SFG3143 V1
LAO PEOPLE’S DEMOCRATICREPUBLIC
PEACE INDEPENDENCE DEMOCRACY UNITY PROSPERITY
MEKONG-INTERGRATED WATER RESOURCES MANAGEMENT PROJECT
COMPONENT 3.2: FISHERIES MANAGEMENT
GUIDELINES ON THE IMPLEMENTATION
OF ALTERNATIVE LIVELIHOOD SUPPORT ACTIVITIES
March 9, 2017
TABLE OF CONTENT
Abbreviations and Acronyms .....................................................................................................2
I. Introduction and Overview .....................................................................................................3
II. Activity Eligibility and In-eligibility .........................................................................................3
III. Implementation ....................................................................................................................6
3.1 Planning and Activity Selection Phase .............................................................................6
3.2 Implementation Phase .....................................................................................................7
3.3 Monitoring and Accountability ........................................................................................8
3.4 Consultation .....................................................................................................................9
IV. Fiduciary................................................................................................................................9
4.1 Financial Management and Procedures ..........................................................................9
4.2 Procurement ..................................................................................................................12
V. Environmental and Social Safeguards .................................................................................15
5.1. Safeguard Screening and Mitigation Measures ............................................................15
5.2 Consultation with Ethnic Groups ...................................................................................16
5.3 Information Dissemination and Disclosure ...................................................................16
C3.2 Annex 1: Procurement Plan for 2016 ..............................................................................17
C3.2 Annex 2: Guidelines for Documentation of Consultation Meetings ...............................18
C3.2 Annex 3: Consultation Guidelines and Documentation ..................................................24
C3.2 Annex 3: Safeguards .......................................................................................................27
C3.2 Annex 4: Simplified Pest Management Plan ...................................................................33
C3.2 Annex 5: Manager Clearance Form ................................................................................36
C3.2 Annex 6 – Financial Management Supporting Documents for Alternative Livelihood
support (ALS) ............................................................................................................................37
Attachment 1: Procurement Documents and Forms
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Abbreviations and Acronyms
C3.2 Component 3.2
CRPF Compensation and Resettlement Policy Framework
DAFO District Agriculture and Forestry Office
DONRE District Office of Natural Resources and Environment
DLF Department of Livestock and Fisheries
EG Ethnic Groups
EGDF Ethnic Groups Development Framework
EGDP Ethnic Group Development Plan
ESMF Environment and Social Management Framework
FCZ Fishery Conservation Zone
FMC Fishery Management Committee
FMP Fishery Management Plan
FRIC Free, prior, and informed consultation
IIP Investment Implementation Plan
IWRM Integrated Water Resources Management
KPC Kum ban Procurement Committee
LFNC Lao Font for National Construction
LWU Lao Women Union
M&E Monitoring and Evaluation
M-IWRM Mekong Integrated Water Resources Management
MoNRE Ministry of Natural Resources and Environment
O&M Operation and Maintenance
OP/BP Operation policy/Bank Procedure (of WB)
PAD Project Appraisal Document
PDO Project Development Objective
PMU Project Management Unit
PONRE Provincial Office of Natural Resources and Environment
RAP Resettlement Action Plan
UXO Unexploded Ordnance
WB World Bank
2
I. Introduction and Overview
The Fishery Management Component (C3.2) is aligned with the Mekong Integrated Water
Resources Management Phase 1 (M-IWRMP APL1) Project Development Objective (PDO) to
improve the integration of Water Resources Management in the Lower Mekong Basin at the
local level, both for institutions (central and provincial agencies) and communities,
considering its downstream benefits and impacts. In particular, the goal of C3.2 is to support
the sustainable management of aquatic resources in the pilot areas in order to achieve
regional environmental and social benefits in the Lower Mekong Basin. The C3.2 will
establish effective community-based fisheries management by:
Supporting fishing communities in selected kum banhs to establish Fisheries
Management Committees (FMCs) and prepare fishery management plans,
Supporting alternative livelihoods and rural infrastructure investments, and
Strengthening the capacity of the public sector, particularly in the Provincial
Agriculture and Forestry Office (PAFO) and the District Agriculture and Forestry Office
(DAFO), to support community based fisheries management and to supply fingerlings
for wild stock enhancement and aquaculture in the project area.
This document contains guidelines identifying and administering support for alternative
livelihoods that comply with the World Bank’s procurement, financial management, and
social and environmental safeguards procedures.
Section II below describes types and scope of alternative/supplementary livelihood activities
that are eligible for funding by C3.2. Section III describes the planning, consultation and
implementation process while Section IV describes financial management and procurement.
Section V describes safeguard requirements. The Annexes contain proformas and additional
relevant information.
II. Scope and Eligibility
Geographic Scope: C3.2 will support the establishment of fisheries co-management in the
mainstream Mekong and the Sekong River, which is part of the international tributaries
system, Sekong-Sesan-Srepok, shared with Cambodia and Vietnam. The areas covered by
this project are selected clusters of villages known as kum banhs in the following districts:
Khong, Sanasomboun, and Pathoumpone (Champasak Province), Sanamsai (Attapeu
Province), and Lamam (Sekong Province).
Livelihood type and scope: Alternative livelihoods (AL) that are eligible for support include
livestock raising, aquaculture, agriculture…etc. (see Table 1). The identification of AL
support activities begins during the initial stages of fisheries management planning as
described in companion guidelines developed for C3.2 entitled: Guidelines for Establishing
Co-Managed Fisheries in Lao PDR when the initial engagement and consultation with kum
banh members begins.
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Safeguards: Note that as a result of the screening process, if ethnic groups (EG) are present
in the kum banh, the ethnic groups planning framework (EGPF) will have already been
applied to guide this engagement in a culturally appropriately manner and consultation
process as described in the fisheries management Guidelines.
This process will have identified “a list of proposed alternative livelihoods�? that will benefit
the ethnic groups located in the project area. .
The fisheries management planning process may have also identified the need for
alternative livelihood support for Ethnics Groups within the kum banh that may be adversely
affected by the implementation of fisheries management plan. These compensatory
livelihood support activities might form the basis of an Ethnic Groups ‘Action Plan’ following
the EGPF. The fisheries management plan document will contain details of any Action Plan.
This document provides the necessary guidance to proceed with further consideration,
selection and implementation of alternative livelihoods support proposed during the initial
engagement and consultation process for FMC establishment and fisheries management
planning, and for the implementation of compensatory livelihood support activities for
ethnic groups following the preparation of the fisheries management plan and application of
the principles of an Action Plan during this process (OP4.10 Annex B and OP4.12 Process
Framework).
Note that consultation is considered an integral part of the planning and decision-making
process. Consultation with, and active participation of, women is an important element of
IWRM process while free prior and informed consultation with ethnic groups in the
proposed project area in a culturally appropriately manner is a requirement from WB social
safeguard policy (OP/BP4.10).
Therefore when performing any consultation activities, the C3.2 team will ensure that the
most vulnerable groups of the community including single-headed households, ethnic
groups, households with disabled people, landless households, and adolescents are
consulted and have an opportunity to fully engage in the AL planning and implementation
process. For each consultation, the C3.2 will promote and enable active participation of
local authorities and community representatives including women and other vulnerable
groups; for the case of ethnic groups, as is mentioned before, free prior and informed
consultation will be a requirement. With these, the consultation process will ensure that all
the voices and/or concerns expressed by the participants especially women and the
vulnerable groups will be incorporated into the proposed village livelihood activities plans
and design to ensure that the livelihood activities will also benefit and accessible to all
community members. Consultation guidelines and meeting record forms are provided in
Annex 2. Consultation guidelines, specifically with ethnic groups follow procedures
established by the Lao Front for National Construction in 2013 as well as the World Bank’s
Ethnic Groups Planning Framework (EGPF).
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Table 1: Alternative livelihood activity types eligible for support under the project
Alternative
Livelihood Activities Activities Not Eligible
livelihood
Fish culture Fish farming (grow-out) using fingerlings of either indigenous and exotic Equipment or tools used for illegal fishing.
(Aquaculture) species from hatcheries renovated or constructed by C3.2 but also from
neighboring provinces of Laos and Thailand subject to approval by PAFO
and DAFO.
Livestock Large livestock preferably cattle raising (indigenous or mixed species Raising of wild animals/ endangered species
Raising locally available are recommended).
Poultry raising (chicken and ducks of which indigenous species locally
available are highly recommended).
Pig raising (either hybrid or indigenous and mixed species are acceptable.
Goat raising (both local species and those from neighboring provinces are
acceptable due to their relatively strong resistance and ability to adapt to
new environment).
Seeds for the plantation of Stylosanthes grass as part of pig raising
system will be promoted and eligible.
Agriculture Rice seed production (to be managed through Phone Gnam Rice Seed Purchase of banned and large quantities of pesticides,
and cropping Research and Production Center in Pakse). insecticides, herbicides and other dangerous chemicals;
High value crop growing (local species of seeds and saplings available in 3 asbestos and other agricultural inputs detrimental to the
Southern Provinces as well as those from neighboring provinces of Laos environment.
and Thailand or Vietnam are acceptable). Equipment or tools used for illegal logging (e.g. chain saws).
