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Environment and Social Monitoring Report

Annual Progress Report January-December 2017

LAO PDR: GMS Nam Theun 2 Hydroelectric Project

Prepared by the Environment and Social Division of Nam Theun 2 Power Company, Ltd. This environment and social monitoring report is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature. In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

NAM THEUN 2 POWER COMPANY LTD

Environment & Social

Progress Report

Period Jan 2017 to Dec 2017

Nam Theun 2 Power Company Ltd. E&S Progress Report Jan 2017-Dec 2017

This report is a revised version of the E&S Annual Progress Report, Jan to

Dec 2017, produced by the E&S Unit of Nam Theun2 Power Co. Ltd. The report

has been edited for public release.

Nam Theun 2 Power Company Ltd.

Nam Theun 2 Hydroelectric Project

Annual Progress Report

Environment and Social Division

Jan – Dec 2017

Nam Theun 2 Power Company E&S Annual Progress Report - 2017

Nakai Plateau Resettlement and Environmental Programs

i

Table of Contents

Acronyms .................................................................................................................................................... iii

General Introduction ....................................................................................................................................... 1

PART 1: Nakai Plateau Resettlement Program ................................................................................................. 2

1 Monitoring Missions ........................................................................................................................... 3

The International Financial Institutions ............................................................................................ 3

The Le der’s Te h i al Ad isors ....................................................................................................... 4

The Panel of Experts ......................................................................................................................... 4

The Independent Monitoring Agency ............................................................................................... 6

2 CAP implementation – progress until December 2017 ....................................................................... 19

The CAP – reminder ........................................................................................................................ 19

Overall Progress and challenges ..................................................................................................... 20

Action Plan for Fisheries ................................................................................................................. 25

Action Plan for Agriculture, Livestock including Land Management .............................................. 38

Action Plan for Forestry .................................................................................................................. 64

Action Plan for Off-farm ................................................................................................................. 76

Action Plan for Gender equality and women’s ad a e e t ........................................................ 91

Action Plan for Poor and Vulnerable .............................................................................................. 97

Action Plan for Ethnic groups ....................................................................................................... 107

3 Progress o I tegrati g Actio s i ple e tatio - until end of December 2017 ........................... 120

Engagement of District Authorities .............................................................................................. 120

Participatory village development planning ................................................................................. 121

Financial mechanisms ................................................................................................................... 123

4 Progress on Additional Activities implementation - until end of December 2017 ............................. 125

Community Living Well Program .................................................................................................. 125

Monitoring .................................................................................................................................... 131

Entitlements for the Subsequent Growth Households ................................................................. 135

5 Communication ............................................................................................................................... 135

Resettlement Office Newsletters .................................................................................................. 135

IAIA Special Symposium – Resettlement and Livelihood (Manila- Feb 2017)............................... 135

PART 2: Environmental Programs ................................................................................................................ 137

1 Introduction – Key milestones ......................................................................................................... 138

2 Organization and responsibilities .................................................................................................... 139



ii

Historical background ................................................................................................................... 139

Current Organization and responsibilities (2016 onwards) .......................................................... 140

3 Main outputs of Environment programs until December 2017 ........................................................ 141

The Aquatic Environment Laboratory (AE Lab) ............................................................................. 141

Water quality monitoring ............................................................................................................. 142

Fish Population and Fish Catch survey .......................................................................................... 156

Biodiversity Program .................................................................................................................... 158

Environment Compliance Program ............................................................................................... 163

Erosion Monitoring Program ........................................................................................................ 172

Implementation of the Environmental Management System ...................................................... 172

4 Visits and consultancies................................................................................................................... 172

5 Communication ............................................................................................................................... 174

Scientific papers ............................................................................................................................ 174

Main outputs of the Adaptive Management Committee 2017 .................................................... 176

ANNEXES ..................................................................................................................................................... 177

Annex 1 – Comprehensive Action Plan (CAP) chronology ......................................................................... 178

Annex 2 – Adaptive management on LoA implementation (JWG 4/10 and 7/11/2017) ........................... 180

Annex 3 – List of Action (LoA) completion status in December 2017 ........................................................ 187

Annex 4 – List of 17 Remedial actions as addendum to CAP ..................................................................... 199

Annex 5 – Presentations made to the POE Mission #27 ........................................................................... 203

Annex 6 – Resettlement Office Newsletters issued in 2017 ...................................................................... 312

Annex 7 – Presentation on NT2 Resettlement at the IAIA Special Symposium, Manila, Feb 2017 ............ 375

Annex 8 – Water quality monitoring stations (for the period May 2014 to April 2017) ............................ 412

Annex 9 – Water quality monitoring stations (for the period May 2017 to April 2023) ............................ 413

