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THE SOCIALIST REPUBLIC OF VIETNAM
MINISTRY OF NATURAL RESOURCES AND ENVIRONMENT (MONRE)
Mekong Integrated Water Resources Management Project: Phase 2
for Vietnam
(MIWRMP:APL 2-VN)
14 February 2013_Final
Ethnic Minority Policy Framework
(EMPF)
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1
Contents
Glossary ....................................................................................................................................................................................... 2
Abbreviations ............................................................................................................................................................................. 4
1. INTRODUCTION ........................................................................................................................................................... 6
1.1 Project overview ....................................................................................................................................................... 6
o Project components ..................................................................................................................................................... 7
o Project impacts .............................................................................................. Error! Bookmark not defined.
o Objective of EMPF .................................................................................................................................................. 14
2. LEGAL AND POLICY FRAMEWORK ............................................................................................................. 15
2.1 National Legal and Policy Framework for Ethnic Minority Peoples .................................................... 15
2.2 Policy and Program for ethnic minority groups in Mekong delta .......................................................... 16
2.3 World Bank’s Operational Policy on Indigenous Peoples (OP 4.10) ................................................... 17
3. IMPLEMENTATION OF EMPF AND EMDPs ................................................................................................ 18
3.1 Institutional arrangement and Budget ............................................................................................................. 18
3.2 Preparation of EMPD ........................................................................................................................................... 18
3.3 Grievance Redress Mechanism ......................................................................................................................... 19
3.4 Consultation and Information Discloure ........................................................................................................ 21
3.5 Monitoring and Evaluation ................................................................................................................................. 22
3.5.1 Internal Monitoring ...................................................................................................................................... 22
3.5.2 External Monitoring ..................................................................................................................................... 22
Annex 1: Overview of the Ethnic Minorities in Project Areas of Central Highlands and Mekong Delta
................................................................................................................................................................................................ 24
Table 1: Ethnic Minority Groups in Project Areas of Mekong Delta ......................................................... 25
Table 2: Project Areas and Existing Ethnic Minorities in Tay Ninh ........................................................... 25
Table 3: Ethnic Minority Groups in Project Areas of Central Highlands .................................................. 26
Annex 2: Summary of Consultation Meetings with Ethnic Minorities ...................................................... 27
Annex 3: Elements for an EMDP ............................................................................................................................... 28
Annex 4: Monitoring and Evaluation ...................................................................................................................... 30
2
Glossary
Census and Inventory If the sub-project needs to change the land use or to acquire land for
project purposes, a Census of people that will be affected and an Inventory of affected assets
will be undertaken based on the technical design of the project. The Census will include key
socioeconomic information, such as main occupation, sources of income, and level of income in
order to be able to determine vulnerable households as well as to establish baseline data for
monitoring livelihood restoration of the PAP. The Inventory will include a detailed description
of all affected land, trees, structures, to be acquired permanently or temporarily in order to
complete the Project; the name of the person entitled to compensation (from the census); and the
estimated full replacement costs, etc. Preliminary Census and Inventory information could be
part of the RPF, depending on the project and the information available.
Compensation (in cash or in kind) for loss of assets and rehabilitation measures to restore and
improve income as determined in consultation with project affected people (PAP).
Compensation for loss of assets will be at replacement costs.
Cut-off-dateThe date of completion of inventory of losses during preparation of the RAP.
Displaced Persons and local communities will be informed of the cut-off date for each project
component, and that anyone moving into the Project Area after that date will not be entitled to
compensation and assistance under the Project.
Eligibility. is the criteria for qualification to receive benefits under the resettlement program.
The RPF will provide general guidance on this issue but this should not be definitively
confirmed until the development of the RAP.
Replacement Cost. A concept (OP 4.12, footnote 11) used to calculate the compensation
amount for an asset and involves using current market value plus the transaction costs which
may include taxes, fees, transportation, labor, etc. The market value is determined by the PMU
confirmed by local authorities in consultation with the PAP. The methods of estimation of
prevailing market value should evolve over time to achieve good practice. 1.
Resettlement. covers all direct economic and social losses resulting from land taking and
restriction of access, together with the consequent compensatory and remedial measures.
Resettlement is not restricted to its usual meaning-physical relocation. Resettlement can,
depending on the case, include (a) acquisition of land and physical structures on the land,
including businesses; (b) physical relocation; and (c) economic rehabilitation of affected people,
to improve (or at least restore) incomes and living standards.
Livelihood (income) restoration Livelihoods restoration refers to that compensation for PAP
who have loss of income sources or means of livelihoods to restore their income and living
standards to the pre- displacement levels.
1CIU and Local authorities should use an independent appraiser to assess assets value (commissioned by the
project).
3
Vulnerable Groups and Individual at risk are those who might suffer disproportionally from
adverse project impacts and/or be less able to access the project benefits and compensation
including livelihood restoration and assets compensations, when compared to the rest of
PAP.Vulnerable peoples include people who, by virtue of gender, ethnicity, age, physical or
mental disability, economic disadvantage or social status may be more heavily affected by
economic or physical displacement than others and who may be more limited than the
population at large in their ability to claim or take advantage of resettlement assistance and
related development benefits. Remember, this can be an entire group (like an ethnic minority
community) or an individual household (HH).
4
Abbreviations
APL Adaptive Program Loan of the World Bank
CIU Component Implementation Unit
CNMC Cambodia National Mekong Committee
CSC Construction Supervision Consultant
DARD Department of Agriculture and Rural Development
DONRE Department of Natural Resources and Environment
DWRM Department of Water Resources Management
ECOP Environmental Code of Practices
EIA Environmental Impact Assessment
EM Ethnic Minority
EMA External Monitoring Agency
EMC Environmental Management Consultant
EMDP Ethnic Minority Development Plan
EPC Environmental Protection Commitment
ESMF Environment and Social Management Framework
GOC Government of Cambodia
GOV Government of Vietnam
IDA International Development Association
IEE Initial Environmental Evaluation
IWRM Integrated Water Resources Management
Lao PDR Lao People’s Democratic Republic
LMB Lower Mekong Basin
MARD Ministry of Agriculture and Rural Development
MDV Mekong Delta Vietnam part
M-IWRM Mekong-Integrated Water Resources Management
5
MONRE Ministry of Natural Resources and Environment
MRC Mekong River Commission
NHMS National Hydro-Meteorological Services
OP/BP Operation Policy/Best Practices of the World Bank
PAP Project Affected Person
PPC Provincial People’s Committee
RAP Resettlement Action Plan
RBC River Basin Committee
RBO River Basin Organization
RPF Resettlement Policy Framework
UXO Unexploded Ordnance
VNMC Vietnam National Mekong Committee
WB World Bank
WQ Water Quality
1. INTRODUCTION
1.1 Project overview
The Government of Cambodia, the Government of Vietnam (GOV), and the World Bank
(WB) are preparing a regional project for possible funding from the regional IDA through
an Adaptive Program Loan Phase 2 (APL 2) of the Mekong-Integrated Water Resources
Management Project (M-IWRMP). Similar to the APL Phase 1, the Project is designed to
establish key examples of integrated water resource management (IWRM) practices in the
Lower Mekong Basin (LMB), at the regional, country and sub-national levels. Given the
environmental and social sensitivity of the LMB and rapid development in the region
(especially hydropower in Lao PDR), the potential changes in the water flows in the
Mekong River, and the potential impacts due to climate change, effective implementation
of water resources in line with IWRM principles is considered necessary for forging
effective use of water resources and facilitating sustainable development of the region.
