Indigenous Peoples Planning Framework. Multitranche Financing Facility VIE: Water Sector Investment Program

Transcription

1 Water Sector Investment Program (RRP VIE 41456) Indigenous Peoples Planning Framework October 2010 Multitranche Financing Facility VIE: Water Sector Investment Program Prepared by the borrower for the Asian Development Bank.

2 ABBREVIATIONS ADB - Asian Development Bank CEMA - Committee for Ethnic Minority Affairs EA - Executing Agency EM - Ethnic Minority EMDF - Ethnic Minority Development Framework EMDP - Ethnic Minority Development Plan IPSA - Initial Poverty and Social Analysis MFF - Multi-tranche Financing Facility NGO - Non Government Organisation NRW - Non Revenue Water OCR - Ordinary Capital Reserves PFR - Periodic Financing Request PPMU - Provincial Project Management Unit PPTA - Project Preparatory Technical Assistance SIA - Social Impact Assessment This indigenous peoples planning framework is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature. In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

3 CONTENTS 1 The Context Background and Scope Expected Impact Ethnic Minorities in Viet Nam Objectives and Policy Framework Vietnamese Legal and Policy Framework on Ethnic Minorities Legal Status of Ethnic Minority Groups Policies related to Ethnic Minorities Participation/Grassroots Democracy ADB Policies Safeguard Policy Indigenous Peoples Policy Process for Ethnic Minority Safeguards for MFF Sub-Project/Tranche Screening Social Impact Assessment Ethnic Minority Development Plan Consultation and Participation Disclosure Grievance Redress Mechanism Institutional and Implementation Arrangements Monitoring and Reporting Arrangements Budget and Financing...13

4 1 THE CONTEXT 1.1 Background and Scope 1. ADB and the Government of Viet Nam (GoV) have agreed to fund a series of water supply projects in Viet Nam through a single water sector loan financed under a Multitranche Financing Facility (MFF). The MFF will support the National 2025 Orientation Plan for Urban Water Supply to reach 90% coverage with 120 litres per capita/day and 25% non-revenue water (NRW) by 2015 and universal coverage with 15% NRW by Previous MFF in Viet Nam were for a single project, this is the first time that the MFF will be applied to multiple projects in a sector using OCR. 3. The MFF initially supports projects in the city provinces of Hai Phong, Da Nang, Hue and Ho Chi Minh, for which project designs were prepared through Project Preparatory Technical Assistance (PPTA) in This has resulted in a capital investment program of $444 million for the four cities. Tranche 1 will cover investments in Ho Chi Minh City (HCMC). Tranches 2 and 3 will finance investment in Hue, Da Nang and Hai Phong as well as new cities and the National NRW Program. Other tranches will finance subsequent investment subprojects for water companies from Tranche 1 and 2 as well as new water companies meeting selection criteria, and the second phase of the National NRW program. 4. The HCMC Water Supply sub-project in Tranche 1 will not affect any ethnic minorities (EM) defined as such in ADB s Policy on Indigenous Peoples (1998), and the subsequent Safeguard Policy Statement (2009). For this reason, an Ethnic Minority Development Plan (EMDP) was not required. 5. An EMDP was prepared for Thua Thien Hue sub-project in Tranche 2, as this water supply project will have some positive impact on ethnic minority people. The potential impacts on EM by other projects in Tranche 2 are yet to be confirmed. EMDPs may need to be prepared. 6. As the scope and location of future subprojects have not been determined, an Ethnic Minority Development Framework (EMDF) has been developed to guide the preparation of future subprojects which may have positive or adverse impacts on ethnic minorities located in any other sub-project area. This Framework presents the policy and procedures for the preparation of an EMDP for components, projects, and subprojects to be prepared after MFF approval in accordance with the ADB's latest Safeguard Policy Statement and Safeguard Requirements 3: Indigenous Peoples. This Framework applies to all components, projects, and subprojects identified during preparation and implementation of the MFF supporting Viet Nam s Water Sector. 1.2 Expected Impact 7. The positive impact of the proposed MFF project is improved access to water supply through sustainable and efficient provision of safe water in Viet Nam. Emphasis is on strengthening the financial performance and operational efficiency of Vietnamese water supply companies to deliver a cost effective service and to improve health and living conditions of residents. It is expected that the MFF will benefit up to 2 million households in Viet Nam. 8. Where construction of new infrastructure is proposed (transmission lines and pipelines, treatment plants, water intakes, access roads) this has the most potential to impact on ethnic minorities through changes in land and resources use, livelihoods and access, while sub- 1

