguard documents required under KRLP, are as follows: COVERAGE OF NEGATIVE SOCIAL IMPACT TYPE OF SOCIAL SAFEGUARD DOCUMENTS REQUIRED · For subproject that are determined to result in minor impacts, defined under the OP 4.12, when “the affected people are not Abbreviated RAP is required . An abbreviated Resettlement Action Plan is provided in Annex XIII. Page 17 Khammouane Rural Livelihoods Project (KRLP) page 16 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government physically displaced and less than 10% of their productive assets are lost”, · For subprojects that may result in more significant impacts, i.e. displacement of people, and more than 10% of their productive assets are lost · RAP will be prepared. Outline of the Resettlement Action Plan (RAP) is shown in Annex XIV . · For subprojects that may result an adverse impacts on ethnic groups and/or indigenous people · Indigenous People’s Development Plan (IPDP) must be prepared as a separate and standalone document. List of required information of IPDP is shown in Annex XV. A sample of the screening for ethnic groups in development projects is shown in Annex XVI. Notes: (i) For subprojects not anticipated to result displacement, and where loss of assets are anticipated to be negligible, then this information shall also be indicated in the subproject proposal form along with a request to waive the requirement for an abbreviated RAP; and (ii) An IPDP is not necessary when the identified ethnic groups are integrated socially and economically with the mainstream population, thus the description of impacts, basic socio-economic characteristics of ethnic group/s, and suggested mitigation measured shall be included as an attachment to the RAP. 3.2.1. Compensation and Entitlements Based on the types of impacts, category of PAPs and their entitlements should be prepared showing specific entitlements to each category of PAPs. An Entitlement Matrix is shown in Annex XVII as reference. Page 18 Khammouane Rural Livelihoods Project (KRLP) page 17 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government CHAPTER 4: COMMUNITY CONSULTATION AND PARTICIPATION PROCESS The framework for participatory processes in KRLP is presented in Table 5 which defines the roles of beneficiaries and PAPs and the reasons for their participation in all stages of subproject activities. Table 5: Framework for Community Consultation and Participation Process in KRLP Stages Subject of Consultation Role of Target Communities and Affected Persons/Households Reasons for Community Participation Preparation Stage · Consultation and focused- group discuss-ions/meetings · Planning for subproject/s · Formulating compensation and entitlement package if there are PAPs in the proposed subproject · Consultation on proposed subproject/s before submission to KRLP. · Understanding the subproject. · Design and planning subprojects · Compensation and entitlement package for PAPs. · Contents of proposed subproject/s. · Participate in community consultation. · Create committees with at least 25-50 percent of the members is composed of women. · Approve the design and proposed by the beneficiaries and PAPs, if any. · Approve the compensation and entitlement package of the PAPs. · Review and concur the contents of proposed subproject/s. · Ensure that target beneficiaries and PAPs fully understand the proposed subproject and its benefits. · Promote an informed and collective- decision making. · Gather issues and concerns of the community that can be incorporated in the proposed KRLP subproject. · This measure will lessen conflicts and send the message to target beneficiaries and PAPs that they are involve and came from their collective decisions. · This also promotes an informed and collective decision- making among beneficiaries and PAPs. · Such consultation delivers the message of transparency seeing to it that their comments /suggestions are incorporated in the proposed subproject/s. Implementation Stage · Consultation on the implementation of subproject/s and provision for and transfer or relocation, if any · Phasing of subproject implementation and transfer to agreed area(s) for PAPs, if any · Agreement on · Orderly dismantling and reconstruction of affected structures, if any · Inform PAPs for the scheduling of · Ensure that the impacts of disruption are lessened. · It will also enable the implementing agency to determine the budgets for food and transport of Page 19 Khammouane Rural Livelihoods Project (KRLP) page 18 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government Stages Subject of Consultation Role of Target Communities and A ffected P ersons/Households Reasons for Community Participation · Consultation w ith PAPs concerning affected land and/or structures, livelihood, etc. · Engagement in livelihood under- takings. · Employment of beneficiaries in the subproject · Grievance and redress. · External Monitoring the schedule of transfer or relocation to agreed area in the community. · Boundaries on p lot allocation, road access and provision for social services, i.e., water sewerage, drainage. · Livelihoods for target-community beneficiaries and that of those of the PAPs. · Additional assistance to beneficiaries and PAPs. · Grievance and redress mechanism. · Implementation of subproject/s transfer · Mark the affected lot boundaries as determined by land surveyors consistent with the assigned area and plans. · Provide information on the actual negative and positive impact to PAPs · Involvement of women in livelihood development. · Beneficiaries or any of their household members will be employed as laborer during the construction of a subproject/s. · Provide background of the issues. · Provide inputs and status for implementation on KRLP subprojects. PAPs/ household · Participation in plot marking in the presence of designated staff/facilitator will avoid misunderstanding among P APs and beneficiaries. · Enable the implementing agency to estimate budgets for entitlements like allowances for foods, transportation and special assistance. · Women are known to have skills in livelihood management which could enhance family income. · Employment with the project will also provide additional or enhance their income. · Ensure that problems are address within reasonable time. · The officers will serve as the GRC, and they will also assist agency in implementing the policies in each community as part of the management of the subproject. · The information from PAPs and beneficiaries will assist the PIU to assess the level of compliance in every stage of subproject implementation. · This will give lessons learnt in shaping up future policies on resettlement for KRL Project. Page 20 Khammouane Rural Livelihoods Project (KRLP) page 19 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government Page 21 Khammouane Rural Livelihoods Project (KRLP) page 20 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government CHAPTER 5: Gender Action Planning 5.0. The project will give special attention to women and female households as beneficiaries of the project interventions. 5.1. Equal participation of women in the whole cycle of the project activities is needed to increase likelihood of the project sustainability. Women in the rural villages play a key role in household economy and community livelihood development. They will be empowered to become active members in community activities and projects and other collective endeavors in support of project implementation and monitoring. Shown in Table 6 is the Gender Action Plan Matrix. Table 6: Gender Action Planning Matrix Project Component Objective Activities/ Tasks Responsible Entity Indicator Means of Verification 1. Project Preparation Identify gender- specific issues and needs to be taken into account in the design of subprojects and livelihood interventions Involve women in identifying these needs and issues Develop gender-specific indicators for women participation and empowerment to be used for project monitoring and evaluation Formulate gender baseline information to be included in survey Conduct a survey with gender indicators Conduct focus group discussions with women to identify gender- specific issues and concerns for input into community planning process and design of development interventions Select and train women who will serve as project monitors and motivators Develop gender indicators for project monitoring and evaluation. PCS, with participation of Women Community Groups (WCGs) Gender indicators incorporated in the survey instrument Number of focus group discussions (FGDs) held Number of women and women heads of household who participated in FGDs Set of gender- specific indicators incorporated in project monitoring and evaluation tool Number of community women volunteers willing to serve as project monitors Survey Instrument Feasibility Study/Village Development Plan/RAP Documented Feedback from women beneficiaries and participants of FGDs List of women volunteers and or list of organizations Page 22 Khammouane Rural Livelihoods Project (KRLP) page 21 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government Project C omponent Objective Activities/ T asks Responsible E ntity Indicator Means of V erification 2. Project Design Ensure that community development plans and subproject designs take i nto account w omen’s needs for safety, security, mobility and child care Access to potable water, safe and well l, waste disposal facilities and Child and senior citizen friendly subproject designs Give GAD briefings and orientation to women members of community a ssociations Prepare the GAD component of the KRLP to include capacity building in understanding the basic areas where they can participate during detailed planning activities of building designs preparation PCS, Community/ Village Groups Subproject designs with gender-sensitive and vulnerable groups features L ivelihood p rograms specifically targeting women heads of households Subproject designs Livelihood program plans 3. Project Implementation a. Basic Services Ensure women’s access to project benefits Ensure that tenure instruments and contracts give women equal decision-making and asset- ownership Rights Regular consultation with women’s group during construction for design adjustments and monitoring of construction activities. Women to project their interest by making it sure that whatever have been agreed upon in Information and Education Campaign (IEC) directed at women community members to inform them of project benefits and value of participation PCS Women motivators IEC materials distributed. Material to be included is as follows, checklist of eligible subprojects. Access to microfinancing for the women to have a start – up livelihood activities. Number of women participating in community action planning Progress Reports Documented Feedback from women beneficiaries Page 23 Khammouane Rural Livelihoods Project (KRLP) page 22 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government Project Component Objective Activities/ Tasks Responsible Entity Indicator Means of Verification the design stage is faithfully adhered to during the c onstruction or implementation stage. b. Livelihood Interventions Ensure women’s access to project services and benefits Increase the income-earning capacity of women beneficiaries, especially women household heads Information and Education Campaign Skills trainings to women heads of households Trainings on savings and financial management Organize collective enterprises and self-help groups managed by women Organize community based women collection arm for the livelihood. PCS Contracted NGOs, MFIs Number of women receiving IEC materials Number of trainings conducted Number of participants in trainings Number of enterprises, cooperatives, savings groups, mutual aid groups formed by women Number of women members of these groups Number of microfinance loans extended by MFIs to women headed households Number of skills job referrals and successful marketing referrals IEC materials produced and used as an information, education and communication tools. Progress Reports Evaluation forms filled out by trainees Existence of functional livelihood support groups (cooperatives, mutual-aid groups and enterprises) Reports of NGOs, MFIs Feedback from women beneficiaries of livelihood loans Reports of external monitoring team for the KRLP c. Capability Building and Institutional Development Develop the capacities of women in project and community management and project monitoring Ensure women participation in project Trainings on leadership, organizational management, financial management, subproject management, monitoring and evaluation Formation of PCS Leaders/Officer s of women’s groups and committees Number of trainings conducted Training manuals Number of participants in trainings Number of Progress reports Evaluation forms filled out by participants of trainings conducted Minutes of organizational meetings List of Page 24 Khammouane Rural Livelihoods Project (KRLP) page 23 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government Project Component Objective Activities/ Tasks Responsible Entity Indicator Means of Verification management, livelihood programs and project m onitoring women’s organizations Organizational m eetings women’s groups and committees formed beneficiaries and the income comparison before the a ssistance and the current income level after the assistance. d. Monitoring and Evaluation Involve women in project monitoring and evaluation Assess the project’s impact on the welfare of women through the use of gender- specific indicators Monitoring and evaluation workshops with the community Data collection and review of reports and pertinent documents PIU External Monitoring Agency (EMA) Monitoring and Evaluation tools Number of monitoring workshops Number of monitoring and evaluation reports Monitoring and Evaluation Reports Report card per project beneficiary and their progress in terms of income and or rehabilitation status after the project assistance. Page 25 Khammouane Rural Livelihoods Project (KRLP) page 24 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government CHAPTER 6: Grievance Procedures 6.0 The KRLP will have to set-up the Grievance Redressal Committees (GRC) at the district and provincial levels, composed of concerned departments, local officials, village chiefs, PAP representatives, women representatives, mass organizations will also act as grievance officers. All complaints and grievances will be properly documented by both the district authority; village offices; PAFO and PCS and addressed through consultations in a transparent manner aimed at resolving matters through consensus Table 7 shows the project grievance redress procedure for KRLP will operate as follows: Procedures Venue Response Time Responsible Unit/Institution Means of Verification/Docu