The Mekong River Commission (MRC) and the four riparian countries (Lao PDR,
Thailand, Cambodia, and Vietnam) have adopted the IWRM concept and moving forward
its implementation. In this context, priority investments have been given to improve
capacity of the country to: (a) implement the MRC procedures and processes, (b) improve
meteorological and analytical capacity, (c) build floodplain management capacity in pilot
areas, and (d) improve fisheries management in regionally significant areas. Given the
different capacity and preparation process which will be required by the country to
receive financing support from the World Bank, the project has been designed to be
implemented in 2 phases (over a 8-year period) using the World Bank’s Adaptive
Program Loan (APL) instrument. The first phase activities (APL 1) will be implemented
during 2012-2016 focusing on MRC related activities and IWRM activities in Lao PDR.
This Project is the second phase of the APL and the activities will focus on the fisheries
management in Stung Treng-Kratie in Cambodia, water resources monitoring in the
Vietnam Mekong Delta and the Central Highland, and the establishment of the river basin
organizations in Cambodia and Vietnam. The activities will be implemented over a 6
year period (2013-2018) through the following three components: (1) Support for
Fisheries and Aquatic Resources Management for Cambodia, (2) Water Resources
Monitoring for Vietnam, and (3) Support for River Basin Management for Cambodia and
Vietnam. Main Project activities would include technical assistance; capacity building;
small building construction and/or office renovation, and/or community infrastructure;
and fisheries/wetlands management, including livelihood development options, in
Cambodia.
7
o Project components
The Vietnam activities will be implemented as part of the Component 2 and Component 3
of the M-IWRMP2 (the Project) and they are described as follows:
Component 2: Water Resources Monitoring and enhanced hydro-meteorological
forecasting for Vietnam (US$25.0 Million).
Summary of Background and Issues under Component 2
Mekong Delta:
The Mekong Delta is a highly productive area of the LMB and comprises Cambodia
part and Vietnam part of which the Vietnam part has been significantly developed for
rice farming and other agriculture products. The Vietnam Mekong Delta (MDV) is
considered one of the most important area for food security and export for Vietnam.
It is also an area of high population density with intensive and productive agriculture
and aquaculture production as well as highly productive mangroves and rich in
coastal resources. Moderate water stress can be observed during the dry season.
Total population in the Mekong Delta was about 17.7 million of which about 8
percent are considered as ethnic minorities (mainly Khmer, Chinese, and Cham).
About 92 percent of total popultaitonaretheKinh, followbythe Khmer (6.0 percent)
and therestareethnic Chinese, Cham, and otherethnicminorities. The Khmer, the Cham
and fewotherethnicminorities live mainly in rural areas. Meanwhile, most of the
Chinese-originatedpeople live in urban areaswith a muchhigherpercentagecompared
to otherethinicgroups. The people remains poor (income of VND 200,000 per person
per month in 2006-2010) and has limited access to water supply and sanitation.
Water resources in the MDV are under threat from both internal and external factors
and the key ones are highlighted below:
Change in water regime and salinity intrusion: The MDV receives 95 percent
of its water from upstream countries, and is subjected to the water use regime
and management decisions upstream. The MDV is a major pillar of Vietnam's
agricultural production, providing the environment that supports roughly 90
percent of Vietnamese rice exports and 75 percent of the country's fishery export
value, while also being critically important for food security in the country, as
around 23 million tons of rice are annually produced for domestic consumption
and export earnings. It is an area of high population density (500/km²) supported
by highly productive ecosystems, mangroves and with very intensive and
productive agriculture and aquaculture. Moderate water stress can be observed in
relation to the proportion of flows extracted for production purposes during the
dry season. Almost 45 percent of the country's total water use occurs in the
MDV where water is depleted in irrigated agriculture. Change in water regime
due to hydropower development upstream could also change the level of
sedimentations and its associated nutrients.
8
Floods and transboundary issues between Cambodia and Vietnam: Major
floods and salinity intrusion is also a major issues along the Cambodia-Vietnam
border areas. During rainy season water drains from Cambodia to rivers and
streams along the border as well as into Vietnam territory of which many areas
are affected by acid sulfate soil (especially in the Long Xuyen and the Plain of
Reeds). In addition to flood water, the acid water could cause damage to
agriculture production.
Water quality and pollution: Water quality in the rivers and canals in the
MDV is relatively poor compared to the national water quality standards
especially during the dry season due to urbanization and agricultural and
industrial sources. Field observation suggested that issues of water pollution
and waste discharges (solid and liquid) from domestic and agriculture sources
are complex and have to be strategically addressed. There are also large amount
of agrochemicals used in the MDV. The use of the excessive agrochemicals
would not only induce serious environmental impacts, but also squeeze financial
profits for farmers. The Government has established regulations and policies
such as ‘one must, five reduction’ to reduce the use of fertilizers, pesticides, and
herbicides. There is no adequate data on sedimentation and nutrients.
Depleting groundwater and water quality: Groundwater use is also heavily
used in MDV while the knowledge on sustainability of extraction and water
quality remain limited.
Risk due to sea level rise: The Intergovernmental Panel on Climate Change
has found that the Delta is one of 3 major river deltas in the world most seriously
at risk from sea level rise. About 30 percent of the Vietnam Delta could be
inundated by a 1m rise in sea level, affecting 27 percent of the population and
the economic foundation of them.
The Central Highlands and Sesan-Srepok river basins
The Central Highlands is located in the North-eastern part of the Mekong Delta and
comprises two river basins (the Sesan and the Srepok) of the four provinces (DakLak,
Kon Tum, DakNong and Gia Lai). It is the upstream part of the 3S Sub-basin (Sesan,
Srepok, and Sekong) which is one of the most important tributary systems in the LMB
in terms of biodiversity values, water discharge, and livelihood supports (about
3.5 million people). The catchment area of the 3S Sub-basin is about 78,650 square
kilometres (km²) of which about 30,000 km² are located in Vietnam. About 17 percent
of the total water discharge of which 70 percent of this amount comes from Sesan and
50 percent from Srepok. In the Central Highlands water has been extensively used for
hydropower and agricultural production and conflicting water uses in the basins could
be observed in recent years. Experience in the past suggested that potential impacts
of cascading hydropower generation in Sesan-Srepok could also create serious
transboundary impacts (especially floods) on downstream country (Cambodia) and
proactive actions and cooperation among the countries will be necessary. The
9
Governments of Vietnam and Cambodia have started close coordination to avoid the
problems and the Government of Vietnam has also taken actions to strengthen
effectiveness of the river basin management in the Sesan-Srepok river basins.
Below are the key issues related to water resources management in the Central
Highlands:
Flood control and natural hazards: There are a number of reservoirs
constructed and operated in Sesan-Srepok river basins and there operations
are independently managed by various agencies. Due to mountainous and
climatic nature of the area as well as rapid forest clearance in recent year,
floods control and natural hazard become a concern. Naturally peak floods in
Sesan River occur in October and November. Historical floods occurred in
Sesan ranged from 3,600 m3/sec to more than 4,300 m3/sec while those in
Srepok could range from 2,000 m3/sec to 4,000 m3/sec. Occurrence of flash
floods is observed more often in recent years. At present, the
meteohydrological data collection stations in the river basins are limited
Transboundary issues between Cambodia and Vietnam: Given that the Sesan
and Srepok rivers flow into Cambodia territory therefore water uses,
especially operations of the upstream reservoirs, will have significant impacts
on the water uses and living conditions of the downstream population
including those related to flood and drought and disaster risk in Cambodia.
This suggested that close consultation and cooperation among the two
governments will be necessary to avoid/minimize adverse impacts due to
upstream-downstream relations. Past experience in the area has demonstrated
that bilateral cooperation between Cambodia and Vietnam on mitigating the
flood risk would be a high priority.
