lao: water supply sector project

Environmental Assessment and Review Framework

September 2020

LAO: Water Supply Sector Project Prepared by the Department of Water Supply, Ministry of Public Works and Transport for the Asian Development Bank.

CURRENCY EQUIVALENTS (as of 26 September 2020)

Currency unit – Kip (KN)

KN1.00 = $ 0.00011 $1.00 = KN 9,224

ABBREVIATIONS

ADB - Asian Development Bank CEMP - contractor’s environmental management plan DOH - Department of Health DONRE - Provincial Department of Natural Resources and

Environment DWS - Department of Water Supply EARF - environmental assessment and review framework ECA - environmental compliance audit EHS - environmental health and safety EIA - environmental impact assessment EMP - environmental management Plan EPL - Environmental Protection Law GRM - grievance redress mechanism IEE - initial environmental examination LACP - land acquisition and compensation plan MOH - Ministry of Health MONRE - Ministry of Natural Resources and Environment MPWT - Ministry of Public Works and Transport MSDS - materials safety data sheets NAPA - National Adaptation Program of Action NRW - nonrevenue water PCU - project coordination unit PIU - project implementation unit PMC - project management consultants PNP - provincial nam papa (provincial water utility) PPSC - provincial project steering committee SEMR - semi-annual environmental monitoring report SPS - Safeguards Policy Statement, 2009 UXO - unexploded ordnance WSSP - Water Supply Sector Project WTP - water treatment plant

WEIGHTS AND MEASURES

⁰C - degree centigrade dBA - decibel ha - hectare km - kilometer l/s - liters per second m - meter masl - meters above sea level mm - millimeter

NOTES

(i) The fiscal year (FY) of the Government of the Lao PDR ends on 30 September.

“FY” before a calendar year denotes the year in which the fiscal year ends, e.g., FY2017 ends on 30 September 2017.

(ii) In this report, "$" refers to United States dollars.

This environmental assessment and review framework is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature. Your attention is directed to the “terms of use” section on ADB’s website. In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

http://www.adb.org/terms-use

CONTENTS

I. INTRODUCTION 1

II. POLICY, LEGAL, AND ADMINISTRATIVE FRAMEWORK 1

A. Legal and Institutional Framework on Environmental Management in the Lao PDR 1

1. Environmental Impact Assessment 1

2. Water Resources and Water Supply 3

3. Drinking Water Quality Standards 3

4. Discharge Standards 4

5. Environmental Compliance Certificate 4

B. ADB Safeguards Policy Statement 2009 6

III. TYPE OF PROJECTS TO BE ASSESSED AND ANTICIPATED ENVIRONMENTAL IMPACTS 9

A. Identified Project Outputs 9

1. Output 1: Regulatory Environment Improved 9

2. Output 2: Urban Infrastructure Improved 9

3. Output 3: Institutional Effectiveness Improved 9

B. Anticipated Environmental Impacts 10

IV. PROCEDURES FOR SCREENING AND ENVIRONMENTAL ASSESSMENT OF SUBPROJECTS 12

A. Responsibilities and Authorities 12

B. Subproject Eligibility 15

C. Procedures for Environmental Assessment of Subprojects 16

1. Environmental Screening and Classification 17

2. Preparation of the Initial Environmental Examination (IEE) 17

3. Review of IEE Reports 18

4. Environmental Monitoring 18

5. Environmental Reporting 26

V. CONSULTATION, INFORMATION, AND DISCLOSURE 27

A. Public Consultations and Disclosure During Subproject Preparation 27

B. Public Consultation During Construction and Operation 28

VI. GRIEVANCE REDRESS MECHANISM 28

A. Type of Grievances 29

B. Grievance Resolution Process 29

C. Arbitration Committees 29

D. Grievance Redress Procedures 30

VII. SUPPORT FOR EARF IMPLEMENTATION 32

APPENDIXES Appendix A: Rapid Environmental Assessment checklist for Water Supply Projects 33 Appendix B: Outline of an IEE Report 37 Appendix C: Semi-Annual Environmental Monitoring Report Template 41 Appendix D: Ministry of Public Health Drinking Water Quality Standards (2014) 59 Appendix E: Matrix for Reporting of the Water Quality Monitoring Results 62 Appendix F: Sample Complaint Letter 64

Appendix G: Subproject Classification Form – Environmental Categorization and Rapid Environmental Assessment 66

I. INTRODUCTION 1. The Water Supply Sector Project (WSSP) aims to work with the Department of Water Supply (DWS) to increase water supply service coverage in participating towns in the Lao People’s Democratic Republic (Lao PDR). The project will focus on improving the financial performance of the provincial water utilities, known as Provincial Nam Papas (PNP) and on providing investments to identified provinces through the construction of new water supply system in district towns, and expansion and rehabilitation of the existing water supply system in the same province. Climate change and natural hazard impacts on the project (especially in the design of components/activities) shall be considered and integrated. The project is aligned with the Government of Lao’s (GOL) Urban Water Supply and Sanitation Sector Strategy (2013-2030), the Water Supply Investment Plan 2020-2030 (WSIP) and the national socioeconomic development plan and will support the country in achieving its target of providing 90% piped water supply coverage by 2030. The WSSP will be implemented through a sector loan and grant from the Asian Development Bank (ADB). 2. This Environmental Assessment and Review Framework (EARF) sets out the responsibilities and procedures for the environmental assessment of WSSP subprojects based on the relevant laws of the GOL and ADB requirements. It will outline the processes for conducting screening, environment classification, assessment and preparation of environmental safeguard plans for the WSSP subprojects that will be prepared after board approval. The guidance provided in the EARF is intended to facilitate the effective integration of environmental assessment and environmental management planning into the preparation and implementation of subprojects.

II. POLICY, LEGAL, AND ADMINISTRATIVE FRAMEWORK A. Legal and Institutional Framework on Environmental Management in the Lao PDR

1. Environmental Impact Assessment 3. The Lao PDR’s national framework for the governance of environmental matters includes a comprehensive set of laws on environment and natural resources management, protection of health and well-being of the people, and regulations that support commitments to international environmental conventions. The applicable laws are discussed in the succeeding sections: 4. The principal environmental legislation in the Lao PDR is the Environmental Protection Law No. 29/NA (December 2012) which requires every private and public investment project to undergo an environmental impact assessment and prepare the corresponding report to the Ministry of Environment and Natural Resources (MONRE) or its district/provincial offices prior to implementation. 5. The Ministerial Agreement No. 8056, known as the Ministerial Agreement on the Endorsement and Promulgation of List of Investment Projects and Activities Requiring for Conducting the Initial Environmental Examination or Environmental and Social Impact Assessment as issued by MONRE on 17 December 2013, refers to investment projects and activities requiring an IEE or Environmental and Social Impact Assessment (ESIA). Investment projects are categorized according to a schedule or list of projects such that for Category 1 or small-scale projects, an IEE is required and for Category 2 or large-scale projects, an EIA report is prepared; water supply facilities (Item 3.35) fall under Category 1 so an IEE

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is required by government. The responsibilities and procedures for environmental monitoring of projects are set out in the Ministry of Natural Resources and Environment (MONRE) Ministerial Instructions No. 8029 (for IEE) and No. 8030 (for EIA) issued on 17 December 2013. 6. The Ministerial Instructions No. 8029 known as the Ministerial Instruction on the Process of Initial Environmental Examination of the Investment Projects and Activities as issued by MONRE on 17 December 2013 states that all investment projects that may create adverse environmental and social impacts are to be designed with the correct and appropriate environmental and social impact prevention and mitigation measures or environmental management and monitoring plans (EMP) and social management and monitoring plans (SMMP). It requires (i) appropriate screening, based on project categorization, of the required level of environmental assessment, (ii) environmental assessments to identify direct and indirect physical, biological, socioeconomic and cultural resources, (iii) presentation of alternatives (where an EIA is required), (iv) analysis to identify ways of avoiding and/or mitigating negative impacts and enhancing positive impacts, (v) extensive stakeholder consultation, (vi) disclosure to the public, (vii) preparation, approval, implementation and verification of environmental management and monitoring plans, (vi) specific provision for national biodiversity conservation areas and (vii) engagement of competent expertise for environmental impact assessment and management planning. 7. The Ministerial Instruction identifies the key stakeholders involved in the process of IEE preparation and approval. These are listed as MONRE (or the local DONRE), local administrations, development project responsible agencies (taken to mean, essentially, the line agency either at central or provincial level), concerned sector bodies and project developers. The tasks required, from inception through to approval, are investigations, field inspections, information dissemination, public consultation, review of draft IEEs, updating IEEs in response to comments and the issuance of certificates of compliance. 8. Procedures for IEE preparation and approval, including indicative timeframes, are described in the Ministerial Instructions No. 8029 and summarized as follows and in Figure 1:

a) The project owner prepares the IEE report, in cooperation with other stakeholder agencies and including consultation at village, district and provincial levels;

b) On completion of consultations at district level and subsequent updating of the IEE report based on comments received, the project owner will submit the IEE report to the relevant line ministry;

c) The line ministry will review the IEE report within 10 days and either accept or instruct the project owner to provide further information or make revisions and resubmit, or submit the final copy to the line ministry;

d) Once accepted by the line ministry, the project owner will submit 15 hard copies and a soft copy of the IEE to the line ministry;

e) The line ministry should send the IEE report to the local administration and concerned agencies within five days of receipt;

f) Recipients of the IEE report must send any comments on the IEE reports within 20 working days of receipt;

g) The line ministry should convene a technical workshop to review the IEE and, if necessary, undertake a field visit, following which comments are sent to MONRE with a recommendation as to the acceptability of the IEE; and

h) MONRE decides whether to issue a certificate of compliance, instructs the project developer to amend the IEE report, instructs the project developer to undertake further investigations, or to reject the IEE report.

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9. Recently, Decree No. 21/GOL (31 January 2019) known as the Decree on the Assessment of Environment Impacts was issued by MONRE which further defines the processes to be followed in screening and evaluation of investment projects and activities. Under Article 9, investment projects are grouped into two: (i) projects that will cause less social and natural environmental impacts where a preliminary environmental impact assessment is needed and (ii) projects that will cause severe impacts on social and natural environment which requires a comprehensive environmental impact assessment. The recent decree also outlines the requirements for the preparation of the preliminary or comprehensive EIA report, consultation, review of EIA reports and EMP, and approval process for the environmental certification. Under the decree, the environmental compliance certificate is valid for the rest of the project’s lifetime but the environmental management and monitoring plan must be presented to MONRE or its provincial or district offices every two or five years depending on the type of investment project and activities. The decree also specifies the rights of persons affected by any investment project (Article 56) to have access to information, receive compensation and fair treatment, health protection, among others.

2. Water Resources and Water Supply 10. The Law on Water and Water Resources of 2009 was amended on 11 May 2017. The Water Supply Law (2009 as amended on 11 May 2017) allocates priority to water supply. It defines a principle of water supply activities, as the coordination of all sectors and localities concerned in joint using of water sources by giving priority to water supply production. 11. The amendments to the Law aim to develop water resources in an environmentally sound and sustainable manner and in accordance with the international best practice to ensure the protection of water resources and ecosystems. New provisions have been added on water rights and use, including waste-water discharge permits, wetlands and water-resources protection, ground-water management, and reservoir management. Additionally, the amended Law expands the terms and conditions of large, medium, and small-scale uses and includes articles on environmental flows for hydropower as well as stipulations related to irrigation use. 12. A significant development is the establishment of a National Water Resources Data and Information System administered by the Ministry of Natural Resources and Environment (“MONRE”), the details of which will be set out in a subsequent specific regulation. Access to information and data stored in the system will be available to all individuals and organizations. The Draft Law also grants greater responsibility to the MONRE to develop and implement management plans of river basins throughout the country. 13. In the amended law there is a new requirement for minimum water flow determinations to be made that set a minimum threshold for all watercourses to meet the basic needs of people whose livelihoods rely on them and the sustainability of the ecosystems within the affected area.

3. Drinking Water Quality Standards 14. The Ministry of Public Health (MOH) has issued the Water Quality Standard for Management for Drinking and Domestic Use in March 2014 in accordance with Decision 561/MOH, 2014. The standard is based on the World Health Organization Guidelines for Drinking Water Quality, which is recommended by IFC’s EHS Guidelines for Water and Sanitation. 15. The MOH has the institutional mandate for overseeing and monitoring drinking water quality in the Lao PDR, while the PNPs (operators) are responsible for ensuring compliance with

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the standard. The MOH Drinking Water Quality Standards, 2014, stipulate that PNPs are required to conduct regular water quality monitoring and testing of 23 water quality parameters. The standards specify 7 parameters must be tested weekly and an additional two parameters tested on a monthly basis, with an additional 14 parameters to be tested on an annual basis. The monitoring parameters are listed in Table 3 of the water quality standards, which is attached in Appendix D. 16. At this stage the Lao PDR’s access to the laboratory infrastructure necessary to conduct this level of testing across the country does not exist. There are two known laboratories, but both have produced suspect results in the past. Consequently, most of the samples under ADB-funded projects over the past couple of decades have been tested in Thailand, which is logistically quite difficult. 17. At this time DWS has agreed with the PNPs to focus on three parameters for routine testing of treated water – pH, turbidity and residual chlorine at the extremity of the distribution network to keep the water supply safe for consumption. To supplement this testing, PNPs will take samples once or twice per year for testing in one of the laboratories in the country; the tests are conducted for a full range of parameters as set out in the MOH standard. It would be wise for the PNPs to have these samples tested in Thailand until such time as the laboratory infrastructure in the Lao PDR is sufficiently developed.

4. Discharge Standards 18. National Wastewater Quality Standards have been adopted based on the Environmental Protection Law No.29/NA, dated December 18, 2012 and the Decree on National Environment Standard dated 81/GV, dated 21 Feb. 2017 and 0832/MONRE. The standards relate to drinking water quality (groundwater); surface water quality; and wastewater effluent discharge from industrial activities. including biochemical oxygen demand (BOD) of 40 mg/l and total suspended solids (TSS) of 40 mg/l.

5. Environmental Compliance Certificate 19. For this project category B, each subproject, the provincial DONRE will issue an Environmental Compliance Certificate (ECC), which will be valid for the duration of the subproject in accordance with national legislation. Each ECC will stipulate the validity for each EMP and requirements for any submission of periodic supplemental information will also be stated (as it varies by province and can be, for example, every 2 or every 5 years as). The need for re-approval of the EMP or ECC will need to be re-assessed if the project should undergo any scope changes, variations or extensions. In such cases additional due diligence requirements and reports may be needed as stipulated by the respective provincial DONRE.