5 projects focussing on capacity building are likely to have no negative impacts. Construction of sub-projects may lead to land losses for the local population, and some inhabitants may need to resettle. This EMDF is therefore closely linked to other safeguards of environment and involuntary resettlement. Poor ethnic minority households may also have difficulty paying tariffs. Overall, it is expected that the impact of sub-projects on EMs in urban project areas will be limited as most ethnic minority groups live in remote mountainous areas. 1.3 Ethnic Minorities in Viet Nam 9. Viet Nam has 54 officially recognized ethnic groups, of which the Kinh (the Việt or mainstream Vietnamese) account for 87 percent. The 53 ethnic minority groups vary in size from 500,000 to a few hundred members each. Ethnic minorities account for 13% of the total population, but nearly a third (29%) of Viet Nam s people classified as in poverty are ethnic minority people. 1 With the exception of the Hoa (ethnic Chinese) and the Khmer and Cham, the remaining 50 ethnic groups mostly reside in remote, mountainous rural areas and are economically and socially disadvantaged across a range of dimensions. The members of ethnic minority groups are estimated to be four-and-a-half times more likely to be poor than the Kinh- Hoa, and are also more likely to be malnourished, illiterate, and suffering from poor health. 2 Although Viet Nam has made impressive progress on poverty reduction over the last 15 years, in every region of the country, the improvements have been much more rapid for the Kinh and Chinese populations than for the ethnic minorities. Past trends show that poverty is increasingly becoming an issue of ethnicity. 2 OBJECTIVES AND POLICY FRAMEWORK 2.1 Vietnamese Legal and Policy Framework on Ethnic Minorities 10. The definition of ethnic minority in Viet Nam is based on the following four criteria: (iv) a language different from the national language; long term traditional residence on, or relationship with, land; and long standing traditional social institutional system; common economic activities; and a distinct cultural identity and self-identification as a distinct cultural group that is accepted by neighbouring ethnic groups Legal Status of Ethnic Minority Groups 11. All ethnic groups in Viet Nam enjoy full citizenship and are protected in terms of equality under the law and national constitution. The Constitution of Viet Nam (1992, Amended 2001) acknowledges equality among ethnic groups and includes general principles as follows: 1 Asian Development Bank (2002), Indigenous Peoples/Ethnic Minorities and Poverty Reduction Vietnam, ADB Manila. 2 Swinkels R. and Turk C. (2006), Explaining Ethnic Minority Poverty in Vietnam: A Summary of Recent Trends and Current Challenges. Draft Background paper for CEM/ MPI meeting 28 September 2006 on Ethnic Minority Poverty, World Bank, Hanoi. 2

6 (iv) (v) (vi) Viet Nam is a united nation of all ethnic groups living within the country (Article 5). The State applies a policy of equality, solidarity and mutual support among the various ethnic communities and prohibits all acts of ethnic discrimination and division. (Article 5) All ethnic groups have the right to use their own languages and writing systems and to preserve their traditional customs and culture. (Article 5) The State implements policies of all-round development aimed at gradually improving and raising the material and spiritual conditions of life of ethnic minorities. (Article 5) The State will take charge of and will ensure the promotion of the cultural values of all the nationalities in Viet Nam (Article 30) The State gives priority for development of education and health care to mountain inhabitants and ethnic minorities. (Article 36 and 39) Policies related to Ethnic Minorities 12. The Government of Viet Nam has passed a series of policy resolutions related to ethnic minority development, particularly in remote mountainous areas. One of the most relevant of these is Decision No.134/2004/QD-TTg of 20 July 2004 of the Prime Minister which includes a number of policies to provide support in terms of land for agricultural production, residential land, dwelling houses and water for daily-life to poor ethnic minority households meeting with difficulties (is referred to as Program 134 ). 13. Decree No.60/2008/ND-CP of 9 May 2008 prescribes the functions, tasks, powers and organizational structure of the Committee for Ethnic Minority Affairs (CEMA). This ministeriallevel agency under the Government performs its functions of state management on ethnic minority affairs nationwide, and on public services within its authorities, and provincial departments. Provinces with a significant ethnic minority population have a Department of Ethnic Minority Affairs under the Provincial People s Committee. The functions of CEMA ranges from development of laws to implementation of the programmes, their monitoring and acting as inter-agency of different ministries of Viet Nam and liaising with international agencies. In 1995 CEMA developed a framework for External Assistance with the Development of Ethnic Minorities. This framework resulted in a strategy for the development of ethnic minority people within the Government's goal of stability, sustainable growth and reduction of poverty. The key points of this framework are: a) To fight against poverty; b) To encourage active participation of the populations of ethnic minorities in their own development; c) To reinforce the institutions involving ethnic minorities; d) To develop natural and human resources in a sustainable manner; and e) To ensure mutual respect between, and increase responsibility of the parties involved Participation/Grassroots Democracy 14. Documents from the Government relating to grassroots democracy and public participation are also relevant to this EMDF. Ordinance No.34/2007/PL-UBTVQH11 dated 20 April, 2007 (superseding Decree No.79/2003/ND-CP of 7 July 2003) on the implementation of democracy in communes, ward and township levels provides the basis in Viet Nam for community participation in the preparation of development plans and their supervision. Prime Minister s Decision No.80/2005/QD-TTg of 18 April 2005 promulgates regulations on investment supervision by the community. 3