Water quality and water use conflicts: Given rapid forest and land clearance
for agriculture production and development of agro-industry, it is anticipated
that water quality could be degraded due to soil erosion, use of
agrochemicals, and wastewater discharges from domestic and industrial
sources. Increasing water use conflicts especially during dry season is also
expected. However, existing water quality monitoring stations and efforts has
been limited.
Objectives and Activities of Component 2
This component would support Vietnam in: (a) fulfilling its regional obligation to
implement the Procedures on Water Quality (PWQ) and the Procedures on Minimum
Flow in the Mainstream (PMFM); and (b) enabling analysis and dissemination on the
impacts on the water quality and flows resulting from upstream development and
possible climate change impacts. The component would comprise the following
subcomponents:
i) Sub-component 2-1: Establish a water resources monitoring network in the
Mekong Delta at the border areas with Cambodia, aiming at establishing a water
resources monitoring network in the Mekong Delta mainly at border provinces
10
(Dong Thap, KienGiang and An Giang). The purpose of this system is to assess
the existing status of water resources in selected areas, support development of
river basin plans and their implementation, develop decision support tools and
policies to better manage water resources, including water quality (e.g. sediment,
salinity, nutrients, temperature, acidity, coli form, etc). Support would also
include technical assistance on data analysis (modeling).
ii) Sub-component 2-2: Monitor salinity, water quality and groundwater and pilot
salinity forecast and dissemination procedures in the Mekong Delta, which aims
to enable farmers and government agencies (mostly provincial MONRE and the
provincial Ministry of Agriculture and Rural Development (MARD) to make
more informed decisions (both short-term operational and medium - to long-term
strategic) on how to adapt to the rapid changes in water resources conditions in
the Vietnam Delta, based on an improved availability of data and forecasting and
associated procedures.2KienGiang province has been preliminarily selected as the
pilot province.
iii) Sub-Component 2-3: Strengthening the hydro-meteorological network and the
flood forecasting and warning system in the Central Highlands. This component
would strengthen flood forecasting and warning in the Central Highlands.
Activities supported would include: (a) development and implementation of the
flood-related hydromet network, flood forecasting and flood warning system; (b)
training and capacity building in the use of the system for issuing flood warnings
and flood management; and (c) awareness raising and link into the government
system for issuing flood warnings and flood management in the Sesan and Srepok
River Basins, which would also be supported under Component 3.1.
a) Component 3: Support for River Basin Management in Cambodia and Vietnam
(US$3.0 Million) .
The Agreement on the Cooperation for the Sustainable Development of the Mekong
River Basin (The 1995 Mekong Agreement) was signed by the four LMB countries
(Cambodia, Lao PDR, Thailand, and Vietnam) with the aim of facilitating continued
cooperation on “sustainable development, utilization, conservation and management
of the Mekong River Basin water and related resources.”3
The governments of the LMB countries have recognized that developing water
resources in the Mekong is key to achieve further economic development while
working to alleviate poverty. In the meantime, the governments have also become
increasingly aware of the importance of social and environmental aspects of water
resources development and management, given the rich biodiversity of the Mekong
2 Additionally, the proposed activities could allow the central government, in particular MONRE/Department of
Water Resources Management (DWRM), to pilot test and potentially fine-tune, regulations on salinity intrusion
risk assessment developed under the First Climate Change Development Policy Operation supported by the
Bank, and to provide a basis for negotiating through the MRC framework on flow requirements and impacts on
water quality and flow conditions in the Delta 3The Agreement on the Cooperation for the Sustainable Development of the Mekong River Basin, Mekong River
Commission, April 5, 1995.
11
and the large number of poor riparian communities dependent on the Mekong River
and its tributaries. Lao PDR has committed to forest conservation and watershed
protection with support from various donors including the Bank, while Cambodia has
taken initiatives to protect the fisheries. Vietnam is increasingly aware of the social
and environmental impacts of hydropower development and is working with the Bank
for a new hydropower development. The governments are also working to address
water resources management in a regionally coordinated manner through the Mekong
River Commission (MRC), an inter-governmental river basin organization for the
Mekong River, and collaboration on water resources management among the four
LMB countries has intensified during the last few years.
Objectives and Activities under Component 3
This component would support the establishment of river basin organizations in the
3S Area, with a focus on the Sesan and Srepok in both Cambodia and Vietnam. The
objective of this component would be to assist the respective governments to establish
financially sustainable river basin management arrangements, which would lead to
practical sustainable management of water resources in this critical LMB sub-basin.
Activities under this sub-component would include the establishment of river basin
organizations (RBOs), with sub-basin management offices. This would involve the
establishment of the offices, strategic and business plans, building the knowledge base
(with clear linkages to other activities financed under the M-IMWRP); establishing
procedures and arrangements with the responsible line agencies; and awareness
raising and participation activities involving the public, private sectors, the
community and civil society. The sub-component would also investigate options,
propose measures, and seek government agreement on the long-term financing of the
RBO. Under APL 1, funds have been allocated to the MRC to facilitate a dialogue
between the countries sharing the 3S Basins, which should lead to a joint management
approach. This Component would be one critical building block towards achieving
more long-term solutions to the management of water resources in this part of the
Mekong Basin.
4) Project Areas. The Project areas will cover (a) Vietnam Mekong Delta near Cambodia
border mainly in the following three provinces: Dong Thap, An Giang, and An Giang and
the Central Highlands in Vietnam for Component 2 and (b) Sesan-Srepok in Cambodia
and Vietnam for Component 3. (Annex 1: Overview of he Ethnic Minorities in Project
Areas of Central Highlands and Mekong Delta)
o Tác động của dự án
Việc thực hiện dự án MIWRMP 2: Việt nam sẽ tập trung đầu tư vào các công trình dân dụng
nhỏ như văn phòng, và các trạm quan trắc được đặt rải rác tại các lưu vực sông đã được lựa
chọn, do đó dự án dự kiến sẽ không gây ra các tác động tiêu cực đáng kể nào đến cộng đồng
người dân tộc thiểu số. Các tác động liên quan đến việc xây dựng có thể được giảm thiểu khi
áp dụng các biện pháp xây dựng an toàn và có kỹ sư giám sát chặt chẽ ngoài thực địa. Việc
đề xuất các giải pháp giảm thiểu là một nội dung quy định trong Quy tắc môi trường thực
hành (ECOP) và trong hồ sơ đấu thầu cũng như các hợp đồng. Việc triển khai dự án sẽ phải
12
thông báo định kỳ đến các cơ quan quản lý ở địa phương, cộng đồng và các nhóm dân tộc
thiểu số. Trong khi đó,
The impacts related to construction could be mitigated through the application of good
construction practices and close supervision of field engineers. Mitigation measures have
been designed as part of the Environmental Code of Practices (ECOP) to be incorporated in
the bidding and contract documents. The local authorities, communities and ethnic minorities
will be periodically informed about the project implementation. While, Physical Cultural
Resources (OP 4.11) is not triggered, the ECOP has included a specific clause on “chance
find”. However, given that the subproject locations are not fully identified prior to appraisal,
an Ethnic Minority Policy Framework has been developed in close coordination with
MONRE and the World Bank. Although, two of the WB safeguard policies are triggered for
the MIWRMP 2: Vietnam activities: Environmental Assessment (OP 4.01) and Involuntary
Resettlement (OP 4.12), the EMPF will ensure that possible negative impacts to EM groups,
if any, are properly identified and mitigated during the implementation and to comply with
the World Bank safeguard policies.
Ethnic peoples are closely tied to land, forests, water, wildlife, and other natural resources,
and therefore special considerations will apply if the project affects ethnic peoples. To
ensure that broad community support is obtained from ethnic groups based on free, prior and
informed consultations and that they receive project benefits in a culturally appropriate
manner, and also in order to avoid negative impacts on them, an Ethnic Minority Policy
Framework has been developed. This EMPF would be the basis for MIWRMP 2: Vietnam
project implementation and for monitoring and evaluation how the project deals with ethnic
minority issues and concerns, if any.