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Figure 1: Matrix of Processing of Environmental Impact Assessment Reports as per Ministerial Instruction No. 8029

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B. ADB Safeguards Policy Statement 2009 20. ADB Safeguard Policy Statement (SPS) became effective in January 2010.1 The SPS defines the general requirements to be followed with regards to: project screening and classification, information disclosure, consultation and participation, due diligence, monitoring and reporting, local grievance redress mechanisms and the Bank’s Accountability Mechanism. 21. Project screening and classification. The SPS requires the undertaking of project screening as early as possible to (i) determine the significance of adverse impacts; (ii) identify the level of assessment and institutional resources required; (iii) determine disclosure requirements. A project’s category is determined by the category of its most environmentally sensitive component, including direct, indirect, cumulative, and induced impacts in the project’s area of influence. Each proposed project (or Subproject in the case of a sector loan) is scrutinized as to its type, location, scale, and sensitivity and the magnitude of its potential environmental impacts. Subprojects will be screened using the Rapid Environmental Assessment Checklist for Water Supply Projects, which is included in Appendix A. 22. Projects are assigned to one of the following four categories:

a) Category A. A proposed project is classified as category A if it is likely to have significant adverse environmental impacts that are irreversible, diverse, or unprecedented. These impacts may affect an area larger than the sites or facilities subject to physical works. An environmental impact assessment is required.

b) Category B. A proposed project is classified as category B if its potential adverse environmental impacts are less adverse than those of category A projects. These impacts are site-specific, few if any of them are irreversible, and in most cases mitigation measures can be designed more readily than for category A projects. An initial environmental examination is required.

c) Category C. A proposed project is classified as category C if it is likely to have minimal or no adverse environmental impacts. No environmental assessment is required although environmental implications need to be reviewed.

23. Information disclosure. In line with the ADB’s Access to Information Policy (2018), the SPS requires that for environment Category A projects, draft environmental impact assessments must be posted on the ADB’s website 120 days before project approval. For draft environmental assessment and review frameworks, draft resettlement frameworks and/or plans and draft Indigenous Peoples planning frameworks and/or plans, the Policy only stipulates that these documents must be provided by the borrower/client and posted on ADB’s website before project appraisal, as follows: (i) final or updated environmental impact assessments and/or initial environmental examinations (IEEs), resettlement plans, and Indigenous Peoples plans upon receipt (by the ADB), and (ii) environment, involuntary resettlement and Indigenous Peoples monitoring reports submitted by borrowers/clients during project implementation upon receipt (by the ADB).

24. Consultation and participation. The general provisions on consultation and participation are mostly phrased as aspirations. The Policy states that the ADB “is committed to working with borrowers/clients to put processes of meaningful consultation and participation in place.” Meaningful participation is defined as: (i) beginning early in the project preparation stage and being carried out on an ongoing basis throughout the project cycle; (ii) providing timely

1 ADB. 2009. Safeguard Policy Statement. Manila.

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disclosure of relevant and adequate information that is accessible to affected people; (iii) being free of intimidation and coercion; iv) being gender inclusive and responsive; and (v) enabling the incorporation of all relevant views of affected people and other stakeholders in decision-making. 25. Monitoring and reporting. The monitoring obligations are required to be “commensurate with the project’s risks and impacts”. It is deemed appropriate by ADB in accordance with the OMF1 2013 that periodic monitoring reports are submitted for environmental category B projects. 26. Local grievance redress mechanisms. The Policy requires the borrower/client to set up and maintain a grievance redress mechanism at project level. This mechanism does not replace the ADB’s accountability mechanism but is intended to solve grievances at the local level. Affected people can also take complaints to the ADB’s Accountability Mechanism. The Accountability Mechanism Policy merely requires complainants to demonstrate that they have sought to address their complaint with management. 27. Specific to environmental aspects, the objective of the SPS is to “ensure the environmental soundness and sustainability of projects and to support the integration of environmental considerations into the project decision-making process”. 28. The main Environmental Safeguard Policy Principles of SPS 2009 are as follows:

a) Screen the project early on to identify past, present, and future involuntary resettlement impacts and risks. Determine the scope of resettlement planning through a survey and/or census of displaced persons, including a gender analysis, specifically related to resettlement impacts and risks.

b) Conduct an environmental assessment for each proposed project to identify potential direct, indirect, cumulative, and induced impacts and risks to physical, biological, socioeconomic (including impacts on livelihood through environmental media, health and safety, vulnerable groups, and gender issues), and physical cultural resources in the context of the project’s area of influence. Assess potential transboundary and global impacts, including climate change. Use strategic environmental assessment where appropriate.

c) Examine alternatives to the project’s location, design, technology, and components and their potential environmental and social impacts and document the rationale for selecting the particular alternative proposed. Also consider the no project alternative.

d) Avoid, and where avoidance is not possible, minimize, mitigate, and/or offset adverse impacts and enhance positive impacts by means of environmental planning and management. Prepare an environmental management plan (EMP) that includes the proposed mitigation measures, environmental monitoring and reporting requirements, related institutional or organizational arrangements, capacity development and training measures, implementation schedule, cost estimates, and performance indicators. Key considerations for EMP preparation include mitigation of potential adverse impacts to the level of no significant harm to third parties, and the polluter pays principle.

e) Carry out meaningful consultation with affected people and facilitate their informed participation. Ensure women’s participation in consultation. Involve stakeholders, including affected people and concerned nongovernment organizations, early in the project preparation process and ensure that their views and concerns are made known to and understood by decision makers and taken into account. Continue

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consultations with stakeholders throughout project implementation as necessary to address issues related to environmental assessment. Establish a grievance redress mechanism to receive and facilitate resolution of the affected people’s concerns and grievances regarding the project’s environmental performance.

f) Disclose a draft environmental assessment (including the EMP) in a timely manner, before project appraisal, in an accessible place and in a form and language(s) understandable to affected people and other stakeholders. Disclose the final environmental assessment, and its updates if any, to affected people and other stakeholders.

g) Implement the EMP and monitor its effectiveness. Document monitoring results, including the development and implementation of corrective actions, and disclose monitoring reports.

h) Do not implement project activities in areas of critical habitats, unless (i) there are no measurable adverse impacts on the critical habitat that could impair its ability to function, (ii) there is no reduction in the population of any recognized endangered or critically endangered species, and (iii) any lesser impacts are mitigated. If a project is located within a legally protected area, implement additional programs to promote and enhance the conservation aims of the protected area. In an area of natural habitats, there must be no significant conversion or degradation, unless (i) alternatives are not available, (ii) the overall benefits from the project substantially outweigh the environmental costs, and (iii) any conversion or degradation is appropriately mitigated. Use a precautionary approach to the use, development, and management of renewable natural resources.

i) Apply pollution prevention and control technologies and practices consistent with international good practices as reflected in internationally recognized standards such as the World Bank Group’s Environmental, Health and Safety Guidelines. Adopt cleaner production processes and good energy efficiency practices. Avoid pollution, or, when avoidance is not possible, minimize or control the intensity or load of pollutant emissions and discharges, including direct and indirect greenhouse gases emissions, waste generation, and release of hazardous materials from their production, transportation, handling, and storage. Avoid the use of hazardous materials subject to international bans or phaseouts. Purchase, use, and manage pesticides based on integrated pest management approaches and reduce reliance on synthetic chemical pesticides.

j) Provide workers with safe and healthy working conditions and prevent accidents, injuries, and disease. Establish preventive and emergency preparedness and response measures to avoid, and where avoidance is not possible, to minimize, adverse impacts and risks to the health and safety of local communities.

k) Conserve physical cultural resources and avoid destroying or damaging them by using field-based surveys that employ qualified and experienced experts during environmental assessment. Provide for the use of “chance find” procedures that include a pre-approved management and conservation approach for materials that may be discovered during project implementation.

29. With regard to biodiversity conservation, the SPS specifies that project activities should not be implemented in critical habitats or legally protected areas, unless (i) there are no measurable adverse impacts on the critical habitat that could impair its ability to function, (ii) there is no reduction in the population of any recognized endangered or critically endangered species, and any lesser impacts are mitigated. If a project is located within a legally protected area, implement additional programs to promote and enhance the conservation aims of the protected area. In an area of natural habitats, there must be no significant conversion or

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degradation, unless (i) alternatives are not available, (ii) the overall benefits from the project substantially outweigh the environmental costs, and (iii) any conversion or degradation is appropriately mitigated. Use a precautionary approach to the use, development, and management of renewable natural resources.

III. TYPE OF PROJECTS TO BE ASSESSED AND ANTICIPATED ENVIRONMENTAL IMPACTS

30. The project will have three key outputs: (i) regulatory environment improved; (ii) urban infrastructure improved; (iii) institutional effectiveness improved. Outputs 1 and 3 are sector wide interventions, related to improving the performance of DWS and PNPs in financial management, asset management, project planning, service delivery and operations and maintenance (O&M). Output 2 will be targeted specifically at the subprojects and will involve the delivery of water infrastructure. The GOL has identified 28 towns across 12 provinces under the WSIP, which either require expansion and rehabilitation of the existing water supply system or constructing of new water supply systems. Subprojects will be screened in accordance with the procedure described in Section IV for inclusion in the project. A. Identified Project Outputs

1. Output 1: Regulatory Environment Improved 31. To strengthen the long-term planning and operations of the water sector, the project will: (i) develop a sector performance benchmarking program to monitor the performance of the water systems and networks across the country and to identify opportunities for further improvement; (ii) develop corporate governance and operational guidelines to facilitate service providers’ understanding of their roles and responsibilities and to standardize asset management, demand management, O&M, and financial management approaches, including water quality monitoring and testing, to minimize public health risk; and (iii) support the DWS in carrying out a review of the Water Supply Law (2009) and propose revisions, including approaches to financial reporting and tariff setting.

2. Output 2: Urban Infrastructure Improved 32. The project will improve access to safe piped water supply in participating towns through (i) rehabilitation and improvement of the existing water supply schemes including nonrevenue water (NRW) reduction; and (ii) construction of new water supply schemes. The project will continue with the free connection policy, which was initiated under earlier ADB funded projects.2 The free connection policy would apply only to households that have sanitation facilities in place. For poor and low-income households that do not have access to a sanitation facility (pour-flush latrines), the project will cover the cost to provide improved sanitation facilities (pour-flush latrines) so that they are also able to access the free water supply connections.3

3. Output 3: Institutional Effectiveness Improved 33. The project will: (i) develop and implement a corporate business plan for participating

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Household connection fees are waived for households that apply for connections during the construction period. 3

Poor households will be identified in accordance with the criteria set forth in the Prime Minister’s Decree No. 285, dated October 2009 and certified by the Provincial Governor, or otherwise agreed to in advance with ADB.

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PNPs to strengthen their capacity in corporate governance, O&M, financial management, and service delivery; and (ii) develop and deliver a comprehensive capacity development program covering corporate planning and governance, tariff reviews and adjustments, billings and tariff collections, asset management, NRW reduction, project planning and service delivery, and disaster risk management and contingency planning. By implementing the corporate business plan, the overall financial management of the PNP will improve and eventually allow them to operate as autonomous entities. The capacity development program will focus on water usage and sanitation, gender mainstreaming, and outreach activities that encourage and increase women’s participation in planning, design, and O&M. The project will promote women’s participation in the sector through the financing of scholarships and engagement in technical roles within the project coordination unit (PCU) and the project implementation units (PIU).4 The project will also promote opportunities to increase DWS capacity in the areas of performance reporting through a twinning arrangement.5 B. Anticipated Environmental Impacts 34. The most significant impacts expected to arise from the project are beneficial impacts on public health and the quality of life in the town from the provision of potable water together with enhancements through the improvement of sanitation facilities for poor households. Both actions address priority problems. Some items of potential concern arise in connection with project location, the construction phase and the operation phase. These include (i) management of sediment from the water treatment plant which bears traces of aluminium sulphate (alum) used in water treatment, (ii) protection of water sources and water quality monitoring capacity, (iii) risks associated with unexploded ordinance, (iv) water resource conflicts (v) an increased burden on drainage systems due to improved water supplies and (vi) occupational and community safety issues. Anticipated impacts and mitigation are described in the succeeding sections. 35. Management of Sediments from Water Treatment Plants (WTPs). Sludge from pre- sedimentation, sedimentation and filtration processes at each water treatment plant will require periodic removal. It consists of the fine particles of inert material (mainly silt) that are removed from the raw water by the sedimentation, flocculation and filter backwash processes, and traces of the flocculation agent, aluminium sulphate, or alum, which is not toxic. Quantities are dependent on raw water quality and the capacity of the treatment plant and will vary seasonally but are minor. While traces of alum will be minor, it should not be allowed to build up in soil as it “locks up” nutrients and prevents their uptake by plants. Effects are controlled by (i) release of backwash water into moving water, where dilution ensures that the alum, already in minor quantities, is vastly diluted and not allowed to build up and (ii) by collecting sediment in retention ponds, dewatering and disposal in an approved site (where available, a landfill). 36. Protection of Water Sources and Water Quality Monitoring. Most of the project towns will obtain raw water for their piped water supply systems from rivers, streams or springs which are open to contamination from development and activities in the upstream catchments. While the quality of the existing raw water sources in general is suitable for urban water supply after full treatment, there is potential for water quality to degrade over time because of increased urbanization, industrial activity, agricultural development, animal production and deforestation

4 The PCU will be the unit responsible for the overall management and project delivery while the PIU will facilitate

project delivery at the provincial level. Details of the roles and responsibilities of the units are included in the Project Administration Manual (accessible from the list of linked documents in Appendix 2.