7 2.2 ADB Policies Safeguard Policy 15. The ADB Safeguard Policy Statement (2009) 3 and Operations Manual (OM F1/BP and F1/OP 20 January 2010) affirm that environmental and social sustainability is a cornerstone of economic growth and development. ADB commits to ensuring environmental and social sustainability in the projects it supports. The Safeguard Policy Statement sets out the policy objectives, scope and triggers, and principles for three inter-related key safeguard areas: environmental safeguards; involuntary resettlement safeguards; and Indigenous People s safeguards. The objectives of ADB s safeguards are to: avoid adverse impacts of projects on the environment and affected people, where possible; minimize, mitigate, and/or compensate for adverse project impacts on the environment and affected people when avoidance is not possible; and help borrowers/clients to strengthen their safeguard systems and develop the capacity to manage environmental and social risks Indigenous Peoples Policy 16. The term Indigenous Peoples is used in a generic sense to refer to a distinct, vulnerable, social and cultural group possessing the following in varying degrees: 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 (iv) a distinct language, often different from the official language of the country or region. In the case of Viet Nam, there is a high degree of consistency between the Vietnamese definition of ethnic minorities and ADB s definition of Indigenous People. The main point of divergence is that, in the case of ADB s policy, a group that has lost collective attachment to geographically distinct habitats or ancestral territories in the project area because of forced severance remains eligible for coverage. National legislation, customary law, and any international conventions to which Viet Nam is a party are taken into account for application of the ADB policy. 17. The Indigenous Peoples safeguards are triggered if a project directly or indirectly affects the dignity, human rights, livelihood systems, or culture of EMs or affects the territories or natural or cultural resources that EMs own, use, occupy, or claim as an ancestral domain or asset. 18. The objective of the Indigenous People s Policy is to design and implement projects in a way that fosters full respect for EM identity, dignity, human rights, livelihood systems, and cultural uniqueness as defined by the EM people themselves so that they: Receive culturally appropriate social and economic benefits. Do not suffer adverse impacts as a result of the projects. Can participate actively in projects that affect them. 19. Borrowers/clients are required to meet the specific safeguard requirements in Safeguard Requirement 3: Indigenous Peoples. Importantly, ADB will not finance projects that do not 3 The ADB Safeguard Policy Statement (2009) is available in Vietnamese at: 4