The Component Implementation Unit (CIU) should conduct free, prior and informed
consultation after finalizing the location of the project areas to besend formaly notice to the
ethnic minority groups informing their respective ethnic leaders that they will be visited to
conduct consultation meetings by the CIU and local authorities in relation to the proposed
Project and subproject investments or infrastruccture. Different ethnic minority groups
identified during the social assessmentconducted from January 24, 2013 til February 05,
2013. The notice requested that invited the ethnic minority groups in their own areas for a
consultation meeting with representatives of respective ethnic goups leaders for discussion on
the investments. During the visit, the ethnic minority and other participants presented their
views with regards to the subprojects and their concerns regarding the potential benefits and
negative impacts.
Potential Impacts
To ensure that there are no unforeseen consequences for ethnic minority peoples, attention is
given free, prior and informed consultation particularly to their involvement and participation
in planning and decision-making throughout the entire Project cycle, especially with respect
to issues relating to broad-based community access and support, consultation and
resettlement.
Positive impacts
13
The ethnic minority groups identified in subproject areas are likely to receive a long-term
benefits from these investments by improvingthe living standards that will come from a better
and safe physical environment that also likely to enhance the health of ethnic minority by
improving water quality and creating a more reliable supply of water through proper water
resource management among key stakeholders(agencies, farmers/water users, and land
owners/water users). Encouraging active participation by local communities in the water
resource management and data collection could enhance the stakeholders ownership and/or
benefits.
During the series of consultations, the ethnic minority people greatly support the subproject
investments in their respective areas, since they know this is the main method to improve
water quality conditions in their respective areas. According to the ethnic groups, improving
the quality of water wouldhave the promote agricultural and aquaculture development and
cultivation, speed up circulation of commodities and animal/fish/aquaculture by-products,
improve social service and environmental conditions through proper water resource
management by increasing availability of water.
Negative impacts
Disturbance during construction and implementation. Besides to the minor land-
acquisition impacts, during the construction period and after completion the project would
somewhat impact ethnic minority people’s life and production, but the impacts are slight and
may be mitigated or eliminated. The inconvenience for people’s traveling, dust and noise
generated during construction, temporary destruction of farmland water conservancy
facilities, and harming safety of animal and human due to increased vehicle speed after
completion of the project may be basically eliminated or mitigated through effective
measures or methods to be incorporated in the Environmental Management Plan (EMP) and
Engineering Code of Practice (ECOP).
Importantly, provide site management measures to mitigate or eliminate construction
interference and impact to ethnic minority groups by setting-up safe warning signs,
respecting customs of minority people, and provide bilingual interpreter for project-
participating units, if necessary.
To ensure ethnic minorities receive project benefits in a culturally appropriate manner, the
selection/ detailed design of subprojects will be done based on a technically objective
manner, without discrimination of EM people.
Table 4: Identifies key impacts are to be managed through use of the following mitigation
measures and instruments (as shown in the table below).
Potential negative impacts Required mitigation actions
(If Yes)
Required
document
Remarks
(1) Require resettlement or
relocation of ethnic minorities
Reject Negative list
14
Potential negative impacts Required mitigation actions
(If Yes)
Required
document
Remarks
(2) Likely to create loss or
damage to cultural property,
including sites having
archeological (prehistoric),
paleontological, historical,
religious, cultural and/or unique
natural values, including
physical relocation of grave.
Reject Negative list
(3) Permanent or temporary loss
of land or resources for any
ethnic minority
Acquisition of more than 20% of
a productive land or 10% or
more of productive landholding
for the poor and vulnerable
groupswill be rejected and part of
the negative list.
Identify the amount and nature of
land required, owner, and/or
other issues and prepares a
Resettlement Action Plan (RAP)
to provide compensation and/or
assistance following the
Resettlement Policy Framework
(RPF).
RAP and
EMDP
Prior
consultation with
WB, proper
documentation,
and Post review
by WB may be
necessary.
(4) Construction of small office
buildings and monitoring
stations that may cause minor
air, noise, and/or water
pollution, soil erosion, and/or
create public health risks to
ethnic minority.
Apply ECOP to all contracts.
Close consultation meetings
should be conducted using
language of the ethnic minority
to ensure they fully understand
the subproject and can provide
feedback. Importantly, provide
site management measures to
mitigate or eliminate
construction interference and
impact to ethnic minority groups
by setting-up safe warning signs,
respecting customs of minority
people, and provide bilingual
interpreter, if necessary.
BD/CD CIU will ensure
that the
appropriate
mitigation
measures are
included in the
contract and that
the contractors
effectively
implement them.
o Objective of EMPF
Bank’s OP 4.10 requires that when the project involves the preparation and implementation
of annual investment programs or multiple subprojects, but the presence of EM in the
subproject area could not be determined until the programs/subprojects are identified during
project implementation, project owner needs to prepare an EMPF.
15
This EMPF provides guidance on how an EMDP for a program/subproject should be
prepared. It helps, on the basis of consultation with affected EM in the subproject areas,
ensure (a) affected EM peoples receive culturally appropriate manner on social and economic
benefits; (b) when there are potential adverse effects on EM, the impact are identified,
avoided, minimized, mitigated, or compensated for.
This EMPF is prepared by DWRM/VNMC in accordance with Bank’s OP 4.10. It was
developed on the basis of a) social assessment report (conducted during project preparation),
b) consultation exercises conducted by DWRM/VNMCand consultants with the various
project stakeholders, and ethnic minorities residing in the project area.
This EMPF will be applied to all the subprojects/investments identified during project
implementation of the MIWRMP 2: Vietnam.
2. LEGAL AND POLICY FRAMEWORK
This section provides a framework for ensuring that the affected ethnic minorities (equivalent
to the indigenous peoples as defined in OP 4.10) has equal opportunity to share the project
benefits, that free, prior and informed consultation will be conducted to ensure their broad-
based community access and support to the project are obtained, and that any potential
negative impacts are properly mitigated and the framework will be applied to all the
subproject. It provide guidance on how to conduct preliminary screening of ethnic
minorities, social assessment, and identification of mitigation measures given due
consideration to consultation, grievance redress, gender-sensitivities, and monitoring.
Elements of the EMDP report is provided in Annex 3.
2.1 National Legal and Policy Framework for Ethnic Minority Peoples
Constitutions of Vietnam of 1946, amended in 1959, 1980 and 1992 states “Implement a
policy on equality, unity and support for all ethnic groups, give supportive conditions to
ethnic minority groups in the development of a civilized society, and respect benefits,
traditional cultures, languages and religions of ethnic minority groups”.
The adaptation of economic and social policies to each region and each group, taking the
needs of ethnic minorities into account, is a requirement. The Socio-Economic Development
Plan and Socio-Economic Development Strategy of Vietnam specifically call for attention to
ethnic minorities. Major programs targeting ethnic minority people include Program 135
(infrastructure in poor and remote areas) and Program 134 (eradication of poor quality
houses). A policy on education and health care for ethnic minorities is in place. The legal
framework has been updated in 2007 with several documents relating to regional planning,
the Program 135, Phase 2 and land administration and compensation. All legal document
references are in Table 5.
Table 5: Legal documentsrelating to ethnicminority
2010 Decree 82/2010/ND-CP of government, dated 20 July 2010 on teaching and learning of ethnic
minority languages in schools.
2009 Decree 69/2009/ND-CP of government, dated 13 August 2009 on regulating additional
planning of land use, land prices, land acquisition, compensation, assistance and resettlement.