5 Discussions are currently underway to establish a twinning arrangement with the Australian Water Association.

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in the upstream catchments. Provision is made in the national legislation for source protection regulations to be made. The relevant provincial and district governments and the PNP concerned shall have agreed to adopt sanitation regulations for the subproject town concerned, acceptable to the EA and ADB. In addition, awareness campaigns conducted during Project implementation will make communities aware of the need to protect water sources, the extent of protection zones and the activities permitted within them. 37. PNP WTP operators will be trained to carry out water quality monitoring and testing, and PNP staff will also engage in ongoing liaison with the Department of Agriculture and Forestry and Department of Natural Resources and Environment to identify any possible risks from upstream activities which may have an adverse impact on the quality of the water source. 38. Risk Associated with Unexploded Ordinance. Accidental detonation of unexploded ordinance occurs regularly throughout the country, with excavation activities for infrastructure among one of the main causes. Managing the threat involves the use of data provided by the National Mines Regulatory Authority (NMRA), seeking local knowledge, commissioning a verification survey and clearance services where necessary. The project includes provisions to carry out these assessments and the requisite UXO Clearance will be included in the IEE, which will be submitted for approval. No works will commence on site unless the IEE and corresponding EMP have been cleared by ADB and the respective CEMP has also been approved by the PCU and PIU and is in place. 39. Water Resource Conflicts. Potential conflicts may arise, particularly between demand for town water supplies and irrigation water, although priority is given to water supply production in accordance with the Water Supply Law (2009) in Article 5. To manage potential conflicts, monitoring of stream flows by PNPs will be necessary. Existing full-time river monitoring systems exist only on major rivers, usually tributaries of the Mekong. 40. Increased Burden on Drainage Systems. Households receiving new water supply connections are likely to use more water for cooking and washing, although liberal use will be constrained by tariff charges. In towns on flat terrain or valley floors, drainage is often limited and even relatively small quantities of additional grey water or sullage may form ponds of dirty water which provide a habitat for mosquitoes and pose a health hazard. Drainage works will be undertaken in areas that are prone to flooding to mitigate adverse impacts to public health. 41. Safety Issues. Where installed, improved drains in project towns will carry larger volumes of water at greater velocity than previously, creating potential safety hazards to children or the infirm. To mitigate this hazard, drains will be small size, designed to a wide cross section that both limits the depth of running water and allows safe exit from the drains if people accidentally fall into them. In addition, concrete crossings will be provided where the drains intersect pathways and in the busier commercial centers of the towns. 42. Construction Impacts. Potential impacts that may occur during construction include generation of waste from excavation (ii) blocking or impeding public rights of way, (iii) noise and dust nuisance, (iv) release of silt from construction operations, (v) pollution from chemicals, fuels or temporary worker toilet facilities, (vi) safety hazards to workers and the public, (vi) accidental damage to utilities, (vii) erosion, where operations take place on slopes and (viii) impacts on items of cultural, historical or scientific importance that are uncovered by chance during the works. Construction will however be temporary, and provision will be made in the EMP for each subproject to mitigate these, bringing them to acceptable levels. Before commencing work, the contractor will be required to prepare a construction EMP (CEMP). The CEMP will amplify how

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the contractor will address the activities in the construction section of the EMP. The contractor will prepare the CEMP that establishes the contractor’s management and compliance requirements with the construction section of the EMP. No works will be permitted to commence unless the respective CEMP has been cleared by the PIU. 43. Climate Risk. In accordance with the ADB Climate Risk Management Framework, a climate change risk and vulnerability assessment (CRVA) is required for projects which have been screened as “medium” or “high” climate risk. The project has been screened as “medium” risk to future climate change. The key climate vulnerabilities of the proposed water supply infrastructure are flooding, extreme rainfall, high temperatures, and drought. These have the potential to affect project components such as raw water intake (quality and availability of raw water), treatment plant operations, clean water storage, distribution network, site drainage and access roads, and also water consumption. Climate change considerations will be included in the design of the subprojects to address community vulnerabilities to climate change. Further, the regulatory reform and institutional strengthening component of the project (Outputs 1 and 3) also includes aspects of climate change adaptation with disaster risk management, asset management and contingency planning. 44. COVID-19 Risk Management. Given the current situation with the COVID-19 Pandemic, a COVID-19 risk management plan, identifying COVID-19 health and safety related risks, along with a site specific health and safety plan will be prepared and implemented by the Contractor during the construction period. The plan shall be developed in compliance with most relevant GOL regulations and policies, or in the absence thereof, in accordance with international good practice as issued by the World Health Organization. The Contractor shall implement an awareness and information dissemination campaign on COVID-19 risk management and provide training to workers on necessary risk mitigation and management measures/procedures.

IV. PROCEDURES FOR SCREENING AND ENVIRONMENTAL ASSESSMENT OF SUBPROJECTS

A. Responsibilities and Authorities 45. The responsible agency will be the executing agency, the Ministry of Public Works and Transport (MPWT), acting through the Department of Water Supply (DWS) which will house the Project Coordination Unit (PCU). The PCU will be responsible for overall planning and coordination of implementation, including programming, budgeting, financial planning, accounting and reporting. The PCU will receive overall direction and policy guidance from a Project Steering Committee (PSC). The PSC will include one representative from MONRE. 46. Within the meaning of the Ministerial Instructions, the project owner is the MPWT. As such, the MPWT is responsible for ensuring that environmental compliance certification is obtained, prior to allowing works to commence, the accuracy of information in the IEE and to ensure adherence to the EMP. 47. For each subproject, a Project Implementation Unit (PIU) will be established at provincial level, with the responsibility of day-to-day coordination, and supervision of project implementation. The PIU has representation from the Provincial Nam Papa (PNP), the Provincial Department of Public Works and Transport (DPWT), Department of Natural Resources and Environment (DONRE) and other provincial and district level agencies. The PIU will have representatives from district agencies including the district health and education offices and Lao Women’s Union (LWU). In each subproject village, the Village Authorities will serve as the main conduit for all

13

communications between the Project and the community, possibly within existing village committees, to mobilize local communities and work with the PIU and the PMC in implementing village improvements and awareness activities. 48. The PIU will receive support in coordinating the provincial and district level agencies including the provincial department of Natural Resources and Environment (DONRE) and take decisions on behalf of the provincial government from a Provincial Project Steering Committee (PPSC), chaired by the Provincial Vice Governor. At the district level, the District Governor (DG) or Vice Governor will oversee the project, monitor progress, review quality of work, coordinate the subproject with the PIU and local communities, and report on progress to the PPSC. The PPSC will include a representative of DONRE. 49. Technical support across all aspects of project implementation will be provided by the Project Management Consultants. 50. Table 1 sets out the Institutional Responsibilities for Environmental Management.

Table 1: Institutional Responsibilities for Environmental Management

AGENCY ROLE SUB-PROJECT PREPARATION / CONSTRUCTION

OPERATION

• MONRE/ DONRE

• Overall central level supervision and guidance related to natural resources and environment in the Lao People’s Democratic Republic. The agency is in-charge of reviewing the IEE, issuing ECC and monitoring environmental compliance.

✓ ✓

• PCU

• Overall supervision of subproject environmental screening and classification, IEE/EMP preparation and implementation.

• Review of IEE/EMP, submission to ADB and coordination of approvals

• Uploading of the IEE/EMP on MPWT website

• Ensuring of EMP’s inclusion in bid and contract documentation

• Review and clearance of the contractor EMP (CEMP)

• Monitoring of the project’s adherence to the EMP and ensuring that corrective actions are implemented

• Review of the quarterly environmental monitoring reports prepared by the PIU during the construction phase and preparation of semi-annual environmental monitoring reports to be submitted to ADB

• Review of the semi-annual progress report prepared by the PNP during the operational phase and submit the report to ADB

• Preparation of the environment section of the PCR

✓ ✓ (prior to

PCR)

14


OPERATION

• PIU

• Principal responsibility for EMP and safeguards GRM implementation

• Preparation of IEE and contract documentation after subproject screening having been cleared

• Submission of IEE to PPSC and DONRE for reference during monitoring

• Facilitation of public and stakeholder consultation during IEE/EMP preparation; conduct of consultations with local residents in respect of specific sites where the proposed works will include excavation, determine the need for any further investigation and/or clearance services and submit to the PCU

• Review and approval of CEMP that establishes the contractor’s management and compliance requirements with the construction section of the EMP; ensure that the CEMP contain an updated health and safety plan to account for COVID-19 measures as per the national requirements at that time

• Monitoring of compliance of the contractor with the EMP and CEMP

• Monitoring of GRM and effective resolution of complaints

• Consolidation of monthly environmental monitoring reports prepared by contractor through a quarterly progress report to be submitted to the PCU

• Provide members of the PPSC and the District Governor with copies of the quarterly progress report

✓ ✓

• PMC

• Support to PCU and PIU with subproject screening in line with EARF and preparation of IEEs and EMPs

• Provision of training for PCU, PIUs and contractors on EMP requirements

• Provision of advice on issues arising from EMP and GRM implementation

• Support to PCU/PIU with development and implementation of corrective action plans

• Support to PCU/PIUs with preparation of semi-annual environmental monitoring reports and the environment section of the PCR

✓ ✓

• PPSC

• Coordination of provincial and district agencies for EMP implementation during construction and operation and ensuring compliance monitoring

✓ ✓

15


OPERATION

• PNP

• Participation in PIU • Implementation of operational aspects

related to water supply output in the EMP • Conduct of water quality monitoring at WTP

inlet, treated water, and distribution lines

✓

✓

• OPWT

• Participation in PPSC

• Implementation of operational aspects related to drainage and public sanitation output in the EMP

✓

✓

• DOH • Participation in PPSC

• Participation in environmental monitoring and awareness raising

✓

✓

ADB = Asian Development Bank, CEMP = contractor environmental management plan, COVID-19 = coronavirus disease, DOH = District Heath Office, DONRE = Department of Natural Resources and Environment, EARF = environmental assessment and review framework, ECC = environmental compliance certificate, EMP = environmental management plan, GRM = grievance redress mechanism, IEE = initial environmental examination, MONRE = Ministry of Natural Resources and Environment, MPWT = Ministry of Public Works and Transport, OPWT = Office of Public Works and Transport (District), PCR = project completion report, PCU = project coordination unit, PIU = project implementation unit, PMC = project management consultants, PNP = provincial nam papa (provincial water utility), PPSC = provincial project steering committee, WTP = water treatment plant.

51. Environmental Compliance Audit. If the subproject includes works on any existing water treatment facilities, including storage or intake structures, the need for environmental due diligence is required in the form of an environmental compliance audit (ECA). The need for the ECA will be determined during the preparation of the feasibility studies. The ECA, including on-site assessment, will identify past or present concerns related to risks or impacts on the environment and thus determine whether actions were in accordance with ADB’s safeguard policies and requirements for borrowers and to identify and plan appropriate measures to address outstanding compliance issues. The requirements for environmental assessments and planning specified in ADB SPS 2009 will apply in addition to the compliance audit. 52. The proponent will prepare a Corrective Action Plan (CAP) specifying the corrective measure/s to be undertaken for each adverse finding of the environmental audit, including costs and schedule and any non-compliance to the EMP and environmental clearance conditions for the existing facilities. B. Subproject Eligibility 53. Before commencement of feasibility studies, each potential subproject will be screened according to a list of preliminary screening criteria to confirm its eligibility to receive funding for investments. The criteria in general seek to ensure institutional and financial sustainability which is necessary if schemes are to be properly operated and maintained, avoiding environmental consequences of scheme failure. The preliminary screening criteria are:

(i) Water Supply Sector Investment Plan (2020-2030, or as amended from time to time): The subproject is listed in the sector investment plan and has been identified as a high priority by the government.

(ii) Service coverage area: The subproject will cover the most densely populated core villages, and in the case of system expansion, will cover the core villages and adjacent densely populated areas.

(iii) Urban characteristics:

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a. The subproject will be located in an area that has urban characteristic and has a large demand for paid piped water supply.

b. The town has a government approved urban master plan indicating its development potential

(iv) Provincial Nam Papa: The PNP is a state owned company operating under the Enterprise Law, 2013

(v) Funding: The subproject is not being considered for funding by a development partner, private investor or government, other than ADB.

(vi) Establishment of Project Implementation unit: The Provincial Governor has agreed to establish a PIU to oversee the delivery of the project.

54. Once approval has been granted to proceed with the feasibility study, the PCU will carry out all technical due diligence assessments, including screening against ADB SPS (2009), conducting environmental impact assessments and preparation of the necessary IEE and EMPs. Part of the feasibility assessment will also include government confirmation and assurances that: (i) The PNP has identified potential sources of water for the subproject and has collected adequate flow and water quality data for each source during the dry and wet seasons at the subproject feasibility and design phases, to demonstrate source suitability, adequate minimum design flows for the water supply system, and adequate treatment requirements; (ii) the subproject will have a first priority of raw water from the proposed surface source and has obtained agreement to that effect of any hydropower, irrigation agency or company which uses or stores water upstream of the urban water supply intake. The feasibility studies should include identification of any facilities that could affect the continuity of water supply at the intake; (iii) regulations will be issued to protect raw water quality upstream of the proposed water supply intake, and the feasibility study shall confirm that appropriate water quality testing at the raw water source has been taken in accordance with applicable standards and the test must confirm that the presence of chemicals or hazardous substances at the raw water source are in accordance with the Government of Lao standards. 55. Classification and environmental assessment documents will be approved by ADB. Category A subprojects that are likely to have significant adverse environmental impacts that are irreversible, diverse, or unprecedented shall be excluded. Exclusion is also applicable to subprojects that trigger any of the ADB prohibited investment activities list as per ADB SPS (2009). Such activities or acts are prohibited and are sufficient for automatic disqualification of a proposed subproject for funding. As a general implementation principle when selecting locations for the subprojects and pipeline alignments cutting trees and negative impacts on biodiversity and fauna will be minimized. Where possible biodiversity net gain will be aimed for. C. Procedures for Environmental Assessment of Subprojects 56. All subprojects to be identified after board approval shall be screened and categorized for environmental impacts in accordance with ADB, SPS 2009, and requirements set out in this EARF. Appropriate safeguards documents will be prepared and finalized for non-sample subprojects, for review and concurrence by ADB prior to implementation. 57. The following procedures provide for assessment of environmental impacts, reporting and environmental management planning and have been designed to meet both ADB SPS (2009) and the government requirements as specified in the Ministry of Natural Resources and Environment Ministerial Instructions No. 8029 (for IEE) and No. 8030 (for EIA) issued on 17 December 2013 and therefore the EPL of 1999 as amended in 2013.

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1. Environmental Screening and Classification 58. The environmental categorization for each subproject will be determined by the PCU with assistance from the PMC on the basis of ADB rapid environmental assessment (REA) checklist for Water Supply (see Appendix A) and the Lao PDR Environmental Protection Law (1999 as amended in 2013) and the Lao PDR IEE Instruction of 2013.6 All subprojects will be subject to a screening process to ensure that subprojects that would be classified as environment Category A will be excluded. Similarly, all subprojects will fall into Category 1 according to schedule attached to the Ministerial Instructions. Exclusion is also applicable to subprojects that trigger any of the ADB prohibited investment activities list as per ADB SPS (2009). The PCU will be responsible for completing the REA checklist with recommendation on the environment safeguards categorization (using the template provided in Appendix G) and submitting to ADB for concurrence.