8 comply with the Safeguard Policy Statement; The Safeguard Policy Statement applies to all ADB projects and their components regardless of the source or type of finance; ADB will implement the Safeguard Policy Statement through safeguard review procedures. 20. The Indigenous People s Safeguard Policy replaces ADB's Policy on Indigenous Peoples (1998) with the following key differences: The consent of affected EM communities must be obtained for three types of activities: - Commercial development of the cultural resources and knowledge of EM. - Physical displacement from traditional or customary lands. - Commercial development of natural resources within customary land under use. (iv) (v) (vi) Greater stress is placed on culturally appropriate measures, and gender and intergenerational considerations. Use of qualified and experienced experts. The conduct of consultation, social impact assessment, EMDP, monitoring and grievance redress will be commensurate with the nature of the project and the scale of impacts on Ems. When the borrower/client and the affected EMs have major disagreements, the borrower/client will adopt good faith negotiations in resolving those disagreements. If there is not broad community support for the project then it will not go ahead. 21. An Ethnic Minority Development Plan (EMDP) is required for all projects with any impacts (positive or negative) on EMs. Its level of detail and comprehensiveness is commensurate with the significance of potential impacts on EMs. 3 PROCESS FOR ETHNIC MINORITY SAFEGUARDS FOR MFF 3.1 Sub-Project/Tranche Screening 22. Early screening of the water sector MFF sub-projects is critical to determine whether EMs are present in, or have collective attachment to the project area; and whether project impacts on EMs are likely. ADB, in discussion with the Executing Agency (EA), will carry out screening of water supply sub-projects and EM categorisation at the earliest possible stage of sub-project preparation. (Refer to Appendix A for EM Impact Screening Checklist). 23. For the water sector MFF, each tranche is to be categorised in terms of its potential impacts on Ethnic Minorities as follows: Category A. A proposed Tranche is classified as category A if it is likely to have significant (positive or negative) impacts on EMs. An EMDP, including assessment of social impacts, is required. Category B. A proposed Tranche is classified as category B if it is likely to have limited impacts (positive or negative) on EMs. An EMDP, including assessment of social 5

9 impacts, is required. Category C. A proposed Tranche is classified as category C if it is not expected to have impacts on EMs. No further action is required. (iv) Category FI. A proposed Tranche is classified as category FI if it involves the investment of ADB funds in, or through, a financial intermediary. This category is not expected to be relevant to the Water Sector MFF. 24. The sub-project/tranche Initial Poverty and Social Analysis (IPSA) will flag the social dimensions of each of the proposed sub-projects and categorise them according to their impacts on EMs and other social safeguards. 25. If the sub-project is assessed as Category A or B (i.e., any impacts on EMs), then a social impact assessment will be conducted during the project feasibility/design. This may be done as part of the feasibility study or as a standalone activity. 3.2 Social Impact Assessment 26. A Social Impact Assessment is an activity to assess potential sub-project impacts, both positive and adverse, on Ethnic Minorities. The social impact assessment will be done in a gender-sensitive way and in consultation with EM communities. Qualified and experienced experts will be used to conduct the social impact assessment. Field-based research methods will include focus groups discussions, interviews with key informants, household surveys and secondary data sources. 27. The Social Impact Assessment will include: Baseline socio-economic profile of the project area and impact zone, including identifying all EM groups and affected EM groups; and the current access EMs have to social and economic services. Specifically for the water sector MFF, a sub-project profile would include information on: a. Ethnicity; occupation; income; education; access to water for multiple purposes (e.g., drinking, cooking, bathing, washing, and latrine); use of latrine; sanitation and hygiene condition, hygiene behaviors; water borne diseases; poverty rate and situation; expenditure on water and sanitation and willingness to pay. b. Social and cultural aspects of water and sanitation behavior. c. Period of time living in the sub-project area; number of households or communities that have resettled in the area. d. Poverty programs of the Government and Non-Government organizations which are operating in the sub-project area. e. Language and communication mechanisms. Identification and analysis of short and long term impacts; direct and indirect impacts; and positive and negative impacts for EMs. Using information on the proposed water sub-project, impacts on EMs will be determined including: a. Resettlement impacts, land acquisition; temporary construction impacts and disruption of business, production, sites of cultural value; and transport routes. b. Employment opportunities (short and long term). c. Benefits of water and sanitation in the project area. 6