mentation Step 1 – Village Level Public place accessible to complainant/ beneficiaries or PAPs Within 5 days Village Leader and Village Committee Written record of grievance, through the assistance of PAFO and PCS. Quarterly submission of names and pertinent information about the complainants, nature of complaint, dates the complaints are lodged, and resolution of the same to PAFO and DFI-PCS. Step 2 - District Level District authority’s office Within 10 days District Authority/PAFO/ PCS Written record of grievance from the village committee, through the assistance of PAFO and PCS. Quarterly submission of names and pertinent information about Page 26 Khammouane Rural Livelihoods Project (KRLP) page 25 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government the complainants, nature of complaint, dates the complaints are lodged, and resolution of the same to PAFO and DPI-PCS. Step 3 – Provincial Level Provincial government’s office Within 10 days Provincial government/PAF O/PCS Written record of grievance from the village committee and District authority, through the assistance of PAFO and PCS. Quarterly submission of names and pertinent information about the complainants, nature of complaint, dates the complaints are lodged, and resolution of the same to PAFO and DPI-PCS. The complaint, as a last resort, will be lodged with the Court of Law and whose decision would be final. Although the technical guidelines for resettlement designate this elevating of the complaint to the local mass organizations, non-benefit organizations and complainant representatives, in order to ensure the availability of adequate resources to carry out this procedure, the PAFO and DPI-PCS will be responsible for forwarding the complaint and ensuring its process in the courts. In addition the grievance mechanism described above, complainants may also (or permit representatives on their behalf raise their concern or complaint with the World Bank Resident Mission office in Vientiane if complainants are still not satisfied with the resolution of their complaints at the Project and Provincial level. All legal and administrative costs incurred by complainants and their representatives at the GRC are to be covered by the Project. Page 27 Khammouane Rural Livelihoods Project (KRLP) page 26 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government CHAPTER 7: Monitoring and Evaluation Monitoring and evaluation requires continuous follow up by the Provincial government, District authorities and village leaders that would also include independent process monitoring. Monitoring by NGOs, and independent external monitoring to determine if mitigation measures have actually been carried out. Monitoring should focus on two main areas: (a) environmental and social compliance monitoring to measure the effectiveness of subproject EMPs and RAPs, if any, and (b) ensuring that measures have been taken to include public participation in the decision making process. · Internal Monitoring 7.0 The Safeguard Manual is designed to involve community-beneficiaries and affected persons in monitoring subproject implementation and status. All KRLP implementation will require for quality and quantity, which are timebounded. The District and village authority, together with the community-beneficiary and NGOs will be jointly responsible for the internal monitoring of the actual implementation against the planned activities, time frame, budget and entitlement that will be done on an on-going basis throughout the duration of subproject construction. Annex XVIII are the indicators for the internal monitoring by District and village authority for the regular feedback to PCS and DoI. · External Monitoring Where applicable, the PCS and DoI will hire the services of External Monitoring Agency (EMA) to assess the implementation of KRLP’s subprojects, and will be reporting directly to World Bank. External monitoring shall be conducted twice a year during the implementation of KRLP to identify any issues that might need immediate response from PCS and the implementing District governments. Related to operational procedures, the EMA will identify the associated issues and problems encountered in the staffing of district offices, consultations and grievances resolution as well as the critical operation procedures like the provision of adequate budgetary support. Annex XIX sets out the essential indicators that shall be highlighted in external monitoring. Page 28 Khammouane Rural Livelihoods Project (KRLP) page 27 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government CHAPTER 8: World Bank Policies for Public Consultation and Disclosure 8.0 The WB policies requires that during the planning and preparatory process, project beneficiaries and affected groups and local NGOs shall be consulted and present environment and social aspects of KRLP. The consultation should be an on-going process throughout the design and implementation of subprojects and must be compliant with all other applicable safeguard policies. 8.1. In addition, the Bank requires that the project comply with the Public Consultation and Information Disclosure Policy (OP 17.50). The policy requires the government or borrower to make accessible, in a timely manner, any relevant material such as the Environmental Assessment study, social assessments, RAP and IPDP, in a form language understandable to the groups being consulted. A sample public consultation and disclosure plan that could be applied to any project is shown in Annex XX. Page 29 Khammouane Rural Livelihoods Project (KRLP) page 28 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government Annex I - KRLP Environmental and Social Safeguard Checklist Form Khammouane Provincial Government Provincial Department of Planning and Investment Khammouane Rural Livelihood Project Social and Environmental Safeguard Screening Checklist Form Proposed Activity: …………………….……………………………………………………. Brief Description: …………………….……………………………………………………. …………………….…………………………………………………………………………… … Location: ………………………………………………………………………….. Filled out by : ………………………………………………………………………….. Organization: ………………………………………………………………………….. Date: ………………………………………………………………………….. Attachments: ………………………………………………………………………….. Prepared with the following Partner Organizations / Community Representatives: Remarks: General Instructions: ‰\03 This checklist is to be completed to support the verification of a KRLP supported grant activity. It is to be attached to the Grant Agreement with the Local Government or Communities. ‰\03 This checklist focuses on Administrative/Financial, Environmental and Social issues and concerns to ensure that environmental and social dimensions are adequately considered in sub-grant evaluation. ‰\03 The purpose is to identify its feasibility and potential environmental and social impacts of the grant supported activities. If applicable please use the “remarks” section to discuss any suggested mitigation measures. ‰\03 The information should be collected in consultation and coordination with local government, communities, NGOs and leaders of affected community. Page 30 Khammouane Rural Livelihoods Project (KRLP) page 29 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government SCREENING QUESTIONS No Yes MITIGATION MEASURES REQUIRED? General: A. SUB-GRANT SCOPE/OBJECTIVES · Are there potential conflicts with the 'negative list'? · Does the sub-grant the proposal extent to other communities/jurisdiction? · Is there a need for additional field visits to the location/area? · Should money be allocated for Operations and Maintenance? · Other 3 : B. GENERAL IMPLEMENTATION ISSUES · Is there an additional need for technical assistance, not yet included in the proposal? · Will technical designs/drawings be required? · Is any 'heavy equipment' required? · Are there possible difficulties with acquiring materials? · Is there a potential risk of possible unexploded ordnance? · Other: C. OTHER REMARKS: ENVIRONMENTAL SAFEGUARDS D. SUB-PROJECT SITING IS THE SUB-PROJECT AREA ADJACENT TO OR WITHIN ANY OF THE FOLLOWING ENVIRONMENTALLY SENSITIVE AREAS? · Protected Area · Wetland · Buffer zone of protected area · Special area for protecting biodiversity · Other: 3 ‘ Other ’ to be completed by project staff as necessary, depending on the specific sub-project. Page 31 Khammouane Rural Livelihoods Project (KRLP) page 30 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government SCREENING QUESTIONS No Yes MITIGATION MEASURES REQUIRED? E. POTENTIAL ENVIRONMENTAL IMPACTS WILL THE PROJECT CAUSE: · Loss of precious ecological, historical or cultural values? · Potential ecological problems? · Impairment of downstream water quality and therefore, impairment of downstream beneficial uses of water? · Noise or dust from construction equipment? · Are there risks of soil erosion? · Are there risks of tree cutting? · Are there any pollution and/or public health risks · Are asbestos, pesticides or other agrochemical involved? · Other: F. OTHER REMARKS: SOCIAL SAFEGUARDS G. PROJECT SITING ARE THERE ANY OF THE FOLLOWING STRUCTURES OR RESOURCES IN THE SUB-PROJECT CONSTRUCTION AREA? · Private households · Private small businesses/shops · Roads, footpaths or other access routes · Agricultural land · Natural resources shared by community members · Cemetery or other area/structures of religious or cultural significance · Other: ADDITIONAL REMARKS/SUGGESTIONS: H. POTENTIAL SOCIAL IMPACTS WILL THE SUB-PROJECT CAUSE: · Temporary loss of land or resources for any families? · Permanent loss of land or resources for any families? · Conflicts in water supply rights and related social conflicts? · Impediments to movements of peo ple and Page 32 Khammouane Rural Livelihoods Project (KRLP) page 31 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government SCREENING QUESTIONS No Yes MITIGATION MEASURES REQUIRED? animals? · Dislocation or involuntary resettlement of people? · Potential social conflicts arising from land tenure and land use issues? · Deterioration of livelihoods or living conditions of women or the poorest families in the sub-project service area? · Other: ………………………………………… I. OTHER REMARKS: J. Involuntary Resettlement Category 4 After reviewing the answers above, the PSTEO and PIU consultants agree subject to confirmation, that the project is a: [ ] “ The affected people are not physically displaced and less than 10% of their productive assets are lost”, an abbreviated Resettlement Action Plan is required [ ] The proposed subproject may result in more significant impacts, i.e. displacement of people and more than 10% of their productive assets are lost, then a RAP will be prepared. [ ] No anticipated displacement, and loss of assets are negligible K. POTENTIAL SOCIAL IMPACTS ON VULNERABLE GROUPS, IF ANY: WILL THE SUB-PROJECT: · Affect poverty group? · Affect women headed households? · Affect Ethnic Groups or Indigenous People? · Affect other vulnerable groups? L. OTHER REMARKS: REQUIRED SAFEGUARD DOCUMENTS: 4 World Bank OP 4.12, Policy on Involuntary Resettlement Page 33 Khammouane Rural Livelihoods Project (KRLP) page 32 Prepared by the KRLP Provincial Coordination Section FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government SCREENING QUESTIONS No Yes MITIGATION MEASURES REQUIRED? · Simple Environmental Management Plan (EMP)? · Initial Environmental Assessment (IEE)? · Full Environmental Impact Assessment? · Integrated Pest Management (IPM) Plan? · Plan for Clearance of UXO? · Resettlement Action Plan (RAP)? · Indigenous People’s Dev’t Plan (IPDP)? · Land Titles or Documentation? · Community Declarations? · Other? ………………………………………. M. OTHER REMARKS: N. CONCLUSIONS/RECOMMENDATIONS: O. SIGNING OFF: IMPLEMENTING AGENCY: NAME: ……………………………..………. POSITION:…………………………………….. DATE: …………………………….……….. KRLP SAFEGUARD COORDINATOR: NAME: …………………………….. POSITION:………..………………….. DATE: …………………………….. Page 34 K h a m m o u a n e R u r a l L i v e l i h o o d s P r o j e c t ( K R L P ) p a g e 3 3 P r e p a r e d b y t h e K R L P P r o j e c t I m p l e m e n t a t i o n U n i t F I N A L _ 1 8 F e b r u a r y 2 0 0 8 D e p a r t m e n t o f P l a n n i n g a n d I n v e s t m e n t K h a m m o u a n e P r o v i n c i a l G o v e r n m e n t A n n e x I I : K R L P C o d e o f P r a c t i c e f o r C o n s t r u c t i o n o f S m a l l S c a l e I n f r a s t r u c t u r e E n v i r o n m e n t a l I s s u e a n d O b j e c t i v e M i t i g a t i o n M e a s u r e s L o c a t i o n s a n d T i m e F r a m e S o c i a l o r C o m m u n i t y C o n c e r n s T o m i n i m i z e s o c i a l d i s t u r b a n c e a n d m a x i m i z e c o m m u n i t y b e n e f i t s f r o m t h e s u b p r o j e c t . · A d v i s e t h e l o c a l c o m m u n i t y o f p r o j e c t p l a n s i n a d v a n c e o f c o n s t r u c t i o n , a n d w h e r e p o s s i b l e i n v o l v e t h e m i n p l a n n i n g · A v o i d d i s t u r b a n c e s n e a r l i v i n g a r e a s w h e n p o s s i b l e · C o n t r o l r u n o f f a n d m a n a g e s e d i m e n t s n e a r g a r d e n a r e a s · A r r a n g e f o r l o c a l p e o p l e t o b e e m p l o y e d a n d t r a i n e d · I n c l u d e w o m e n ' s a n d o t h e r c o m m u n i t y g r o u p s i n p r o j e c t a c t i v i t i e s · N e g o t i a t e w i t h c o m m u n i t y a b o u t d i s p o s a l a r e a s , s t o c k p i l e s A l l c o n s t r u c t i o n s i t e s a n d a c c e s s r o u t e s . D u r i n g m o b i l i z a t i o n a n d s t a r t o f c o n s t r u c t i o n a c t i v i t i e s i n t h e c o m m u n i t i e s S o i l I n s t a b i l i t y a n d E r o s i o n T o m i n i m i z e t h e a m o u n t o f s e d i m e n t l o s t f r o m t h e s i t e . · R e d u c e t h e t i m e s u r f a c e s r e m a i n b a r e · K e e p v e g e t a t i o n c l e a r i n g t o a m i n i m u m · A v o i d d i s t u r b a n c e o n s t e e p s l o p e s · K e e p v e h i c l e s o n d e f i n e d t r a c k s · C o n s t r u c t n e c e s s a r y t e m p o r a r y / p e r m a n e n t c o n t r o l s t r u c t u r e s · E n c o u r a g e r e - v e g e t a t i o n a f t e r c o n s t r u c t i o n a c t i v i t y f i n i s h e s A l l a r e a s w h e r e c l e a r i n g i s r e q u i r e d . C o n t i n u o u s C o n t r o l l i n g S e d i m e n t T o m i n i m i z e i m p a c t o f s t o r m w a t e r c o n t a i n i n g s e d i m e n t o n s t r e a m s . · I n s t a l l c o n t r o l s t r u c t u r e s a t t h e o u t s e t o f c o n s t r u c t i o n p h a s e . T h e s e m a y n e e d t o i n c l u d e s i l t t r a p s a l o n g f l o w l i n e s · A l l d i s t u r b e d a r e a s w h i c h a r e n o t t o b e p a v e d ( e g . b a t t e r s ) s h o u l d b e r e - v e g e t a t e d o r p r e p a r e d f o r n a t u r a l r e - v e g e t a t i o n a f t e r f i n a l l a n d s h a p i n