2. Preparation of the Initial Environmental Examination (IEE) 59. For Category B Subprojects, REAs and IEEs will be prepared by the PIUs with participation from the relevant OPWTs, and with the assistance of project implementation consultants. IEEs and EMPs will be submitted to ADB as part of the feasibility study for each subproject. The REA, which will be utilized to screen project impacts and category, will be included as an appendix to the IEE. The IEE Outline is to be followed as per ADB SPS (2009), which is attached in Appendix B. 60. In the preparation of the IEE, relevant primary and secondary data will be gathered that includes surface water flows during the wet and dry season, water quality, upstream and downstream catchment characteristics, among others. The assessment will include analysis of potential impacts of water abstraction on water reliability for downstream users. An assessment of project impacts and risks on biodiversity and natural resources will also be undertaken for subprojects and components located near or within critical habitats or legally protected areas. Issues regarding natural and critical habitats will be covered in the IEE report. Pollution prevention for conservation of resources particularly technology for management of process wastes will be addressed in the IEE report. Occupational health safety and community health safety, including COVID-19 risk management, will be properly addressed in the EMP section of the IEE report. Climate change and natural hazard impacts on the project (especially in the design of components/activities) shall be considered and integrated. The document will also reflect meaningful consultation and disclosure process with a provision of grievance redress mechanism. 61. The EMP, which is developed as part of the IEE report, shall describe the environmental management measures that must be carried out to avoid or mitigate negative impacts and enhance environmental performance during implementation. Environmental monitoring is to be conducted to ensure that mitigation is provided and is effective in reducing impacts, or to determine the long-term impacts of a subproject. EMPs will outline specific mitigation measures, environmental monitoring requirements, and related institutional arrangements, including budget requirements for implementation. Where impacts and risks cannot be avoided or prevented, mitigation measures and actions will be identified so that the project is designed, constructed, and operated in compliance with applicable laws and regulations and meets the requirements

6 Categorization will be based on: (i) the schedule contained in the Ministerial Instructions issued on 17 December

2013, which allocates projects into Category 1 (requiring an IEE for water supply facilities) and Category 2 (requiring an EIA), based on parameters identified therein.

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specified in this document. The level of detail and complexity of the environmental planning documents and the priority of the identified measures and actions will be commensurate with the project’s impacts and risks. Key considerations include mitigation of potential adverse impacts to the level of “no significant harm to third parties,” the polluter pays principle, the precautionary approach, and adaptive management. 62. If some residual impacts are likely to remain significant after mitigation, the EMP and CEMP will also include appropriate compensatory measures (offset) that aim to ensure that the project does not cause significant net degradation to the environment. Such measures may relate, for instance, to conservation of habitat and biodiversity Monetary compensation in lieu of offset is acceptable in exceptional circumstances, provided that the compensation is used to provide environmental benefits of the same nature and is commensurate with the project’s residual impact. 63. All IEE reports and EMPs will be updated and finalized based on detailed design. The final EMPs, cleared by ADB, will form part of the contract bidding documents. The bid documents will include the requirement to incorporate necessary resources to implement the EMP. The EMP will form part of the contract document, and the Contractor will be required to prepare a site specific EMP (CEMP) based on the scope of works, the contractor’s method statements, staffing schedule and construction period. The Contractor will also develop a site-specific health and safety plan. No works will be permitted to commence unless the respective CEMP has been cleared by the PCU and the PIU.

3. Review of IEE Reports 64. The IEE Report is a document of the borrower. The PCU will be responsible for the review of IEEs and will therefore undertake internal review, with the assistance of the consultants as required. In accordance with the Ministerial Instructions, the IEEs will also be reviewed by DONRE and local administrations and presented to stakeholders at provincial, district and village level for public review. The PCU will be responsible for updating the IEE in response to comments received. If complying with the requirements, the IEEs, included with each Feasibility Study report as well as updated IEEs and EMPs during detailed design, will be sent to the ADB project officer who shall arrange final review and clearance by the ADB environmental specialist. The written endorsement to ADB of the final IEE report by the Borrower will also include concurrence on the disclosure of the document on ADB’s website. 65. The approved and updated EMP shall be included in the bid and contract documents of the subproject. The bid documents will include the requirement to incorporate necessary resources to implement the EMP. 66. During implementation, if unanticipated impacts are encountered, a corrective action plan will be prepared.

4. Environmental Monitoring 67. Environmental monitoring will include: (i) compliance with EMPs during construction and operation to ensure that the required mitigation measures are implemented, (ii) the quality of water in the supply systems are in compliance with the Drinking Water Quality Standards, and (iii) the adequacy of dry season flows in the streams and rivers used as the water source. 68. To ensure that potential environmental problems are detected and addressed appropriately, environmental monitoring will take place during all phases of project

19

implementation. During construction, the key tasks are monitoring the compliance with environmental mitigation measures in the environmental management plan for each subproject, which shall be done by the PIU and construction supervision team. During operation, responsibility for monitoring shall rest with the provincial departments. 69. Construction impacts will be limited by their temporary nature and adherence to the EMPs and CEMP which provide for mitigation. Construction sites for intakes, WTP and transmission main installation will mostly be distant from homes, limiting such effects as noise and dust nuisance. Monitoring for compliance with EMP, CEMPs and seeking community feedback is required. Table 2 presents an indicative environmental management and monitoring plan and performance indicators during the construction and operational phases of a subproject.

Table 2: Environmental Management and Monitoring Plan Environmental

Impact Mitigation Measures Monitoring Budget

Responsible Office

I. PRE-CONSTRUCTION PHASE Impact on land acquisition and community assets

Implement the land acquisition and compensation plan approved by ADB for the subproject Design access roads to minimum necessary width and installation of pipelines within the right-of-way when feasible

External LACP monitoring report

c/o PNP operations

cost

PIU

Impact of location of raw water intake on other water users

River level assessments at the intake on a monthly

basis

c/o PNP operations

cost

PIU, PNP

Impact to natural resources and protected areas

Pre-construction inventory to be carried out prior construction Cutting of trees will be undertaken as per approved design and only upon approval. Avoid cutting of trees as much as possible and minimize damage to native vegetation.

N/A N/A N/A

Impact on historical and archaeological sites

The contractor will ensure that the workforce is briefed that in the event of accidental finds relics they should immediately cease any works in the area and promptly report the find to their supervisor.

Accidental finds c/o PNP operations

cost

PIU, PNP

Impact on occupational health and safety

Unexploded ordinance survey to be carried out prior to any works being permitted to commence

Accidental finds c/o PNP operations

cost

PIU

Contractor prepares site specific environmental management plan (CEMP)

Contractor prepares CEMP that establishes the contractor’s management and compliance requirements with the construction section of the EMP Updated health and safety plan to be included for COVID-19 measures as applicable per national requirements at the time

CEMP prepared and approved

c/o PNP operations

cost

PIU, PNP

II. CONSTRUCTION PHASE

20

Environmental Impact

Mitigation Measures Monitoring Budget Responsible

Office Temporary disruption of existing community roads, pathways, and accesses

To be specified case by case taking into account site specific requirements

Periodic monitoring and reporting by

supervision consultant and

PMC

Report any complaint received

from the community to PIU and document in

safeguard monitoring reports

Included in civil works

cost

PIU, PNP contractor

Air pollution caused by dust and air emissions from earthworks and movement of vehicles




PMC





cost

PIU, PNP contractor

Noise caused by operation of construction equipment


Include EMP and requirement to

prepare CEMP in bid documents and

contract


from the community to PIU


cost

PIU, PNP contractor

Impact of borrow materials such as quarrying and other construction materials

The contractor will be prohibited from quarrying materials directly from sensitive sources construction materials will be procured from government-permitted sources/suppliers only.



PMC





cost

PIU, PNP contractor

Impact on ecological resources

The contractors will prohibit activities such as cutting wood for cooking, hunting, or wildlife trade.



PMC




cost

PIU, PNP contractor

21



Office safeguard

monitoring reports Clearing of vegetation

Cutting of trees will be undertaken as per approved design and only upon approval of relevant authorities.



PMC





cost

PIU, PNP contractor

Water pollution – sediment runoff

Construct silt traps, deviation channels, mounting barriers or trenches around the stockpiles of materials



PMC





cost

PIU, PNP contractor

Water Pollution – worker’s camp

Provide adequate water supply and temporary toilet facilities at the worker’s camp



PMC





cost

PIU, PNP contractor

Water pollution – generation of residual chlorine during pipeline and reservoir disinfection

Follow the recommended dosage of chlorine during the disinfection of pipes and reservoir. Discharge of water with high chlorine concentration to soil at the end of pipelines to be controlled to minimize soil erosion.



PMC





cost

PIU, PNP contractor

Generation of construction waste – generation of excavated soil




PMC


cost

PIU, PNP contractor

22



Office Report any

complaint received from the

community to PIU and document in


Generation of construction wastes – solid, inert, and hazardous Wastes

Provide appropriate segregation bins or areas for construction wastes Secure and control storage of all hazardous materials including fuels Reuse recyclable construction wastes such as wood, steel, and scaffoldings or sell to junk shops Solid waste to be collected and disposed in approved disposal site of the Townships



PMC





cost

PIU, PNP contractor

Community health and safety

Install barricades/barriers and sturdy plate covers in open excavations during non-working time. Install warning signs in the area.


Supervision Consultant and

PMC.



safeguard monitoring reports.


cost

PIU, PNP contractor

Occupational health and safety

Require the contractor to prepare CEMP and implement the construction health and safety plan in accordance with the World Bank EHS Guidelines (http://www.ifc.org/ehsguidelines) as a minimum standard. The contractor will appoint an EHS officer to ensure implementation of the plan. The plan will at minimum include: Provision of first-aid

facilities readily accessible by workers

Provision of PPE such as hard hats, gloves, rubber boots, etc.

Wearing of PPEs while working onsite will be a mandatory requirement for workers

Posting of safety signs/reminders in strategic

Contract documents to

include the EMP and requirement to

prepare CEMP with health and

safety provisions monitoring through

the construction supervisor’s

reports.




cost

PIU, PNP contractor

23



Office areas within the construction area

Installation of sufficient lighting at night

Employ only trained personnel in handling chlorine during the line disinfection process

Ensure that vehicle and equipment operators are properly licensed and trained

Provide staff with communicable disease and HIV-related awareness training

The contractor will be required to provide priority hiring of qualified construction workers from the villages and to consult with the local to avoid conflict if migrant workers will be brought to the site.

COVID-19 risk management in worker camp siting and management

In accordance with the general guidelines recommended by ADB’s Southeast Asia Department based on international good practice, and should be used together with country-specific COVID-19 risk management regulations or directives and ILO (2009) Workers’ housing, Helpdesk Factsheet N.6.






reports Report any

complaint received from the

community to PIU


cost

PIU, PNP contractor

COVID-19 risk management in construction site working conditions

In accordance with the general guidelines recommended by the ADB’s Southeast Asia Department based on international good practice, and should be used together with country-specific COVID-19 risk management regulations or directives and ILO (2009) Workers’ housing, Helpdesk Factsheet N.6.






reports




cost

PIU, PNP contractor

III. OPERATION PHASE Generation of incremental wastewater and

As project policy, water connection will be provided only if the household has an approved sanitation facility to

Monitor the number of

households with latrines and with

Part of PNP

operations cost

PNP

24



Office increased burden on drainage systems

cope with the increased wastewater generated. The public institution shall sign a service and management agreement before construction and have sufficient funds to maintain the facility.

water connections, population served,

and billed water volume.

Monitor that the service and

management agreements are

followed and facilities are

properly maintained

To be

arranged public

institution

Deterioration of water quality

Monitor community activities in the catchment area to check activities at the upstream that may cause contamination of raw water quality. Provide laboratory test equipment and training to allow the PNP to conduct regular monitoring of raw and treated water quality parameters. Follow O&M standard operating procedures in accordance with the water treatment plant manuals. Use of potable grade chemicals, especially PAC, and request a supplier product specification data sheet signed off by a reputable external laboratory.

Monitor the following

parameters:

Daily at the inlet to the treatment plant:

turbidity, pH

Daily after the reservoir: pH,

turbidity, residual chlorine,

temperature

Weekly at several locations in the

network: residual chlorine, pH,

turbidity

Annually after Clearwater tank: chloride (Cl), iron (Fe), lead (Pb),

manganese (Mn), mercury (Hg), sodium (Na),

sulfate ion, zinc (Zn), conductivity, total hardness as

CaCO3

Part of PNP

operations cost

PNP

Disposal of backwash water and sediments from WTP

Filter backwash water and periodic discharges from the sedimentation tanks will be collected to a detention pond to separate the concentrated waste sludge or sediments. Land application of wastes with high dissolved solids concentrations from the detention pond is preferred over discharge to a landfill.

Check condition of detention ponds;

report frequency/schedule of backwashing

Part of PNP

operations cost

PNP

Occupational health and safety

Provide secure, dry and well-ventilated storage facilities for chlorine and other hazardous chemicals

Training undertaken for staff

on chemicals handling and

Part of PNP

operations cost

PNP

25



Office Use chlorine compounds in powder form Training of staff and allocation of responsibility to ensure that materials are properly handled

monitoring and reporting of

incidents

Generation of sludge from detention ponds

The sludge that will be generated from the detention ponds will be dredged and disposed as backfill material in low-lying areas to be identified by the village leaders. No land application of the generated sludge without the required approval by the village authorities.

Quarterly check on the volume of sludge in the

detention ponds.

Part of PNP

operations cost

PNP

Community health and safety

Facilities (intake, WTP and laboratory, office, and reservoir) properly fenced and secured and watchmen/security personnel to be employed on a 24-hour basis

Daily log of security personnel

Part of PNP

operations cost

PNP

ADB = Asian Development Bank, CEMP = contractor environmental management plan, COVID-19 = coronavirus disease, EHS = environment, health, and safety, EMP = environmental management plan, ILO = International Labor Organization, LACP = land acquisition and compensation plan, N/A = not applicable, O&M = operation and maintenance, PAC = polyaluminum chloride , PCU = project coordination unit, PIU = project implementation unit, PMC = project management consultants, PNP = provincial nam papa (provincial water utility), PPE = personal protection equipment, WTP = water treatment plant.

70. The monitoring of water quality within the water supply system, while of environmental relevance, is required in any case for the design, construction and operation of the water supply system. Raw water sources are initially tested for hardness, turbidity, pH, total suspended solids and alkalinity (a measure of the presence of cations such as calcium, magnesium ions and carbonate ions, as opposed to pH) during the wet and dry season at the feasibility and design phases. These are required to design the water treatment process and the plant itself. Additional specialized tests (e.g. for pesticides) may be undertaken for the raw water source as required by project consultant, PNP or district government based on: (i) assessment of point and non-point sources of pollution in the catchment, catchment characteristics, proposed or potential development in catchment; (ii) local knowledge of raw water quality, and; (iii) type of treatment proposed. 71. Prior to commissioning of the water treatment plant, the PNP with assistance of DWS and the project consultant will prepare a water quality monitoring plan which will be implemented following plant commissioning. Testing of treated water quality at the water treatment plant is also undertaken at the time of commissioning by the Contractor to demonstrate the performance of the completed water treatment plant. 72. Following commissioning, water quality is regularly tested by the PNP to determine correct levels of chemical dosing in the water treatment process, to ensure the quality of treated water supplied to customers, to monitor the effectiveness of treatment and to monitor compliance with appropriate water quality standards. Results from water quality monitoring will be included in environmental monitoring reports during subproject implementation, but the cost of this monitoring is either a design, construction or operation cost and not part of the environmental assessment and management budget.