10 Recommendations on the strategies and activities to address EM issues, such as the optimization of culturally appropriate, gender and intergenerationally inclusive benefits; and measures to avoid, minimise and mitigate negative impacts. These might include measures to maximize the project s overall benefit of water supply and sanitation for EMs, and other poverty reduction activities or exploring alternative designs to avoid displacement. 28. The social impact assessment must: (iv) Be culturally-appropriate and gender sensitive. Consider Vietnamese laws and obligations under international laws to which Viet Nam is a signatory. Give full consideration to EM-preferred options in relation to the provision of project benefits and the design of mitigation measures. Be detailed commensurate to the scale of expected impacts. 29. If the social impact assessment indicates that the proposed project will have impacts, positive or negative, on Ethnic Minorities, the EA will prepare an Ethnic Minority Development Plan relevant to the social impact assessment and in consultation with EMs. 3.3 Ethnic Minority Development Plan 30. The EMDP level of detail and comprehensiveness will correspond to the degree of impacts identified in the social impact assessment. The degree of impacts is determined by evaluating the magnitude of the impact on EM s customary rights of use and access to land and natural resources; socioeconomic status; cultural and communal integrity; health, education, livelihood systems, and social security status; or EM knowledge; and the vulnerability of the affected EMs. The EMDP will draw on EM knowledge and foster participation by the affected EM communities. 31. Where the impacts on EMs are such that their physical displacement is unavoidable, the EMDP will be combined with the Resettlement Plan. The combined plan will: (iv) Be compatible with EM cultural preferences. Include land-based resettlement strategy. Allow EMs to return to traditional lands and domains. Include provisions to rehabilitate such lands. 32. When a project affects EMs ties to lands, forests, water, wildlife, and other natural resources, the SIA and EMDP will pay particular attention to: EM customary rights (individual or collective). Protection against encroachment by outsiders. Cultural and spiritual values that EM attribute to ancestral domains, lands and natural resources. 7

11 (iv) (v) EM natural resource management practices and their sustainability. Rehabilitation of affected EMs livelihood systems. 33. An EMDP will include the following: A. Executive Summary of the Ethnic Minority Development Plan - concise description of the critical facts, significant findings, and recommended actions. B. Description of the Project - general description of the sub-project; discussion of the sub-project components and activities that may affect EMs; and identification of sub-project area. C. Social Impact Assessment This section: (iv) (v) (vi) (vii) reviews the Vietnamese legal and institutional framework applicable to EMs in the project context. provides baseline information on the demographic, social, cultural, sanitation and hygiene practices and political characteristics of the affected EM communities; the land and territories that they have traditionally owned or customarily used or occupied; and the natural resources on which they depend. identifies key project stakeholders and describes a culturally appropriate and gender-sensitive process for meaningful consultation with EMs at each stage of project preparation and implementation. assesses, based on meaningful consultation with the affected EM communities, the potential adverse and positive effects of the project. Includes a gender-sensitive analysis of the relative vulnerability of, and risks to, the affected EM communities given their particular circumstances and close ties to land and natural resources, as well as their lack of access to opportunities compared to other social groups in Viet Nam and the region. includes a gender-sensitive assessment of the affected EM s perceptions about the project and its impact on their social, economic, and cultural status. identifies and recommends, based on meaningful consultation with the affected EM communities, the measures necessary to avoid adverse effects or, if such measures are not possible, identifies measures to minimize, mitigate, and/or compensate for such effects and to ensure that the EMs receive culturally appropriate benefits under the project. D. Information Disclosure, Consultation and Participation This section: 8

12 (iv) (v) describes the information disclosure, consultation and participation process with the affected EM communities that was carried out during project preparation; summarizes EM 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 community support, documents the process and outcome of consultations with affected EM communities and any agreement on safeguard measures addressing the impacts of such activities; describes consultation and participation mechanisms to be used during implementation to ensure EM s participation; and confirms disclosure of the draft and final EMDP to the affected EM communities. E. Beneficial Measures - specifies the measures to ensure that the EMs receive social and economic benefits that are culturally appropriate, and gender responsive. F. Mitigative Measures - specifies the measures to avoid adverse impacts on EMs; and where avoidance is impossible, specifies the measures to minimize, mitigate and compensate for adverse impacts for each affected EM group. G. Capacity Building - provides measures to strengthen the social, legal, and technical capabilities of (a) government institutions to address EM issues in the project area; and (b) EM organizations in the project area to enable them to represent the affected EM more effectively. H. Grievance Redress Mechanism - describes the procedures to redress grievances of affected EMs. It also explains how the procedures are accessible to EMs and culturally appropriate and gender sensitive. I. Monitoring, Reporting and Evaluation - describes the mechanisms and benchmarks appropriate to the project for monitoring, and evaluating the implementation of the EMDP. It also specifies arrangements for participation of affected EMs in the preparation and validation of monitoring, and evaluation reports. J. Institutional Arrangement - describes institutional arrangement responsibilities and mechanisms for carrying out the various measures of the EMDP. It also describes the process of including 9