Annex 10 – Flash News No.9 (NTPC Environmental Awareness Program) ................................................ 414

Annex 11 – Flash News No.15 (Foam Reduction Program) ....................................................................... 415

Annex 12 – Flash News No.12 (Plastic bag Reduction Program) ............................................................... 416

Annex 13 – Flash News No.10 (Paper Reduction Program) ...................................................................... 417



iii

Acronyms ADB Asian Development Bank AFD Agence Française de Développement AMC Adaptive Management Committee AIP Annual Implementation Plan AM Adaptive Management AP Action Plan BOOT Build-Own-Operate Transfer CA Concession Agreement CAP Comprehensive Action Plan CIA Cumulative Impact Assessment CLT Community Land Titling CLWP Community Living Well Program COD Commercial Operations Date CTA Common Terms Agreement CW Civil Works DAFO District Agriculture and Forestry Office DEB Department of Energy Business (Ministry of Energy & Mines) DHO District Health Office DO District Office DOE Department of Education DGA Development Grant Agreement DOI Lao Department of Irrigation Analytical Chemistry Laboratory DONRE District Of Natural Resource and Environment DRT Directors Representatives Team DRWG District Resettlement Working Group DSCR Debt Services Cover Ratio DSRP Dam Safety Review Panel E&S Environmental and Social EAMP Environmental Assessment and Management Plan EDF Electricité de France EDFI Electricité de France International EDL Electricité du Laos EGAT Electricity Generating Authority of Thailand EGCO Electricity Generating Public Company Limited EIB European Investment Bank EM Electro Mechanical EMDP Ethnic Minority Development Plan EMMP Environmental Monitoring and Management Plan EMO Environmental Management Office EMU Environmental Management Unit ESCO Engineering & Service Co Ltd (Division of EGCO) ESMP Environmental and Social Management Plan FC Financial Close FCMS Food Consumption Monitoring Survey FIRR Financial Internal Rate of Return FMR Financial Monitoring Report FSL Full Supply Level GLIP Government Letter of Implementation Policy GMS Greater Mekong Sub-region GoL Government of Lao PDR GOLE Engineer of the GoL HH Household



iv

HIPC Highly Indebted Poor Country HSE Health Safety and Environment IDA International Development Association IDC Interest during construction IFI International Financial Institutions IMA Independent Monitoring Agency IRN International Rivers Network IT Information Technology IUCN International Union for the Conservation of Nature IWMP Integrated Waste Management Program JWG Joint Working Group LHSE Lao Holding State Enterprise LOA List Of Actions LNCE Lao National Committee for Energy LSMS Living Standard Measurement Survey LTA Lenders Technical Advisor LWU Lao Women’s Union M&E Monitoring and Evaluating MASL Meters above sea level MIGA Multilateral Investment Guarantee Agency MIH Ministry of Industry and Handicraft MOF Ministry of Finance MOL Minimum Operating Level MONRE Ministry Of Natural Resource and Environment MoU Memorandum of Understanding MRC Mekong River Commission MTDP Medium Term Development Plan NBCA National Biodiversity Conservation Area NGO Non-Government Organisation NNT Nakai Nam Theun NPFDE Nakai Plateau Forest Development Enterprise NPA National Protected Area NPFVA Nakai Plateau Village Forestry Association NPFDE Nakai Plateau Village Forest Development Enterprise Ltd. NT2 Nam Theun 2 Project NTFP Non Timber Forest Products NTPC Nam Theun 2 Power Company Limited O&M Operation and Maintenance QSEM Quarterly Socio Economic Monitoring PAFO Provincial Agriculture and Forestry Office PAP Project Affected People PCA Preliminary Construction Activities PCPD Public Consultation, Participation and Disclosure PCR Physical Cultural Resources PDO Project Development Objectives PIM Preliminary Information Memorandum PIP Project Implementation Plan PIZ Peripheral impacted zone PLUP Participatory Land Use Planning PM Prime Minister PMO Prime Minister Office POE Panel of Experts PONRE Province Of Natural Resource and Environment PRA Participatory Resource Assessment



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PRF Poverty Reduction Fund RAP Resettlement Action Plan RO Resettlement Office ROP Resettlement Objectives and Provisions RC Resettlement Committee RFA Reservoir Fisheries Association RMO Resettlement Management Office RMU Resettlement Management Unit RNT Residence Nam Theun RO Resettlement Office SDP Social Development Plan SEMFOP Social and Environment Management Framework and First Operational Plan SERF Social and Environment Remediation Fund SESIA Summary Environment and Social Impact Assessment SIA Strategic Impact Assessment STD Sexually Transmitted Disease STEA Science, Technology and Environment Agency THB Thai Baht USD US Dollar UXO Unexploded ordnance VDC Village Development Committee VDP Village Development Plan VEW Village Extension Worker VFA Village Forest Association VFG Village Fisheries Group VIRF Village Investment and Restoration Fund VLMC Village Land Management Committee VRC Village Resettlement Committee VVW Village veterinary workers WB World Bank WCD World Commission on Dams WCS Wildlife Conservation Society WMPA Watershed Management & Protection Authority WMPP Wildlife Management and Protection Program WQMAP Water Quality Monitoring and Assessment Program WQB Water Quality and Biodiversity Department XBF Xe Bangfai