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5. Environmental Reporting 73. The findings from all monitoring activities will be summarized and included in periodic project progress reports. Table 3 summarizes the EMP reporting.

Table 3: EMP Reporting Plan Type of Report Basic Content Prepared By Submitted To Frequency

PRE-CONSTRUCTION PHASE

IEE Report IEE and EMP report PCU, DWS

MPWT, ADB

Part of FS report

CONSTRUCTION PHASE

Construction Progress Report

Progress of construction, including EMP/CEMP monitoring results, complaints received, and actions taken

Contractor PCU and copy

furnished to PIU Monthly

Subproject Progress Report

Progress of construction, EMP/CEMP implementation, complaints received, and actions taken

PIU PCU,

District Governor, PPSC

Quarterly

Progress Report

Progress of construction, safeguards (EMP/CEMP and LACP) implementation, complaints received, and actions taken

PCU, DWS

MPWT, MONRE, and other national agencies

ADB

Quarterly

Semi-annual Environmental Monitoring Report

Project progress report including EMP/CEMP implementation and compliance with ADB’s policies and regulations including GRMs recorded.

PCU, DWS

MPWT, ADB

Semi-annual until PCR

OPERATIONAL PHASE

Progress Report

Subproject progress report including EMP implementation and monitoring

PNP PCU Semi-annual

until PC

Semi-annual Environmental Monitoring Report

Project progress report including EMP implementation and compliance with ADB’s policies and regulations

PCU, DWS

MPWT, ADB

Semi-annual until PCR

ADB = Asian Development Bank, CEMP = contractor environmental management plan, EMP = environmental management plan, fs = feasibility study, GRM = grievance redress mechanism, IEE = initial environmental examination, LACP = land acquisition and compensation plan, MONRE = Ministry of Natural Resources and Environment, MPWT = Ministry of Public Works and Transport, PCR = project completion report, PCU = project coordination unit, PIU = project implementation unit, PPSC = provincial project steering committee.

74. Pre-construction Phase. The EMP monitoring during the pre-construction phase of the subproject will be undertaken by the PMC. Semi-annual Environmental Monitoring Reports

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(SEMR) will be prepared by the PCU with support of the PMC and submitted to ADB for review and disclosed on the ADB project website. Appendix C includes the Semi-annual Environmental Monitoring Report Template. 75. Construction Phase. Throughout the construction period, the contractor will submit monthly environmental compliance progress reports to the PNP, copy furnished to the PIU. The contractor should be able to highlight the summary of the progress of construction, activities undertaken within the reporting period to implement the measures outlined in the EMP/EMP, record any community complaints received and how the complaint was resolved. The PIU will consolidate the results of the monthly environmental monitoring through a quarterly progress report that will be submitted to the PCU. The quarterly report will summarize the significant findings and measures undertaken to address any adverse environmental impacts during construction and present any unforeseen environmental impacts and suggested remedial actions for the next monitoring period. Copies of the quarterly progress report prepared by the PIU will be given to the members of the Provincial Project Steering Committee and the District Governor. PCU will consolidate information from quarterly progress reports, compile and submit semi-annual environmental monitoring report to ADB. Once the reports are received by the PCU, these will be reviewed relative to subproject compliance with the indicators defined in the EMP/CEMP. The PCU will submit the quarterly reports to the Department of Water Supply and Sanitation of MPWT and other national agencies (MONRE, MOF, MOPC, etc.), and to ADB. The PCU will also prepare the quarterly Project Progress Reports including the main points of safeguards monitoring reports in English to be submitted to ADB. 76. Operational Phase. The EMP monitoring during the operational phase will be undertaken by the PNP. Semi-annual reports will be submitted by the PIU to the PCU. The PCU will review the report and check the project’s adherence to the EMP and then submit the semi-annual environmental monitoring reports to ADB until the Project Completion Report (PCR) is prepared. The monitoring parameters during the operational phase, as outlined in the EMP, include summary of monitoring of water quality at the inlet of the WTP and of treated water. Appendix E provides a Matrix for reporting of the Water Quality Monitoring Results.

V. CONSULTATION, INFORMATION, AND DISCLOSURE

77. As required by the SPS 2009 and the Lao PDR EPL, 1999 as amended in 2013 and as stipulated in Decree on Environmental Assessment, No.21/PM, January 2019, meaningful public consultations need to be undertaken during the preparation of the environmental safeguards documents (IEEs and EMPs), after finalization of the said environmental safeguards documents (IEEs and EMPs), before the commencement of any civil works and during the respective construction phases, and throughout project implementation in general. A. Public Consultations and Disclosure During Subproject Preparation 78. Public Consultations will be conducted with the stakeholders in the identified affected communities at least once during the preparation of the Initial Environmental Examination (IEE). After the IEE has been submitted to DONRE, another Public Consultation may be required by DONRE to be undertaken again with the stakeholders in the identified affected communities. After the IEE has been approved by ADB and the requisite Environmental Compliance Certificate (ECC) has been issued by DONRE, another Public Consultation will be conducted with the stakeholders in the identified affected communities.

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79. During IEE, meetings with stakeholders from the target villages for the subproject will take place to inform them of the proposed subproject and the possible environmental and social impacts, and to collect opinions from people who may be affected by the project. At this stage, the following agenda should be used to ensure that there is adequate exchange of information and opinion:

a) A summary of the proposed works under the subproject; b) A summary of subproject objectives and likely positive and negative environmental,

public health impacts, covering the construction and operational phases; c) Invitation for feedback in respect of any areas of concern that the public may have, and

suggested means of implementation; d) Identification of suitable sites for project facilities, accounting for flood risk and

potential presence of important habitats; e) Disclosure of and feedback on the Grievance Redress Mechanism; f) Acceptability of the proposed works to the public; and g) Request for information on the known occurrence of unexploded ordinance in the area

where the scheme components will be built. 80. For the consultations, the dates, attendees, topics covered, and conclusions should be recorded and included with the IEE or FS report. These are to take the form of meetings, at which the findings of the IEE or FS will be presented in addition to key background information. Comments are recorded and the IEE or FS updated accordingly. 81. Once the IEE is completed, a summary should be prepared in the Lao PDR. The IEE and Lao language summary should be distributed to the district authorities for their information and for display to the public for a period of thirty days. 82. All IEEs, EMPs and Safeguards monitoring reports must be submitted and disclosed on ADB website. The executing agency will send written endorsements to ADB for disclosing these documents on ADB’s website. The EA/IA will also provide relevant safeguards information in a timely manner, in an accessible place and in a form and language(s) understandable to affected people and other stakeholders. B. Public Consultation During Construction and Operation 83. During construction and operation, the project developer, together with the appointed contractor is obliged to inform affected people and other stakeholders of project activities which are likely to create environmental and social impacts, and to allow them to access general information about the subproject. In addition, should people affected by the project have any grievances, they have the right of lodging complaints through a grievance redress process established for the subproject.

VI. GRIEVANCE REDRESS MECHANISM 84. The Prime Minister Decree No 84 (2016) known as the Decree on Compensation and Resettlement Management in Development Projects requires the subproject to establish an effective mechanism for grievance resolution. The government’s legal requirements for this mechanism are further described in Part VI of the Decree’s implementing regulations. 85. The loan covenants stipulate the GRM requirements of the ADB for the project. The

29

mechanism to address any grievances on environmental issues is the same as that designed to address grievances related to land acquisition and compensation. The objective of the grievance redress mechanism is to resolve complaints as quickly as possible at the local level through a process of conciliation, and if that is not possible, to provide clear and transparent procedures for appeal. All affected persons will be made fully aware of their rights, and the detailed grievance redress procedures will be publicized through an effective public information campaign. An aggrieved affected person (AP) or affected household (AH) will be free from any fees in connection with the lodging and resolution of complaints, as the costs will be borne by the Executing Agency and the appointed contractors. A. Type of Grievances 86. Complainants are entitled to lodge complaints regarding any aspect of the project. Any affected person will be able to submit a grievance if they believe a practice is having a detrimental impact on the community, the environment, or on their quality of life. Eligible grievances or complaints include:

a) Negative impacts on a person or a community (e.g. financial loss such as from loss of water, loss of roadside trees, health and safety issues, nuisances, etc.).

b) Dangers to health and safety or pollution of the environment. c) Hazards due to construction activities (e.g. noise, dust, disruption of access, etc.) d) Impacts on social infrastructure. e) Failure to comply with standards or legal obligations. f) Improper conduct or unethical behavior of contractor leading to nuisance of

affected person(s). g) Misuse of funds and other irregularities. h) Grievances due to land acquisition, resettlement, compensation, relocation and

unaddressed losses. i) Complaints related to gender issues.

B. Grievance Resolution Process 87. Complaints can be made verbally or in written form. It is recognized that in many cases, complainants do not have the writing skills or ability to express their grievances verbally, however, complainants are encouraged to seek assistance from family members or village heads, to have their grievances recorded in writing and to ensure that where disputes do occur, and all the details have been recorded accurately enabling all parties to be treated fairly. In the case of verbal complaints, a written record of the complaint will be made during the first meeting with the complainant. Complainants who present their complaints within the prescribed procedures will be exempt from all administrative fees incurred. In addition, complainants who lodge complaints and appeals to district courts will be provided with free legal representation. C. Arbitration Committees 88. The subproject’s GRM will rely on the existing village arbitration units that have already been established in the villages. The village arbitration units generally consists of the village chief, deputy chief, village secretary, and village representative of the Lao Women’s Union, Lao Front for National Construction, village elders, youth, and village land taxation unit. The arbitration unit is responsible for settling disputes between villagers through conciliation and negotiation. In the absence of these units, the members of the village committee (if formed) or the village leaders will act as grievance officers.

30

89. Project entry points to the GRM will also be identified and displayed. The contact details of the PIU, GRM Focal Contact Persons and Construction Manager will be prominently displayed in the respective construction areas for the reference of the affected communities/persons. Complaints and grievances can be directly filed, both written and verbal, to the concerned entities. This will provide alternative entry points to the village complaint system. 90. The affected households (AHs) may present their complaints to the concerned local administrative officials and resettlement committees. The complaint can be filed first at the village level and can be elevated to the highest or provincial level if the affected persons (APs) are not satisfied with the decisions made by the arbitration unit at village level. 91. At the district and provincial levels, the district and provincial resettlement committees will act on grievances or complaints that have not been resolved at the village level. The District Resettlement Committee (DRC) are composed of the Vice District Governor, Director of the DPWT, and representatives of the District Natural Resources and Environment Office, health office, police office, education office, Lao Women’s Union, Lao Front for National Construction, and youth office. A representative of the PIU of the subproject is a member of the district resettlement committee. 92. The Provincial Resettlement Committee (PRC) is headed by the Vice Provincial Governor and is composed of representatives of provincial departments such as the DPWT, DONRE, health department, police department, and education department, Lao Women’s Union, Lao Front for National Construction, and provincial youth department. The representatives of the PIU and the PNP are members of the PRC. D. Grievance Redress Procedures 93. All complaints and resolutions will be properly documented by the concerned committee and be available for public review and for monitoring purposes. As a general policy, the PNP and PIU will work proactively toward preventing grievances through the implementation of impact mitigation measures and community liaison activities that anticipate and address potential issues before they become grievances. Nonetheless, during construction and operation it is possible that unanticipated impacts may occur if the mitigation measures are not properly implemented, or unforeseen issues occur. The procedures for the grievance resolution process are detailed in Table 5.

Table 5: Grievance Redress Procedures No. Stages

1

• Stage 1 (Village – Subproject Area). In the first instance, complainants will raise complaints or grievances to the village arbitration unit or other designated village grievance officers. The unit will organize a meeting with the complainants to resolve the issue using its traditional methods of conciliation and negotiation. The meeting will be held in a public place and will be open to other members of the community to ensure transparency. The meeting aims at clarifications and amicable solution with the complainant. This mediation aims at a village internal immediate solution agreed with the subproject. If the complaint cannot be solved at this stage, the next step will apply.

2

• Stage 2 (District Implementing Level). If within 5 days of lodging the complaint and no understanding or amicable solution can be reached or no response is received from the arbitration unit, the complainant can bring the complaint to the DRC or other district level arbitration unit. The arbitration unit will meet with the complainant to discuss the complaint and provide a decision within 10 days of receiving the appeal.

31

3

• Stage 3 (Provincial Implementing Level). If the complainant is not satisfied with the decision of the DRC/arbitration unit or in the absence of any response, the complainant can appeal to the PRC with contribution of authorities and village representative/s. The PRC will meet the complainant to clarify the complaint and will inform the complainant about its decision aiming to solve the complaint. The PPSC will provide a decision on the complaint within 10 days.

4

• Stage 4 (Ministerial Project Executive Level). If the AP is still not satisfied with the decision of the PRC, or in the absence of any response within the stipulated time, the complainant can submit his/her grievance to DWS. The DWS acting on behalf of the MPWT will render within 10 days of receiving the appeal.

5

• Stage 5 (Country Level). As a last resort, the complainant may submit his/her case to the Court of Law. The complaint will be lodged with the Court of Law. The Court will take note and register the case and will provide the final juristic decision. The DWS will be responsible for forwarding the complaint and ensuring its process in the courts.

AP = affected person, DRC = district resettlement committee, DWS = Department of Water Supply, MPWT = Ministry of Public Works and Transport, PPSC = provincial project steering committee, PRC = provincial resettlement committee.