16
2008 Resolution no. 30a/2008/NQ-CP of government, dated 27 Dec. 2008 on support program for
rapid and sustainable poverty reduction for 61 poorest districts
2008 Decision 74/2008/QD-TTg of the Prime Minister dated 9-June-2008 on support productive land
and residential land for poor ethnic minority households in Mekong Delta area.
2007 Decision no. 33/2007/QD-TTg of the Prime Minister dated 20-July-2007 on the policy of
assistance to improve knowledge of laws as a program of 135, phase 2.
2007 Decision no. 01/2007/QD-UBDT dated 31-May-2007 of the Ethnic Minorities Committee on
the recognition of communes, districts in the mountainous areas
2007
Decision no. 05/2007/QD-UBDT dated 06-September-2007 of the Ethnic Minorities
Committee on its acceptance for three regions of ethnic minorities and mountainous areas
based on development status
2007
Circular no. 06 dated 20-September-2007 of the Ethnic Minorities Committee guidance on the
assistance for services, improved livelihood of people, technical assistance for improving the
knowledge on the laws according the decision 112/2007/QD-TTg
2007 Decision no. 06/2007/QD-UBDT dated 12-January-2007 of the Ethnic Minorities Committee
on the strategy of media for the program 135-phase 2
2007
Decree 84/2007/ND-CP of the Government of Vietnam on revision of issuing LURC, land
acquisition, implementation of land use right, procedure for compensation, resettlement when
land acquired by State and grievance redress.
2001 Decree No.70/2001/ND-CP: all documents registering family assets and land use rights must
be in the names of both husband and wife.
1998 Decree no. 59/1998/ND-CP dated 13-August-1998 of the government on the functions, tasks,
authorities and structure of the committee for Ethnic Minorities and Mountainous Areas
2.2 Policy and Program for ethnic minority groups in Mekong delta
Government has issued and established many policies and programs to support ethnic
minority groups to improve their lives. For the Mekong delta area, ethnic minority groups
are benefited from below policies and programs:
Policy on supporting residential land, productive land and creating jobs for poor
ethnic minority people in Mekong delta area under Decision no. 74/2008/QĐ-
TTg of Prime Minister, dated 9/6/2008.
Program 134 on supporting residential land, productive land and clean water for
poor ethnic people in Mekong delta area.
Program 135, Phase 2 on socioeconomic development for poorest communes in
the ethnic minority and remote and mountainous areas.
National target program on rural water supply and sanitation.
National target program on population and family planning.
17
National target program on prevention and protection of dangerous diseases and
HIV/AIDS.
National target program on education and training
2.3 World Bank’s Operational Policy on Indigenous Peoples (OP 4.10)
The WB’s Operational Policy 4.10 (Indigenous Peoples) requires to engage in a process of
free, prior, and informed consultation.4 The Bank provides project financing only where free,
prior, and informed consultation results in broad-based community access and support to the
project by the affected Indigenous Peoples. Such Bank-financed projects include measures to
(a) avoid potentially adverse effects on the Indigenous Peoples’ communities; or (b) when
avoidance is not feasible, minimize, mitigate, or compensate for such effects. Bank-financed
projects are also designed to ensure that the Indigenous Peoples receive social and economic
benefits that are culturally appropriate and gender and inter-generationally inclusive.
The Policy defines that ethnic minority peoples can be identified in particular geographical
areas by the presence in varying degrees of the following characteristics:
self-identification as members of a distinct indigenous cultural group and recognition
of this identity by others;
collective attachment to geographically distinct habitats or ancestral territories in the
project area and to the natural resources in these habitats and territories;
customary cultural, economic, social, or political institutions that are separate from
those of the dominant society and culture; and
an indigenous language, often different from the official language of the country or
region.
As a prerequisite for an investment project approval, OP 4.10 requires the borrower to
conduct free, prior and informed consultations with potentially affected ethnic minority
peoples and to establish their broad-based community access and support to the project
objectives and activities. It is important to note that the OP 4.10 refers to social groups and
communities, and not to individuals. The primary objectives of OP 4.10 are:
to ensure that such groups are afforded meaningful opportunities to participate in
planning project activities that affects them;
to ensure that opportunities to provide such groups with culturally appropriate
benefits are considered; and
to ensure that any project impacts that adversely affect them are avoided or otherwise
minimized and mitigated.
In the context of the Project, the ethnic minority groups (equivalent to indigenous peoples) in
the Project area are likely to receive a long term benefits through the improved water
resources management, integrated planning, and capacity building, but they may be
4Free, prior, and informed consultation with the affected Indigenous Peoples’ communities” refers to a culturally appropriate and collective decision-making process subsequent to meaningful and good faith consultation and informed participation regarding the preparation and implementation of the project.
18
negatively affected by land acquisition and/or relocation. Specific policy and action plan to
mitigate the potential impacts due to land acquisition and relocation will be addressed
through the preparation of the Resettlement Action Plan (RAP).
Therefore, the EMPF has been designed to focus on consultationto ensure that (a) the ethnic
peoples have an opportunity to voice their concerns and to participate and benefit from the
Project in a culturally appropriate mannerand (b) ‘free, prior and informed consultation
leading to ‘broad-based community access and support ’sections below describe the
activities that have been/will be carried out during the preparation and implementation of the
Project.
The project will document the consultation processes and support from the communities and
will undertake the Social Assessment to evaluate project’s potential positive and adverse
effects (see Annex 2)
3. IMPLEMENTATION OF EMPF AND EMDPs
3.1 Institutional arrangement and Budget
The CIU of the project is in charge of the overall activities related to EMS prepared under
the project at a central level. At the outset of the project implementation, CIU will provide
training to its social staff – at central and provincial levels, to enable them to undertake
screening and to determine when on the basis of the EMPF an EMDP is needed.Where local
capacity is insufficient to work with EMs qualified consultants may be mobilized in
accordance with the EMPF. At the central level, the CIU alsowill be responsible for
providing technical support when preparing EMDPs, including its monitoring and
evaluation.
.As defined per the World Bank’s 4.10 during project’s design regarding EMs beneficiaries
consultation before project’s appraisal will be carried out . The CIU will disclose project
information in a culturally appropriate manner among affected EM peoples and their
communities, to ascertain their broad community-support. Disclosure and consultation
meetings will be conducted in easily accessible location to the EM groups at a timely manner,
before appraisal/approval of these subprojects. All will be carried out in relevant local
languages to ensure EMPF objective is attained and EMs can provide their feedback and
demands.
At provincial level, the CIU will be responsible for implementing the EMDPs, ensusting the
appropriate staff and budget will be provided, after for Bank’s prior review and approval. In
cases where EM peoples are affected as a result of project’s land acquisition, compensation,
assistance to EM affected will be addressed through relevant RAP which is prepared
separately in accordance with the project’s RPF.
3.2 Preparation of EMPD
The preparation of EMDP will be participated by the ethnic minority with a free, prior and
informed consultation to ensure their broad-based community access and support will also
allow or be able them to benefit from the project. In addition to the describe consultation
19
processes and results, and subsequent design considerations to ensure that ethnic groups
benefit from investments activities, and that measures are provided to mitigate any adverse
impacts on them, the following activities should be done in the Social Assessment.
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.
Content of the EMDP report would include, but not limited to: (Annex 3: Elements of the
EMDP)
(1) legal framework
(2) baseline data;
(3) land tenure information;
(4) information on consultations and local participation;
(5) impacts assessment and mitigation measures;
(6) grievance redress mechanism
(7) institutional arrangement and schedule;
(8) monitoring and evaluation; and
(9) cost and financing plan.