Agriculture Agriculture inputs (organic fertilizers, non-chemical pesticides, basic Electrical, gasoline or diesel generators or pumps;
and livestock agricultural tools/equipment and veterinarian kits and forage seeds) Use of banned pesticides and toxic chemicals not registered
production Production materials for handicraft (sticky rice box, bamboo furniture, under Lao PDR.
supporting weaving and textile “cotton or silk�? materials) Use of unauthorized vaccines not cleared by DAFO/PAFO.
inputs
Payments of salaries to government servants or the salaries of
the staff of government subsidized organizations.
Acquisition of land (purchase or lease), under any conditions.
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During this initial stage of management planning, the community may generate “a list of
proposed alternative livelihoods�?. However, this document contains the main guidance to
further refine this initial selection and to administer the AL support.
The Kum Ban Fishery Management Committees (KFMCs) will receive a maximum of
US$20,000 to support to AL. Each village within the kum banh can receive a maximum of US
2,000. The Kum Ban/Fishery Management Committees (KFMCs) can choose to allocate the
funds to the commune as a whole, to specific villages, or to individual households belonging
to the FMC in accordance with the guidance described below. Therefore AL support might
take the form of aquaculture in a village pond that will benefit the whole village or Kum Ban,
as well as agriculture, livestock and other eligible activities pursued by individual households.
For kum banhs where ethnic minorities are present, an Ethnic Minorities Plan should be
prepared.
III. Planning, consultation and implementation
The planning, consultation and implementation activities to support AL follow a six-step
process (Figure 1).
• Orientation/kick off meeting
1
• Selection of household beneficiaries and identification of livelihood
2 activities
• Finalize alternative livelihood activity list and household
3 beneficiaries
• Preparation of cost estimates for the proposed livelihood activities
4
• Implementation
5
• Monitoring and evaluation
6
Figure 1 : The overall view of the planning process
3.1 Planning and Activity Selection Phase
The main objective of this Phase is to identify priority and appropriate livelihood support and
select the household to receive support based on a combination of: (a) the list of livelihood
support activities proposed during the initial consultation and engagement activities with
the community under this fisheries management planning activities including ethnic groups
for targeted livelihood support; (b) livelihood support proposed as compensation for any
adverse effects of the fisheries management plan on community participants, including
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ethnic groups (that effectively constitute an EG Action Plan); (c) consultation with PAFO and
DAFO; and (d) an assessment of village and household level commitment and capacity.
Step 1: Orientation/kick-off meeting: As part of initial community engagement and
consultation activities with the kum banh members, a meeting will be organized by C3.2
Livelihood consultant hosted by PAFO and attended by DAFO; Kum Ban and village leaders
and ethnic village chiefs (if applicable). The objective of the meeting is to inform members of
the community, including ethnic groups, of the support available for alternative livelihood
activities; identify priority recipients of the available support, and to explain the process of
selection and implementation. The main output of Step 1 is a list of proposed alternative
livelihoods for each village and minutes of the meeting.
Step 2: Screening and Selection of communities/households for identification of livelihood
activities: The C3.2 Livelihood consultant will work with PAFO and DAFO, and other related
government agencies, to organize village meetings in order to screen for eligible activities
(Table 1) and to select priority recipient households; also the screening will include the
identification of presence of ethnic groups in the proposed area. Priority will be given to
those households that might be adversely affected by the implementation of the fisheries
management plan including those of ethnic groups targeted for compensation following the
principles of an Action Plan. Other development project activities, and the guidance received
from village leaders and community members will also be used to steer the final selection of
recipients. Proformas to document these processes are provided in Annex 2.
Step 3: Conduct Consultations at the community level. Free prior and informed consultation
will be conducted to: (a) identify and validate priority alternative livelihood support e.g.
“preference list�? to be funded under C3.2, (b) ensure participation of local communities
including women and ethnic minority members into investment selection and design, and (c)
to inform local communities about relevant social and environmental safeguard procedures
and requirements
Step 4: Finalize alternative livelihood activity list and community/household beneficiaries:
The C3.2 Livelihood consultant and PAFO/DAFO will obtain approval for selected activities
and households from the C3.2 manager. The C3.2 manager will send a memo to inform the
Director General of the Department of Livestock and Fisheries (DLF) and the C3.2
Coordinator on the proposed alternative livelihood support using the clearance form in
Annex 5.
Step 5: Preparation of cost estimates for the proposed livelihood activities: The C3.2
Livelihood consultant, with PAFO/DAFO, and the Kum Ban Procurement Committee (see
below) will prepare cost estimates for the alternative livelihood support.
3.2 Implementation Phase
Step 5: Implementation: DLF and C3.2 team will lead the implementation. Procurement will
be carried out by C3.2 based on the approved procurement plan (see Annex 1 for example)
with the support of PAFO and DAFO and Kum Ban Procurement Committee as observers.
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Before any implementation of the livelihood activities by the community/household
beneficiaries, the C3.2 Management and DAFO/PAFO should require and agree with the
beneficiaries the following:
Availability and/or preparation of cultivated land and/or facilities before livelihood
distribution of goods and input delivery;
Labor and production tools/equipment are organized and made available for livelihood
activity implementation;
Completion of building animal shelters or main parts of the structure to possible extend
(for livestock production groups);
Grievance Redress Mechanism to address any possible dispute or conflicts such as
dispute over land and natural resources within the household, village or with
surrounding communities have to be settled prior to distribution of goods and
implementation.
Training will be provided by C3.2 with the technical support from PAFO/DAFO to the
household beneficiaries based on their selected alternative/supplementary livelihood.
3.3 Monitoring and Accountability
Step 6: Monitoring and follow-up
It is noted that for each mission in the field conducted by the C3.2 team for each stage,
formal documents and/or records of livelihood activities will be prepared and approved (in
Lao) and they are available in the project files (see Table 2 below).
Table 2 List of outputs and documents to be prepared during the process
Stages Require Documentation
Refer Annual Work Plan Details PIP
1. Orientation/kick off meeting Minutes of the meeting
Kum Ban/FMCs Plan
2. Selection of Communities and Community selection
household beneficiaries and Community Screening (Ethnic and non-Ethnic
identification of livelihood Community)
activities Household Selection and Screening checklist
Minutes of the meeting
Consultation form (Annex 2)
Agreed and proposed livelihood list
3. Finalize alternative livelihood Livelihood clearance form (Annex 5)
activity list and household Minutes of the meeting
beneficiaries Consultation form (Annex 2)
4. Preparation of cost estimates Procurement Plan (Annex 1)
for the proposed livelihood Minutes of the meeting
activities Consultation form (Annex 2)
5. Implementation Procurement plan (Annex 1)
Training plan
6. Monitoring and follow-up Minutes of the meeting
Consultation form (Annex 2)
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Further guidance for these planning, consultation and implementation activities is provided
in Annex 3.
IV. Fiduciary
4.1 Financial Management and Procedures
Overview of FM System and Operations for Alternative Livelihood Support (ALS) are
described below. Invoices where multi-payments are involved (if applicable).
Overview of FM System and Operations for the Alternative Livelihood Support (ALS)
A. The budget identification for ALS is as follows:
Target Target Districts Kum Banh Fisheries Target Total Budget per TOTAL
Province Management Villages village Budget for ALS
Committee (“KFMC�?) ALS
I II III II*III=IV
No No USD USD
Champasak Khong 3 30
Xana Soumboun 3 23 2,000 162,000
Pathumphone 3 27
Xekong Muang Lamam 3 18 2,000 36,000
Attapue Sanamxay 3 22 2,000 44,000
Initial Total Budget Requested (Target AREA) 242,000
Families outside target area – approximate budget 83,000
Revised Total Available (Note 1) 325,000
Note 1: The original Budget for Alternative Livelihood Support (“ALS�?) is in the Project
agreement Document (PAD) which amounts to an equivalent USD 212,000.
The revised budget is calculated for LD as depicted in the table above which
amounts to a total of US$325,000 which includes a maximum of $20,000 per
village with an additional amount of US$83,000 to cater for the families
outside the target area as suggested by the Bank.
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B. Funds Flow Overview
WB Manila
Disbursement
Designated
Account -
BOL
Expenditure
Account - SC
Sub Component Expenditure 3.2
Account - SC 3.2 Account - SC 3.2 Attapue
Champasak Sekong Province Province
Province ($2,000 Limit) ($5,000)
To finance all approved To finance activities To finance
direct payments for all in the Preference List activities in
activities in the 3 of Alternative the Preference
provinces and against Livelihood Support List of
the Preference List of activities within the Alternative
Alternative Livelihood Muang Lamam Livelihood
Support activities District in Sekong Support
within the 3 Target Province activities
Districts in Champasak within the
province Sanamxay
District in
Attapue
Province
Financial Management developed for the SC3.2 - alternative livelihood support (AL),
in consultation with the WB FM Specialist, mainly focuses on channeling funds
initially allocated to the Sub Component 3.2 to finance alternative livelihood support
projects within its jurisdiction and the approved annual work-plan specifically
directed towards targeted districts and villages.