g · G r o u n d d i s t u r b a n c e s h o u l d b e p h a s e d s o t h a t i t i s l i m i t e d t o a r e a s o f a w o r k a b l e s i z e · C o n s t r u c t i o n s h o u l d b e s c h e d u l e d s o t h a t l a r g e a r e a s o f s o i l a r e n o t l a i d b a r e d u r i n g w e t s e a s o n s · C o n s t r u c t i o n s i t e s s h o u l d b e p l a c e d o n f l a t g r o u n d · C o n s t r u c t i o n a r e a s s h o u l d b e c o n t a i n e d u s i n g a b u n d o r t r e n c h , o r i s o l a t e d f r o m o t h e r s u r f a c e r u n o f f , a n d c l e a n e d a n d r e h a b i l i t a t e d w h e n c o n s t r u c t i o n i s c o m p l e t e · I f t h e r o a d i s o n l o o s e o r u n s t a b l e r o c k t h e b a t t e r s w i l l n e e d t o s l o p e g e n t l y , h i g h b a t t e r s w i l l n e e d s t e p s o r h o r i z o n t a l b e n c h e s , a n d r e - v e g e t a t i o n w i l l b e n e c e s s a r y · A v o i d d i s c h a r g i n g w a t e r o n t o u n s t a b l e s l o p e s o r o l d l a n d s l i p s A l l a r e a s w h e r e c l e a r i n g i s r e q u i r e d . C o n t i n u o u s Page 35 K h a m m o u a n e R u r a l L i v e l i h o o d s P r o j e c t ( K R L P ) p a g e 3 4 P r e p a r e d b y t h e K R L P P r o j e c t I m p l e m e n t a t i o n U n i t F I N A L _ 1 8 F e b r u a r y 2 0 0 8 D e p a r t m e n t o f P l a n n i n g a n d I n v e s t m e n t K h a m m o u a n e P r o v i n c i a l G o v e r n m e n t E n v i r o n m e n t a l I s s u e a n d O b j e c t i v e M i t i g a t i o n M e a s u r e s L o c a t i o n s a n d T i m e F r a m e C o n t r o l l i n g S t o r m w a t e r T o m i n i m i z e t h e i m p a c t o f c o n t a m i n a t e d r u n o f f w a t e r . · D i v e r t r u n - o f f f r o m n o n - c o n s t r u c t i o n a r e a s ( t e m p o r a r i l y ) a r o u n d t h e c o n s t r u c t i o n a r e a s t o k e e p t h e n a t u r a l f l o w s e p a r a t e f r o m c o n s t r u c t i o n r u n - o f f . · P a s s s t o r m - w a t e r r u n - o f f f r o m c o n s t r u c t i o n a r e a s t h r o u g h a g r o s s p o l l u t a n t t r a p ( t o f i l t e r p l a s t i c s , c a n s , e t c . ) a n d o v e r a v e g e t a t e d s u r f a c e t o r e m o v e p e t r o l e u m - b a s e d o r g a n i c p o l l u t a n t s b e f o r e d i s c h a r g e i n t o c u l v e r t s o r d r a i n a g e s y s t e m s . · D e s i g n d r a i n s a n d c u l v e r t s t o r e m o v e a l l r u n - o f f w a t e r w i t h o u t s c o u r . O n s t e e p s l o p e s c u l v e r t s m a y n e e d t o b e s t e p p e d u s i n g r o c k s l a b s o r g r a v e l i n g a b i o n b a s k e t s . · S t o r e o i l a n d b i t u m i n o u s p r o d u c t s a t a c o n t a i n e d l o c a t i o n a w a y f r o m d r a i n a g e l i n e s i n a n a p p r o p r i a t e m a n n e r . A l l a r e a s w h e r e c l e a r i n g i s r e q u i r e d . C o n t i n u o u s M a n a g e m e n t o f S t o c k p i l e s , S p o i l - h e a p s , B a t t e r s T o m a n a g e f e a t u r e s s o d u s t a n d r u n o f f a r e m i n i m i z e d . · D i s c u s s i o n s a b o u t d u m p i n g b e h e l d w i t h l o c a l l a n d o w n e r s · S i t e p l a n s s h o u l d i n c l u d e a l l d r a i n a g e p r o v i s i o n s s u g g e s t e d f o r c o n s t r u c t i o n s i t e s · T h e s t o c k p i l e o r s p o i l - h e a p l o c a t i o n s h o u l d b e c h o s e n t o a v o i d b l o c k i n g s u r f a c e r u n o f f o r d r a i n a g e l i n e s I f t h i s i s n o t a r i d g e - c r e s t o r f l a t p l a i n s i t e , t h e b a s e s h o u l d b e l e v e l e d a n d c o n t a i n e d · I f t h e s p o i l - h e a p o r s t o c k p i l e c o n t a i n i n g f i n e s e d i m e n t s i s t o r e m a i n b a r e f o r l o n g i n a h i g h r a i n f a l l a r e a , i t s h o u l d b e c o v e r e d t o p r e v e n t e r o s i o n a n d s e d i m e n t r u n o f f · S p o i l - h e a p s a n d s t o c k p i l e s m u s t b e s u b j e c t t o s t a b i l i t y c a l c u l a t i o n s t o s a f e g u a r d a g a i n s t m a j o r s l i p s o c c u r r i n g · A f t e r d i s c u s s i o n s w i t h l o c a l l a n d o w n e r s o r c o m m u n i t y g r o u p s t h e r e m a y b e p l a n s t o u s e s p o i l l o c a l l y . I f s o a c l e a r l e v e l s i t e m u s t b e p r e p a r e d o n w h i c h t h e s p o i l c a n b e d u m p e d · W h e r e p o s s i b l e s p o i l s h o u l d b e u s e d t o b a c k f i l l q u a r r y a r e a s o r w a s t e d i s p o s a l p i t s b e f o r e t h e y a r e r e - v e g e t a t e d · F o r b a t t e r r e - v e g e t a t i o n s e e s i t e d e c o m m i s s i o n i n g ( b e l o w ) D u m p i n g a r e a s . C o n t i n u o u s A i r Q u a l i t y a n d D u s t C o n t r o l T o e n s u r e t h e r e i s n o h e a l t h r i s k o r i n c o n v e n i e n c e d u e t o d u s t p r o d u c t i o n . · S p r a y w a t e r o n e x p o s e d s u r f a c e s d u r i n g d r y p e r i o d s · W e t s a n d y l o a d s o r r o a d f i l l l o a d s b e i n g c a r r i e d i n o p e n t r u c k s C l e a r e d a r e a s D u r i n g d r y p e r i o d s Page 36 K h a m m o u a n e R u r a l L i v e l i h o o d s P r o j e c t ( K R L P ) p a g e 3 5 P r e p a r e d b y t h e K R L P P r o j e c t I m p l e m e n t a t i o n U n i t F I N A L _ 1 8 F e b r u a r y 2 0 0 8 D e p a r t m e n t o f P l a n n i n g a n d I n v e s t m e n t K h a m m o u a n e P r o v i n c i a l G o v e r n m e n t E n v i r o n m e n t a l I s s u e a n d O b j e c t i v e M i t i g a t i o n M e a s u r e s L o c a t i o n s a n d T i m e F r a m e N o i s e c o n t r o l T o e n s u r e n u i s a n c e f r o m n o i s e i s m i n i m i z e d . · U s e m o d e r n a n d w e l l m a i n t a i n e d e q u i p m e n t ( w i t h m u f f l e r s w h e r e a p p r o p r i a t e ) · U s e n o i s e s c r e e n s o r m o u n d s n e a r r e s i d e n t i a l a r e a s · C a r r y o u t n o i s y c o n s t r u c t i o n a c t i v i t i e s d u r i n g n o r m a l w o r k i n g h o u r s · A d v i s e l o c a l p e o p l e w h e n t h e r e w i l l b e u n u s u a l u n a v o i d a b l e n o i s e A l l c o n s t r u c t i o n a r e a s a n d a c c e s s r o u t e s C o n t i n u o u s O f f s i t e a n d W a s t e M a n a g e m e n t T o a v o i d c o n t a m i n a t i o n f r o m s o l i d w a s t e s a n d s e w e r a g e . · C o n t a i n a l l s t o r e s w a s t e w i t h i n c o n s t r u c t i o n s i t e s · D u r i n g s i t e c l e a n - u p b u r n a l l s p i l l e d f u e l o i l s · C r u s h , b u r n , a n d b u r y a l l i n o r g a n i c s o l i d w a s t e i n a n a p p r o v e d d i s p o s a l a r e a . · R e m o v e a l l d i s a b l e d m a c h i n e r y f r o m t h e p r o j e c t a r e a A l l p r o p o s e d c o n s t r u c t i o n a r e a s F r o m p r o j e c t d e v e l o p m e n t t o c l o s u r e S a f e t y a n d H e a l t h T o e n s u r e m a x i m u m s a f e t y o f c o n s t r u c t i o n p e r s o n n e l a n d l o c a l r e s i d e n t s . · E n s u r e a l l o c c u p a t i o n a l h e a l t h a n d s a f e t y r e q u i r e m e n t s a r e i n p l a c e o n c o n s t r u c t i o n s i t e s a n d i n w o r k c a m p s · I n s t a l l l i g h t s a n d c a u t i o n a r y s i g n s i n h a z a r d o u s a r e a s · E s t a b l i s h f o o t p a t h s a n d p u l l - o f f b a y s a l o n g r o a d s t h r o u g h v i l l a g e s , n e a r m a r k e t s , s c h o o l s a n d o t h e r c o m m u n i t y f a c i l i t i e s · l i m i t t i m e o f e x p o s u r e t o d u s t p a r t i c l e s , c h e m i c a l , a n d n o i s e ; · e n h a n c e s a f e t y a n d i n s p e c t i o n p r o c e d u r e s ; a n d · S a f e h a n d l i n g o f t o x i c m a t e r i a l s , e x p l o s i v e s , a n d o t h e r h a z a r d o u s s u b s t a n c e s . · U s e o f P e r s o n a l P r o t e c t i o n E q u i p m e n t ( P P E ) A l l c o n s t r u c t i o n s i t e s . C o n t i n u o u s T o a v o i d d i s t u r b a n c e b y t h e c o n s t r u c t i o n s w o r k e r s . · P r o h i b i t i o n s o n h u n t i n g a n d p o a c h i n g o f w i l d l i f e , p u r c h a s i n g w i l d l i f e m e a t , f i s h i n g , g a t h e r i n g a n d h a r v e s t i n g m e d i c i n a l o r v a l u e d p l a n t s a n d t r e e s , a n d p o s s e s s i n g f i r e a r m s , s n a r e s , t r a p s a n d o t h e r h u n t i n g e q u i p m e n t ; · A c c e s s t o c o n s t r u c t i o n c a m p s w i l l b e c o n t r o l l e d a n d a c c e s s r e s t r i c t i o n s f o r n o n - c o n s t r u c t i o n p e r s o n n e l w i l l b e a p p l i e d . · H o u s e c l e a n i n g a n d w a s t e m a n a g e m e n t r e q u i r e m e n t s · P e n a l t i e s f o r v i o l a t i o n o f r u l e s a n d r e g u l a t i o n s C o n s t r u c t i o n c a m p s C o n t i n u o u s Page 37 K h a m m o u a n e R u r a l L i v e l i h o o d s P r o j e c t ( K R L P ) p a g e 3 6 P r e p a r e d b y t h e K R L P P r o j e c t I m p l e m e n t a t i o n U n i t F I N A L _ 1 8 F e b r u a r y 2 0 0 8 D e p a r t m e n t o f P l a n n i n g a n d I n v e s t m e n t K h a m m o u a n e P r o v i n c i a l G o v e r n m e n t E n v i r o n m e n t a l I s s u e a n d O b j e c t i v e M i t i g a t i o n M e a s u r e s L o c a t i o n s a n d T i m e F r a m e G e n e r a l H e a l t h a n d S a f e t y A w a r e n e s s f o r c o n s t r u c t i o n w o r k e r s s h o u l d i n c l u d e . · I n t r o d u c t i o n t o h e a l t h a n d s a f e t y i s s u e s i n c o n s t r u c t i o n s i t e s a n d o n C o n s t r u c t i o n s i t e s i n c l u d i n g m a i n a r e a s o f r i s k t o w o r k e r s a n d o t h e r s · E d u c a t i o n o n b a s i c h y g i e n e p r a c t i c e s t o m i n i m i z e s p r e a d o f t y p i c a l t r o p i c a l d i s e a s e s · H I V / A I D S a n d S T D a w a r e n e s s , i n c l u d i n g i n f o r m a t i o n o n m e t h o d s o f t r a n s m i s s i o n a n d p r o t e c t i o n m e a s u r e s · P r o h i b i t i o n o f d r u g s · P r o h i b i t i o n o f a l c o h o l o n c o n s t r u c t i o n s i t e s · P r o c e d u r e s f o r s e e k i n g m e d i c a l a s s i s t a n c e i n e m e r g e n c y o r n o n - e m e r g e n c y s i t u a t i o n s a n d p r o c e d u r e s f o r s e e k i n g o t h e r h e a l t h - r e l a t e d a s s i s t a n c e . C o n s t r u c t i o n c a m p s C o n t i n u o u s S i t e d e - c o m m i s s i o n i n g T o m i n i m i z e o n g o i n g i m p a c t s a f t e r c o n s t r u c t i o n i s c o m p l e t e d . · R a k e o r l o o s e n a l l c o m p a c t e d g r o u n d s u r f a c e s · E s t a b l i s h a s i t e r e - v e g e t a t i o n p l a n . W h e r e p o s s i b l e i n v o l v e l o c a l w o m e n ' s g r o u p s t o p r o v i d e m a t e r i a l s a n d i m p l e m e n t r e - v e g e t a t i o n A l l c o n s t r u c t i o n a n d c a m p s i t e s A f t e r c o m p l e t i o n o f c o n s t r u c t i o n Page 38 Khammouane Rural Livelihoods Project (KRLP) page 37 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government ANNEX III: Initial Environmental Examination Report 1. Introduction ƒ Name and address of project owner ƒ Name, address and affiliation of the author of the report ƒ Purposes of the report ƒ Purposes of the project 2. Project Description ƒ Type, size and location of project ƒ Project activities and their timing/sequence (construction period, operation period, closure period) ƒ Quantity and quality of raw material to be used ƒ Quantity and quality of waste products generated by the project ƒ Project costing 3. Environmental description of project area (baseline data) ƒ Physical; ƒ Biological; ƒ Economic; ƒ Social 4. Environmental Impacts ƒ Impacts during project construction period: Physical (air, water, land), Biological (fauna and flora), Economic, Social ƒ Impacts during project operation period: Physical (air, water, land), biological (fauna and flora), economic, social; ƒ Impacts during project closure phase: physical (air, water, land), biological (fauna and flora), economic, social 5. Environmental Management Plan or draft TOR for an EIA If the project is not required to undertake an EIA, the EMP must contain: protective or reductive measures for environmental impacts, compensation measures (if any), institutional arrangements, timing and budgets for implementation of EMP, an environmental monitoring program. 6. Description of public involvement activities during IEE 7. Conclusions and Recommendations Page 39 Khammouane Rural Livelihoods Project (KRLP) page 38 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government ANNEX IV: Full Environmental Impact Assessment The general contents and format of an EIA report for development projects in the KRLP would include: 1. Executive Summary 2. Introduction ƒ Name and address of project owner and DPRA ƒ Name, address and affiliation of the author of the report ƒ Purposes of the project ƒ Institutional framework including relevant laws, regulations and international treaties that pertain to the project 3. Description of the environment in the project area (baseline data) ƒ Physical; ƒ Biological; ƒ Economic; ƒ Social 4. Identification and evaluation of reasonable alternatives for achieving the project purpose(s) 5. Direct and indirect significant environmental impacts including cumulative impacts for each of the alternatives ƒ Impacts during project construction period (including preparation) ƒ Impacts during project operation period ƒ Impacts during project closure period ƒ Compliance with laws, regulations, international treaties and land use or watershed management plans in the project area 6. Summary on PI activities during preparation of EIA report 7. Identification of the chosen alternative and reasons for choosing the alternative 8. Detailed description of the chosen alternative project ƒ workplan including time intervals for operation of project ƒ construction and ƒ project costing ƒ economic benefits versus environmental damage ƒ social, natural resources, health risks and security of population 9. Environmental Management Plan to prevent and reduce environmental impacts ƒ protective or reductive measures for physical, biological, economic and social ƒ impacts ƒ compensation measures (if any) ƒ environmental monitoring programme ƒ training workshops for implementation of EMP ƒ institutional arrangements, timing and budgets for implementation of EMP 10. Conclusions and Recommendations 11. References 12. Annexes Page 40 Khammouane Rural Livelihoods Project (KRLP) page 39 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government ANNEX V: Integrated Pest Management Plan 1. Pest management approach: · Current and anticipated pest problems relevant to the project. (common pest problems and estimated economic impact); · Current and proposed pest management practices. (Describe current and proposed practices, including non-chemical preventative techniques, biological and chemical control; Is optimum use being made of agro- ecosystem management techniques to reduce pest pressure and of available non-chemical methods to control pests; Do farmers and extension staff get sufficient information about IPM approaches that reduce reliance on chemical control?) · Relevant IPM experience within the project area, country or Region. (Describe existing IPM practices, IPM projects/programs, IPM research); · Assessment of proposed or current pest management approach and recommendations for adjustment where necessary. (Where the current or proposed practices are not consistent with the principles of an IPM approach, the discrepancies should be discussed and a strategy should be proposed to bring pest management activities under the project into line with IPM). 