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)

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

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