World Bank account in Manila replenishes the Project’s main Designated Account
(“DA�?) in the Bank of Lao PDR (BOL) and in turn replenishes the Component Account
(“CA�?) of SC 3.2 in BCEL Champasak.
Funds will be allocated from this CA to finance all the alternative livelihood support
in the three target provinces of Champasak, Sekong and Attapue.
All procurement decisions will be carried out in Champasak Project office and upon
approval of funds will be withdrawn from the Component account in Champasak and
paid directly to suppliers in Champasak, Sekong and Attapue. If need be, some of the
procurement meetings can be also held in Sekong & Attapue with close supervision
from procurement/management team in Champasak.
In some instances, funds may be also transferred to Sekong & Attapue Project Offices
expenditure account to pay smaller payments to suppliers who are engaged there.
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All purchases will be made in the designated Project offices in Champasak or in
Sekong & Attapue (if deemed appropriate and manageable) and the villages will be
the recipient of the actual alternative livelihood items purchased in accordance to
the approved Preference List (PL). Community members participating in the project
will not be entitled to receive funds directly to purchase items for their alternative
livelihoods (chicks, goslings…etc.).
The total investment amount allocated to the Rural Infrastructure Investment is
estimated to be around US$ 325,000 where each of the 121 villages is allocated a
sum of $2,000 per village. The balance of US$83,000 would be used sparingly to
support the villages just outside the target areas.
C. Funds Flow - Operations
Before funds can be channeled to the target alternative livelihood support activities the
following must be completed as follows:
A copy of all the minutes of meeting in finalizing the Preference List (PL) to be
submitted to the Sub Component Financial Management Unit (SCFMU);
A final signed copy of the Preference List (PL) categorized by provinces and districts
to be submitted to the SCFMU for recording and obtaining SC Manager approval;
If quotations (3 minimum) are submitted, then these quotations are matched with
the general prevailing prices of that item/goods to ensure that the quotations are
reasonable and if the KFMC does not select the quotation with the lowest cost, a
written explanation is needed as to why a particular supplier is chosen and to be
approved by the SC Manager.
Upon receiving the official invoice from the desired supplier, funds will be
transmitted either directly to the suppliers’ bank account or given to supplier via
cheque payments.
Upon payment, the supplier should issue an official receipt. A distribution list (to
ensure the goods/items has reached its desired destination should be received by the
SCFMU submitted either by the supplier or the designated KFMC member.
D. Funds Flow – Required Supporting Documentation
As follows:
Minutes of meeting finalizing the proposed livelihood support and other matters
Budgets and other documents (like supplier quotations) for the goods in the
proposed livelihood.
Official Invoice and official receipt.
Distribution list.
Progress reports on invoices where multi-payments are involved (if applicable).
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4.2 Procurement
Given the nature and the type of projects that the C3.2 intends to support, the value of the
individual projects will not exceed $2,000 per village and joint projects will not exceed
$20,000 per Kum ban. The application of International Competitive Bidding and National
Competitive Bidding procedures are not anticipated due to the size and scope of the
procurement. The government standard request for quotations for shopping of works and
goods and the standard bidding documents included in of the Government Procurement of
Goods, Construction, Maintenance and Services, 03/PM dated January 9, 2004, and the
Implementing Rules and Regulations on Government Procurement of Goods, Works,
Maintenance and Services dated March 12, 2004, as well as the amendment No. 0861/MOF,
dated 05 May 2009 will be used.
Three main principles apply to the procurement process:
Procurement of works, goods and services is carried out in the most transparent,
efficient and most economical way possible;
Suppliers and contractors are given adequate opportunity to participate in the
procurement process under conditions of fairness and equality;
The result of the procurement is made public.
Transparency is very important in the procurement process. Transparency means not only
that correct procedures are followed, but that everybody can see and know for sure that
correct procedures are followed.
The C3.2 Procurement team and Kum ban Procurement Committee (KPC) must:
Solicit proposals from as many qualified bidders as possible (five to six in general),
in order to ensure they receive at least three proposals from which to choose
from, and in addition,
make a public announcement inviting any other interested contractors /suppliers
to participate and submit proposals. This public announcement will be posted in
at least three prominent places, in the community, district and province to ensure
that information inviting proposals is widely disseminated. Where this is not
expensive, the C3.2 Procurement team and KPC can also advertise in other media
available in the province. The evaluation report should include the details on
places where the announcement was posted. At least 15 days from the date of
invitation for quotations (or the date of advertisement quotations if applicable)
shall be provided to prospective bidders to prepare their quotations.
Open quotations in public immediately after the closing date of submission of
quotations and in the presence of community members and bidders who chose
to attend the quotations opening meeting ceremony. As a general rule, the
supplier or contractor who offers the lowest price and meet the required
specifications and qualification requirement specified in the bidding documents
will be awarded the contract. The award and amount of the contract should be
announced to all bidders and public in where and if the advertisements/
invitations for quotations were posted.
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Methods of Procurement
Procurement of goods: The Local Shopping method available for procurement of goods
below is also customized from the World Bank Procurement Guidelines (Article 3.15) for
C3.2 support activities. The Local Shopping will be procured on the basis of comparing price
quotations obtained from at least three (3) suppliers. The procurement process will follow
the detailed steps and maintain the documentation as required.
Direct contracting: Direct contracting enables a supplier or a contractor to be chosen
without applying the competitive methods described above. This method is used when there
is only one source available. Other justifications for direct contracting include urgency, the
need to adopt certain technology or a repeat order. To the extent possible, the contract
price agreed upon should be within local market rates or established estimates as indicated
in a Unit Cost Database. Under this method, the contract price can be negotiated. Direct
contracting should require prior approval of National Project Management Unit (NPMU).
Direct Contracting for works is exceptionally authorized for e.g. the use of the state
enterprise established by the Ministry of Health (Provincial Nam-sa-ath Office) which drills
wells in remote areas of Laos and for electrification works by the Electricite du Lao (EDL).
Eligible Bidders for Civil Works and Goods
The eligible or qualified bidders must have the following documents:
1. Bidder’s Legal Name, Address,
2. Copy of Business Licenses,
3. Tax payment Certificate
Procurement Process
The Bidder shall prepare one original of the documents comprising the Quotation and
marked “Original�?. In addition, the Bidder shall also submit (2) Copies. In the event of any
discrepancy between the original and the copies, the original shall prevail. The original and
each copy of the Quotation shall be typed or written in indelible ink and shall be signed by a
person duly authorised to sign on behalf of the Bidder. The name and position held by each
person signing the authorisation must be typed or printed below the signature. Any
interlineations, erasures, or overwriting shall be valid only if they are signed or initialled by
the person(s) signing the Quotation.
The Quotation shall be delivered no later than the date and time indicated in the Request for
Quotation. Late quotation shall be considered as non-responsive quotation and shall be
returned unopened to the bidder. The Bidder may withdraw its Quotation after submission,
provided that written notice of the withdrawal is received by the Employer prior to the
deadline for submission. No Quotations shall be modified after the deadline for submission
of Quotations. Withdrawal of a Quotation between the deadline for submission and
expiration of the validity shall result in ineligibility of the bidder.
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The Bidder name, modification or withdrawals, Quotation price, discounts will be announced
at the opening. The Employer shall provide all attendees with written minutes of the
quotation opening. No bids hall be rejected at the bid Opening, except for late quotations.
Immediately after completion of the opening proceedings, a copy of the opening record shall
be posted at a prominent location, accessible to the public, outside the office of the
Employer and shall be retained at the same location until the award of contract has been
notified. A copy of the bid opening record shall be provided to all bidders who submitted
bids.
After the opening of Quotations, information relating to the examination, clarification, and
evaluation of Quotations and recommendations for award shall not be disclosed to Bidders
or other persons not officially concerned with the evaluation process until after the award of
the Contract is announced.
The Component 3.2 Management will award the contract to the Bidder whose quotation has
been determined to be substantially responsive to the Request for Quotations and who has
offered the lowest evaluated price. In evaluating the Quotations, the Employer will
determine for each Quotation the evaluated price by adjusting the Quotation by making any
correction for any arithmetic errors as follows:
(a) Where there is a discrepancy between amount in figures and in words, the
amount in word will govern;
(b) Where there is a discrepancy between the unit rate and the line item total
resulting from multiplying the unit rate by the quantity, the unit rate as quoted
will govern
The Component 3.2 management unit reserves the right to accept or reject any Quotations,
and to cancel the process of the competition and reject all Quotations, at any time prior to
the award of the contract, without thereby incurring any liability to affected Bidders or any
obligation to inform the affected Bidders of grounds.
Prior to expiration of the Bid validity period, the Component 3.2 will award the contract to
the Bidder whose quotation has been determined to be substantially responsive and who
has offered the lowest evaluated price. The Bidder whose Bid is accepted shall sign the
contract within a period of 15 days from the date of issue of the draft contract.
The signed Contract Agreement should be registered by the contractor, in accordance with
the Decree No. 52/PM, dated 13 March 1993.
Inspection: The Component 3.2 Management Unit shall inspect of the delivery of goods to
inspect them and to reject and refuse acceptance of goods not conforming to contract.