2. Pesticide management: · Describe present, proposed and/or envisaged pesticide use and assess whether such use is in line with IPM principles. · (Provide purpose of pesticide use, type of products used, frequency of applications, application methods; Is pesticide use part of an IPM approach and its justified? Justification of pesticide use under the project should (a) explain the IPM approach and the reason why pesticide use is considered, (b) provide an economic assessment demonstrating that the proposed pesticide use would increase farmers' net profits, or, for public health projects, provide evidence that the proposed pesticide use is justified from the best available (preferably WHO-supported) public health evidence); · Indication of type and quantity of pesticides envisaged to be financed by the project (in volume and dollar value) and/or assessment of increase in pesticide use resulting from the project; · Circumstances of pesticide use and the capability and competence of end- users to handle products within acceptable risk margins (e.g. user access to, and use of, protective gear and appropriate application equipment; users' product knowledge and understanding of hazards and risks; appropriateness of on-farm storage facilities for pesticides); · Assessment of environmental, occupational and public health risks associated with the transport, storage, handling and use of the proposed products under local circumstances, and the disposal of empty containers; · Pre-requisites and/or measures required to reduce specific risks associated with envisaged pesticide use under the project. (e.g.: protective gear, training, upgrading of storage facilities, etc.) · Selection of pesticides authorized for procurement under the project, taking into consideration: (a) criteria OP 4.09 on Pest Management; (b) the above Page 41 Khammouane Rural Livelihoods Project (KRLP) page 40 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government hazards and risks, and (c) availability of newer and less hazardous products and techniques (e.g. bio-pesticides, traps) 3. Policy, regulatory framework, and institutional capacity: · Policies on plant protection and IPM (What are the government policies on pest management /crop protection and are these consistent with IPM approaches? Are there direct or indirect subsidies for pesticides, donated pesticides that distort market prices, or other factors that hamper uptake of IPM); · Description and assessment of capacity to develop and implement ecologically-based IPM (Public and private sector extension services, extension services provided by NGOs, research); · Description and assessment of the country's regulatory framework and institutional capacity for control of the distribution and use of pesticides (Has pesticide legislation been enacted. Is it adequate and is it being enforced? Is a pesticide registration scheme functioning? Assess effectiveness of measures to limit access to Class II pesticides to licensed users if the use of such products is proposed (a specific requirement OP 4.09). Does the government monitor the quality of imported pesticides? Is there a quality control laboratory? Is there a licensing system for traders? Does the government actively monitor pesticide use and storage? Are poisoning statistics available? Are pesticide residues being monitored on export crops and crops for the domestic market? Are medical staffs at rural clinics trained to recognize and treat pesticide poisoning, and are antidotes available in rural areas? If pesticides are financed, is local formulation/packaging envisaged? If yes, does this meet the necessary requirements regarding occupational safety and are products properly packaged and labeled?) · Proposed project (sub) components to strengthen capacity, where necessary. 4. Monitoring and evaluation: · Description of activities that require local monitoring during implementation · Description of activities that require monitoring during supervision visits (e.g. regarding: effectiveness of measures to mitigate risks; progress in strengthening regulatory framework and institutional capacity; identification of new issues or risks arising during implementation); · Monitoring and supervision plan, implementation responsibilities, required expertise and cost coverage. Page 42 Khammouane Rural Livelihoods Project (KRLP) page 41 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government ANNEX VI: List of Active Ingredients Not Acceptable to KRLP Page 43 Khammouane Rural Livelihoods Project (KRLP) page 42 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government ANNEX VII: Example Checklist for Irrigation Projects Modified after the ICID Environmental Check-list (1993). To identify Environmental Effects of Irrigation, Drainage and Flood Control Projects. (online: http://www.dfid-kar- water.net/w5outputs/output_summary_sheets/icid_env_checklist_os.html ) CHECK-LIST OF POSSIBLE ENVIRONMENTAL EFFECTS POTENTIAL IMPACT FINDINGS/ MITIGATION MEASURES 1. HYDROLOGICAL CHANGES 1.1 Low flow regime: Is the low flow regime of the river substantially changed by the Project and its dams (by more than ±20% in low flow periods)? If so, does this change benefit or impair aquatic ecosystems, existing or potential downstream abstractions, hydropower, navigation or recreational uses? 1.2 Flood regime: Is the flood regime of the river (peak discharge and stage, speed of flood waves, flood super-position with joining rivers, duration or extent of floodplain inundations downstream) substantially changed by the Project as a result of changes in abstractions, retention storage, reservoir releases, flood protection works, new road/rail routes, river training or surface drainage works? If so, does this change benefit or impair aquatic and flood-affected ecosystems, lead to an increase or decrease in flood damage or change land use restrictions outside the Project? 1.3 Operation of dams: Can modifications to the operation of any storage or flood retention reservoir(s) compensate for any adverse impacts associated with changes in flow regime, whilst minimising the losses to the Project and other users? Possible modifications affecting water quality downstream, saline intrusion, the sediment regime of channels, the ecology of affected areas, amenity values, disease transmission or aquatic weed growth should be considered. (A separate environmental assessment of large reservoir(s) may be required). Page 44 Khammouane Rural Livelihoods Project (KRLP) page 43 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government POTENTIAL IMPACT FINDINGS/ MITIGATION MEASURES 1.4 Fall of water table: Does the Project cause a fall of the water table (from groundwater abstractions, reduced infiltration due to river training, drainage or flood protection works)? If so, does this fall lead to increased potential for groundwater recharge (from seasonal rainfall) and improved conditions for land use; or lead to depletion of the groundwater system, affecting wells, springs, river flows and wetlands? 1.5 Rise of water table: Does the Project cause a rise of the water table (from increased infiltration or seepage from irrigation, seepage from reservoirs and canals, or increased floodplain inundation)? If so, does this rise lead to improved yield of wells and springs and improved capillary rise into the root zone; or lead to waterlogging of agricultural or other land in the Project area or vicinity? 2. ORGANIC AND INORGANIC POLLUTION 2.1 Solute dispersion: Are the Project and its dams leading to changes in the concentrations of organic or inorganic solutes in the surface water due to changes to the pattern of water abstraction and reuse in the basin or flow regulation? If so, do the changes benefit or impair biological communities or domestic, agricultural or industrial water users in the basin? 2.2 Toxic substances: Are significant levels of toxic substances accumulating or being introduced, mobilised and transmitted due to the construction and operation of the Project and its dams, or are levels being reduced? Substances such as pesticides, herbicides, hydrogen sulphide, oil derivatives, boron, selenium and heavy metals in irrigation supplies or surface, drainage and ground waters should be considered. 2.3 Organic pollution: Are nutrients, organic compounds and pathogens being reduced or introduced and concentrated, due to the Project, its dams and its associated domestic settlements? If so, does the change result in a reduction or increase in environmental and water use problems in the Project area or downstream (in rivers, canals, reservoirs, end lakes, evaporation wet lands, depressions, deltas, estuary regions) or in the groundwater? Page 45 Khammouane Rural Livelihoods Project (KRLP) page 44 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government POTENTIAL IMPACT FINDINGS/ MITIGATION MEASURES 2.4 Anaerobic effects: Is the Project reducing or creating anaerobic conditions or eutrophication in any impoundments, natural lakes, pools or wetlands due to changed input or accumulation of fertilizers, other nutrients and organic matter or due to changed water quality resulting from dams, river abstractions and drainage flows? 2.5 Gas Emissions: Is the Project, either directly or through associated industrial processing, causing decreased or increased gas emissions which contribute to air pollution (03, SO3, H2S, NOR, NH4, etc) or the greenhouse effect (CO2, CH4, NON, etc)? 3. SOIL PROPERTIES AND SALINITY EFFECTS 3.1 Soil salinity: Is the Project leading to progressive accumulation of salts in the soils of the project area or the vicinity because of prevailing high salt content in, the soil, the groundwater, or the surface water; or can a progressive leaching effect be expected? 3.2 Soil properties: Is the Project leading to changes in soil characteristics within the Project area or the vicinity due to such activities as irrigation, the application of fertilizers or other chemicals, cultivation practices or dewatering through drainage? Changes which can improve or impair soil structure, workability, permeability, fertility associated with nutrient changes, humus content, pH, acid sulphate or hard pan formation or available water capacity should be considered. 3.3 Saline groundwater: Are changes to the rates of seepage, percolation or leaching from the Project and its dams increasing or decreasing the concentrations of chlorides, nitrates or other salts in the groundwater? 3.4 Saline drainage: Are changes to the concentrations of chlorides, nitrates or other salts in the runoff or drainage water from the Project area in danger of affecting biological communities or existing or potential downstream users (particularly during low flow conditions)? 4. EROSION AND SEDIMENTATION Page 46 Khammouane Rural Livelihoods Project (KRLP) page 45 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government POTENTIAL IMPACT FINDINGS/ MITIGATION MEASURES 4.1 Local erosion: Is increased or decreased soil loss or gully erosion being caused within or close to the Project area by changes in land gradient and vegetative cover, by irrigation and cultivation practice, from banks of canals, roads and dams, from areas of cut and fill or due to storm drainage provision? 4.2 Hinterland effect: Are the Project and its dams leading to changes in natural vegetation, land productivity and erosion through changes in population density, animal husbandry, dryland farming practices, forest cover, soil conservation measures, infrastructure development and economic activities in the upper catchment and in the region surrounding the Project? 4.3 River morpholoqy: Is the regime of the river(s) changed by the Project and its dams through changes in the quantity or seasonal distribution of flows and flood peaks in the river(s), the abstraction of clear water, changes in sediment yield (caused by 4.1 and 4.2), the trapping of sediment in reservoirs or the flushing of sediment control structures? If so, do these changes benefit or impair aquatic ecosystems or existing or potential users downstream? 4.4 Channel structures: Is scouring, aggradation or bank erosion in the river(s), endangering the Project's river headworks, offtake structures, weirs or pump inlets, its canal network, drainage or flood protection works, the free flow of its drainage system or structures and developments downstream? Consider effects associated with changes noted in 4.3 as well as those caused by other existing and planned upstream developments. 4.5 Sedimentation: Are the changes noted in 4.1 - 4.4 causing increased or decreased sediment deposition in irrigation or drainage canals, hydraulic structures, storage reservoirs or on cultivated land, either via the irrigation system or the river(s)? If so, do these changes benefit or impair soil fertility, Project operation, land cultivation or the capacity and operation of reservoirs? 5. BIOLOGICAL AND ECOLOGICAL CHANGES Page 47 Khammouane Rural Livelihoods Project (KRLP) page 46 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government POTENTIAL IMPACT FINDINGS/ MITIGATION MEASURES Is the Project, its dams or its associated infrastructure causing substantial and permanent changes (positive or negative) within the habitats listed in 5.1 - 5.5? · in the natural ecology (habitat, vegetation, terrestrial animals, birds, fish and other aquatic animals and plants), · in areas of special scientific interest, or · in biological diversity Include the likely ecological benefit of any new or modified habitats created and of any protective or mitigatory measures adopted (such as nature reserves and compensatory forests). 5.1 Project lands: The lands within the project area. 5.2 Water bodies: Newly created, altered or natural channels, reservoirs, lakes and rivers. 