13 relevant local organizations (Women s Union, Mass Organizations, Village leaders) in carrying out the measures of the EMDP. K. Budget and Financing - provides an itemized budget for all activities described in the EMDP. 34. The EMDP will be prepared by the EA in accordance with this Framework document. The EMDP will be reviewed by ADB prior to the start of any project-related physical work. 4 CONSULTATION AND PARTICIPATION 35. EMs and representative organisations will be consulted on all sub-project activities that will potentially impact on them throughout all sub-project phases. Every attempt will be made to obtain their participation in planning, designing, implementing, and monitoring measures to avoid adverse impacts or, when avoidance is not possible, to minimize, mitigate, or compensate for such effects; and in tailoring project benefits for affected EM communities. 36. The Provincial Project Management Units (PPMU) will be responsible for ensuring community participation through Ward and Commune People s Committees, community level groups/associations, local and ethnic minority leaders, Women's Union and Fatherland Front, and the local agency responsible for Ethnic Minority Affairs. It is crucial to invite all villagers to the meetings, and conduct separate meetings with vulnerable households to get their perspective on the project activities. 37. The PPMU will set up regular meetings with the Commune Committee, Women's Union, Village Leaders, local community to ensure that all the involved people have full awareness and understanding about the project content. The aim of the consultations is that all the ethnic minority people who are expected to be affected by the project will be properly informed and informed early about the project, its scope, implementation schedule and activities, as well as of expected impacts on the local community. These meetings will be scheduled to follow set milestones throughout the sub-project phases. The PPMU will coordinate with province level Department of Ethnic Minority Affairs or the district level officials dealing with local ethnic minority issues in order to ensure that all impacts are expressed and assessed in a timely manner. 38. Consultation with EMs during the various project stages through meetings, discussions, will include fulfilling the ADB requirement to obtain consent of EMs if any of the following activities is likely in the sub-project: commercial development of the cultural resources and knowledge of EMs; physical displacement from traditional or customary lands; and commercial development of natural resources within customary lands under use that would impact the livelihoods or the cultural, ceremonial, or spiritual uses that define the identity and community of EMs. 39. In these cases, the consent of affected EM communities refers to a collective expression by the affected EM communities, through individuals and/or their recognized representatives, of broad community support for such project activities. Broad community support may exist even if some individuals or groups object to the project activities. Through the consultation process the PPMU will inform EMs of their rights, the scope of the project and the potential effects on 10

14 livelihoods, environment and resources. The PPMU will submit documentation of the engagement process to ADB for review and investigation. Where there are major differences or conflicts between the EMs and EA, the PPMU will adopt a process of good faith negotiations to resolve these differences. This includes mutual respect for cultural differences, discussing issues with legitimate representatives of EMs, allowing time for decision making, being willing to compromise, and documenting outcomes. If there is not broad community support for a subproject which has one of the above activities, then ADB will not fund it. 40. Not all ethnic minority people in Viet Nam, particularly women elder people and those in rural ethnic communities, are fluent in the Vietnamese language and their reading skills are limited. The education levels and literacy of affected ethnic minorities will however be confirmed by the social impact assessment. Culturally appropriate and gender inclusive methods and styles of communications will be used to address communication barriers. This may include translation of documents into local ethnic languages, using interpreters at community meetings; greater use of pictorial communications in sub-projects when illiteracy or low education levels exist in ethnic minority communities; and separate meetings for men and women where this is culturally necessary. 5 DISCLOSURE 41. To ensure full disclosure with EMs, all communication concerning the Project will take place in an appropriate manner - in the ethnic language of the EMs and in a culturally proper way. Public meetings will be arranged in villages, using participatory methodology and the ethnic minority language(s). Information will be posted in a central public location such as the ward/commune level People s Committee office, and at the village or EM leader s house. Information will be mostly pictorial in order to guarantee accessibility of the information for ethnic minority people with poor literacy skills. 42. Local people s opinions will be recorded in an appropriate way through minutes from the meetings. Notes also will be taken from all regular meetings between PPMU and EM leaders or village representatives chosen at village meetings. All the concerns from involved people will be recorded this way and brought into the project planning process and used during implementation to adjust project activities. Any concerns, claims or grievances brought up in meetings or other consultations will be recorded in the same way. The draft EMDP will be disclosed at commune level in a public meeting including all relevant stakeholders, with the final EMDP also disclosed at a commune level public meeting. Women representing affected households must be present at the disclosure meetings. Copies of the EMDP will be available at the ward/commune People s Committee offices, village/hamlet leader s house and EM leader s house. 43. Disclosure will also include posting on the ADB website as follows: Document Water Sector MFF Indigenous Peoples Framework Sub-project Draft EMDP (with social impact assessment) endorsed by PPMU Sub-project Final EMDP New or updated EMDP and a corrective action plan Monitoring Reports Stage before appraisal of MFF before sub-project/tranche appraisal or ADB Management consideration of the PFR after ADB review, before commencement during implementation during implementation 11