Nam Theun 2 Power Company E&S Semi-Annual Progress Report, 1st Semester 2017


Page 1 of 417

General Introduction

This Annual E&S report provides the status of the implementation of the AIP 2017 finalized on

23rd December 2016, and distributed to the ICA and all NT2 stakeholders. The AIP 2017

differed from the previous AIPs because a substantial part was dedicated to the end of the

Resettlement Implementation Period (RIP Closure), and these section were therefore based on

the then-current version of the Comprehensive Action Plan (CAP). The AIP 2017 recalled

NTPC’s obligation under the CA that are (i) the social obligations, (ii) the environmental

obligations, and (iii) the funding obligations. Whereas the funding obligations and some

environmental obligations will be implemented until the end of the CA Period, the social

obligations end when the RIP is closed.

The first part of this report (Nakai Plateau Resettlement Programs) provides the implementation

status of the Comprehensive Action Plan (CAP), upon which the AIP 2017 for the social

obligations was based. The objective of the CAP is to ensure that resettler livelihoods are

materially improved on a sustainable basis in order to close the RIP and transition to a more

participatory, long-term development led by the GOL and supported by NTPC funding under

the Nam Theun 2 Development Fund (NT2DF). The CAP is made of seven Action Plans (four

Livelihood Pillars and one for each of the three Cross-Cutting Issues) as well as integrating

actions. The CAP also covers two time periods – the RIP (List of Actions or LOA) and the post

RIP period (Medium Term Development Plan or MTDP).

Although the AIP 2017 was based primarily on the LOA actions under NTPC responsibility, the

Annual Progress Report includes progress that has been made for some MTDP actions as

appropriate, as well as actions that have been assigned GOL accountability, in order to give a

complete sense of the state of implementation.

Similarly, the AIP 2017 was based on the draft of the CAP from October 2016. The progress on

the CAP in this Annual Progress Report 2017 takes into account the final version of the CAP

document (25 January 2017).

The progress on “Integrating Actions” of the CAP, including, inter alia, the engagement of the

District, the participatory planning with villages, and financial mechanisms has also been

reported.

Finally, the Nakai Plateau Resettlement Program section also gathers all additional actions,

which are not explicitly part of the CAP, but support its implementation. This includes socio

economic monitoring and the Community Living Well Program.

The second part of this report provides an update of the implementation of Environmental

activities of NTPC in 2017. The report covers the main outputs of the Environment Programs

for this period. This includes the Aquatic Environment Laboratory, the Water quality monitoring,

the Fish Catch Monitoring, the Biodiversity Program, the Environment Compliance Program,

the Erosion Monitoring Program, and the Environmental Management System.


Nakai Plateau Resettlement Program

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PART 1: Nakai Plateau Resettlement Program



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1 Monitoring Missions

The International Financial Institutions

The International Financial Institutions conducted three missions to Lao PDR on the NT2

project:

1st mission: from 30th of January to the 9th of February 2017. Member institutions included the

World Bank (WB), the Asian Development Bank (ADB), the Agence Française de Development

(AfD), and the European Investment Bank (EIB). There were a total of 50 participants; 37

visited the project area. The mission was conducted in two parts: a technical staff visit (30th

January – 2nd February) and a management staff visit (2nd – 5th February). A preliminary

meeting was held between the IFIs, the Department of Energy and Business, the Khammouane

Provincial Government, the Nakai District Government, the RMU and NTPC in Thakhek on the

2nd of February 2017. Final deliberation, further meetings with representatives of the GoL, and

the official debriefing meeting were held over the 6th and 7th of February. The report was

available by mid-April 2017, registered within NTPC document system on the 20th April.

The scope of the IFIs mission covered all aspects of the project, with particular reference to 6

key issues: (i) NT2 revenue Management Program (RMP), (ii) Compensatory Forest, (iii) Nakai

Plateau Resettlement Program, (iv) Downstream Livelihoods Restoration, (v) Operation and

Finance, (vi) Safeguards Compliance.

Regarding the Nakai Plateau Resettlement Program, the mission reviewed the progress made

on the CAP implementation. The mission found that, “overall, there is ample evidence that implementation is underway [“medium risk”], with two areas considered “high risk” for completion under LoA: “Forestry” and “Integrating actions”.