5.3 Surrounding area: All terrestrial areas influenced by the Project works and its associated domestic settlements and hinterland effects. 5.4 Valleys and shores: River and canal banks, lake, reservoir and sea shores and the offshore marine environment. 5.5 Wetlands and plains: Floodplains or permanent wetlands including deltas and coastal swamps. 5.6 Rare species: Is the existence of any rare, endangered or protected species in the region enhanced or threatened by the changes noted in 5.1 - 5.5? 5.7 Animal migration: Does the Project, its dams or new road/rail routes affect the migration patterns of wild animals, birds or fish? Make allowance for the compensatory effect of any additional provision within the Project (canal crossings, fish passes, spawning locations, resting or watering places, shade, considerate operation). 5.8 Natural industry: Are commercial or subsistence activities depending on the natural terrestrial and aquatic environment benefited or adversely affected by the Project through ecological changes or changes in human access? Changes affecting such activities as fisheries, harvesting from natural vegetation, timber, game hunting or viewing and honey production should be considered. 7. HUMAN HEALTH Page 48 Khammouane Rural Livelihoods Project (KRLP) page 47 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government POTENTIAL IMPACT FINDINGS/ MITIGATION MEASURES Consider each of the items 7.1 - 7.9 in relation to the local population, the labour force during construction and their camp followers, the resettled and newly settled populations and migratory labour groups. 7.1 Water and Sanitation: Are the provisions for domestic water, sanitation and refuse disposal such that oral, faecal, water washed and other diseases and the pollution of domestic water can be controlled? 7.2 Habitation: Are the provisions for housing and forecast population densities such that diseases related to habitation or location of dwellings can be controlled? 7.3 Health services: Are general health provisions adequate (treatment, vaccination, health education, family planning and other health facilities)? 7.4 Nutrition: Is the Project leading to an increase or decrease in the general nutritional status of the population or to changes in other lifestyle or income related diseases? If so, are any specific groups particularly exposed to such health risks? 7.5 Relocation effect: Are population movements introducing new infectious or water-related diseases to the Project area or causing stress-related health problems or bringing people with a low resistance to particular diseases into areas of high transmission? 7.6 Disease ecology: Are the extent and seasonal character of reservoirs, canals, drains, fast flowing waters, paddy fields, flooded areas or swamps and the closeness or contact of the population with such water bodies leading to significant changes in the transmission of water related diseases? 7.7 Disease hosts: Are the populations of intermediate and other primary hosts of parasitic and water-related diseases (rodents, birds, monkeys, fish, domestic animals) and the interaction of the human population with these hosts, decreased or increased by the Project? Page 49 Khammouane Rural Livelihoods Project (KRLP) page 48 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government POTENTIAL IMPACT FINDINGS/ MITIGATION MEASURES 7.8 Disease control: Can the transmission of the diseases identified in 7.1, 7.2, 7.5, 7.6 and 7.7 be reduced by introducing into the Project environmental modifications or manipulations or by any other sustainable control methods? Possible environmental measures include both removal of breeding, resting and hiding places of vectors and reducing contamination by and contact with humans. 7.9 Other hazards: Is the risk to the population decreased or increased with respect to: · Pathogens or toxic chemicals present in irrigation water (particularly through wastewater reuse) or in the soils, which can accumulate in food crops or directly threaten the health of the population; · Dwellings adequately located and designed to withstand any storm, earthquake or flood hazards; · Sudden surges in river flow caused by the operation of spillways or power turbines; and · Structures and water bodies designed to minimize accident and allow escape? 8. ECOLOGICAL IMBALANCES 8.1 Pests and weeds: Are crop pests or weeds likely to increase or decrease (particularly those favoured by irrigation/drainage/flood control) affecting yields, cultivation and requirements for pesticides or herbicides? 8.2 Animal diseases: Are domestic animals in the Project or vicinity more or less exposed to hazards, diseases and parasites as a result of the Project and its dams? 8.3 Aquatic weeds: Are reservoirs, rivers or irrigation and drainage canals likely to support aquatic vegetation or algae? If so, can these plants be harvested or controlled, or will they reduce the storage/conveyance capacity, interfere with the operation of hydraulic structures or lead to oxygen- oversaturated or anaerobic water bodies? 8.4 Structural damage: Is there a danger of significant damage being caused to dams, embankments, canal banks or other components of the irrigation/drainage/flood control works through the action of plants and animals (including rodents and termites) favoured by the Project? Page 50 Khammouane Rural Livelihoods Project (KRLP) page 49 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government POTENTIAL IMPACT FINDINGS/ MITIGATION MEASURES 8.5 Animal imbalances: Does the Project cause zoological imbalances (insects, rodents, birds and other wild animals) through habitat modification, additional food supply and shelter, extermination of predators, reduced competition or increased diseases? Additional findings and comments: Page 51 Khammouane Rural Livelihoods Project (KRLP) page 50 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government ANNEX VIII: Example Environmental Management Plan for Upgrading Small Road Projects Environmental Issue and Objective: Mitigation Measures (summary only) Locations Timeframe Estimated Mitigation Costs Implementation Supervision DESIGN / PRE- CONSTRUCTION PHASE: Protection of (sensitive) Natural areas Minimize negative impacts on sensitive ecosystems, or the natural environment: Suspected sections of the proposed road alignment and quarry sites. During project preparation and design. Environmentally Sound design Avoid erosion and damage to the road: Entire road section, culverts, and crossing with rivers/creeks. During project preparation and design. Road Safety Avoid accidents during and after operation of the road: Entire road section and construction sites During project preparation and design. Cultural Heritage Avoid any serious damage to cultural heritage site (i.e. ceremonial sites and burial grounds) All potential cultural heritage sites. During project preparation and design. Social or Community Concerns Minimize the impact of any social impact of an relocation or resettlement of people Potential road alignment and quarry sites. During project preparation and design. Minimize damage to personal and community property Private property close to the road sides. During project preparation and design. Page 52 Khammouane Rural Livelihoods Project (KRLP) page 51 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government Environmental Issue and Objective: Mitigation Measures (summary only) Locations Timeframe Estimated Mitigation Costs Implementation Supervision CONSTRUCTION PHASE: S ocial or Community Concerns M inimize social disturbance and maximize community benefits from the subproject: P otential road alignment and quarry sites. D uring mobilization and start of construction activities in the communities Soil Instability and Erosion Minimize the amount of sediment lost from the site: All areas where clearing is required. Continuous Controlling Sediment To minimize impact of storm water containing sediment on streams and coasts: All areas where clearing is required. Continuous Controlling Storm water Minimize the impact of contaminated runoff water All areas where clearing is required. Continuous Management of Stockpiles, Spoil-heaps, Batters Manage features so dust and runoff are minimized. Dumping areas. Continuous Air Quality and Dust Control Ensure there is no health risk or inconvenience due to dust production: Cleared areas, quarry site During dry periods Noise control Ensure nuisance from noise is minimized: All construction areas, access routes, and quarry sites Continuous Quarry Selection and Management Minimize long-term impacts of quarrying and gravel extraction, identify for solid rock quarries. All proposed quarry sites From quarry development to closure Offsite and Waste Management Avoid contamination from solid wastes and sewerage. All proposed quarry sites From quarry development to closure Page 53 Khammouane Rural Livelihoods Project (KRLP) page 52 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government Environmental Issue and Objective: Mitigation Measures (summary only) Locations Timeframe Estimated Mitigation Costs Implementation Supervision Safety and Health Ensure maximum safety of construction personnel and local residents. All construction and quarry sites. Continuous Avoid disturbance by the constructions workers. Construction camps Continuous General Health and Safety Awareness for construction workers. Construction camps Continuous Site de- commissioning All construction and camp sites After completion of construction OPERATION PHASE: Peoples Safety Mitigate increased vehicle speed (to over 80 km/hour). Sensitive areas (settlements, schools, markets) As required. Rehabilitation and Maintenance of Practices To avoid drainage problems, aggravation of erosion, and reduced visibility. Entire road section As required. Page 54 Khammouane Rural Livelihoods Project (KRLP) page 53 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government Annex IX – Example Checklist for Upgrading Small Roads and Bridges Potential Negative Impact Proposed Enhancement/ Mitigating Measures Pre-Construction/Construction Phase Increase in noise level · Schedule equipment move in to blend with regular non-peak hour –daytime vehicular traffic. No night time moving · Provide barriers in work areas expected to use equipment with high noise power level Slope modification/ Ground leveling · Minimize land modification following established design consideration. Increased in traffic · Rerouting of vehicular traffic to less congested roads Affects wildlife or their habitat · Plant trees/plants in nearby areas but must not affect the structure built or its purpose. · Appropriate warning signs regarding wildlife conservation Decreased public / community access to or through the area · Provide access to affected establishments and minimize obstruction to areas Affects other present utilities and infrastructures · Coordinate with appropriate utility firms in relocation of their utility lines Increased economic activity in the area · Implement traffic management plan · Comply with city ordinance, build temporary facilities Displacement or relocation of people/community · Proper notification of affected areas and restore services as quickly as possible and schedule disruption during non-peak hours · Inform and compensate affected stakeholders prior to their relocation Increased employment · Hire as many locals especially those that will be displaced Impact on indigenous communities / vulnerable groups/ women · Schedule activities during non-peak hours Increased housing requirement for transient workers, project management staff? · Provide temporary bunkhouse on site or rent houses in neighboring communities if housing requirements cannot be accommodated in the locality where the project is located Traverse areas with historical significance · Report recoveries to the local or national responsible agency, National Museum, and/or and other relevant institution interested in the subject matter, immediately comply with pertinent laws in the matter and request supervision to the proper authority Increased hazards due to post-construction wastes/debris · Provide safety equipment and appropriate warning signs along the route · Provide alternative use of the construction yard/staging area once the project demobilizes Page 55 Khammouane Rural Livelihoods Project (KRLP) page 54 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government Potential Negative Impact Proposed Enhancement/ Mitigating Measures · Clear construction debris, form works and equipment and removal of all obstruction · Minimize construction clutter, proper management of construction debris, provide barrier to hide Operation Phase Increased flooding and clogging of drainage · Provide adequate drainage and direct flow to the nearest outflow Increased economic activities · Inevitable. The local government will have the jurisdiction to control activities in the area Affect wildlife or their habitat · Plant trees/plants in nearby areas but must not affect the structure built or its purpose · Appropriate warning signs regarding wildlife conservation Page 56 Khammouane Rural Livelihoods Project (KRLP) page 55 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government Annex X – Example Checklist for Water Supply projects (Groundwater) Potential Negative Impact Proposed Enhancement/ Mitigating Measures Pre-construction Sustainability and protection of groundwater resources (see also below) · Analyze feasibility of acquiring land directly around the well; · Assure that no people are negative affected by land acquisition, i.e. provide proper compensation for losses of land and income; · Assure that no potential pollution sources are present in the recharge area Conflicting interests of water users · Prediction of insignificant draw-down in surrounding wells (see below) Existing groundwater contaminated · Check groundwater on organic and inorganic components, metals (Iron, Manganese !) Construction Disturbance of the land surface due to drilling activities · Minimize impacts and provide proper compensation for economic losses Soil and water contamination by spilling of oil products · Control (collection, disposal) of oil spillage Hindrance (noise, traffic, etc) due to drilling activities · Minimize hindrance to local population · Provide labor and engage local population in drilling activities Operation Contamination of the groundwater source · Acquire and fence a protection zone directly around the well; · Regulate potential polluting activities in recharge zone; · Monitor water level and groundwater abstraction; Lowered groundwater table · Calculate safe yield (abstraction) · Apply sufficient spacing between deep wells · Assure/proof that other water users are not affected Reduction in artesian flow (see also below) · Locate the well in an area where other