Payment for the goods pursuant to this contract shall not be deemed and acceptance of the
goods.
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V. Environmental and Social Safeguards
5.1. Safeguard Screening and Mitigation Measures
For the MIWRM project, an Environment and Social Management Framework (ESMF), the
Compensation and Resettlement Framework (CRPF), and the Ethnic Groups Development
Framework (EGPF) have been prepared and applied. The ESMF requires safeguard
screening, identification of issues, and take actions to avoid, minimize; mitigate and
compensate any potential adverse impacts (see Annex 3). Given that the activities to be
carried under C3.2 for the Alternative Livelihoods it is expected that positive environmental
impacts will be generated; any adverse impact will be managed with the ECOPs, the issues
and process will be carried out as part of the planning and implementation process
described above. The DAFO Representative; SC3.2 Livelihood Consultant and C3.2 Safeguard
team will be responsible for ensuring compliance with the Environmental and Social
Safeguards instruments such as the ESMF, CRPF, and the EGPF including keeping proper
documentation in the project file for possible review by the WB. Any safeguard mitigation
cost will be included as part of the proposed activity cost.
WB safeguard clearance: WB prior review for the alternative livelihood support will not be
required. However safeguard reviews should be conducted during WB implementation
support missions to ensure compliance of safeguards application under the livelihood
activities. All records related to safeguard issues, and consultation with women and ethnic
groups and/or other aspects will be kept in the project file for WB review.
Key safeguard issues and mitigation measures: Efforts will be made to address any potential
environmental and social risk associated to the proposed activities. Below highlight key
issues and actions to be considered and/or carried out during the planning and
implementation process (Sections II and III).
To ensure that the safeguard issues have been properly screened as is indicated
in Annex 2 of the ESMF; this should be considered during the planning stage,
additionally, all proposals must include completed environmental and social
checklists. During the implementation and operation of the livelihood activities,
the safeguard issues should be well prepared with clear responsibilities, costs
assignments and need to be monitored to make sure that all of the raised issues
are well managed and recorded properly. All the safeguard clearance forms will
be signed off by the C3.2 manager or the C3.2 Livelihood Consultant or
Implementation Support Consultant of MIWRMP.
As part of the planning and design stage, an environmental and social review will
be undertaken by the C3.2 team for all proposed livelihood activities considered
to create potential negative impacts (see Annex 3). It is not expected that
voluntary or involuntary land acquisition will be required, but if is required, the
provisions included in the CRPF will be applied. Note: Voluntary Land Donation
requires an early special approval from district authority forums, prior to any
decision in the Village meeting. Restriction of access could be identified during
15
the planning process, mitigation mesures should be applied by following the CRPF
(if any).
Provide more knowledge on IWRM and safeguards: In various meetings with
local authorities and communities, the C3.2 team will take an opportunity to
provide basic knowledge on IWRM process and various safeguard measures that
could contribute to better management of water quantity, water quality, and
protection and conservation of fisheries, and other critical natural habitats in
target areas. If possible, effort should be made to identify local actions that could
be made to address these issues. Special attention will be given to ensure
sustainability of the investments as well as the proposed mitigation measures by
local authority and local communities using their own budget.
5.2 Consultation with Ethnic Groups
It is expected that the proposed livelihood activities will generate positive impacts as a result
of the supported activities proposed to be financed under SC3.2. To ensure this, the DAFO
and C3.2 team, in consultation with the local coordinators, will ensure the provisions of the
EGPF will be applied. Specifically, culturally appropriately methodologies will be developed
that will ensure free prior and informed consultation with local communities; specifically
during the planning and implementation of the alternative livelihood activities through the
consultation process and ensure that the ethnic groups (if located in the proposed area) will
not have any objection to the proposed activities; consultation and participation with broad
community support should be well documented. Due attention will be given to ensuring
that minority ethnic groups, vulnerable groups, disabled, and women will participate actively
during the planning process and receive benefits from the proposed activities.
5.3 Information Dissemination and Disclosure
As required by WB, all safeguard related documents will be made available to the public
through DWR website. The C3.2 Component Manager, the technical team, and the DAFO
local coordinators are responsible for disseminating this information to the public and key
stakeholders and/or villagers at an early stage through meetings, consultation, media, etc.
To make sure that the information related to the livelihood activities are well informed, the
C3.2 team (Component manager, coordinators, etc.) will also prepare an annual report for
the C3.2 and disclosed them in DLF website. The report will cover a list of village and
household activities, a brief of C3.2 activity, budget approved, implementation plan and/or
schedule, etc. Other information regarding the C3.2 activities (brochure, booklet,
presentations… as handouts and use as the support tools during the meeting s and or
consultation, etc.) could be made available upon request as well.
16
Annex 1: Procurement Plan for 2016
Detailed Sub-Procurement Plan for Alternative Livelihood Activities of Component 3.2
As of 22 July 2016
I. General
1. Project information:
Country: Lao PDR
Project Implementing Agency:
1. Department of Water Resource Management, Ministry of Natural Resources and Environment (MoNRE)
2. Department of Livestock and Fisheries (DLF)
2. Bank’s approval Date of the procurement Plan
Original Plan : 22 July 2016
3. Period covered by this procurement plan:
Until the year 2016 implementation of the project.
II. Goods and Works and non-consulting services.
1. Prior Review Threshold: Procurement Decisions subject to Prior Review by the Component 3.1.1 Management as
Contract
Expenditure Procurement
Value Threshold
Category Method
(US$’000)
Goods < 100 Shopping
Works < 200 Shopping
2. Prequalification. Not expected for the works/goods packages.
3. Any Other Special Procurement Arrangements: Advance contracting may be applied for some items as specified in
the Procurement Plan.
4. Procurement Packages for Works & Goods (prior & post reviews) with Methods and Time Schedule
1 2 3 4 5 6 7 8 9
Review by
Estimated Domestic Expected Bid/
Procurement PQ (yes/ CMU
No. Contract (Description) Cost Preference Quotation Remarks
Method no) (Prior /
USD (yes/no) Opening Date
Post)
Rice Seed for Livelihood Completed
C3.2-AL-G- Support Phongnam Rice
5,000 SS No No Prior June 2015
O1 Research and
Produce Station
C3.2-AL-G- Supply Medical Completed
O2 Equipment for Laoyongcharoen
25,000 Shopping No No Post June 2015
Vaccination and Trading Import-
Livestock Materials Export Company
C3.2-AL-G- Simple Completed
No Yes Prior Aug 2016
O3 Chickens-Saphay 9,500 Shopping August 2016
C3.2-AL-G- Chickens Simple Completed
No Yes Prior Aug 2016
O4 Pathoumphone 18,500 Shopping October 2016
C3.2-AL-G- Simple Completed
No Yes Prior Aug 2016
O5 Chickens DoneSom 17,000 Shopping September 2016
C3.2-AL-G- Simple Completed Nov
No Yes Prior Aug 2016
O6 Chickens DoneChan 12,000 Shopping 2016
C3.2-AL-G- Simple Completed Dec
No Yes Prior Aug 2016
O7 Chickens Hinlard 9,500 Shopping 2016
C3.2-AL-G- Simple Completed Dec
No Yes Prior Aug 2016
O8 Chickens BanThae 5,500 Shopping 2016
17
C3.2 Annex 2: Guidelines for Documentation of Consultation Meetings
KPF Form Lao People’s Democratic Republic
Peace Independence Democracy Unity and Prosperity
District: …………………
Village:……….. Date:…………….
Summary of Village’s Prioritized Livelihood Form
Location
Province
District
Village
Total number of attendants: _______persons, women :___________persons
Facilitator (Consultants/PAFO Coordinator):
1.__________________________
2. __________________________
3. _________________________
4. __________________________
Village develoment perspective
Recommendations : Staff of C3.2 and District Coordinator (DAFO) will fill in this
Form after village development planning meeting complete
Level of prioritization need to be developed in future:
Dimension/Scale Proposed by
Rank of prioritized livelihood required for village development Men Women Ethnic
Unit QTY Size Unit group group group/Others
1
2
3
4
5
18
Village profile:
General Information
Total population: Women: No. of Household:
Ethnicity in the village
Name of tribe Code Population No. of women
1
2
3
4
5
6
7
Sign and Stamp by Recorded by
Head of Village
Lao People’s Democratic Republic
19
Peace Independence Democracy Unity and Prosperity KPF Form
Province…………………
District…………………
Village:……….. ……….. Date:…………….
Agreement on the Selection of Village Representative
Reffered to the Village’s Development Planning Meeting held on ______________________
The villagers of ..........................village,
District..........................Province............................agreed to select ...............representatives
(women...........person(s) as detailed list below:
Sn. Full name Age Ethnic Responsibility in the
village
1
2
3
4
5
6
The objective is to involve them in the village planning meeting, which held at
______________from _____/_____/_______
Date_____/___/____
Verified by Head of Village
(Sign and Stamp)
20
21
Lao People’s Democratic Republic
Peace Independence Democracy Unity and Prosperity
Date:…………….