3.3 Grievance Redress Mechanism
It is the purpose of the Grievance Redress Mechanism (GRM) is to ensure that the project has
in place a system to receive feedback and grievance from ethnic groups, assuring that their
concerns and issues are resolved effectively and expeditiously. Such a system is expected to
enable the project to be fully responsive to theconcerns and issues of the ethnic groups in the
project areas.
The grievance mechanisms under the Project will be two-tiered: one internal to the
communities concerned and the other, involving third-party/external mediation. For each
Project district, a Grievance Redress Committees will be established from villages/districts to
district/city levels built on the existing structures consisting of concerned departments, mass
organizations, women and ethnic representatives. At the village level, community based co-
management will incorporate in the existing grievance mechanisms that will be chaired by
elder and/or spiritual/tribal leaders, which are largely acceptable to local communities,
particularly the ethnic minority groups.
The grievance redress mechanism will be applied to persons or groups that are directly or
20
indirectly affected by the Project, as well as those that may have interests in a Project and/or
have the ability to influence its outcome -- either positively or negatively. The Project will
provide training and support to strengthen these existing structures for effectively and
collectively dealing with possible grievances that may arise during the course of the project
implementation.All complaints and grievances must be properly documented by CIU, with
copies being filed at commune and district level.
If the affected EM peoples are not satisfied with the process, compensation or
mitigationmeasures, or any other issue, the EM themselves or EMP’s representatives or
village leaders can lodge their complaints to the CPC or to the CIU following the grievance
redress mechanism established in the EMDP. All grievances will be addressed promptly, and
in way that is culturally appropriate to the affected EM peoples. All costs associated with
EM’s complaints are exempt to EM complainants. CIU and independent monitoring
consultant are responsible for monitoring the progress of resolution of EMs’ complaints. All
cases of complaints must be recorded in CIU project files, and be reviewed regularly by
independent monitoring consultant.
The grievance redress mechanism is established on the basis of the Vietnam’s laws.
Typically, there are three steps that a complainant could go through before elevating to the
local court as the last resort.
First Stage - Commune People’s Committee. An aggrieved affected household may bring
his/her complaint to the Commune People’s Committee, either through the Village Chief or
directly to the CPC, in writing or verbally. The CPC will meet personally with the aggrieved
affected household and will have 30-45 days following the lodging of the complaint to
resolve it (Note: in remote and mountainous areas, the complaint should be resolved within
45-60 days. The CPC secretariat is responsible for documenting and keeping in record all
complaints that it handles.
Upon issuance of decision of CPC, the household can make an appeal within 30 days. If the
second decision has been issued and the household is still not satisfied with the decision, the
household can elevate his/her complaint to the DPC.
Second Stage - District People’s Committee (DPC). Upon receipt of complaint from the
household, the DPC will have 30-45 days (or 45-60 days if it is in remote or mountainous
areas) following the lodging of the complaint to resolve the case. The DPC is responsible for
documenting and keeping file of all complaints that it handles.
Upon issuance of decision of DPC, the household can make an appeal within 30 days. If the
second decision has been issued and the household is still not satisfied with the decision, the
household can elevate his/her complaint to the PPC.
Third Stage - Provincial People’s Committee (PPC). Upon receipt of complaint from the
household, the PPC will have 30-45 days (or 45-60 days if it is in remote or mountainous
areas) following the lodging of the complaint to resolve the case. The PPC is responsible for
documenting and keeping in record all complaints that it handles.
Upon issuance of decision of PPC, the household can make an appeal within 30 days. If the
second decision has been issued and the household is still not satisfied with the decision, the
household can elevate his/her complaint to the court within 45 days. PPC will then deposit
the compensation payment in an escrow account.
21
Final Stage - Court of Law. Should the complainant file his/her case to the court and the
court rule in favor of the complainant, then Provincial government agency will have to
increase the compensation at a level to be decided by the court. In case the court will rule in
favor of PPC, then the amount deposited with the court is what the complainant will receive.
To ensure that the grievance mechanism described above are practical and acceptable by the
ethnic minority affected by the subproject, this will be consulted with local authorities and
local communities taken into account of specific cultural attributes as well as traditional,
cultural mechanisms for raising and resolving complaints/conflicts. If the ethnic minority
objects, efforts will be also made to identify and determine ways to resolve that is culturally
acceptable to them.
3.4 Consultation and Information Discloure
The World Bank’s Public Consultation and Information Disclosure (OP 17.50) define the
requirements for giving public access to project information and documentation. It requires
that during the planning and preparatory process, project beneficiaries and affected groups
and local NGOs shall be consulted and the environment and social aspects of the project
should be presented. These is critical for successful planning and implementation of the
Project. The consultation throughout the design and implementation of investments must also
be compliant with all other applicable safeguard policies of the Government of Vietnam and
the World Bank. The policy also requires that any relevant material such as the
environmental assessment study, social assessments, resettlement action plan, etc. should be
made accessible, in a timely manner and in a form language understandable to the groups
being consulted.
During social assessment, a free, prior and informed consultation with ethnic minority groups
were conducted by CIU and consultants from January 24, 2013 to February 05, 2013. They
were informed and discussed on purposes of the project, project components, expected
benefits of the project, scope of project potential positive and negative impacts on local
people, safeguard policy of the project.
The project should ensure that ethnic minority groups be consulted to ascertain their broad
community for subprojects, and to make sure they participate in planning, implementing,
and monitoring measures for sustainability of the investment that tailors benefits (from
project’s development activities) in a culturally appropriate manner.
Consultation need to be culturally appropriate and help identify measures to avoid, minimize,
mitigate or compensate for any adverse effects; and grievance procedures, monitoring and
evaluation arrangements, and the budget for implementing the planned measures are in place.
Particular attention needs to be given to the concerns of women and children, as well as their
access to development opportunities and benefits.
All consultation will be conducted in easily accessible locations. All will be carried out in
relevant local languages. Discussions will focus on investments impacts, positive and
negative; and recommendations for design of investments.
22
It is also important that affected ethnic minority communities be provided with all relevant
information about the project and proposed investments/infrastrcture or subproject (including
an assessment of potential adverse effects of the project on the affected EM communities) in
a culturally appropriate manner at each stage of project preparation and implementation to
allow their meaningful feedback (as part of continued consultation).
Consultation outcomes need to reflect the nature and content of such agreements and includes
arrangements that enable EM people to receive benefits in a culturally appropriate way and
share benefits from project’s development activities. Minutes of consultation need to be
summarized appropriately and included in EMDP.
3.5 Monitoring and Evaluation
The MIWRMP 2; Vietnam will establish systems for internal and external monitoring and
evaluation under the responsibility of the CIU on EMDP implementation. The main purposes
of the monitoring and evaluation program are to ensure that resettlement and acquisition of
land and properties and all proposed measures of EMDP have been implemented in
accordance with the policies and procedures of the RAP and EMDP. External monitoring and
evaluation, in particular, will focus on social impacts on PAPs and whether or not PAPs have
been able to restore a standard of living equal to, if not better than that which they have
before the project.
3.5.1 Internal Monitoring
Responsible agency. The Component Implementation Unit (CIU) of the Department of
Water Resource (DWR) and the Vietnam National Mekong Commission (VNMC)under the
Ministry of Natural Resource and Environment (MONRE) who are respectively responsible
for overall coordination of the Project activities is responsible for implementation of
subprojects are responsible for ensuring compliance with the EMPF, including keeping
proper documentation in the project file for possible review by the World Bank. The
implementation progress will be included in the project progress report as appropriate.
Involvement of local authorities, local communities, and research institutions will be
encouraged. Knowledge and capacity of the agencies/entities to monitor EMPF and EMDPs
implementation should be assessed and if needed training should be provided.