water users are not affected Intrusion of saline water · Locate the well at sufficient distance from the sea · Determine and monitor draw-down and safe yield Decreasing discharge of surface water streams · Assure that quantity pumped is relatively limited compared to stream discharge Increase of noise · Usage of electrical submersible pumps · Construction of proper pumping house Page 57 Khammouane Rural Livelihoods Project (KRLP) page 56 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government Annex XI – Example Checklist for small Water Impounding projects Potential Negative Impact Proposed Enhancement/ Mitigating Measures Pre-Construction/Construction Details (both dam and service canal) Siltation of drainage’s or waterways from unconfined stockpiles of soil and other materials. Topsoil removal, loss and soil erosion from earthmoving activities. Soil disturbance and displacement from transport and hauling activities, access road/trail Construction, erosion from exposed cuts, etc. · Set-up temporary silt traps/pond along water bodies to prevent siltation. · Proper stockpiling of spoils on flat areas and away from drainage areas. · Avoid long exposure of open cuts. · Installation of barrier nets. · Provide site for spoil disposal. Damages distinctive to existing vegetation from cutting, clearing or removal of weeds, grasses and other types of vegetation during site preparation. Damages or disturbance to existing wildlife and vegetation from transport and hauling. Loss of vegetation. Decrease or disturbance to rare, endangered or threatened plants or animal’s species present in the area. Disturbance or loss of habitants of birds and other wildlife species. · Earth-ball small to medium-sized trees for transplanting in designated areas (above 20 cm. In diameter will not be cut). · Replace every tree cut with not less than 10 nursery grown trees of the same species of at least 1m high. · Retention of matured trees species. · Provide temporary fencing around important species to be retained. · use of markers and fences to direct heavy equipment traffic in the construction site and avoid damaging important species Damages or disturbance to existing wildlife and vegetation from transport and hauling. Loss of vegetation. Decrease or disturbance to rare, endangered or threatened plants or animal’s species present in the area. Disturbance or loss of habitants of birds and other wildlife species. · Plant indigenous tree species and ornamental plants preferably native in the area. · Avoid critical habitat areas and flora and fauna that maybe considered rare or endangered by re-routing permanent structures. · Re-established or simulate the habitat in other suitable areas. Loss of top soil Soil erosion from earthmoving activities · Stockpile the topsoil and used as the final grading materials or final layer. · provide site for spoil disposal · installation of barrier nets proper stockpiling of spoils Soil disturbance and displacement from transport and hauling activities, access road/trail construction, erosion from exposed cuts. Increase in solid waste generation from excavation works. Increase in dust generation. Increase on noise generation. · Stockpile the topsoil and used as final grading material. · Conduct access road construction during dry season. · Removed soil/mud from tires of trucks and equipment before proceeding to the highway. Page 58 Khammouane Rural Livelihoods Project (KRLP) page 57 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government Potential Negative Impact Proposed Enhancement/ Mitigating Measures Increase in dust generation from civil works, clearing and earthmoving activities. increase in noise generation from site preparation/construction activities · Regular watering of unpaved roads or exposed soils/grounds. · Speed-up earthmoving activities. · Hauling trucks should cover their loads with canvass or any equivalent materials. · Set-up temporary fence around the construction site. · Set-up temporary disposal site within the construction area and properly disposed to generated solid waste at the existing dumpsite of the city/Municipality. · Re-use as much construction spoils as possible in the construction activities. · Set-up proper and adequate temporary toilet facilities. · Conduct orientation of workers on proper waste disposal and proper sanitation. · Schedule noisy construction activities during daytime. · Undertake proper maintenance of equipment and use of muffler for certain equipment. Dust generation. Siltation of nearby water bodies · Regular watering of stockpile is. · Provide enclosure on stockpile area. Hazards caused by sitting structures in geologically unstable areas. · Undertake detailed geotechnical studies prior to construction to determine proper sitting of structures. · Proper engineering design. Probable landslide. Siltation and/or erosion on the nearby water bodies due to slope modification and ground leveling · Use of benching method to stabilize the slope. · Rip rapping of cut areas. · Stabilization of the slope through planting of vegetation. · Provide proper drainage and silt traps along the slope. Increase in dust generation due to traffic movement. Increase in noise generation due to traffic movement. · Regular watering of unpaved roads. · Speed-up earth moving activities. · Hauling truck should be covered with canvass or equivalent materials. · schedule hauling during day time · Undertake proper maintenance of equipment and use of muffler for certain equipment. Increase in business and income opportunities for the local communities. · Priority shall be given to purchasing some of the required building and food supplies from the local business establishment. Generation of employment · Priority shall be given to the hiring of local workers. Page 59 Khammouane Rural Livelihoods Project (KRLP) page 58 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government Potential Negative Impact Proposed Enhancement/ Mitigating Measures Rise in associated projects or economic activities in the surrounding areas. · Interested community members can set-up a cooperative to corner the service requirements of the contractor. Displacement of existing settlements in the area. · Provide compensation based on negotiation and mutual agreement. · Provide relocation site and alternative livelihood program, if necessary. Traffic problems during hauling of construction materials. · Schedule transport and hauling activities during non-peak hours when there is less or no traffic. · Site the entry and exit points in areas where there is no congestion or which are not traffic gridlock/choke points. Conflict of right of way · Conduct consultations with the concerned parties prior to finalizing any project layout and design. · A mutually agreed terms or conditions of settlement which may be in the forms of compensation. · Compensation of affected household based on mutually agreed upon packages. · Provisions of relocation sites. Operation and Maintenance Phase Increase in solid waste and sewage generation which may cause pollution of nearby water bodies and affect water quality. · Provide a regular garbage collection and disposal system either by hiring a local contractor, by availing of the municipal/city garbage collection services or setting up your own sanitary disposal site. · Provide adequate sewage facilities in the project, i.e. septic tank with disposal by absorption field or leaching pit. · Provide adequate garbage containers or receptacles in strategic areas around the project site and provide regular collection of garbage. · Conduct regular inspection and maintenance of septic tanks to prevent leakage. Improved drainage and water system which can promote a more efficient use of water supply. Increased surface run-off which may result to flooding or flash floods in the area. Reduced surface infiltration rates which may decrease recharges of the water table. · Provide adequate and appropriate drainage system, i.e. perimeter drainage, interceptor. · Conduct regular inspection and proper maintenance of both drainage and water systems. · Conduct regular cleaning of drain inlets. · Provide adequate open spaces and greenbelts within project site. Page 60 Khammouane Rural Livelihoods Project (KRLP) page 59 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government Potential Negative Impact Proposed Enhancement/ Mitigating Measures Traffic and congestion · provide proper setting of entrance and exits to and from the site to avoid traffic gridlock · Provide adequate parking space within the project site. · Provide adequate width of access road networks. Rise in associated projects · strict implementation of land use plan Increase of land values. Decrease in land values. · Strict implementation of land use plan. increase in individual income increase in family income increase in local tax collection · Priority shall be given to local residence for hiring. Changes in land use which will affect habitat of birds and wildlife. · All open space and pathways should be planted with ornamental and indigenous tree species that will attract birds and other wildlife. damage and disturbance to aquatic habitat cause by solid waste and sewage pollution · Provide treatment facility. · Conduct regular monitoring. Increase in noise generation during operation. · Undertake proper maintenance of equipment. · Provide noise reduction facility. Page 61 Khammouane Rural Livelihoods Project (KRLP) page 60 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government Annex XII – Example Checklist for other Small Scale Infrastructure projects Potential Negative Impact Proposed Enhancement/ Mitigating Measures Pre-Construction/Construction Phase Increase in dust generation due to clearing, civil works and earthmoving activities · Regular watering of unpaved roads or exposed soils/ground · Remove soil /mud from tires of trucks and equipment before leaving the area. · Hauling trucks should be covered with canvass or any equivalent materials · Set-up temporary fence around the construction area. Top soil removal and loss due earthmoving activities, transport, access road construction · Stockpile the top soil in a safe place and use as final grading material or final layer · As soon as possible, rip-rap or re- vegetate the area Erosion from exposed cuts and landslides due to earthmoving and excavation activities · Conduct construction activities during dry seasonAvoid long exposure of opened cuts · Installation of barrier nets Sedimentation/ siltation of drainage or waterways from unconfined stockpiles of soil and other materials · Set-up temporary silt trap/ponds to prevent siltation · Proper stockpiling of spoils (on flat areas and away from drainage routes · Spoils generated from civil works be disposed as filling materials Pollution of nearby water body due to improper disposal of construction wastes · Set-up temporary disposal mechanism within the construction area and properly dispose the generated solid wastes. · Set up proper and adequate toilet facilities · Strictly require the contractor and its workers to observe proper waste disposal and proper sanitation Loss of vegetation due to land clearing · Limit land clearing as much as possible · Provide temporary fencing to vegetation that will be retained · Use of markers and fences to direct heavy equipment traffic in the construction site and avoid damage to plants · Re-plant/ plant indigenous tree species and ornamental plants Disturbance or loss of wildlife within the influence area due to noise and other construction activities · Re-establish or simulate the habitat of affected wildlife in another suitable area · Schedule noisy construction activities during day time · Undertake proper maintenance of equipment and use mufflers Page 62 Khammouane Rural Livelihoods Project (KRLP) page 61 Prepared by the KRLP Project Implementation Unit Department of Planning and Investment Khammouane Provincial Government Potential Negative Impact Proposed Enhancement/ Mitigating Measures Noise generation that can affect the nearby resident · Schedule noisy construction activities during day time · Undertake proper maintenance of equipment and use mufflers Generation of employment · Hiring priority shall be given to qualified local residents Conflicts in right of way · Conduct consultation and settle agreements before finalizing detailed design Increased traffic and possible congestion · Strict enforcement of traffic rules and regulations · Proponent should provide traffic aid during peak hours Increase in the incidence of crime and accidents · Strictly require the contractor and its workers to follow safety rules and regulations in the construction and in the locality (in coordination with local authorities) Operation Phase Generation of domestic effluents · Provision of an effective (at least 3- chamber septic tank) · Provision of adequate wastewater treatment facilities Generation of solid wastes · Segregation of recyclable materials · Proper collection and disposal of solid wastes · Proper housekeeping and waste minimization Increased traffic and possible congestion as well as increase risk of vehicular and related accidents · Strict enforcement of traffic rules and regulations · Placement of signage and warnings in appropriate places Page 63 K h a m m o u a n e R u r a l L i v e l i h o o d s P r o j e c t ( K R L P ) p a g e 6 2 P r e p a r e d b y t h e K R L P P r o j e c t I m p l e m e n t a t i o n U n i t F I N A L _ 1 8 F e b r u a r y 2 0 0 8 D e p a r t m e n t o f P l a n n i n g a n d I n v e s t m e n t K h a m m o u a n e P r o v i n c i a l G o v e r n m e n t A n n e x X I I I : S u m m a r y o f I n f o r m a t i o n o n L a n d I n f r a s t r u c t u r e P r o v i n c e : _ _ _ _ _ _ _ _ _ _ _ _ _ D i s t r i c t : _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ V i l l a g e / C o m m u n e : _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ L o s s o f A s s e t s L o s s o f C r o p s L o s s o f o t h e r A s s e t s O t h e r L o s s e s H H N o . N a m e o f H e a d o f H o u s e h o l d N o . o f P e r s o n s i n H o u s e h o l d T o t a l L a n d h o l d i n g o f H o u s e h o l d ( m 2 ) L a n d t o b e a c q u i r e d ( m 2 ) L o s s a s % o f T o t a l S t r u c t u r e s P e r m a n e n t ( m 2 ) S t r u c t u r e s T e m p o r a r y ( m 2 ) A r e a o f R e s i d e n t i a l L a n d L o s t ( m 2 ) F r u i t T r e e s L o s t ( T y p e a n d N u m b e r ) A r e a o f T r e e s / C r o p s L o s t ( m 2 ) O t h e r ( S p e c i f y ) E x a m p l e : g r a v e y a r d s , w e l l s , e t c . ( t y p e a n d n u m b e r ) R e s i d e n c e ( r e n t e d ) B u s i n e s s L o s t I n c o m e L o s t Page 64 Khammouane Rural Livelihoods Project (KRLP) page 63 Prepared by the KRLP Project Implementation Unit FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government