94. Normally complaints related to construction and environmental issues are resolved at the village level wherein the conciliation and negotiation are promptly attended to by the PIU and contractors. Complaints related to resettlement and land disputes are normally elevated to the district and provincial levels, and at times to the Court. At each stage of the grievance redress process, written records will be maintained. The IAs have the responsibility to ensure that the filing of complaints are prepared and forwarded to the DRC documenting the following: (i) complaints received; (ii) names and other pertinent information about complainants; (iii) dates of the original complaint, meetings and any other actions; and (iv) outcomes and/or resolution. The DRC, PRC, and DWS (or PCU acting for DWSP) will each maintain similar records for appeals that are submitted to them. The records of grievances will be included in semi-annual environmental monitoring reporting on the subproject. 95. If efforts to resolve complaints or disputes remain unresolved and unsatisfactory following the government GRM, the affected persons/households have the right to send their concerns or problems directly to ADB’s Operations Department, i.e., Urban and Water Division, Southeast Asia Department (SERD) or through ADB Lao PDR Resident Mission. If the AP is still not satisfied with the responses of SERD, he/she can directly contact the ADB's Office of the Special Project Facilitator (OSPF) as outlined in the "Information Guide to the Consultation Phase of the ADB Accountability Mechanism". The Information Guide can be downloaded through this link: https://www.adb.org/documents/information-guide-consultation-phase-adb-accountability- mechanism. Those who want to make a complaint with the ADB can refer to the sample letter of complaint adapted from the Information Guide as shown in Appendix F. 96. Semi-annual environmental monitoring reports will include the following aspects pertaining to progress on grievances: (a) number of cases registered with the Grievance Redress Committee (GRC), level of jurisdiction (first, second, and third tiers), number of hearings held, decisions made, and the status of pending cases; and (b) lists of cases in process and already decided upon may be prepared with details such as name, ID with unique serial number, date of notice, date of application, date of hearing, decisions, remarks, actions taken to resolve issues, and status of grievance (i.e. open, closed, pending). An outline of the Semi-annual Environmental Monitoring Report is attached in Appendix C.

https://www.adb.org/documents/information-guide-consultation-phase-adb-accountability-mechanism



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VII. SUPPORT FOR EARF IMPLEMENTATION 97. The PMC will provide support to PCU and PIU focal person during the preparation of IEE and EMP. The PCU and PIU’s environmental focal person will participate in the preparation of REA, public consultations and meetings with DONRE during the presentation of the IEE to the local authorities. The environmental specialists of the PMC will continue providing support to the PCU, PIU and the PMC’s construction supervisor in implementation and monitoring of the EMP/CEMP. The PMC will provide orientation training on EMP/CEMP implementation and reporting to PIU and contractor. The construction supervisor will support the contractor in preparation of monthly and quarterly progress reports. 98. The PMC team will comprise of an International Environment Specialist, who will be required to provide intermittent support in IEE preparation and monitoring support, and a National Environment Expert who will provide direct support to Provincial Implementation Units (PIUs) in IEE preparation monitoring and reporting. These specialists will be required for 17 months and 26 months respectively. Table 6 below provides the estimated staffing requirements for EARF implementation. All positions will be funded by the project and included in the costings.

Table 6: Indicative Cost Estimate and Budget for Environmental Safeguards Expertise

ITEM UNIT COST

(US$) QUANTITY

TOTAL COST (US$)

Key Staff • International Environment Specialist 20,000 17 340,000

• National Environment Specialist 3,300 26 85,800 Total 425,800,00

Appendix A 33

Appendix A: Rapid Environmental Assessment Checklist for Water Supply Projects

34 Appendix A

RAPID ENVIRONMENTAL ASSESSMENT (REA) CHECKLIST

Country/Project

Title: Sector

Division:

Screening Questions Yes No Remarks

A. Project Siting

Is the project area…

▪ Densely populated? ▪ Heavy with development activities? ▪ Adjacent to or within any environmentally sensitive areas?

• Cultural heritage site • Protected Area • Wetland • Mangrove • Estuarine • Buffer zone of protected area • Special area for protecting biodiversity • Bay

B. Potential Environmental Impacts

Will the Project cause…

▪ pollution of raw water supply from upstream wastewater discharge from communities, industries, agriculture, and soil erosion runoff?

▪ impairment of historical/cultural monuments/areas and loss/damage to these sites?

▪ hazard of land subsidence caused by excessive ground water pumping?

▪ social conflicts arising from displacement of communities? ▪ conflicts in abstraction of raw water for water supply with other

beneficial water uses for surface and ground waters?

▪ unsatisfactory raw water supply (e.g. excessive pathogens or mineral constituents)?

▪ delivery of unsafe water to distribution system?

Instructions: (i) The project team completes this checklist to support the environmental classification of a project. It is to be attached to the environmental categorization form and submitted to the Environment and Safeguards Division (RSES) for endorsement by the Director, RSES and for approval by the Chief Compliance Officer.

(ii) This checklist focuses on environmental issues and concerns. To ensure that social dimensions are adequately considered, refer also to ADB's (a) checklists on involuntary resettlement and Indigenous Peoples; (b) poverty reduction handbook; (c) staff guide to consultation and participation; and (d) gender checklists.

(iii) Answer the questions assuming the “without mitigation” case. The purpose is to identify potential impacts. Use the “remarks” section to discuss any anticipated mitigation measures.

Appendix A 35


▪ inadequate protection of intake works or wells, leading to pollution of water supply?

▪ over pumping of ground water, leading to salinization and ground subsidence?

▪ excessive algal growth in storage reservoir? ▪ increase in production of sewage beyond capabilities of

community facilities?

▪ inadequate disposal of sludge from water treatment plants? ▪ inadequate buffer zone around pumping and treatment plants

to alleviate noise and other possible nuisances and protect facilities?

▪ impairments associated with transmission lines and access roads?

▪ health hazards arising from inadequate design of facilities for receiving, storing, and handling of chlorine and other hazardous chemicals?

▪ health and safety hazards to workers from handling and management of chlorine used for disinfection, other contaminants, and biological and physical hazards during project construction and operation?

▪ dislocation or involuntary resettlement of people? ▪ disproportionate impacts on the poor, women and children,

Indigenous Peoples or other vulnerable groups?

▪ noise and dust from construction activities? ▪ increased road traffic due to interference of construction

activities?

▪ continuing soil erosion/silt runoff from construction operations?

▪ delivery of unsafe water due to poor O&M treatment processes (especially mud accumulations in filters) and inadequate chlorination due to lack of adequate monitoring of chlorine residuals in distribution systems?

▪ delivery of water to distribution system, which is corrosive due to inadequate attention to feeding of corrective chemicals?

▪ accidental leakage of chlorine gas? ▪ excessive abstraction of water affecting downstream water

users?

▪ competing uses of water? ▪ increased sewage flow due to increased water supply? ▪ increased volume of sullage (wastewater from cooking and

washing) and sludge from wastewater treatment plant?

▪ large population influx during project construction and operation that causes increased burden on social infrastructure and services (such as water supply and sanitation systems)?

▪ social conflicts if workers from other regions or countries are hired?

▪ risks to community health and safety due to the transport, storage, and use and/or disposal of materials such as explosives, fuel and other chemicals during operation and construction?

▪ community safety risks due to both accidental and natural hazards, especially where the structural elements or components of the project are accessible to members of the affected community or where their failure could result in injury to the community throughout project construction, operation and decommissioning?

36 Appendix A

Checklist for Preliminary Climate Risk Screening

Screening Questions Score Remarks7

Location and

Design of project

Is siting and/or routing of the project (or its components) likely to be affected by climate conditions including extreme weather-related events such as floods, droughts, storms, landslides?

Would the project design (e.g. the clearance for bridges) need to consider any hydro-meteorological parameters (e.g., sea-level, peak river flow, reliable water level, peak wind speed etc.)?

Materials and

Maintenance

Would weather, current and likely future climate conditions (e.g. prevailing humidity level, temperature contrast between hot summer days and cold winter days, exposure to wind and humidity hydro-meteorological parameters likely affect the selection of project inputs over the life of project outputs (e.g. construction material)?

Would weather, current and likely future climate conditions, and related extreme events likely affect the maintenance (scheduling and cost) of project output(s) ?

Performance of

project outputs

Would weather/climate conditions, and related extreme events likely affect the performance (e.g. annual power production) of project output(s) (e.g. hydro-power generation facilities) throughout their design lifetime?

Options for answers and corresponding score are provided below:

Response Score

Not Likely 0

Likely 1

Very Likely 2

Responses when added that provide a score of 0 will be considered low risk project. If adding all responses will result to a score of 1-4 and that no score of 2 was given to any single response, the project will be assigned a medium risk category. A total score of 5 or more (which include providing a score of 1 in all responses) or a 2 in any single response, will be categorized as high risk project.

Result of Initial Screening (Low, Medium, High):

Other Comments:

Prepared by:

7 If possible, provide details on the sensitivity of project components to climate conditions, such as how climate parameters are

considered in design standards for infrastructure components, how changes in key climate parameters and sea level might affect the siting/routing of project, the selection of construction material and/or scheduling, performances and/or the maintenance cost/scheduling of project outputs.

Country/Project Title:

Sector:

Subsector:

Division/Department:

Appendix B 37

Appendix B: Outline of an IEE Report

38 Appendix B

Outline of an ADB IEE Report

The generic table of contents of an ADB IEE report is provided below (Annex 1 to Appendix 1 of ADB SPS, page 41-43).

The difference between the EIA and IEE is the scope of the assessment. The order of dominance of the different sections may vary slightly depending on the assessment context. For this project, no subprojects of classification A, warranting and EIA, will be permitted, only classification B that warrant an IEE. A. Executive Summary

This section describes concisely the critical facts, significant findings, and recommended actions. B. Policy, Legal, and Administrative Framework

This section discusses the national and local legal and institutional framework within which the environmental assessment is conducted. It also identifies project-relevant international environmental agreements to which the country is a party. C. Description of the Project

This section describes the proposed project; its major components; and its geographic, ecological, social, and temporal context, including any associated facility required by and for the project (for example, access roads, power plants, water supply, quarries and borrow pits, and spoil disposal). It normally includes drawings and maps showing the project’s layout and components, the project site, and the project’s area of influence. D. Description of the Environment (Baseline Data)

This section describes relevant physical, biological, and socio-economic conditions within the study area. It also looks at current and proposed development activities within the project’s area of influence, including those not directly connected to the project. It indicates the accuracy, reliability, and sources of the data. E. Anticipated Environmental Impacts and Mitigation Measures

This section predicts and assesses the project’s likely positive and negative direct and indirect impacts to physical, biological, socio-economic (including occupational health and safety, community health and safety, vulnerable groups, and gender issues, and impacts on livelihoods through environmental media (Appendix 2, para. 6), and physical cultural resources in the project’s area of influence in quantitative terms to the extent possible; identifies mitigation measures and any residual negative impacts that cannot be mitigated; explores opportunities for enhancement; identifies and estimates the extent and quality of available data, key data gaps, and uncertainties associated with predictions and specifies topics that do not require further attention; and examines global, transboundary, and cumulative impacts as appropriate.

Appendix B 39

F. Analysis of Alternatives This section examines alternatives to the proposed project site, technology, design, and

operation – including the no project alternative – in terms of their potential environmental impacts; the feasibility of mitigating these impacts; their capital and recurrent costs; their suitability under local conditions; and their institutional, training, and monitoring requirements. It also states the basis for selecting the particular project design proposed and, justifies recommended emission levels and approaches to pollution prevention and abatement. G. Information Disclosure, Consultation, and Participation

This section:

(i) describes the process undertaken during project design and preparation for engaging stakeholders, including information disclosure and consultation with affected people and other stakeholders;

(ii) summarizes comments and concerns received from affected people and other stakeholders and how these comments have been addressed in project design and mitigation measures, with special attention paid to the needs and concerns of vulnerable groups, including women, the poor, and Indigenous Peoples; and

(iii) describes the planned information disclosure measures (including the type of information to be disseminated and the method of dissemination) and the process of carrying out consultation with affected people and facilitating their participation during project implementation.

H. Grievance Redress Mechanism

This section describes the grievance redress framework (both informal and formal channels), setting out the time frame and mechanisms for resolving complaints about environmental performance. I. Environmental Management Plan

This section deals with the set of mitigation and management measures to be taken during project implementation to avoid, reduce, mitigate, or compensate for adverse environmental impacts (in that order of priority). It may include multiple management plans and actions. It includes the following key components (with the level of detail commensurate with the project’s impacts and risks):

(i) Mitigation:

a. identifies and summarizes anticipated significant adverse environmental impacts and risks;

b. describes each mitigation measure with technical details, including the type of impact to which it relates and the conditions under which it is required (for instance, continuously or in the event of contingencies), together with designs, equipment descriptions, and operating procedures, as appropriate; and

c. provides links to any other mitigation plans (for example, for involuntary resettlement, Indigenous Peoples, or emergency response) required for the project.

40 Appendix B

(ii) Monitoring: a. describes monitoring measures with technical details, including parameters to be

measured, methods to be used, sampling locations, frequency of measurements, detection limits, and definition of thresholds that will signal the need for corrective actions; and

b. describes monitoring and reporting procedures to ensure early detection of conditions that necessitate particular mitigation measures and document the progress and results of mitigation.

(iii) Implementation arrangements: a. specifies the implementation schedule showing phasing and coordination with

overall project implementation; b. describes institutional or organization arrangements, namely, who is responsible

for carrying out the mitigation and monitoring measures, which may include one or more of the following additional topics to strengthen environmental management capability; technical assistance programs, training programs, procurement of equipment and supplies related to environmental management and monitoring, and organizational changes; and

c. estimates capital and recurrent costs and describes sources of funds for implementing the environmental management plan.

(iv) Performance indicators: describes the desired outcomes as measurable events to

the extent possible, such as performance indicators, targets, or acceptance criteria that can be tracked over defined time periods.

J. Conclusion and Recommendation

This section provides the conclusions drawn from the assessment and provides recommendations.

Appendix C 41

Appendix C: Semi-Annual Environmental Monitoring Report Template

42 Appendix C

Semi-Annual Environmental Monitoring Report

LAO: Water Supply Sector Project

Reporting Period: [date covered by this report]

Date: [date of issue of this report]

SEMR Report Number: [1, 2 or 3 ... – depending on how many SEMRs issued before]

Ministry of Public Works and Transport

Contents

I. ENVIRONMENTAL SAFEGUARDS SUMMARY 1

A. Summary of Project Progress 1 B. Summary of EMP Implementation 2 C. Summary of EMP Monitoring 2 D. Summary of Complaints, Issues and Corrective Action 2

II. SAFEGUARDS STAFF, TRAINING, AND DOCUMENTATION 2

A. Implementation Arrangements 2 B. Training and Capacity Building 3 C. ADB Approvals 4 D. National Approvals 4 E. Construction Environmental Management Plan (CEMP) Approvals 5

III. EMP IMPLEMENTATION 5

A. Environmental Performance 5 B. Health and Safety Performance 7

IV. EMP MONITORING 8

A. Environmental Quality Monitoring 8 B. Construction Phase Affected People Consultation 9

V. COMPLAINTS, ISSUES, AND CORRECTIVE ACTIONS 9

A. Information Disclosure 9 B. Grievance Redress Mechanism 10 C. Corrective Action 11

VI. CONCLUSION AND RECOMMENDATION 11

APPENDIXES Appendix 1: Environmental Quality Monitoring Results 12 Appendix 2: Photo Record – Visits, Monitoring, Consultation 13

List of Tables Table 1: Project Progress Summary 1 Table 2: Status of Environmental Safeguard Roles 3 Table 3: Environmental Safeguards Training Provided and Planned 3 Table 4: Status of Environmental Safeguard Documents 4 Table 5: Status of National Approvals for Environmental Documents 4 Table 6: Status of CEMP Approvals 5 Table 7: Summary of Status of EMP Compliance – ALL subprojects] 6 Table 8: EMP– Actions Needed and Resolutions for Compliance [subproject] 6 Table 9: Status of Health and Safety Compliance - ALL subprojects 7 Table 10: Status of Health and Safety Actions Needed for Compliance - ALL subprojects 8 Table 11: EMP Environmental Quality Monitoring Requirements 8 Table 12: EMP Environmental Quality Monitoring implemented 8 Table 13: Construction Phase Affected People Consultation 9 Table 14: Information Disclosure 10 Table 15: Project Complaints or Issues 10 Table 16: Project Complaints or Issues – Not resolved from previous reports 10 Table 17: Corrective Action Issued 11

List of Figures

No table of figures entries found.