Monitoring indicators. In line with the technical guidelines provided in Annex 4, key
monitoring indicators will be developed in consultation with concerned entities and detailed
will be included in the Project Implementation Plan.
3.5.2 External Monitoring
Responsible agency. An External Monitoring Agency (EMA) will be assigned or hired to
monitor the implementation of social safeguard of subprojects, especially those related to
RPF, RAPs, EMPF, and EMDP and the report will be sent to the World Bank for review and
comment. External monitoring should be conducted twice a year during the implementation
of the Project to identify any issues that might need immediate response from CIU and/or the
23
World Bank. Special attention will be given to assess effectiveness of the RPF and EMPF
procedures and RAP and EMDP implementation in light of the related government and WB
policies.
Monitoring indicators. In line with the technical guidelines provided in Annex 4, key
monitoring indicators will be developed in consultation with concerned entities and detailed
will be included in the Project Implementation Plan.
24
Annex 1: Overview of the Ethnic Minorities in Project Areas of Central Highlands and
Mekong Delta
The terms, indigenous people refers to ethnic groups of smaller size than the majority group
in certain countries(see, for example, United Nations 2008). The preferred terminology for
this framework is, “ethnic minority groups”. This term is considered to be the closest for the
Vietnamese term, “dântộcthiểusố”, that is widely used on official documents and popular
speech.
The major part of the region’s population is Kinh (Vietnamese), which accounts for
approximately 91.8 percent the population. The ethnic minoritries in the region are Khmer, Hoa
and Cham. Among these ethnic minority Khmer people are the largest (6.7 percent of the total
population) and the most economically and socially disadvantaged. Poor Khmers are similar to
other poor in the region, tending to have little or no land and few opportunities for stable
employment. The jobs available to them are mostly low paying menial jobs. They are
particularly vulnerable to economic disturbances due to their limited assets. Poor Khmer also
tend to be marginalized from mainstream village organizations, having little contact with
commune officials and few opportunities to participate in community decision-making processes.
The Central Highlands of Vietnam are a group of provinces in central Vietnam on the
western flank of the Annamite Mountains, forming a high plateau bordering Cambodia and
Laos. The area is called TâyNguyên(the Western Plateau) in Vietnamese, and consists of four
provinces: DakLak, DakNong, GiaRai and Kon Tum. In the past, the province of Lam Dong
was often considered to be in the Central Highlands, but was recently transferred to the
Southeast region by the government. Additionally, DakLak used to be one province, but
several districts were carved off for a new province of DakNong in 2003. In addition to being
geographically different from the rest of Vietnam, the Central Highlands have long been
populated by ethnic groups that are distinct from the Vietnamese.
All of the four (4) target provinces in the Mekong Delta are mainly comprised of the Kinh
ethnic group, accounting for about 92 percent of the total population of the four provinces.
At the aggregate level, this is followed by the Khmer group comprising around 6.7 percent of
the total. The Hoa and Cham groups account for 1.3 percent and 0.2 percent, respectively.
On a provincial level, the Table 1 shows distribution is as follows:
An Giang, Kinhs comprise about 95 percent; Khmers, 3.9 percent; Hoas, 0.6
percent; and Chams, 0.6 percent;
KienGiang, Kinhs account for 85 percent; Khmers, 12.5 percent; Hoas, 2.2
percent; and Chams, 0.2 percent;
Long An, 99.97 percent of its population is comprised of Kinhs; 0.01 percent,
Khmers;
0.01 percent, Chams; and 0.006 percent, Hoas;
25
Dong Thap, Kinhs account for 99.3 percent; Khmers, 0.4 percent; and Hoas,
0.30 percent. There are no Chams in Dong Thap.
In TayNinh, , 98.7 percent is comprised of the Kinh ethnic group. The rest of the
population is accounted for by Khmers (0.7 percent), Hoas (0.23 percent), and Chams (0.31
percent).
The five (5) taget provinces of Central Highlands are comprised of 13 ethnic groups, with
Kinhs comprising about two-thirds of the total population. The Ra Glai group represents the
smallest number of ethnic group members in the area, with only 1,691 of them in the total
population. In Kon Tum, the majority Kinh ethnic group (51 percent) is followed by the Xo
Dang group (26.5 percent) and then the Ba Na (13.7 percent). 56 percent of the population of
Gia Lai is accounted for by the Kinh group, 29.3 percent by GiaRai, 11.8 percent by Ba Na,
and the rest by a mixture of the other groupings. The province of DakLak is likewise
composed mainly of the Kinh ethnic group (69 percent), followed by E De ethnic group (18
percent). Nung (4.24 percent) rounds up the top three ethnic groups in DakLak. Meanwhile,
the top three ethnic groups in DakNong province are Kinh (75 percent), Nung (6.2 percent)
and Hmong (5 percent). The ethnic groups Kinh (92 percent), Nung (2.5 percent) and Tay
(2.1 percent).
Table 1: Ethnic Minority Groups in Project Areas of Mekong Delta
Ethnic groups/
Provinces of
Mekong Delta
Kinh Khmer Hoa Cham Total
1. An Giang 2,102,856 86,592 14,318 13,722 2,217,488
2. KienGiang 1,436,403 210,988 37,134 3,376 1,687,901
3. Long An 1,068,340 149 68 110 1,068,667
4. ĐongThap 1670,921 6,731 5,048 0 1,682,700
Total by Mekong
delta 15,386,272 1,115,065 222,651 41,714 16,765,702
Table 2: Project Areas and Existing Ethnic Minorities in TayNinh
Ethnic
groups/Province
Kinh Khmer Hoa Cham Total
TayNinh 1,050,376 7,578 2,495 3,250 1,063,699
26
Table 3: Ethnic Minority Groups in Project Areas of Central Highlands
Ethnic groups/
Provinces of
Central
Highlands
Kinh Tay Thai Muong Hoa Nung Hmông Dao GiaRai Ê Đê Ba Na Xơ Đăng Ra Glai Total
Kon Tum 201,153 2,630 4,249 5,386 138 1,997 26 98 20,606 376 53,997 104,759 12 395,427
Gia Lai 713,403 10,107 3,584 6,133 653 10,045 1,245 3,420 372,302 431 150,416 705 50 1,272,494
ĐắkLắk 1,161,533 51,285 17,135 15,510 3,476 71,461 22,760 15,303 16,129 298,534 301 8,041 98 1,681,566
ĐắkNông 332,431 20,475 10,311 4,070 4,686 27,333 21,952 13,932 57 5,271 34 4 14 440,570
LâmĐồng 901,316 20,301 5,277 4,445 14,929 24,526 2,894 2,423 47 182 36 13 1,517 977,906
Total by
Central
Highlands 3,309,836 104,798 40,556 35,544 23,882 135,362 48,877 35,176 409,141 304,794 204,784 113,522 1,691 4,767,963
27
Annex 2: Summary of Consultation Meetings with Ethnic Minorities
Subproject
Area
Ethnic
Group
Date/s of
Consultation
Meeting
Location
of
Meeting
Does the
consultation
meetings
included
non-ethnic
groups?
(yes or no)
Number of
EM
Participated
During the
Consultation
Meetings
Summary of Discussions Documents
to be
Prepared
based on
Consultatio
n
(EMDP or
RAP) and
Minutes of
the Meeting
Opinion of
the EM
during
Presentation
and
Information
on Project
Impact to Ethnic Minority Acceptance
to the
Proposed
Projects
(yes o no)
provide
reason or
explanation
Others
Positive Impact
Negative Impact
Positive
Impact
According
to EM
Proposed
Mitigating
Measures
by the EM
Negative
Impact
Proposed
Mitigating
Measures
28
Annex 3: Elements for an EMDP Executive Summary
This section describes briefly the critical facts, significant findings from the social
assessment, and recommended actions to manage adverse impact (if any) and
proposeddevelopmentintervention activities on the basis on the social assessment result
I. Description of the Project
This section provides a general description of the project goal, project components, potential adverse
impact (if any) at the project and subproject level. Make clear the identified adverse impact at two
levels – project and subproject.