List of Families Prioritized for Alternative Livelihood Support
Location
Province
District
Kum Ban
Proposed Alternative
Estimated beneficiaries
Livelihood Estimated budget
Name of Beneficiaries for Alternative Livelihood required for
Village Location
investment
Unit QTY Size Unit Men Women Ethnic (Lao KIP)
1.
2.
3.
4.
Sign by Chief of Kum Ban 0r Village Leader Recorded by
22
Lao People’s Democratic Republic
Peace Independence Democracy Unity and Prosperity
District…………………
Village:________________
Registration Form for meeting participants
Sn. Full name Responsibility in the village Remarks
Date: _____/_____/_______
____________________________
Sign by Chief of Kum Ban 0r Village Leader
23
Summary of Discussions Documents to
be Prepared
based on
Consultation
(EGDP or
RAP) and
Does the
Number of EG Minutes of the
consultation
Date/s of Participated Meeting
Subproject Ethnic Location meetings
Consultation During the Impact to Ethnic Minority Acceptance Others
Area Group of Meeting included non-
Meeting Consultation to the
ethnic groups? Opinion of
Meetings Proposed
(yes or no) the EG during
Projects
Presentation
(yes o no)
and
provide
Information
reason or
on Project
explanation
Positive Impact Negative Impact
Positive Proposed Negative Proposed
Impact Mitigating Impact Mitigating
According Measures Measures
to EG by the EG
24
Annex 3: Consultation Guidelines and Documentation
1. The objectives of the consultations are to (a) identify and validate priority alternative
livelihood support e.g. “preference list�? to be funded under C3.2, (b) ensure participation of
local communities including women and ethnic minority members into investment selection
and design, and (c) to inform local communities about relevant social and environmental
safeguard procedures and requirements.
2. Consultations will be led and facilitated by PAFO and DAFO, and will engage with
stakeholders such as government line agencies, district government, kum ban, and local
communities. The C3.2 technical team will prepare and distribute relevant material and
agenda in Lao language to the stakeholders at least three days prior to the consultation. The
C3.2 technical team will also be responsible for proper documentation of the consultation.
Participants’ background information may include male/female, ethnicity, role and
responsibility, contact information (if available), issues raised and discussed, and how they
may be addressed. Consultation will take place at least once during Step 1 (Orientation/kick-
off meeting) and Step 2 (Initial technical survey and validation). If needed, follow-up
consultations will be arranged. The structure of consultation at each level is outlined below,
while forms for proper documentation can be found in Annex 2.
3. Below is the overview of the consultations/meetings at each level:
Kum ban/community meeting
Location: Village hall or Wat (temple or school).
Chairman: Village leader assisted by the District coordinator (DAFO), or both
Participants: District coordinator, C3.2 technical team, community members, ethnic
groups, mass-based organizations in charge, and village leaders.
Objectives:
Ensure understanding of the M-IWRMP objectives and activities,
specifically Component 3.2
Explain the concept of alternative livelihood activities under C3.2, and
the process to screen and select villages and households to
implement activities on the preference list
Identify and validate the preference list with kum ban and village
leaders, and community members, including EM
Discuss level of expected community and ethnic groups involvement
for livelihood activities to be financed
Discuss social and environmental safeguards procedures
Expected outcomes:
All villagers/kum ban stakeholders are aware of and understand C3.2
objectives, principles, rules, procedures, and process
Confirmed the preference list and solicit feedback from villagers
Identify the roles of Kum ban /stakeholders in activity implementation
25
Output:
Consultation meeting minutes including [what forms or outline, what
are you documenting specifically]
Completed stakeholder engagement form (Annex 2)
List of participants including their role and responsibility in the villages
(Annex 2). Signature or thumb print will be collected.
Duration: half day to 1 day
Follow-up: The district coordinator/C3.2 technical team ensures that there is proper
follow-up with the key actors as per agreement on the consultation minutes.
District /provincial consultation meeting
Location: Government District Meeting Hall
Chairman: Provincial \district governor, provincial\district coordinators or assigned
person
Participants: Provincial\District line departments, DLF, C3.2 technical team,
provincial and district technical staff, other organization, NGOs if any
Objectives:
Presentation of C3.2 and alternative livelihood support objectives,
principles, rules, and procedures
Explain the concept of alternative livelihood activities, and the
process to screen and select investment on the preference list
Identify and validate the preference list
Presentation of IIP
If there are significant presence of Ethnic Minorities; the investment
plans should include also the relevant activities highlighted that
benefits the respective ethnic groups
Expected outcomes:
All stakeholders are aware of and understand subcomponent
objectives, principles, rules, and procedures (including rights and
responsibilities of district)
Better understanding and coordination with all concerned
departments, NGOs and other projects working in the district
(including the private sector)
Feedback and resolution of the IIP
Output:
Consultation meeting minutes including [what forms or outline, what
are you documenting specifically]
List of participants including their role and responsibility (Annex 2)
Endorsement of IPP and implementation arrangement
Endorsement of priority list of alternative livelihood
Duration: 1-2 days (depending on the agenda)
Follow-up: The provincial\district coordinators ensure that there is proper follow-up
with the key actors based on the meeting minutes.
26
4. Women participation: This is an important part for IWRM practices. In general,
women are part of the communities and can play an important part in water resources
management and wellbeing of community. Therefore women participation should be
enhanced where/when ever there is an opportunity. In each stage of the planning process,
the C3.2 team will encourage women to participate during the planning and selection of the
alternative livelihood as well as actively participate during the implementation and/or
monitoring and evaluation and in general access to natural resources like water and land
and training opportunity. It is important to acknowledge the traditional roles and functions
of men and women in the community however it should not be necessarily limited to these
roles because women’s traditional roles at present may not fully allow them to participate in
decision-making process or to be empowered. In order to assess the level of women
participation, records will be made through out the investment planning and
implementation process as well as in any consultation meeting, or workshop. To ensure
that women will be invited to participate in all of the stage from beginning to the end of
project and also benefit from the proposed alternative livelihood, the following actions will
be applied:
If possible, women participation should not be less than 20% of the participants.
At the beginning planning process, before the meeting, the community will be
advised by the C3.2 technical team, provincial and or district coordinators to
invite and encourage women to participate and the number and voice of women
will be record in the minute.
During the consultation meeting, women will be formed in different specific
groups (If more women participate) and to encourage them provide inputs and
making their voices, if the meeting are about to vote for any alternative
livelihood activities, then specific number of women will have to be mention. All
of the women comments and or suggestion, issues raised will be record properly
so that later on all of the issues raised by them have to be address.
During the implementation, women will be part of the key actors and will be
assigned the appropriate tasks to suit them. They will also be part of the
monitoring and evaluation too.
27
Annex 4: Safeguards
1. This annex highlights key safeguard requirements that are applicable to the expected
alternative livelihood activities to be carried out with funding support from Component 3.2 (C3.2)
while the full requirements are available in the project website under the following topics: The
Environment and Social Safeguard Framework (ESMF), the Compensation and Resettlement Policy
Framework (CRPF), and the Ethnic Groups Planning Framework (EGPF). It is noted that this annex
(A5.4) provides guideline under 4.1 of the EGDF which is likely to be applied to the C3.2 investment
while the team is encouraged to review the details on Sections 4.2 and 4.8 of the EGDF if social
assessment will be necessary. For investment where natural resources restrictions may be involved
(OP/BP 4.12), review of the CRPF and consultation with WB safeguard specialist is recommended.
(A3.1) The “Negative List�? (not eligible for M-IWRM project fund)
2. The “Negative List�? as defined in the ESMF is as follows:
(i) Relocation, and/or structural demolition of any houses or business.
(ii) Land acquisition that affect more than 200 persons or 40 households.
(iii) New settlements or expansion of existing settlements inside natural habitats and
existing or proposed protected areas.
(iv) Likely to create adverse impacts on ethnic groups within the village and/or in
neighboring villages or unacceptable to ethnic groups living in a village of mixed ethnic
composition.
(v) Loss or damage to cultural property, including sites having archeological (prehistoric),
paleontological, historical, religious, cultural and unique natural values.
(vi) New roads, road rehabilitation, road-surfacing, or track upgrading of any kind inside
natural habitats and existing or proposed protected areas.
(vii) Purchase of gasoline or diesel generators and pumps; guns; chain saws; large amount of
pesticides, insecticides, herbicides and other dangerous chemicals; asbestos and other
investments detrimental to the environment; if pest invasion occurs, small amount of
eligible and registered pesticides in Lao PDR could be allowed.
(viii) Forestry operations, including logging, harvesting or processing of timber products;
however support to sustainable harvesting and processing of NTFPs are allowed if
accompanied with a management plan for the sustainable use of the resources.
(ix) Introduction of non-native species, unless these are already present in the vicinity or
known from similar settings to be non-invasive.
(x) Significant conversion or degradation of natural habitat or where the conservation
and/or environmental gains do not clearly outweigh any potential losses.
(xi) Large scale construction or small/medium scale construction expected to lead to
significant negative environmental impacts. Large project that requires full EIA will not
be funded.
28
(A3.2) Safeguard screening and ESMF process
3. Safeguard issues and ESMF process as defined in ESMF are as follows: (Table A5.1 and Figure
A5.1.