Notes on this template: [Advice: text in red} - this gives the PMU help on what information to add into the sections of the report. Delete the red text when the report is complete.

[text in yellow] - delete this text and add the relevant answer. Delete the text in yellow when the answers are completed.

VIII. ENVIRONMENTAL SAFEGUARDS SUMMARY [Advice: Complete this summary under each heading. This summary can be copied directly into the main report to support with the Main Report preparation] 1. The [1st,2nd, 3rd etc] Semi-annual Environment Monitoring Report (SEMR) covers the period of [start month – end month and year] for [Project Name]. The SEMR has been prepared to fulfil the safeguard policy requirement of ADB.

2. The SEMR is prepared by [name of organisation and function e.g External Monitoring Consultant or Support Consultant] and checked by [PMU or Ministry].

A. Summary of Project Progress [Advice: Complete the summary table below. Section 2 gives more detail Project Progress] 3. The following table gives a brief summary of the project progress for contract award, construction and key activities in this reporting period:

Table 1: Project Progress Summary

Safeguards Category Environment B

Reporting Period: [Months/ Year] Date Last Report Issued: [Month/ Year]

Contracts Awarded to Date:

[Advice: For each Civil Works Contract to be awarded, give progress to date] CW1 [contractor name, award date, subproject] CW2 [contractor name, award date, subproject]

Construction Progress to Date:

[Advice: For each Civil Works Contract to be awarded, at END of Reporting Period] As of [Month/Year of this reporting period] the physical construction progress is as follows: CW1 [x %] construction completed CW2 [x %] construction completed

Key Sub-project Activities in this Reporting Period:

[Advice: For each Civil Works (CW) Contract, write the key activities that have taken place on construction sites during the 6 months covered in this report] Construction Activities CW1 [e.g. ground clearance and preparation, excavation of site] CW2 [e.g. ground clearance and preparation, excavation of site] [Advice: Include any consents or permissions in this section such as UXO clearance, EIA Approval, Waste disposal permission – include any issued during the 6 months covered in this report]

Permits or Consents Issued: Permit / Consent for [activity] issued by [Authority] on [date]

2

B. Summary of EMP Implementation [Advice: This section gives a high level summary of how the progress on implementing the EMP and the mitigation measures is progressing, in this reporting period. Consider any main issues – the detail will be in the EMP Implementation section of the main report] 4. EMP implementation is summarised in the following points, for this reporting period:

• [mitigation measures in use] • [overall progress and performance of contractors] • [other issues affecting project environmental performance?]

C. Summary of EMP Monitoring

[Advice: This section gives a high level summary of how the EMP has been monitored in this reporting period. This includes site visits by PIU, PMU, Construction Supervision Contractor, Independent Monitoring Organisation. The EMP will say who should be monitoring and when. Detail will be in the EMP Monitoring section of the main report] 5. EMP monitoring is summarised in the following points, for this reporting period:

• Number of Monitoring Visits to Construction Site and wider area: o [Number of] visits by PMU/PIU o [Number of] visits by [others e.g. Independent Monitoring Organisation, MoE, CSC]

• Number of Environmental Samples Tested: o [Number of] water quality samples tested o [Number of] air quality samples tested o [Number of] water quality samples tested

D. Summary of Complaints, Issues and Corrective Action

[Advice: This section informs the Project and ADB of any potential problems that have been addressed or need to be addressed. It can include formal complaints through project Grievance Redress Mechanism. This is main issues only – the detail will be in the Corrective Actions/GRM part of the main report] 6. Any complaints, issues and corrective action that has been identified or implement is summarised in the following points, for this reporting period:

• Issues Raised: [issues on construction sites e.g. dust, noise, traffic] • Grievances Raised with GRM: [Number of] grievances • Corrective Action issued by project to Contractor:

o [problem that needed corrective action] o problem that needed corrective action]

IX. SAFEGUARDS STAFF, TRAINING, AND DOCUMENTATION A. Implementation Arrangements [Advice: This section confirms if all roles have staff allocated, or if there are more people to recruit. It confirms if there are resources available for the project for Environmental Safeguards. If resources are not available e.g. cannot find the skills, or people have no time, say so here]

3

7. The EMP defines the Environmental Safeguards roles and responsibilities. The roles are required to be filled in order to meet the EMP requirements. The following table gives the status of the key roles for EMP implementation:

Table 2: Status of Environmental Safeguard Roles

Safeguards Role Status & Comment

[see EMP for list of roles required e.g. Project Consultant Environmental Specialist]

Date Started:

[date] Full Time/ Part Time

[FT/PT]

Comment [Person Identified? Problems identifying person? No time available?]

[e.g. PMU- Environmental Control Officer (ECO)]

Date Started:


[FT/PT]


[e.g. PIU Environmental And Social Safeguards Staff ]

Date Started:


[FT/PT]


[e.g. PIU GRM Focal Point ]

Date Started:


[FT/PT]


[e.g. CSC]

Date Started:


[FT/PT]


[e.g. Environmental Monitoring Consultant (EMC)]

Date Started:


[FT/PT]


[e.g. Contractor Environment Health & safety Staff]

Date Started:


[FT/PT]


[others? E.g Contractor GRM Person]

Date Started:


[FT/PT]


8. The project concludes that the environmental safeguards roles are [conclusion – enough people? Enough budget for staff? Other conclusion or comment?]

B. Training and Capacity Building [see EMP for list of training required] 9. The following table gives the environmental safeguards training courses that have been completed during this reporting period and the planned training courses for the next six months:

Table 3: Environmental Safeguards Training Provided and Planned

4

Training Course Title Training Date Participants Training Provider

[E.g CEMP /EMP preparation]

[date – completed or future]

[e.g. No. of PIU/PMU, Contractors]

[e.g. Support consultants, MoE, Independent trainer]

C. ADB Approvals [Advice: This section updates ADB with the current progress on the EMP and IEE for the project. Ensure the up to date documents are available and it is clear which is the latest version of each document] 10. The following table gives information on the status of the safeguards documents.

Table 4: Status of Environmental Safeguard Documents

Safeguards Documents Update Issued

(Latest Version) Submitted to MoE

Submitted to

ADB

[e.g. IEE] [date] [date or Not Applicable] [date]

[e.g. EMP subproject 1] [date] [date or Not Applicable] [date]

[e.g. EMP Subproject 2] [date] [date or Not Applicable] [date]

[e.g. EMP Subproject 3] [date] [date or Not Applicable] [date]

D. National Approvals [Advice: This section updates ADB with the current progress on any national approvals and/or certifications needed such as final Environmental Impact Assessment (EIA), IEIA, ECC, Environmental Protections Contract, etc. (varies from country to country) or EMP approvals from the relevant Ministry. If there is no change between this reporting period and the last, the table in the previous report can be used here] 11. The following table gives an update on the necessary national approvals required for the project to proceed.

Table 5: Status of National Approvals for Environmental Documents

Documents Submitted to

MoE

Approved

By MoE:

Status – if

not

approved

Comment

[e.g. EIA] [date or Not Applicable]

[date]

[e.g on going, expected July 2020]

[add any further comment/ suggestion here]

[e.g. EMP subproject 1]

[date or Not Applicable]

[date]


[e.g. EMP Subproject 2]


[date] [e.g on going,

5

Documents Submitted to

MoE

Approved

By MoE:

Status – if

not

approved

Comment

expected July 2020]

[e.g. EMP Subproject 3]


[date]


E. Construction Environmental Management Plan (CEMP) Approvals [Advice: This section updates ADB on whether the contractor’s have submitted the CEMP for each civil works package, and if the quality of the CEMP is suitable. ADB would also need assurance that the CEMPs have updated health and safety plans in line with national legislation and any WHO best practices to ensure the necessary COVID-19 mitigation and safety measures are in place to ensure workers health and safety.] 12. The following table confirms the status of the Construction Environmental Management Plan (CEMP) for each CW package:

Table 6: Status of CEMP Approvals

Civil Works Package/

Subproject CEMP Given to PMU Approved By PMU Comment

[e.g. CW01 Wastewater] [date] [Yes & Date or No]

[E.g. quality of CEMP? Good quality? Easy to monitor, generally complies with ADB?]

[e.g. CW02 Landfill] [date] [Yes & Date or No]

[e.g. CW03 Drainage] [date] [Yes & Date or No]

X. EMP IMPLEMENTATION A. Environmental Performance [Advice: This is the most important table showing if the Safeguard requirements are being followed. This section is summarised for Section 1: Summary. The summary will be included in the main 6 monthly report for the entire project. Use all the monthly reports from PIU, PMU, GRM, Contractor, construction supervision consultant etc to complete this table.] 13. The following table gives the environmental impact mitigation measures in the Borrower (Project) EMP and the corresponding CEMP and how the project is progressing with implementing the mitigation measures, for each subproject. 14. The evidence for the compliance is through a combination of:

• Site visits to observe site practices; • Consultation with affected people;

6

• Regular environmental reporting from [CSC, Contractor, others, according to EMP requirements].

[Advice: This table needs to be repeated for each sub-project. Each subproject can EMP has different Mitigation Measures & progress to report on. Health & safety Mitigation measures are reported separately]

Table 7: Summary of Status of EMP Compliance – ALL subprojects]

EMP Requirement

(Mitigation Measure)

Compliance & Description

(Yes, No, Partial)

Comment or Further Explanation if Needed

Reasons for Not Full Compliance

1 Example 1. Worker Camp Sanitation

Yes Camp includes septic tank

which is installed -

2 Example 2. Noise and Dust Management

Partial

Contractor given corrective

action issued 21-07-19:

-Spray 3x daily

-Start work 7am

-Water is not sprayed

2x daily;

-Working outside

allowed hours, starting

at 6:30am

1 [mitigation measure] [Yes/No/Partial]

[comment on evidence of compliance if needed – any additional information]

[give reason/evidence for non-compliance]

2

3

4

6 [continue]

15. For all ‘Partial’ or ‘No’ compliance issues in the table above, the actions needed to solve and actions carried out the compliance issues are in the table below. This table also confirms that the action was completed or that the action is outstanding: [Advice: For any Partial or Not Compliance issues in the table above, the table below shows ADB what actions will be taken to ensure compliance]

Table 8: EMP– Actions Needed and Resolutions for Compliance [subproject]

EMP Requirement Further Action to Take

Responsibility and Timing

Resolution Date for Action

02

Noise and dust management

Contractor should not start work before 7am Contractor should spray water minimum 3x daily

Contractor 30.09.2020

Completed Action was taken and confirmed by PIU visit of 18th Sep 2020

None (if action was not resolved in the former column then here is where the revised date is to be inserted by when the

7

EMP Requirement Further Action to Take

Responsibility and Timing


action should be completed)

[requirement from table above for non-compliant issues]

[action needed to make issue compliant]

[who implements action] [deadline for action]

[action carried out to make issue compliant]

[date for action]

[Advice: This table shows the result/outcome of Actions needed to be taken and resolutions to issues reported in the table 7.] B. Health and Safety Performance [Advice: This reports on any health and safety requirements for the project that the contractor needs to fulfil. This can be combined for all subprojects with similar H&S requirements. Due to the COVID-19 reporting on specific measures that are in place in line with national legislation and requirements for the pandemic need to be included. ADB would also need assurance that the CEMPs have updated health and safety plans in line with national legislation and any WHO best practices to ensure the necessary COVID-19 mitigation and safety measures are in place.] 16. The following table gives the Health and Safety impact mitigation measures in the Borrower EMP and how the project is progressing with implementing the mitigation measures, for all subprojects.

Table 9: Status of Health and Safety Compliance - ALL subprojects

Health and Safety

Requirement

Compliance & Description

(Yes, No, Partial)

Comment or Further Explanation if Needed

Reasons for Not Full Compliance

1 Example 1. Workers Need to wear protective clothing

Partial

Subproject: Landfill Workers are not all wearing hard hats and high visibility Workers seen without safety boots

- Re-issue safety clothing to those without -Training on staff to remind them to wear it 18th August 2020

2 Example 2. First Aid kit needed on site

Yes Subproject: All First Aid Kit available in site offices

None

[complete for each issue]

17. For all ‘Partial’ or ‘No’ compliance issues in the table above, the actions needed to solve the compliance issues are in the table below: This table also confirms that the action was completed or that the action is outstanding. [Advice: For any Partial or Not Compliance issues in the table above, the table below shows ADB what actions will be taken to ensure compliance]

8

Table 10: Status of Health and Safety Actions Needed for Compliance - ALL subprojects

Health and Safety

Requirement

Further Action to

Take

Responsible Date for Action


Taken

1 Example 1. Workers Need to wear protective clothing

All workers to be given and wear safety clothing

Contractor 25th August 2020

Contractor

[complete for each issue]

XI. EMP MONITORING [Advice: This section should show the progress made against the monitoring that is required in the EMP for each subproject. This is a combination of environmental quality monitoring (e.g. taking samples or water, noise measurements) and monitoring the EMP performance by consulting affected people.] A. Environmental Quality Monitoring 18. Environmental quality monitoring requirements are defined in the Monitoring Plan section of the EMP. The following table gives a summary of the environmental quality monitoring requirements for each subproject.

Table 11: EMP Environmental Quality Monitoring Requirements

Subproject Environmental

Issue Monitored

Location Parameters Responsible Organisation

Frequency

[use EMP to complete this table e.g Subproject 1 ]

[noise ] [primary school ]

[DbA ] [Contractor ] [every 3 months ]

[Subproject 1 ] [water ] [stream ] [chemicals/temp ]

[Contractor ] [every 3 months ]

[Subproject 2 ] [noise ] [hospital ] [DbA ] [Contractor ] [every 3 months ]

19. The following table gives information on the environmental quality monitoring implemented, during this reporting period. Detailed results compared to relevant national / international standards are in Appendix 1.