Annex XIV – Contents of an abbreviated RAP ƒ Project Description and Location ƒ Potential displacement due to proposed subprojects ƒ Legal Framework ƒ Census and socioeconomic survey of affected families, properties and businesses ƒ Impacts caused by displacement ƒ Main findings of socio-economic survey ƒ Proposed assistance to affected families/persons ƒ Responsible partner Organizations/Institutions ƒ Source of Funds and Cost Estimates ƒ Resettlement Schedules ƒ Monitoring and Evaluation Page 65 Khammouane Rural Livelihoods Project (KRLP) page 64 Prepared by the KRLP Project Implementation Unit FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government Annex XV - Outline for a Resettlement Action Plan 5 I. Introduction ƒ Description of project components ƒ Summary Description of adverse impacts and assets acquisition ƒ Identification of principal stakeholders including social groups vulnerable to impoverishment or debilitation ƒ Indicate measures taken to minimize adverse impacts II. Census and Socioeconomic Survey Results ƒ Review socio-economic characteristics of Project Affected Persons (PAPs), including: spatial distribution, household size and composition; age-sex structure; income levels, including primary occupation, supplementary sources of income, and subsistence activities; tenure and ownership status (land and structures); characteristics of collective land holdings, including area and qualitative characteristics; characteristics of structures, including construction types. ƒ Information should be provided disaggregated by ethnic groups, if any and gender ƒ Categories and numbers of PAPs by type and degree of impacts such as: a) Severely affected households due to loss of productive assets and required to relocate b) Severely affected households due to loss of residence, business premises c) Partially affected households likely to be marginalized due to the loss of land, house, or business premises but not required to relocate d) Households affected by minor impacts, receiving only easement compensation or “moving back” assistance e) Tenants, laborers, employees, or other non-landed persons adversely affected by the project III. Compensation Entitlement Criteria ƒ Description of objectives of compensation policy ƒ Eligibility criteria for PAPs, including “cut-off date”, if necessary ƒ Description of compensation entitlements and other forms of assistance for each category of PAPs ƒ Description of specific measures to mitigate adverse impacts on vulnerable groups (if relevant) ƒ Entitlement Matrix IV. Resettlement Plan (if necessary) ƒ Review of suitability of alternative relocation sites ƒ Site selection criteria 5 Annex 3 of the Technical Guidelines on Compensation and Resettlement. These Resettlement Technical Guidelines, Nov. 2005. These Guidelines were prepared in accordance with the provisions of the Prime Minister’s Decree No 192/PM on Compensation and Resettlement, issued on 7 July 2005, and the Implementing Regulations on Compensation and Resettlement issued by the STEA. Page 66 Khammouane Rural Livelihoods Project (KRLP) page 65 Prepared by the KRLP Project Implementation Unit FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government ƒ Review of environmental protection and management at resettlement sites ƒ Preliminary relocation options of PAPs ƒ Review of options for provision of shelter, infrastructure and social services ƒ Review of consultation procedures with PAPs in selection of resettlement alternatives during implementation ƒ Socioeconomic data gathering host population, if applicable V. Income Restoration Measures (as necessary) ƒ Description of eligibility criteria for income restoration measures ƒ Feasibility analysis of any alternative income restoration programs including use of collective land compensation, training needs of PAPs in the context of employment opportunities and market demand, access to credit and micro-enterprise support for PAPs interested in small business development ƒ Institutional arrangements to finance and manage income restoration programs VI. Public Participation, Consultation, Disclosure and Grievance Redress Mechanism ƒ Public Consultation exercises conducted during the RP preparation (provide details), including gender-specific consultation and information disclosure. This would include special attention to guarantee women’s assets, property, and land use rights and to ensure the restoration of their income and living standards ƒ Description of opportunities for PAPs to participate in resettlement planning and implementation ƒ Procedures adopted for filing complaints, review and decision-making ƒ Procedures for disclosing RAP and resettlement information on compensation and resettlement options to PAPs in a form and language that they can understand VII. Organizational set-up ƒ Administrative set-up and plans for training and capacity building as needed VIII. Monitoring and Supervision ƒ Listing of performance monitoring indicators ƒ Institutional responsibilities and procedures for internal project monitoring ƒ Discussion of role, if any, of Community based organization and non-benefit organizations ƒ Content and frequency of monitoring reports IX. Cost Estimates and Budget ƒ Estimate of aggregate costs for each type of asset loss ƒ Estimated costs for income restoration programs, administration, supervision and monitoring ƒ Statement of financial responsibility for all resettlement-related costs ƒ Physical and Price Contingencies Page 67 Khammouane Rural Livelihoods Project (KRLP) page 66 Prepared by the KRLP Project Implementation Unit FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government X. Implementation Arrangement ƒ Timetable for implementation of all resettlement activities, tied to overall subproject timetable ƒ Procedures for implementation or delivery of key elements, as relevant: a) Review of land-for-land arrangements, including timetable and funding for development of relocation sites and necessary services or other inputs b) Review of procedures for payment of compensation c) Procedures for assessing adequacy of compensation d) Operational procedures for job placement, microfinance, or other income restoration programs Page 68 Khammouane Rural Livelihoods Project (KRLP) page 67 Prepared by the KRLP Project Implementation Unit FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government Annex XVI - Information required for the preparation of IPDP · The basic census, socio-economic data and inventory of affected assets; · Household ownership of economic and productive assets · Annual income from primary and secondary employment opportunities · Economic information of community (e.g. brief information on economic and natural resources, production and livelihood systems, tenure systems) · Social information of community (e.g. description of kinship, value system, types of social organizations of formal and informal groups) · Potential impact of proposed subproject on basic social services (e.g. water supply, health clinics and schools) · Potential impact of subproject on the social and economic livelihood. Page 69 Khammouane Rural Livelihoods Project (KRLP) page 68 Prepared by the KRLP Project Implementation Unit FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government Annex XVII: Preliminary Screening of Ethnic Minorities 6 When to do the screening : At the time of the first consultation with a commune/village What information to collect: The screening will collect demographic data of ethnic minorities who live along the subproject area How to collect the information: It can be obtained from ethnic leaders, village leaders and commune authorities Who will do the screening: Consultants or Trained District staff Province : ___________ D istrict : _______________ Commune/Village: _____________ Name of Villages, communes along the subproject area Name of Ethnic Groups along the subproject area No. of Ethnic Minority Households No of Total Ethnic Minority Persons Women Men 6 Annex 4 of the Technical Guidelines on Compensation and Resettlement. These Resettlement Technical Guidelines, Nov. 2005. These Guidelines were prepared in accordance with the provisions of the Prime Minister’s Decree No 192/PM on Compensation and Resettlement, issued on 7 July 2005, and the Implementing Regulations on Compensation and Resettlement issued by the STEA. Page 70 Khammouane Rural Livelihoods Project (KRLP) page 69 Prepared by the KRLP Project Implementation Unit FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government Annex XVIII - Entitlement Matrix Type of Losses Entitled Persons Entitlements Implementation Issues Productive Land (paddy, garden, and Teak P lantation) Legal owner or occupant identified d uring census and tagging · F or marginal loss of land, cash compensation at replacement cost which is equivalent to the current market value of land within the village, of similar type, category and productive capacity, free from transaction costs (taxes, administration fees), · If the impacts on the total productive land is 10 % or more, as a priority, replacement land of similar type, category and productive capacity of land within or nearby the village, with land title. if Land Titling Project is ongoing in the area. If not, land use certificate to be issued. OR at the request of PAP, cash compensation at replacement cost plus assistance to purchase and register land · L egal owners are those who received land use certificates or land titles from the Land Titling Project. · Voluntary donation of productive land, will not be allowed by the Project. Residential Land Legal owner or occupant identified during census and tagging · With remaining land sufficient to rebuild houses/structures: (i) Cash compensation at replacement cost which is equivalent to the current market value of land of similar type and category, and free from transaction costs (taxes, administration fees) and (ii) District government to improve remaining residential land at no cost to PAPs (e.g. filling and leveling) so PAPs can move back on remaining plot. · Without remaining land sufficient to rebuild houses/structures: (i) Replacement land equal in area, same type and category, without charge for taxes, registration and land transfer, with land title if Land Titling Project is ongoing in the area; if not, land survey certificate, OR (ii) cash compensation at replacement cost which is equivalent to the current market value of land of similar type and category, free from transaction costs (taxes, administration fees) plus assistance to purchase and register land. · Legal owners are those who have land use certificates or land titles from the Land Titling Project. · Voluntary donation of minor strips of residential land will only be allowed by the Project provided that the following criteria are strictly complied with: (i) the PAP’s total residential land area is not less than 300 m 2 ; (ii) if the PAP’s total residential land area is more than 300 m 2 , the strip of land that can be donated cannot be more than 5% of the total land area; and (iii) there are no houses, structures or fixed assets on the affected portion of land. · Voluntary donation according to these criteria will follow the process in accordance with World Bank’s Operations Manual , which is the same as the Government’s Decree 192/PM/2005. Fish Pond (Remaining area is still viable or can still meet expected personal or commercial yield) Owner of affected fishpond · Cash compensation of affected portion at replacement cost which is equivalent to the current market value of fishpond, labor and rent of equipment to excavate fishpond, free from transaction costs (taxes, administration fees) · Adequate time provided for PAPs to harvest fish stocks · Voluntary donation of fishpond land, will not be allowed by the Project. Page 71 Khammouane Rural Livelihoods Project (KRLP) page 70 Prepared by the KRLP Project Implementation Unit FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government Type of Losses Entitled Persons Entitlements Implementation Issues · If the currently held fish stocks will not be harvested before the project takes possession of the fishpond, then cash compensation for the projected mature value of fish stock held at the time of compensation. · District government to restore/repair remaining fishpond. If support cannot be provided by the contractor, the PAP will be entitled to cash assistance to cover for payment of labor and rent of equipment to restore/repair fishpond. Totally Affected Houses/Shops, and Secondary Structures (kitchen, rice bins) Partially Affected Houses/Shops but no longer viable (Will require relocation) Owners of affected houses whether or not land is owned · Cash compensation at replacement cost for the entire structure equivalent to current market prices of (i) materials, with no deduction for depreciation of the structure or salvageable materials; (ii) materials transport; and (iii) labor cost to cover cost for dismantling, transfer and rebuild; and · Excluding those who will move back to their residual land, timely provision of dump trucks for hauling personal belongings at no cost to the PAPs. · Adequate time provided for PAPs to rebuild/repair their structures · Affected houses and shops that are no longer viable are those whose remaining affected portion are no longer usable/habitable. Temporary Use of Land Legal owner or occupant · For agricultural and residential land to be used by the civil works contractor as by-pass routes or for contractor’s working space, (i) rent to be agreed between the landowner and the civil works contractor but should not be less than the unrealized income and revenue that could be generated by the property during the period of temporary use of the land; (ii) cash compensation at replacement cost for affected fixed assets (e.g., structures, trees, crops); and (iii) restoration of the temporarily used land within 1 month after closure of the by-pass route or removal of equipment and materials from contractor’s working space subject to the conditions agreed between the landowner and the civil works contractor. · The construction supervision consultant will ensure that the (i) location and alignment of the by-pass route to be proposed by the civil works will have the least adverse social impacts; (ii) that the landowner is adequately informed of his/her rights and entitlements as per the Project resettlement policy; and (iii) agreement reached between the landowner and the civil works contractor are carried out. Partially Affected Houses and Shops and secondary structures (Will not require Owners of affected houses whether or not land is owned · Cash compensation at replacement cost for the affected portion of structure equivalent to current market prices of (i) materials and labor , with no deduction for depreciation of the Page 72 Khammouane