Table A5.1. Guidance on safeguard issues and actions (as described in the ESMF)
Potential negative impacts Required mitigation actions Remarks
(1) Permanent or temporary Identify the amount and nature of land Prior consultation with WB,
loss of land or resources for required, owner, and/or other issues and proper documentation, and
any families, including prepare a Resettlement Action Plan (RAP) to Post review by WB may be
restriction of access to provide compensation and/or assistance necessary.
natural resources and/or following the Compensation and
impediments to movement of Resettlement Policy Framework (CRPF) for
people and animals (Includes Lao PDR.
patrolling activities)
The project will support increasing awareness
of PAPs about the Grievance Redress
mechanism, and build capacity of those
involved in existing Grievance Redress
mechanism on the required tasks, including
dealing with or mediating complaints,
recording/reporting and monitoring
proposed resolutions.
(2) Potential social conflicts Develop mitigation measures for conflict If the conflicts may
arising from land tenure resolution through close consultation with deteriorate livelihoods or
and land use issues and/or stakeholders and placed within Project living conditions of women
in water supply rights or processes, inherently community-based and or the poorest families in
related social conflicts collectively managed, not precluding the the sub-project area or
involvement of third-party/external involve political influence, or
mediators. likely to be escalated to
higher level, inform WB
Develop Village Resources Use Agreement;
Using existing local Conflict Management
mechanisms, that most likely led by
senior/elderly respected persons, or leaders
of Ethnic Groups.
(3) Likely to adversely Carry out social assessment process through Prior consultation with WB,
affect ethnic groups free, prior, and informed consultations and, if proper documentation, and
necessary, prepare an Ethnic Groups Post review by WB may be
Development Plan (EGDP) in accordance with necessary.
guidance in the Ethnic Groups Development
Framework (EGDF) for Lao PDR.
The project will support increasing awareness
of PAPs, in respective languages of ethnic
groups, about the Grievance Redress
mechanisms, and building capacity of those
involved in the existing Grievance Redress
mechanism on the required tasks, including
dealing with or mediating complaints from
individual and/or ethnic groups,
recording/reporting, and monitoring
proposed resolutions.
29
(4) Likely to increase the Prohibit the use of large amount of pesticides
use of pesticides and/or and toxic chemicals; Apply the simplified pest
toxic chemicals that could management plan (Annex 4) and provides
affect soil quality, water training to farmers/fishers.
quality, and/or water users
downstream
(5) Investment to be carried • Prepare an Environmental Management The project implementation
out in a Protected Area, Plan (EMP) to mitigate the potential negative unit (PIU) and/or the project
Wildlife Reserve, Buffer Zone, impacts and/or to reduce safeguard risks; management unit (PMU) will
Wetlands, or other some guidance on the mitigation measures ensure that the investment
conservation area or would be provided in the safeguard are compliance with the
investment involve civil works operation manual. government regulations.
that may cause significant air,
noise, and/or water pollution, • Conduct consultation with local Prior consultation with WB,
soil erosion, and/or create authority and communities. proper documentation, and
public health risks, wildlife Post review by WB may be
hunting, or impacts on • Carry out the investment in the Ramsar necessary.
downstream water uses. site in line with the Ramsar site management
plan and in close consultation with the
management authority.
(6) Unsustainable forestry Consult with local community to reach an Excluding logging, harvesting
utilization, including non- agreement on how to avoid/mitigate the or processing of timber
timber forest products potential negative impacts and when possible products.
(NTFPs); introduction of non- increase sustainable use of forestry products,
native species; causing flood fisheries, and other aquatic animals. If a new Close consultation with WB
to nearby area; and/or species is involved making sure that the new safeguard specialists is
blockage of fish migration, species is already present in the vicinity or is recommended.
including unsustainable use of known from similar setting to be non-
other aquatic animals (OAAs). invasive. If restriction of natural resources,
social conflict, and/or ethnic groups as
indicated in (1), (2), (3) follow the mitigation
measures identified in (1), (2), (3).
(7) Involve UXO risk? If yes, contact responsible agency and PIU to take the lead in
complete the clearance before conducting securing safety of the
project investment project area
(8) Investment involve small Apply good engineering and/or good PIU and PMU will ensure
civil works that may cause housekeeping with close monitoring and that the appropriate
small amount of air, noise, supervision, including maintaining close mitigation measures are
and/or water pollution, soil consultation with local population. included in the contract and
erosion, and/or create public The contract will also include a special that the contractor
health risks, wildlife hunting, clause on “chance find�?. effectively implement them.
or impacts on downstream
water uses.
(9) Opportunity to enhance Closely coordinate with the countries This is to enhance positive
environmental benefits, and MRC during the project impact of the project.
mainstream environmental implementation.
issues, and/ or synergy with
other MRC activities
30
Figure A5.1 – Schematic flowchart to determined safeguard measures (as described in the ESMF)
PIU conduct initial screening for negative list (Step 1)
Pass:PIU identify potential negative impacts (envi. and social), Fail:
including UXO risk, mitigation measures and/or next actions– Discard the proposed activities
using the checklist form (Step 2)
PIU discuss the results with local government and/or communities and proceed to next steps as agreed (Step
2) [results of the screening should be attached to the approved activities/subprojects]
Larger civil works and/or activities Involve Involve land
Small civil works
with potential safeguard risks: indigenou acquisition,
with no or limited related to location (natural
potential impacts s/ethnic compensation,
habitats/protected areas, floods,
(Step 2) peoples and/or limited
fish barriers, etc) or required to
(Step 2) resources access
comply with EIA regulations
(Step 2) (Step 2)
PIU apply good PIU prepare documents and PIU apply PIU apply CRPF,
engineering obtain Government’s approval EGDF (standalone
practice/other and/or WB clearance as (standalone document).
appropriate needed document), Compensation
measures (see (Step 3) (Step 3) must be paid
Annex II) and before the civil
include it in the works could begin
contract (Step 3) (Step 3)
Component 3.2 monitor/report safeguard implementation/performance in the
project progress report
(A3.4) Consultation with ethnic groups
7. The Component 3.2, in close consultation with the DAFO/PAFO and the Lao Front for
National Construction (LFNC), is responsible for supervision and monitoring of ethnic groups related
issues, including documentation and reporting. Results will be included in the Project progress
report. The Bank supervision missions will periodically review the progress to ensure that the
investments affecting indigenous peoples afford benefits to, and mitigate any adverse impacts on,
them.
31
8. Consultation Framework with Ethnic Groups present in the project area. The consultation
framework aims to ensure that ethnic groups are well informed, consulted and mobilized to
participate in the investments to be supported by a project (in line with the EGDF). When Ethnic
Groups are present in the project area an Ethnic Groups Action Plan (EGAP) should be prepared that
should ensure benefits with more certainty, or ensure participation any risk associated to the AL
activities resulted from the proposed investments to be financed by the project. The main
features/process of the consultation framework includes: (i) ethnic groups identification process
(screening), (ii) social assessment, to determine the social organization and measures for ensuring
participation with free prior and informed consultation and to identify any potential risk associated
to each subproject to be supported by the project, and (iii) an action plan will be developed with
clear activities to be financed that resulted from the consultation process; including roles and
responsibilities of the implementing agencies. Consultations with and participation of ethnic
groups, their leaders and local government officials will be an integral part of the preparation of the
overall Ethnic Group Plan (EGDP), which should be prepared along with the project feasibility report.
Key elements of the guidelines are discussed in more details in Subsections 4.1-4.8 of the EGDF.
Nonetheless, given a small nature of works only the preliminary identification guideline is provided
in this annex.
9. A series of training to all implementers and local agencies preparing and implementing
EGDPs will be included. The Lao Front for National Construction (LFNC) will be invited as a resource
person to provide training and perspectives of the GoL on ethnic policy in Laos.
4.1 Identification Process
10. To determine if ethnic groups reside in the project area, the preliminary identification
process may include a social assessment and/or consultation that provide a comprehensive baseline
data on social, economic and technical aspects of each investment. This includes also participatory
mapping of community access to road and other key services. If the social assessment confirms that
no ethnic group communities reside in the project areas, no further action is necessary. If the social
assessment indicates that there are potential social issues on indigenous populations because of the
investments, the responsible project sponsor will undertake specific measures to consult with, and
give opportunity for indigenous populations in participating decision making related to the
investments, should they so desire. The social assessment process itself is often the method by
which such consultations are undertaken however they can be undertaken as a separate exercise.
11. All investments areas which have ethnic group communities and are candidates for project
support will be visited (at the time of first consultation with communities) by project implementers
and relevant local authorities, including personnel with appropriate social science training or
experience. Prior to the visit, respective project sponsor will send notice to the communities
informing their leaders that they will be visited by the respective project sponsor and local
authorities and consultation will be conducted on the investments. The notice will request that the
communities invite to the meeting representatives of farmers, fishermen, women associations and
village leaders for discussion on the investments. During the visit, the community leaders and other
participants will present their views with regards to the investments.