Table 12: EMP Environmental Quality Monitoring implemented

Subproject Environmental Issue

Monitored Location Monitoring Date

9

[Subproject 1 ] [Noise ]

[Subproject 1 ] [Surface Water Quality ]

[Subproject 1 ] [Groundwater Quality ]

20. Summary of Results – Noise. [one paragraph summary on the results – eg. do they meet national standards, international standards? Does it show a good quality or poor-quality environment?]. 21. Summary of Results – Surface Water quality. [one paragraph summary on the results – eg. do they meet national standards, international standards? Does it show a good quality or poor-quality environment?]. 22. Summary of Results – Groundwater quality. [one paragraph summary on the results – eg. do they meet national standards, international standards? Does it show a good quality or poor-quality environment?]. 23. Summary of Results – Air quality. [one paragraph summary on the results – eg. do they meet national standards, international standards? Does it show a good quality or poor-quality environment?]. B. Construction Phase Affected People Consultation [Advice: Complete the table below with the consultations undertaken during construction site monitoring. This is usually undertaken by project staff e.g. PIU or PMU] 24. During the construction phase, the following table gives information on the consultations that were undertaken in order to understand the impact of the project on Affected People and how effective the EMP Mitigation measures are for residents, businesses and other affected people around the construction sites.

Table 13: Construction Phase Affected People Consultation

Subproject Consultation

Date

Person Consulted / Location

Outcome / Issues

Corrective Action Needed

Action Implemented

by (person/date)

[Subproject 1 ] [date ]

[e.g. group of 5 residents, outside commune office ]

[Issues raised or General comment from person on project]

[Describe how this issue will be solved ]

[e.g Contractor, by June 14 2020]

XII. COMPLAINTS, ISSUES, AND CORRECTIVE ACTIONS A. Information Disclosure [Advice: In this section, provide information on any public meetings, dissemination of information that has taken place to give information to the public. Some of this will take place in the ‘before

10

construction’ phase, when the project is being prepared. For the FIRST SEMR, include information on pre-construction disclosure activities such as GRM dissemination.] 25. The following table gives information on any information disclosure activities undertaken:

Table 14: Information Disclosure

Topic / Reason for Information

Disclosure Date

Method of Disclosure

Outcome / Results

[e.g. new project schedule, update on GRM, change to construction plans]

[date ] [e.g. information board, meeting, leaflet ]

[Issues raised or outcome of meeting]

B. Grievance Redress Mechanism [Advice: In this section include any complaints made through the GRM INCLUDING those made during any consultation with Affected People – such as issued raised in Table 13 . Include any complaints made that have already been resolved e.g. resolved during time of consultation] 26. The following table gives information on complaints about the project the Project Team is aware of, during this reporting period. The table includes:

• Complaints made thorough GRM entry points • Issues raised in consultation; • Issues raised any other way that the project team is aware of.

27. For issues that have already been solved, this is confirmed in the final column of the table. Where possible the project tries to solve all issues as quickly as possible through informal discussions between the affected people and the contractor.

Table 15: Project Complaints or Issues

Details of Complaint / Issue Raised

Detail of Person (Date, Name, Contact

Details)

Action Needed & Date

Comment / Resolved?

[e.g. noise/dust, poor access to house, affected water supply]

[date , Name of Person, Phone number/village location]

[e.g. contractor to reinstate water supply by 19th June 2020 ]

[Issue solved. Action has been taken and Affected Person is satisfied. PIU followed up.]

28. The following table gives information on all issues raised in previous SEMRs which are not yet resolved:

Table 16: Project Complaints or Issues – Not resolved from previous reports

11

Details of Complaint Detail of Person (Date, Name, Contact Details)

Action Needed & Date Reason this is

still not resolved

[e.g noise/dust, poor access to house, affected water supply]

[date , Name of Person, Phone number/village location]

[e.g. contractor to reinstate water supply by 19th June 2020]

[explain why the problem continues.]

C. Corrective Action [Advice: In this section, provide information on any formal corrective action that had to be issued to change practices on the construction site]. 29. The following table gives information on any formal corrective action that has been issued to the contractor in order to improve environmental performance:

Table 17: Corrective Action Issued Reason for Corrective

Action Date Issued Outcome Comment / Follow Up

[e.g water supply damaged to village]

[date ]

[e.g. Contractor formally requested to repair water supply and compensate people. This was undertaken. ]

[PIU will monitor the water supply monthly]

XIII. CONCLUSION AND RECOMMENDATION [Advice: Summarise if the EMP is being followed and if the Environmental Safeguards are adequate. Make recommendations on what will happen to improve the project environmental performance in the next reporting period] 30. Conclusion: [on general environmental progress] 31. Recommendations: [on next steps and actions to take to make improvements in environmental performance of the project]

12 Appendix 1

Appendix 1: Environmental Quality Monitoring Results [Insert Table of results and relevant national/international standard]

Appendix 2 13

Appendix 2: Photo Record – Visits, Monitoring, Consultation Photographs of Site Visits Photographs of Environmental Quality Monitoring Photographs of Consultation

Appendix D 59

Appendix D: Ministry of Public Health Drinking Water Quality Standards (2014)

60 Appendix D

Parameter Unit Permissible

limits Exceptions

Monitoring frequency

Weekly Monthly Yearly

Microbial

E. Coli Units /

100

mL

<0 -

✓

Chemical

Aluminium

(Al) mg/l <0.2

There is no exception if

aluminum-based

coagulants are used

✓

Arsenic (As) mg/l <0.01 There is no exception if

source is groundwater

✓

Chloride (Cl-) mg/l <250 ✓

Chlorine Cl2

(free residual) mg/l 0.1 – 2


chlorine is used for

disinfection

✓

Copper (Cu) mg/l <2 There is no exception if

copper pipe work is used ✓

Cyanide

(Cn) mg/l <0.5


source is surface water

and catchment includes

gold mining/processing

✓

Fluoride (F) mg/l <1.5


source us groundwater or

fluoride is added to water

in the treatment process

✓

Iron (Fe) mg/l <0.3 ✓

Lead (Pb) mg/l <0.01 ✓

Manganese

(Mn) mg/l <0.1 ✓

Mercury

(Hg) mg/l <0.006 ✓

Nitrate

(NO3- ) mg/l <50 ✓

Nitrite (NO2-

) mg/l <3 ✓

Sodium (Na) mg/l <200 ✓

Sulfate ion

(SO 2-)

mg/l <250 ✓

Zinc (Zn) mg/l <3 ✓

Physical

Color TCU <5 ✓

Taste Acceptable ✓

pH 6.5-8.5 ✓

Conductivity uS/c m <1000 ✓

Appendix D 61

Parameter Unit Permissible

limits Exceptions

Monitoring frequency

Weekly Monthly Yearly

Turbidity NTU <5 ✓

Total

hardness as

CaCO3

mg/l

<300

✓

62 Appendix E

Appendix E: Matrix for Reporting of the Water Quality Monitoring Results

Appendix E 63

Lao People’s Democratic Republic

Peace Independence Democracy Unity Prosperity

WATER MONITORING RESULTS

Province: No: /WS.LNT District: Date: Water Supply and

Transport Division Time:

Water Supply of State Enterprise

NO POINT

TEST VILLAGE

HOME

NO

HOUSE

TYPE

TURBIDITY

5NTU

CHORINE

CL2 MG/L PH SMELL

COLOR

5TCU PASS FAIL NOTATION

Date: _______________ Director, Water Supply of State Enterprise Chief of Water Treatment Plant Researcher:

64 Appendix F

Appendix F: Sample Complaint Letter

66 Appendix G

Appendix G: Subproject Classification Form – Environmental Categorization and Rapid Environmental Assessment

Appendix G 67

Environment Categorization Form

ENVIRONMENT CATEGORIZATION

Date: _________________

A. Instructions (i) The project team completes and submits the form to the Safeguards Division (SDSS) for endorsement by SDSS Director, and for approval by the Chief Compliance Officer (CCO). OM F1/OP on Safeguard Review Procedures (paras. 4–7) provides the requirements on environment categorization. (ii) The classification of a project is a continuing process. If there is a change in the project components or/and site that may result in category change, the Sector Division submits a new form and requests for recategorization, and endorsement by SDSS Director and by the CCO. The old form is attached for reference. (iii) In addition, the project team may propose in the comments section that the project is highly complex and sensitive (HCS), for approval by the CCO. HCS projects are a subset of Category A projects that ADB deems to be highly risky or contentious or involve serious and multidimensional and generally interrelated potential social and/or environmental impacts.

B. Project Data Country/Project No./Project Title :

Department/ Division :

Processing Stage :

Modality :

[ ] Project Loan [ ] Program Loan [ ] Financial Intermediary [ ] General Corporate Finance [ ] Sector Loan [ ] MFF [ ] Emergency Assistance [ ] Grant [ ] Results-based lending1 [ ] Other financing modalities C. Environment Category [please tick one category based on the set of criteria in OMF1 (paras. 6–7)] [ ] New [ ] Recategorization ― Previous Category [ ]

Category A

Category B

Category C

Category FI

D. Basis for Categorization/ Recategorization (please. attach supporting documents):

[ ] REA Checklist [ ] Project and/or Site Description

[ ] Other: __________________________

E. Comments Project Team Comments

SDSS Comments

F. Approval Proposed by:

Endorsed by:

Project Team Leader, {Department/Division} Director, SDSS

Date: Date:

Approved by:

Endorsed by:

Highly Complex and Sensitive Project

Director, {Division} Chief Compliance Officer

Date: Date:

1 For Results-Based Lending (RBL) modality, please contact the SDSS for the latest template of the Environmental and Social Screening Checklist for Eligible Activities. The supplemental checklist screens the programmatic, institutional, and contextual risks of the RBL program. The supplemental checklist needs to be submitted to SDSS for confirmation of eligible activities under the RBL program by the CCO.

http://www.adb.org/Documents/Manuals/Operations/OMF01-4Mar2010.pdf


URBAN DEVELOPMENT page 2 of 5

Rapid Environmental Assessment (REA) Checklist

Instructions: (i) The project team completes this checklist to support the environmental classification of a project. It is to

be attached to the environmental categorization form and submitted to the Safeguards Division (SDSS) for endorsement by the Director, SDSS and for approval by the Chief Compliance Officer.

(ii) This checklist focuses on environmental issues and concerns. To ensure that social dimensions are

adequately considered, refer also to ADB's: (a) checklists on involuntary resettlement and Indigenous Peoples; (b) poverty reduction handbook; (c) staff guide to consultation and participation; and (d) gender checklists.

(iii) Answer the questions assuming the “without mitigation” case. The purpose is to identify potential

impacts. Use the “remarks” section to discuss any anticipated mitigation measures.


Sector Division:


A. Project Siting Is the project area…

▪ Densely populated?

▪ Heavy with development activities?

▪ Adjacent to or within any environmentally sensitive areas?

• Cultural heritage site

• Protected Area

• Wetland

• Mangrove

• Estuarine

• Buffer zone of protected area

• Special area for protecting biodiversity

• Bay

B. Potential Environmental Impacts Will the Project cause…

▪ impacts on the sustainability of associated sanitation and solid waste disposal systems and their interactions with other urban services.




▪ deterioration of surrounding environmental conditions due to rapid urban population growth, commercial and industrial activity, and increased waste generation to the point that both manmade and natural systems are overloaded and the capacities to manage these systems are overwhelmed?

▪ degradation of land and ecosystems (e.g. loss of wetlands and wild lands, coastal zones, watersheds and forests)?

▪ dislocation or involuntary resettlement of people?

▪ disproportionate impacts on the poor, women and children, Indigenous Peoples, or other vulnerable group?

▪ degradation of cultural property, and loss of cultural heritage and tourism revenues?

▪ occupation of low-lying lands, floodplains, and steep hillsides by squatters and low-income groups, and their exposure to increased health hazards and risks due to pollutive industries?

▪ water resource problems (e.g. depletion/degradation of available water supply, deterioration for surface and ground water quality, and pollution of receiving waters?

▪ air pollution due to urban emissions?

▪ risks and vulnerabilities related to occupational health and safety due to physical, chemical, and biological hazards during project construction and operation?

▪ road blocking and temporary flooding due to land excavation during rainy season?

▪ noise and dust from construction activities?

▪ traffic disturbances due to construction material transport and wastes?

▪ temporary silt runoff due to construction?

▪ hazards to public health due to ambient, household and occupational pollution, thermal inversion, and smog formation?

▪ water depletion and/or degradation?

▪ overpaying of ground water, leading to land subsidence, lowered ground water table, and salinization?

▪ contamination of surface and ground waters due to improper waste disposal?




▪ pollution of receiving waters resulting in amenity losses, fisheries and marine resource depletion, and health problems?

▪ large population influx during project construction and operation that causes increased burden on social infrastructure and services (such as water supply and sanitation systems)?

▪ social conflicts if workers from other regions or countries are hired?

▪ risks to community health and safety due to the transport, storage, and use and/or disposal of materials such as explosives, fuel and other chemicals during operation and construction?

▪ community safety risks due to both accidental and natural hazards, especially where the structural elements or components of the project are accessible to members of the affected community or where their failure could result in injury to the community throughout project construction, operation, and decommissioning?



A Checklist for Preliminary Climate Risk Screening


Sector:

Subsector:

Division/Department:

Screening Questions Score Remarks2

Location and Design of project

Is siting and/or routing of the project (or its components) likely to be affected by climate conditions including extreme weather-related events such as floods, droughts, storms, landslides?

Would the project design (e.g. the clearance for bridges) need to consider any hydro-meteorological parameters (e.g., sea-level, peak river flow, reliable water level, peak wind speed etc.)?

Materials and Maintenance

Would weather, current, and likely future climate conditions (e.g. prevailing humidity level, temperature contrast between hot summer days and cold winter days, exposure to wind and humidity hydro-meteorological parameters likely affect the selection of project inputs over the life of project outputs (e.g. construction material)?

Would weather, current, and likely future climate conditions, and related extreme events likely affect the maintenance (scheduling and cost) of project output(s) ?

Performance of project outputs

Would weather, climate conditions, and related extreme events likely affect the performance (e.g. annual power production) of project output(s) (e.g. hydro-power generation facilities) throughout their design lifetime?

Options for answers and corresponding score are provided below:

Response Score

Not Likely 0

Likely 1

Very Likely 2

Responses when added that provide a score of 0 will be considered low risk project. If adding all responses will result to a score of 1–4 and that no score of 2 was given to any single response, the project will be assigned a medium risk category. A total score of 5 or more (which include providing a score of 1 in all responses) or a 2 in any single response, will be categorized as high risk project.

Result of Initial Screening (Low, Medium, High):___________

Other Comments:__________________________________________________________________________ _________________________________________________________________________________________ Prepared by: ________________

2 If possible, provide details on the sensitivity of project components to climate conditions, such as how climate

parameters are considered in design standards for infrastructure components, how changes in key climate parameters and sea level might affect the siting/routing of project, the selection of construction material and/or scheduling, performances and/or the maintenance cost/scheduling of project outputs.