15 6 GRIEVANCE REDRESS MECHANISM 44. One of the aims of the consultation process and regular meetings is to minimize the incidence of dissatisfaction among the project-affected people by integrating local stakeholders opinions and concerns in project planning and implementation. The participatory approach will encourage EMs to raise any concerns before conflicts may appear and to indicate their consent. However, if any EM people are not satisfied with the process, compensation or mitigation measures, or any other issue, village leaders and EM organizations or EM representatives will make a grievance to the PPMU. The complaint will be assessed and a solution negotiated between the PPMU and local authorities. However, if the conflict is not solved amicably, it will be taken to the EA. All grievances will be responded to promptly, in a culturally appropriate, transparent and gender inclusive way. The EM person can make a complaint without any cost to them and without fear of retribution. 7 INSTITUTIONAL AND IMPLEMENTATION ARRANGEMENTS 45. The Executing Agency for each subproject is the water company. The EA is responsible for preparation of EMDP. The ADB will review the EMDP before project appraisal. A PPMU established for each sub-project, will be responsible for the implementation of the EMDP and monitoring that all the activities throughout the sub-project take place in a culturally appropriate way for affected ethnic minority people. To ensure grassroots participation in EMDP implementation and monitoring, a community level group/association of residents will be formed to participate in the planning, implementation, monitoring, operation and maintenance of the EMDP. The PPMU will set up routines for regular dialogue and meetings with local authorities, Ethnic Minority Affairs agencies, representative community groups, and traditional leaders representing EMs. District and Commune People s Committees will cooperate and also monitor the EMDP. Mass organisations, particularly the Women s Union, will play an active role in implementing and monitoring of the EMDP. 8 MONITORING AND REPORTING ARRANGEMENTS 46. Each sub-project Executing Agency will set up an internal monitoring system comprising an experienced and qualified Expert, NGO/agency, ethnic minority people, community level groups, and Ethnic Affairs agency representatives to encourage participatory monitoring of the EMDP implementation. Monitoring will assess whether the EMDP s objective and desired outcome have been achieved, taking into account the baseline conditions, specific impact indicators established in the EMDP or during implementation, and the results of EMDP monitoring. 47. The Monitoring Report should address the following indicator areas, specifically for ethnic minority people: (iv) (v) (vi) (vii) (viii) (ix) (x) (xi) Resettlement impacts and compensation Land use changes Access to water supply Access to sanitation Employment/livelihood impacts Consultation of women Participation at consultation meetings (gender disaggregated) Participation at disclosure meetings (gender disaggregated) Information and awareness activities Environmental impacts Grievances number and type (gender disaggregated) 12

16 (xii) (xiii) (xiv) (xv) Formation of village level groups for implementation and monitoring (gender disaggregation of membership) Activities targeting poor ethnic minority households Activities targeting ethnic minority households headed by women Other poverty alleviation activities capacity building and training; project-related employment; project-related business opportunities. 48. In addition, an external independent monitoring agency will be engaged by the EA with ADB concurrence to undertake independent external monitoring of all EMDP/Resettlement Plans. External monitoring will be carried out annually. 49. If, during monitoring, it is found that the EMDP has not been carried out properly or unforeseen impacts have been identified or occurred, a Corrective Action Plan will be prepared and the EMDP updated as necessary. 50. The Executing Agency is responsible for monitoring reporting as follows: (iv) Prepare periodic monitoring reports Highlight compliance issues and corrective actions in reports Submit six-monthly monitoring reports to ADB Publicly disclose monitoring reports, including on ADB website. 9 BUDGET AND FINANCING 51. The EA will have the primary responsibility for the preparation of the EMDP and as such will also prepare a detailed budget taking into account all the activities associated with the formulation and implementation of the EMDP. Each sub-project EMDP will have its own budget and will form an integral part of the overall sub-project budget. Each Periodic Financing Request (PFR) will include the cost of implementing the EMDP. 52. Costs related to the implementation of the EMDP will include the costs of potential land acquisition, resettlement and compensation costs, external monitoring and ethnic minority experts. 13