12. At this visit, personnel with social science training or experience will undertake a screening
for ethnic group population with the help of ethnic group leaders and local authorities. The
screening will check for the following:
(a) names of ethnic groups in the affected village
32
(b) total number of ethnic groups in the affected villages
(c) percentage of ethnic people in affected villages
(d) number and percentage of ethnic households within a described zone of influence of
the proposed investments. (The zone of influence should include all areas in which
investments-related benefits and adverse impacts are likely to be relevant.)
13. If the results show that there are ethnic group communities in the zone of influence of the
proposed investments, a social assessment will be planned for those areas.
33
C3.2 Annex 4: Simplified Pest Management Plan
1. This plan will be applied to the project activities involve rehabilitation of or
development of a small community irrigation scheme that may increase the use of
pesticides. The plan comprises the following 3 aspects: application of government
regulation on pesticide control, training of integrated pesticides concept and/or other
approach and safe use of pesticides, and monitoring. It is anticipated that under M-IWRM,
Component 3.2, some family-beneficiaries would engage in some agricultural activities that
would involve procurement or utilize pesticides in the implementation of their alternative
livelihood activities. Key activities to be carried out are described below:
(A) Application of Government regulations
2. Government regulation related to pesticide control exists and it has been recently
updated (2860/MAF). The regulation defines the principles, rules and measures for
controlling activities involved with pesticide in Lao PDR with an aim to protect human
health, animal plant and environment, and to be consistent with the international
agreements/regulations. It requires that all pesticides sell/distributed in Loa PDR must be
registered with the Department of Agriculture (DOA) of the Ministry of Agriculture and
Forestry (MAF) and describes specific measures regarding transportation, storage, usage,
and disposal. PIU will carry out the following activities in line with the regulation as follow:
3. Procurement, transportation, storage, uses, and disposal: Component 3.2
Management Unit will procure only pesticides that are registered in Lao PDR and not listed
as the banned pesticides (see below). Qualified distributers should be limited only to those
who are compliance with the regulation regarding the knowledge and proper services
regarding transportation and storage. C3.2 will also strictly follow the regulation regarding
transportation and storage and also provide training to farmers as well. Below provides
information regarding transportation, storage, use, and disposal of pesticides as required in
the 2860/MAF regulation:
Transportation (art 20): Transporters/ carriers of pesticide shall adhere to the following
rules:
1) For consignment of Pesticides, either of same or different groups, exceeding 100
litres (fluids) or 1000 kg (solids), separate documentation has to be issued and be
kept with the driver. The documentation shall have the following content:
Name, address, phone number of owner and shipper
Trade name or common name of transported Plant Protection Products
Formulation types and concentrations of Plant Protection Products
transported
Volume of Plant Protection Products
Emergency procedures, in the case of breakage or spill
A safety data sheet for each of the materials transported
2) For consignments greater than 1000 litres or 1000 kg the transport route must
be declared in advance.
34
3) Plant Protection Products carried by means of public transport, shall not exceed
20 1 for liquids or 20 kg for solids. However, they shall be wrapped properly and
kept separately from the passengers and other goods.
4) The drivers of vehicles carrying Plant Protection Products shall be selected
properly – they shall be reliable and competent.
5) Prohibit to transport pesticides with living organism and others goods.
Storage (art 21): If pesticides are store more than 10 litres/kilogram the following
requirement should be met:
1) A pesticide storage facility should be located in an area where flooding is unlikely
and far from people and domestic animal farm at least 100 m;
2) All pesticides must be kept in a facility that can be locked and posted as a
pesticide storage area;
3) Kept pesticide far from sources of heat or directly in the sun
4) Separate pesticide from others goods;
5) Lay out pesticide by group and hazard classification;
6) Kept pesticide in original containers with label;
7) Absorbed substances such as charcoal, sawdust, sand;
8) Take care floor clean and dry, clean up when spillage of pesticide occurred,
leaking from container;
9) Soap and water are available for washing when contact with pesticide;
10) Use stand or pallets for placing pesticide and avoid direct on floor;
11) Kept empty containers in safety place prior to disposal.
Use of pesticide: A person intending to use pesticide shall recognize its characteristic and
pay attention to following matters:
1. Use Integrated Pest Management especially controlling pest by using natural
enemies;
2. Use pesticide in proper way and implement as described on the label;
3. Wear protective equipments whenever apply pesticide employers should provide
proper equipments including training on pesticide application for employees.
4. ensure preventing dangerous effects of pesticide to human health, animal and
environment;
5. Any accident involving pesticides that requires specialist assistance or poses a
threat to human health or the environment should immediately be reported to
the relevant authority.
Disposal of pesticides: Substandard pesticide, counterfeit, expired products, pesticide
waste including empty containers shall be properly disposed or buried in an approved
landfill without effecting to environment, the location is on flat ground, far from water
resource and well or underground water and follows technical guideline as specified by
the Ministry of Natural Resource and Environment (MoNRE).
35
List of banned pesticides are as follows:
Insecticides and acaricides: Aldrin, BHC, Chlordane, Chlordimeform, Chlorfenvinphos,
Chlorthiophos, Cyhexatine, DDT, Dieldrin, Dimefox, Dinitrocresol, Demeton, Endrin,
Endosulfan, Ethyl Parathion, EPN, Heptachlor, Hexachloro cyclohexane, Leptophos,
Lindane, Methamidophos, Methomyl, Methyl parathion, Monocrotophos, Pholy
chlorocamphene, Phorate, Schradan, TEPP, Toxaphene
Fungicides: Binapacryl, Captafol, Cycloheximide, Mercury and mercury compounds,
MEMC, PMA, Selenium compound
Rodenticides: Chlorobenzilate, Sodium fluoasetate
Herbicides: 2,4,5 –T; Dinoseb; Dinoterb acetate / Dinitrobutyphenol; Paraquat;
Sodium chlorate
Fumigants: EDB, Ethylene oxide, Methyl bromide
Others: Arsenic compound, Calcium arsenate (Herbicide, rodenticide, molluscicide,
insecticide); DBCP (Nematocidide); Daminozide (Plant growth regulators);
Fluoroacetamide (Insectide, rodenticide); Oxamyl (Insecticide, acaricide, termiticide);
Phosphamidon (Insecticide, nematodicide); Sodium Arsenite (Insecticide, fungicide,
herbicide, rodenticide); Thallium ( i ) sulfate) (Rodenticide, insecticide)
(B) Safeguard Training
6. The Component 3.2 would provide safeguard training that will be carried out by the
Department of Livestock and Fisheries; DAFO/PAFO staff to ensure that they are fully
understand safeguard requirements and process. The training will also include this
simplified pest management plan, especially the 2860/MAF regulation which will be trained
by a qualified staff from DAFO/PAFO. The Component 3.2 Management Unit and provincial
and district officers (PAFO/DAFO) will organize a safeguard training, focusing on the
implementation of this simplified pest management plan for those families who would
select agriculture activities as their alternative livelihood. The training will include but not
limited to all key aspect of the GOL regulations, especially those related to eligible pesticide
to be procured, how to store them and the best practice on pesticide use. The training will
include immediate action required incase misuse of the pesticide by staff or farmer.
(C) Monitoring
7. The project implementation units of the Component 3.2 in close consultation with
the provincial and district staff responsible for monitoring the use of pesticides will
periodically visit the target areas and monitor the use of pesticides and the result should be
recorded in the project file. If pest invasion occurs and it is necessary to use pesticides, PIUs
will ensure that the famers can properly and safely use them. If needed additional training
will be provided to the farmers.
36
C3.2 Annex 5: Manager Clearance Form
ັ ດ ປະຊາທ
ສາທາລະນະລ ົ ນລາວ
ິ ປະໄຕ ປະຊາຊ
ັ ນຕ
ສ ິ ພາບ ເອ�?�?ະລາດ ປະຊາທ ິ ປະໄຕ ເອ�?�?ະພາບ ວ ັ ດທະນາຖາອນ
�?ະຊວງຊ ັ ບພະ�?າ�?ອນທ �? າມະຊາດ �?ລະ ິິ່ສງ�?ວດລ
້ ອມ
�?ົ ມຊ
ັ ບພະ�?າ�?ອນນ�? ້ າ
ໂຄງ�?ານ M-IWRM ອ ົ ງປ ະ�?ອບ3.2
�?ບບຟອມເອ�?�?ະສານສະສາງ �?ລະ ຮ ົ າ�?ຜນ�?
ັ ບຮອງເອ �? າ �?ານລ
ິ ດຈະ�? ຶ ນຂະຫນາດນ
ົ ງທ ້ ອ�?
INVESTMENT CLEARANCEAND ENDORSE FORM
�?ານ�?ວດຜ ິ່ ານເອ�?ະສານຂອງຫ ົ ວຫນ້ າທ
ີ ມວ ົ ວຫນ
ິ ຊາ�?ານ �?ລະ ຫ ົ ງປະ�?ອບ
້ າອ
3.1.1ໃນ�?ານຮ ັ ບຮອງ�?ຜນ
CERTIFY AND ENDORSE BY TECHNICAL LEADER AND MANAGER CLEARANCE’S SIGN OFF
ື ນຢ
�?ຄາຢ ັ ນຂອງຫ ົ ວຫນ
້ າ ີ ທມວ
ິ ຊາ�?ານ ຫລ
ື ຜ ັ ບຜ
້ ຮ ິ ດຊອບໃນ�?ານລວບລວມ�?ລະ �?ວດ�?າເອ�?�?ະສານ
Technical Team leader or in charge person on Investigator Signature Statement:
ີ ອງຕາມ ຜົ ນໄດ ້ ຮ
ັ ບຈາ�?�?ອງປະຊ ຸ ມຄະນະປະສານງານ ຄັ້ ງວ ັ ນທີ ……………….