Rural Livelihoods Project (KRLP) page 71 Prepared by the KRLP Project Implementation Unit FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government Type of Losses Entitled Persons Entitlements Implementation Issues r elocation) structure or for salvageable materials (ii) materials transport, and (iii) cost of repair of the unaffected portion; Loss of business income during relocation or during d ismantling/repair o f affected portion (without relocation) Owners of shops · For informal b usinesses (shops) cash compensation equivalent to the daily wage rate (i.e., 10,000 kip /day) multiplied by the number of days of business disruption. It will take one day to move the shops if made of traditional materials (bamboo)/movable (can be carried without totally d ismantling the structure. It will t ake about two days to remove and repair affected portion of shop made of permanent materials (such as good wood and concrete). The rate will be verified through interviews with informal shop owners to get an estimate of daily net profit. Crops and Trees Owner of crops and trees whether or not land is owned · If standing annual crops are ripening and cannot be harvested, cash compensation at replacement cost equivalent to the highest production of crop over the last three years multiplied by the current market value of crops · For perennial crops and trees, cash compensation at replacement cost equivalent to current market value based on type, age, and productive capacity. · For timber trees, cash compensation at replacement cost equivalent to current market value based on type, age and diameter at breast height (DBH) of trees Permanent loss of physical cultural resources/public structures/village or collective ownerships Villagers or village households · Compensation at replacement cost for present/existing structures based on its present value. Graves located in the affected areas Owners of graves · Compensation for the removal, excavation, relocation, reburial and other related costs will be paid in cash to each affected family. Electricity Poles Electricity Companies · Cash compensation for cost to dismantle, transfer and rebuild Transition subsistence allowance Relocating households – relocating on residual land or to other sites Severely affected APs losing 10% or more of their productive land · Relocating PAPs without any impact on business or source of incomes will be provided with cash or in-kind assistance equivalent to 16 kg of rice at current market value for 3 months per household member · Relocating PAPs with main source of income affected (i.e., from businesses) or P A Ps losing Page 73 Khammouane Rural Livelihoods Project (KRLP) page 72 Prepared by the KRLP Project Implementation Unit FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government Type of Losses Entitled Persons Entitlements Implementation Issues f rom businesses) or PAPs losing more than 10% of their productive land will be provided with cash or in-kind assistance equivalent to 16 kg of rice at current market value for 6 months per household member Transportation a llowance Relocating h ouseholds – to o ther sites Provision of dump trucks to haul all o ld and new building materials and p ersonal possessions APs may also opt for cash a ssistance. The amount (cost of l abor and distance from relocation site) to be determined during implementation Severe impacts on vulnerable PAPs (Relocating PAPs and those losing 10% or more of their productive assets) Severely affected vulnerable PAPs such as the poorest, or households headed by women, the elderly, or disabled, and indigenous peoples · An additional allowance of 1 month supply of rice per person in the household. · Eligible to participate in income restoration program · The contractors will make all reasonable efforts to recruit severely affected and vulnerable PAPs as laborers for road construction and road maintenance works The poorest will be those below the national poverty line as defined in the poverty partnership agreement with World Bank Page 74 Khammouane Rural Livelihoods Project (KRLP) page 73 Prepared by the KRLP Project Implementation Unit FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government Annex XIX - Activities Subject to Internal Monitoring T ype of Monitoring Basis for Indicators S ources of Information B u d g e t a n d T i m e F r a m e · Have the personnel of PCS and counterpart staff from district and village authority been organized, deputized and provided their office as scheduled? · Have capacity building and training of staff of PCS; District and Village government been conducted on time? · Have the district authority provided adequate budgetary support for environmental and compensation of PAPs and beneficiaries? · Have the district authority released and disbursed the equity funding for implementing the KRLP on time? · Has the environmental and social preparation phase been undertaken according to schedule? · Have the proposed subproject/s been agreed with beneficiaries and PAPs and concurred by the respective district and village authorities? PCS, DoI and District authority D e l i v e r y o f s u b p r o j e c t / s a n d E n t i t l e m e n t s · Have all the beneficiaries and PAPs received their respective subproject’s and compensation and entitlements according to their numbers? · Have the PAPs received their payments on time? · Have special assistance been provided to vulnerable PAPs? · Have all PAPs received the agreed transportation and food allowances? · Have all PAPs that lost their livelihoods or small business received their compensation? · Have all the beneficiaries entitled been implementing subprojects? · Have the women been trained according to their desired livelihood? · Was the number of women trained on desired livelihood the same as that of the actual number engaged in micro enterprises? · Are the beneficiaries engaged in micro enterprises assisted by micro financing institutions? · Were the actual amounts of subproject costs and compensation been disclosed to beneficiaries and PAPs? PCS, DoI and District authority Beneficiary- communities C o n s u l t a t i o n , G r i e v a n c e a n d S p e c i a l I s s u e s · Were IEC campaign materials prepared and distributed to stakeholders during subproject disclosures? · Have consultations, focus group discussions and/or public meetings been undertaken as scheduled? · Were the beneficiaries and PAPs took active participation in planning and implementation according to what were prescribed in the KRLP? · Have any beneficiaries and/or PAPs used the grievance and redress procedures? What were the outcomes? · How many have filed their grievances? What were the outcomes? · Was social preparation for the PAPs taken place? Beneficiaries/District authority/PCS/DoI B e n e f i t M o n i t o r i n g · Where there changes occurred in patterns of occupation of the beneficiaries compared to their pre-project situation? · What changes have occurred in income and expenditures patterns compared to pre-project situation? What have been the changes in cost of living compared to pre-project situation? Have the incomes of housing beneficiaries kept pace with these changes? · What changes have taken place in the lifestyle of beneficiaries? Beneficiaries Beneficiaries Beneficiaries Page 75 Khammouane Rural Livelihoods Project (KRLP) page 74 Prepared by the KRLP Project Implementation Unit FINAL_18 February 2008 Department of Planning and Investment Khammouane Provincial Government Annex XX - Indicators for External Monitoring Type of Indicators Indicators Information Required in Monitoring and Evaluation Staffing · Number of PCS, DoI and district staff assigned for KRLP implementation; · Number of Environmental and/or Social Development and Resettlement Specialist assigned by PCS. Consultation, Participation, and Grievances Resolution · Number of consultations and participation programs held with target beneficiaries, PAPs and various stakeholders; · Types of IEC campaign materials distributed to target-beneficiaries and PAPs; · Number and types of grievances received from beneficiaries and PAPs and the number of days consumed in resolving them by concerned GRCs; · Number and names of representatives who participated in the consultations and in the implementation of KRLP subprojects. Operational Procedures · Types of forms used in recording the activities undertaken in KRLP implementation; · Efficiency of coordination with PCS, DoI, district authority; PAPs and other institutions/stakeholders; · Type of database being maintained; · Efficiency of PCS, DoI. and district government staff; · Efficiency of compensation payment system; · Adequacy of logistical support for implementing the KRLP subprojects; · Asses if the project policies in RAPs have adequately been complied with. Issues and Problems Encountered · Indicate the issues and problems encountered in staffing, during consultations and grievances resolution, and in the execution of operational procedures. Compensation and Entitlement · Number of PAPs awarded with housing units, if any; · Indicate if the type of compensation delivery is either one time or installment; · Indicate the number of PAPs engaged in micro business who were compensated for their loss of business incomes; · Indicate if the number of PAPs provided with transportation assistance; · Indicate if food assistance were given to PAPs who transferred to staging area or to other destinations; · Indicate if the PAPs were given allowance/assistance for the dismantling and reconstruction of their housing units in as well as for the dismantling of their structures upon transfer. Social Rehabilitation · Indicate the number of women that attended the livelihood trainings; · Indicate the number of PAPs, especially women, who have set up their micro enterprises after the training on livelihood development; · Indicate if the PAPs have adequate access on safe drinking water. P r o c e s s I n d i c a t o r s Issues and Problems Encountered · Indicate the issues and problems encountered in the implementation of subproject/s, payment of compensation and entitlement and social rehabilitation of PAPs. Household Earning Capacity · Present income as compared to income from pre-project level; · Employment of housing beneficiary members in subproject construction; · Change in income of micro entrepreneurs. Health and Environment · Problems/issues on waste management disposal; · Improved access to safe drinking water; · Improvement on health conditions of women and children. I m p a c t I n d i c a t o r s Changes in Socio- cultural Pattern · More women participating in micro enterprises; · Access to new technology brought about by having electricity connections; Page 76 K h a m m o u a n e R u r a l L i v e l i h o o d s P r o j e c t ( K R L P ) p a g e 7 5 P r e p a r e d b y t h e K R L P P r o j e c t I m p l e m e n t a t i o n U n i t F I N A L _ 1 8 F e b r u a r y 2 0 0 8 D e p a r t m e n t o f P l a n n i n g a n d I n v e s t m e n t K h a m m o u a n e P r o v i n c i a l G o v e r n m e n t A N N E X X X I – S A M P L E P U B L I C C O N S U L T A T I O N A N D D I S C L O S U R E P L A N A c t i v i t y T a s k T i m i n g ( D a t e / P e r i o d ) N o . o f P e o p l e A g e n c i e s F e e d b a c k / I s s u e s / C o n c e r n s R a i s e d R e m a r k s S t a k e h o l d e r I d e n t i f i c a t i o n M a p p i n g o f s u b p r o j e c t a r e a K R L P I n f o r m a t i o n D i s s e m i n a t i o n D i s t r i b u t i o n o f i n f o r m a t i o n t o t a r g e t d i s t r i c t s , b e n e f i c i a r i e s a n d P A P s i n l o c a l l a n g u a g e T o o v e r c o m e l a n g u a g e a n d c o m m u n i c a t i o n b a r r i e r s , I E C t o o l s o r v i s u a l i z e d m a t e r i a l s i n l o c a l l a n g u a g e s , e . g p o s t e r s , l e a f l e t s , p i c t u r e s / L C D s h a l l b e d e v e l o p e d a n d u s e d . C o n s u l t a t i o n m e e t i n g s a n d f o c u s e d - g r o u p d i s c u s s i o n s w i t h t a r g e t d i s t r i c t s , v i l l a g e - b e n e f i c i a r i e s , N G O s a n d P A P s D i s c u s s p o t e n t i a l p o s i t i v e a n d n e g a t i v e i m p a c t o f K R L P D i t t o P u b l i c N o t i f i c a t i o n F i n a l i z e a n d e s t a b l i s h c u t - o f f d a t e f o r b e n e f i c i a r i e s a n d P A P s b y p u b l i c a t i o n o f m a s t e r l i s t S o c i o - e c o n o m i c s u r v e y C o l l e c t s o c i o - e c o n o m i c i n f o r m a t i o n o n t a r g e t - b e n e f i c i a r i e s a n d P A P s a s w e l l a s t h e i r p e r c e p t i o n o n K R L P a n d p r o p o s e d s u b p r o j e c t s C o n s u l t a t i v e m e e t i n g s o n p r o p o s e d s u b p r o j e c t b e n e f i t s a n d m i t i g a t i n g m e a s u r e s t o m i n i m i z e n e g a t i v e i m p a c t s D i s c u s s b e n e f i t s o f t h e p r o p o s e d s u b p r o j e c t s a n d e n t i t l e m e n t s , c o m p e n s a t i o n , i n c o m e r e s t o r a t i o n , g r i e v a n c e r e d r e s s m e c h a n i s m s D i t t o . P u b l i c i z e p r o p o s e d s u b p r o j e c t / s a n d R A P D i s t r i b u t e l e a f l e t s o r b o o k l e t s i n l o c a l l a n g u a g e Page 77 K h a m m o u a n e R u r a l L i v e l i h o o d s P r o j e c t ( K R L P ) p a g e 7 6 P r e p a r e d b y t h e K R L P P r o j e c t I m p l e m e n t a t i o n U n i t F I N A L _ 1 8 F e b r u a r y 2 0 0 8 D e p a r t m e n t o f P l a n n i n g a n d I n v e s t m e n t K h a m m o u a n e P r o v i n c i a l G o v e r n m e n t A c t i v i t y T a s k T i m i n g ( D a t e / P e r i o d ) N o . o f P e o p l e A g e n c i e s F e e d b a c k / I s s u e s / C o n c e r n s R a i s e d R e m a r k s F u l l D i s c l o s u r e o f t h e E M P a n d P A P s , i f a n y D i s t r i b u t e E M P a n d R A P i n l o c a l l a n g u a g e t o P A P s D i t t o W e b D i s c l o s u r e o f p r o p o s e d s u b p r o j e c t E M P a n d R A P S u b p r o j e c t d e s i g n , o b j e c t i v e s a n d R A P ( i f a n y ) p o s t e d o n K R L P a n d W o r l d B a n k ' s w e b s i t e C o n s u l t a t i v e M e e t i n g s p r i o r t o s u b p r o j e c t i m p l e m e n t a t i o n F a c e t o f a c e w i t h t a r g e t - b e n e f i c i a r i e s a n d P A P s D i t t o D i s c l o s u r e o f d e t a i l e d t e c h n i c a l d e s i g n a n d m e a s u r e m e n t s u r v e y D i s c l o s u r e u p d a t e d s u b p r o j e c t p r o p o s a l , E M P a n d R A P t o t a r g e t - b e n e f i c i a r i e s a n d P A P s D i t t o C o n s u l t a t i o n a n d d i s c l o s u r e a r r a n g e m e n t s d u r i n g i m p l e m e n t a t i o n a n d m o n i t o r i n g a n d e v a l u a t i o n o f s u b p r o j e c t / s , E M P a n d R A P . D i t t o