17 APPENDIX A: Ethnic Minority Impact Screening Checklist KEY CONCERNS (Please provide elaborations on the Remarks column) YES NO NOT KNOWN Remarks A. Ethnic Minority Identification 1. Are there socio-cultural groups present in or who use the project area who may be considered as "tribes" (hill tribes, scheduled tribes, tribal peoples), "minorities" (ethnic or national minorities), or "indigenous communities" in the project area? 2. Are there national or local laws or policies as well as anthropological research/studies that consider these groups present in or using the project area as belonging to "ethnic minorities", scheduled tribes, tribal peoples, national minorities, or cultural communities? 3. Do such groups self-identify as being part of a distinct social and cultural group? 4. Do such groups maintain collective attachments to distinct habitats or ancestral territories and/or to the natural resources in these habitats and territories? 5. Do such groups maintain cultural, economic, social, and political institutions distinct from the dominant society and culture? 6. Do such groups speak a distinct language or dialect? 7. Have such groups been historically, socially and economically marginalized, disempowered, excluded, and/or discriminated against? 8. Are such groups represented as "ethnic minorities" or "scheduled tribes" or "tribal populations" in any formal decision-making bodies at the national or local levels? B. Identification of Potential Impacts 9. Will the project directly or indirectly benefit or target Ethnic Minority people? 10. Will the project directly or indirectly affect Ethnic Minorities traditional socio-cultural and belief practices? (e.g. child-rearing, health, education, arts, and governance) 14

18 KEY CONCERNS (Please provide elaborations on the Remarks column) YES NO NOT KNOWN Remarks 11. Will the project affect the livelihood systems of Ethnic Minorities? (e.g., food production system, natural resource management, crafts and trade, employment status) 12. Will the project be in an area (land or territory) occupied, owned, or used by Ethnic Minorities, and/or claimed as ancestral domain? C. Identification of Special Requirements Will the project activities include: 13. Commercial development of the cultural resources and knowledge of Ethnic Minorities? 14. Physical displacement from traditional or customary lands? 15. Commercial development of natural resources (such as minerals, hydrocarbons, forests, water, hunting or fishing grounds) within customary lands under use that would impact the livelihoods or the cultural, ceremonial, spiritual uses that define the identity and community of Ethnic Minorities? 16. Establishing legal recognition of rights to lands and territories that are traditionally owned or customarily used, occupied or claimed by ethnic minority people? 17. Acquisition of lands that are traditionally owned or customarily used, occupied or claimed by ethnic minorities? D. Anticipated project impacts on Ethnic Minorities Project component/ activity/ output Anticipated positive effect Anticipated negative effect Note: The ADB project team may attach additional information on the project, as necessary. 15

19 APPENDIX B References Asian Development Bank (ADB), Operations Manual Bank Policies (OM Section D14/BP) Multitranche Financing Facility. Issued 6 August Manila. Asian Development Bank (ADB), Operations Manual Operational Procedures (OM Section D14/OP) Multitranche Financing Facility. Issued 6 August Manila. Asian Development Bank (ADB), 2009, Safeguard Policy Statement, Manila Asian Development Bank (ADB), Operations Manual Bank Policies (OM Section F1/BP) Safeguard Policy Statement. Reissued 23 February Manila. Asian Development Bank (ADB), Operations Manual Operational Procedures (OM Section F1/OP) Safeguard Review Procedures. Issued 20 January Manila. Asian Development Bank (ADB), Supporting Viet Nam Water Sector Concept Paper, 3 May Hanoi. Asian Development Bank (ADB), n.d. Technical Note on Social Analysis in the Multitranche Financing Facility. Regional and Sustainable Development Department, Poverty Reduction, Gender and Social Development Division. 16