ີ່ີ ທ........................................ພ ້ ອມດ ້ ວ�?ບ ົ ດບ ັ ນທ ຶ �?�?ອງປະຊ ຸ ມ .�?ລະ
ໃບສະເຫນ ີ ຈາ�?ພາ�?ສ ີ່ ວນ�? ີ່ ຽວຂ ້ ອງຂອງເມ ື ອງ/�?ຂວງທ ີ່ີ ຄ ັ ດຕ ິ ດມາພ ້ ອມນ ີ້ , ຂ
້ າພະເຈ ົ້ າ ້ �?ວດ�?າ
ໄດ
ອີ່ ານຜ ີ່ ານເອ�?�?ະສານທ ັ ງຫມ ົ ດ ີ່ີ ທຄ ັ ດ�?ນບມານ �? ານ ີ້ �?ລ ້ ວ �?ລະ ຢັ້ ງຢ ື ນວ ີ່ າ,
ໂດ�?�?ານຮ ັ ບຮ ້ ຂະບວນ�?ານທ ີ່ ີ ຜ ີ່ ານມາຈາ�?ພາ�?ສ ີ່ ວນ�? ີ່ ຽວຂ ້ ອງ �?ລະ
້ ມນພ
�?ຂ ້ ອມທ ັ ງເອ�?�?ະສານປະ�?ອບຈາ�?�? ີ່ າ�?ວ ິ ຊາ�?ານທ ີ່ີ �?ດາເນ ີ ນ�?ານຕາມຂ ັ້ ນຕອນ�? ັ ບ�? ິ ດຈະ�? �? າທີ່ີ ສະເຫນ ີ ໂດ�?ຄະນະ
ຮ ັ ບຜິ ດຊອບຂ ັ້ ນເມື ອງ �?ລະ �?ຂວງ ມານ ີ້ ຮ ີ່ ວມ�? ັ ບພາ�?ສ ີ່ ວນຕ ີ່ າງຯໃນທ ຸ �?ລະດ ັ ບ �?ລະ ເຫ ັ ນວ ີ່ າມ ີ ຄວາມຖ ື �?ຕ ້ ອງ
ຕາມຜ ົ ນຈາ�?�?ານສ ຶ �?ສາຄວາມເປ ັ ນໄປຕາມຄວາມເປ ັ ນຈ ິ ງທາງວ ິ ຊາ�?ານ
ີີ່ ທຂ ້ າພະເຈ ້ົ າໄດ ້ ຮ ັ ບຮ້ ມາລວມທ ັ ງເອ�?�?ະສານ ີ່ ີ ທ ສະນ ັ ບສະຫນ ຸ ນ �?ິ ດຈະ�? ີ ້ ເຫ
�? ານ ັ ນວ ີ່ າມ ີ ຄວາມຄ ົ ບຖ ້ ວນ
ຕາມເອ�?�?ະສານ�?ນະນ �? າຂອງໂຄງ�?ານ �?ລະ ທະນາຄານໂລ�? ຶ ຈງໄດ ີ່ ້ ເຊ ັ ນຢ ້
ັ ງຢ ື ນເປ ັ ນຫລ ັ �?ຖານໄວ ້ .
ີ່ີ ທ.............................................ວ ີ ..................................ລາ�?ເຊ
ັ ນທ ັ ນ...........................................................
ີ່ື ຊ�?ລະນາມສະ�?
ຸ ນ................................................
ັ ນຮ
ລາ�?ເຊ ົ ວຫນ
ັ ບຮອງ ຂອງຫ ົ ງປະ�?ອບ 3.2 ເຫ
້ າອ ີ :
ັ ນດ ຮ
ັ ບຮອງ ິ່�?ບເຫ ີ ຮ
ັ ນດ ັ ບຮອງ
ີ່ີ ທ.............................................ວ ີ .................................. ລາ�?ເຊ
ັ ນທ ັ ນ...........................................................
ີ່ື ຊ�?ລະນາມສະ�? ຸ ນ................................................
�?ຄາເຫ ັ ນເພ້ ີ ມ................................................................................................................................................
ີ ມເຕ
.....
ິ່ຶ ອເຊ
ເມ ັ ນ�?ລ ້ ວ,ິ່�?ບສາມາດປ ິ່ ຽນ�?ປງໃດຯ
ຈ
ົ ນ�?ວ
ິ່ າຈະໄດ
້ ມ
ີ ຫນ ງສ
ັ ື ສະເຫນ
ີ �? ຂຄວາມເຫ ັ ນປ
ັ ບປິ່ ຽນເພ
ີ ້ ມເຕ
ີ ມຈາ�?ພາ�?ສ ິ່ ຽວຂ
ິ່ ວນ�? ້ ອງຢ
ິ່ າງເປ
ັ ນທາງ�?ານ
1.1. ONCE SIGNED, NO FURTHER CHANGES CAN BE MADE TO THIS CRF WITHOUT A SIGNED DATA QUERY FORM
37
C3.2 Annex 6 – Financial Management Supporting Documents for Alternative
Livelihood support (ALS)
The List of documents is detailed below with samples
1. The final and approved Preference List clearly detailing all alternative livelihood
activities to be executed and the destination of execution
2. Minutes of meeting for approving the PL by the Committee
3. Detailed breakdown of the budgets associated with the activity that needs to be
executed (Individual list per activity in the PL).
a. The detailed budget is needed by the FM Unit to firstly verify that the activity
which is budgeted for is actually in the PL and
b. To check the arithmetic accuracy and the completeness of the budget. Also
other relevant expenditure like transportation costs associated to delivering
the goods to its final destination will also be reviewed
c. To send the reviewed budgets for approval
4. In certain cases three quotations are requested and the budget is clarified / confirmed
upon the choosing of the desired supplier. In this case copies of the three quotations
are needed as supporting documentations from which the least cost will be
automatically selected as the supplier. Should there be a discrepancy in this least cost
selection criteria there must be a written explanation as to the selection of an
alternative supplier signed by the appropriate personnel in the KFMC / Committee
5. Authorized Invoice by the Supplier signed and other suppliers’ letterhead.
6. Distribution List
a. This represents the list of all the recipients of the goods/livestock. A list is
prepared with the family head’s name , telephone number and signature and
is counter signed by the Village Head and the appointed KFMC / Committee
members and evidence of receipt and delivery
7. Progress Reports on invoices where multiple payments are involved
a. In some small civil work the invoice for the total amount may be paid in two
installments which are directly related to the percentage of completion of the
work. Usually two installments where the first installment during the
commencement of the work and the final upon the satisfactory completion
of the work which is certified by the KFMC/engineers/committee members
8. Official Payment Receipt. Upon payment the recipient should either give an official
payment receipt or alternatively stamp on the official invoice as paid, dated and
signature of the recipient as evidence of payment & receipt.
38
Form I: Summary by Province / Period of PREFERENCE LIST KPF Form
Lao People’s Democratic Republic
Peace Independence Democracy Unity and Prosperity
Province: ………..
District:
Kum Ban:
Date:…………….
Summary of KFMC’s L:ist of Proposed Alternative Livelihood
List of proposed livelihood required Dimension/Scale
for __________ Villages Unit QTY Size Description Budget Approval
1
2
3
4
5
Total Budget
Prepared By :
Verified By :
Approved By :
39
Form II: SAMPLE QUOTATION
Sample Quotation on Supplier Letterhead
Item Description Unit Price Quantity Quality Total
Verified Amount
TOTAL AMOUNT
Signed By (Authorized Seller)
40
Form IV: SAMPLE SUPPLIERS INVOICE
SUPPLIERS�? LETTERHEAD
OFFICIAL INVOICE
Reference No. ___________
TO: ____________________________ Date: ___/___/___
Total Cost
No. Description Quantity Price per Unit
(KIP/US$)
Total Invoice US$/KIP
Exchange Rate USD to KIP:
Signed and dated by authorized Vendor
41
Form V: SUMMARY DISTRIBUTION LIST
KPF Form
Lao People’s Democratic Republic
Peace Independence Democracy Unity and Prosperity
Village: …………..
District: …………..
Province: ……….. Date:…………….
Summary of Distribution List
No Full name of Telephone Items Signature Date
Recipient Number allocated of Recipient
42
Form VI: OFFICIAL PAYMENT RECEIPT
SUPPLIERS�? LETTERHEAD
OFFICIAL PAYMENT RECEIPT
Reference No. ___________
TO: ____________________________ Date: ___/___/___
Payment Received
No. Name of Supplier Quantity Price per Unit
By
Total Invoice US$/KIP
Exchange Rate USD to KIP:
DATE PAID:
PAYMENT METHOD:
Signed and dated by DAFO
Village Head
FMC