II. Legal and institutional framework applicable to EM peoples
III. Description of the sub-project population
Baseline information on the demographic, social, cultural, and political characteristics of the
potentially affected EM population, or EM’s communities.
Production, livelihood systems, tenure systems that EM may rely on, including natural resources
on which they depend (including common property resources, if any).
Types of income generation activities, including income sources, disaggregated by their
household member, work season;
Annual natural hazards that may affect their livelihood and income earning capacity;
Community relationship (social capital, kinship, social network…)
IV. Social Impact Assessment
This section describes:
Methods of consultation already used to ensure free, prior and informed consultation leading
to ‘broad-based community access and support with affected EM population in the sub-
project area.
8 Summary of results of free, prior and informed consultation with affected EM population.
Results includes two areas:
8.1 Potential impact of subprojects (positive and adverse) on their livelihoods of EM in the
project area (both directly and indirectly);
8.2 Action plan of measures to avoid, minimize, mitigate, or compensate for these adverse
effects.
8.3 Preferences of EM for support (from the project) in development activities intended for
them (explored through needs assessment exercise conducted during the social
assessment)
8.4 An action plan of measures to ensure EM in the subproject area receive social and
economic benefits culturally appropriate to them, including, where necessary, measures to
enhance the capacity of the local project implementing agencies.
V. Information Disclosure, Consultation and Participation:
This section will:
29
describe information disclosure, consultation and participation process with the affected EM
peoples that was carried out during project preparation in free, prior, and informed
consultation with them;
summarizes their comments on the results of the social impact assessment and identifies
concerns raised during consultation and how these have been addressed in project design;
in the case of project activities requiring broad-based community access and support,
document the process and outcome of consultations with affected EM communities and any
agreement resulting from such consultations for the project activities and safeguard measures
addressing the impacts of such activities;
describe consultation and participation mechanisms to be used during implementation to
ensure Ethnic minority peoples participation during implementation; and
confirm disclosure of the draft and final EMDP to the affected EM communities.
VI. Capacity Building: This section provides measures to strengthen the social, legal, and technical
capabilities of (a) local government in addressing EM peoples issues in the project area; and (b) ethnic
minority organizations in the project area to enable them to represent affected Ethnic minority peoples
more effectively.
VII. Grievance Redress Mechanism: This section describes the procedures to redress grievances by
affected Ethnic minority peoples. It also explains how the procedures are accessible on a participatory
manner to Ethnic minority peoples and culturally appropriate and gender sensitive.
VIII. Institutional Arrangement: This section describes institutional arrangement responsibilities
and mechanisms for carrying out the various measures of the EMDP. It also describes the process of
including relevant local organizations and NGOs in carrying out the measures of the EMDP.
IX. Monitoring & Evaluation: This section describes the mechanisms and benchmarks appropriate
to the project for monitoring, and evaluating the implementation of the EMDP. It also specifies
arrangements for free, prior and informed consultation and participation of affected Ethnic minority
peoples in the preparation and validation of monitoring, and evaluation reports.
X. Budget and Financing: This section provides an itemized budget for all activities described in
the EMDP.
ANNEXES:
30
Annex 4: Monitoring and Evaluation
The investment project was designed to involve ethnic minority groups on a free, prior, and
informed consultation with them and by participating in monitoring the implementation and
status of investment activities/subprojects. 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 investment
construction. Table 6below provides the indicators for the internal monitoring by district and
village authority for the regular feedback to the project management unit.
Table 6: Internal Monitoring Indicators
Type of
Monitoring
Basis for Indicators
Sources of
Information
Budget and
Time Frame
Have the personnel of CIU and counterpart staff from
district been organized, deputized and provided their office
as scheduled?
Have capacity building and training of staff of CIU been
conducted on time?
Have the CIU provided adequate budgetary support for
compensation of PAPs and beneficiaries?
Have the CIU released and disbursed the equity funding for
implementing the project on time?
Has the social preparation phase been undertaken according
to schedule?
Have the proposed investment/s been agreed with
beneficiaries and PAPs and concurred by the respective
district and village authorities?
CIU
Delivery of
investment/s
and
Entitlements
Have all the ethnic minority group beneficiaries and PAPs
received their respective investment’s and compensation and
entitlements according to their numbers?
Have the ethnic minority PAPs received their payments on
time?
Have special assistance been provided to PAPs such as
ethnic minority?
Were the actual amounts of investment costs and
compensation been disclosed to beneficiaries and PAPs?
CIU
Beneficiary-
communities
31
Consultation,
Grievance
and Special
Issues
Were IEC campaign materials prepared and distributed to
stakeholders during investment disclosures?
Have consultations, focus group discussions and/or public
meetings been undertaken as scheduled?
Were the ethnic minority beneficiaries and PAPs took active
participation in planning and implementation according to
what were prescribed in the project?
Have any ethnic minority 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 ethnic minority PAPs taken
place?
Beneficiaries/Provinci
al/Municipal authority
Benefit
Monitoring
Where there changes occurred in patterns of occupation of
the ethnic minority beneficiaries compared to their pre-
project situation?
What have been the changes in cost of living compared to
pre-project situation?
What changes have taken place in the lifestyle of ethnic
minority beneficiaries?
Beneficiaries
Beneficiaries
Where applicable, CIU will hire the services of External Monitoring Agency (EMA) to assess
the implementation of the investment project, and will report the key finding directly to the
World Bank. External monitoring should be conducted twice a year during the
implementation of the project to identify any issues that might need immediate response from
CIU. 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. Table 7 sets out the essential indicators that should be highlighted in
external monitoring.
Table 7: ExternalMonitoring Indicators
Type of
Indicators
Indicators
Information Required in Monitoring and Evaluation
Process
Indicators
Staffing Number of CIU staff assigned for project implementation;
Number of Social Development and Resettlement Specialist
assigned.
Consultation,
Participation, and
Grievances
Resolution
Number of consultations and participation programs held with
ethnic minority PAPs and various stakeholders;
Types of IEC campaign materials distributed to ethnic
minority target-beneficiaries and PAPs;
Number and types of grievances received from ethnic
minority beneficiaries and PAPs and the number of days
consumed in resolving them by concerned GRCs;
Number and names of ethnic minority representatives who
participated in the consultations and in the implementation of
the investment project.
32
Operational
Procedures
Types of forms used in recording the activities undertaken in
the project implementation;
Efficiency of coordination with CIU., district authority; ethnic
minority PAPs and other institutions/stakeholders;
Type of database being maintained;
Efficiency of CIU and district government staff;
Efficiency of compensation payment system;
Adequacy of logistical support for implementing the
investment project;
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
Indicate if the type of compensation delivery is either one
time or installment;
allowance/assistance for the dismantling and reconstruction of
their assets in as well as for the dismantling of their structures
upon transfer.
Social
Rehabilitation
Indicate if the ethnic minority PAPs have adequate access on
safe drinking water.
Indicate if the ethnic minority has improved water resource
management in their community
Issues and
Problems
Encountered
Indicate the issues and problems encountered in the
implementation of investment/s, payment of compensation
and entitlement of ethnic minority PAPs.
Impact
Indicators
Health and
Environment
Improved access to safe drinking water;
Improvement on health conditions of women and children.
Changes in Socio-
cultural Pattern
More women participating in monitoring water quality;
Access to information on water quality
Involvement in water users association
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