2nd mission:

4-8 September 2017, IFIs Technical mission from the World Bank and the Asian

Development Bank. The technical teams conducted a site visit on 5 and 6 September.

During the site visit, the mission met with representatives from the District Government, the

RMU, the WMPA and NTPC. The aim of mission focused on preparation of the

management mission to follow.

18-22 September 2017, the IFI Management mission. A kick-off meeting was held in

Thakhek on 18 September, chaired by the Deputy Provincial Governor of Khammouane.

Staff from the GOL led the presentations. A follow-up meeting, focusing on the RIP closure,

was conducted on-site by the Nakai District Government on 19 September, chaired by the

District Governor of Nakai. The District Government made presentations based on areas

raised by the World Bank. The management mission further met with JWG and GOL

representatives in Vientiane from 20 to 22 September.

3rd mission: 27-29 November 2017, representatives of the IFIs conducted a mission to site for

a final update on the progress of the CAP. Member institutions included the WB, ADB and EIB.

The District Government led a debriefing meeting, chaired by the District Vice-Governor on 28

November. On 1 December afternoon, IFIs made their Mission’s wrap-up and supported a RIP

Closure.

Mission of WB Vice President: The Vice-President of Sustainable Development at the World

Bank, conducted a mission to the NT2 Project and the Nakai Resettlement Area. The mission

to the NT2 Project included a visit to the NT2 Public Information Centre and the Power House.



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The mission to the Nakai Resettlement Area included visits to the Fisheries Centre at Thalang,

the Nakai Dam Site, the weaving group at Sop Hia, the programs for Poor and Vulnerable and

Non-Timber Forest Products at Sop Ma, and the Health Centre and School at Nongbouakham.

A baci ceremony was also held at the Nongbouakham Resource Center. The Vice President

also met with representatives from the District Government, the RMU and the NTPC-RO

management. She was impressed by all progresses done by NT2 Project (GOL and NTPC) on

the resettlement and confirmed the intension to close the NT2 Grant Agreement of the World

Bank and to support RIP closure.

The Lender’s Technical Advisors

The Lender’s Technical Advisors conducted 2 missions in 2017.

1st mission occurred from the 6th of February to the 10th of February 2017. The LTA mission

included 2 members for social aspects, and two for environmental aspects and an additional

head of the mission. On social aspects, the LTA met with resettlers in 7 hamlets, and were able

to discuss the different activities with both District and RO staff. The LTA met separately with

the District Deputy Governor and SERF staff on the 9th of February. The mission ended with a

debriefing session in Thakhek, which was attended by representatives from the GOL (including

DEB, RMU and the Nakai District), NTPC and the IFIs (the World Bank). The focus of the

mission was “to verify progress being made towards RIP Closure”. The LTA raised concerns

about the content of the CAP and the AIP 2017, arguing that the CAP focused on outputs and

processes rather than indicators that can measure outcomes. They also highlighted areas of

progress and concern for practical implementation. The LTA Site Visit Report #37 was shared

with NTPC on the 7th of March 2017.

2nd mission occurred from 30 October – 2 November. This 38th mission included the head of

the mission and the 2 social members. The District and NTPC presented the progress on the

CAP, as well as the preparations for handover, during meetings held on 30 and 31 October at

the Resettlement Office. On 1 November the mission conducted field visits in the resettlement

villages. A debriefing meeting was held at RNT on 2 November. Feedback was mostly positive.

LTA also debriefed AFD on 2 November afternoon and with the WB and ADB on 3 November.

LTA provided their draft report on 9 November. Final version was received on 14 December:

LTA does not take position in RIP closure. It recommends that, by the end of 2017, “items are advanced or in the process of being finalized.

This includes (i) establishing clear strategies or mechanisms that can be implemented for any

unresolved or key outstanding issues”, especially on the field of forage (ensure sufficient fodder

and forage for large livestock herds), (ii) strategy for Forest Management Plans, (iii) agreement

on southern road rehabilitation, (iv) NT2DF framework and manual, resolution of remaining land

conflicts, complete all actions related to safeguards (CAP and IMA).

The Panel of Experts

The Panel of Experts conducted 2 missions in 2017.

1st mission of 2017 (26th mission) from the 19th of March to the 17th of April. The POE

members for this mission were David K. McDowell, Lee M. Talbot and Elizabeth Mann. The

mission was also joined by Rob Laking in an advisory capacity. The Nakai District Government

led the major on-site briefing about the project to the POE on the 22nd March 2017. The 26th



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mission focused on an assessment by the POE of the progress that has been made on the

Comprehensive Action Plan for RIP closure. The POE visited the project site from the 19th to

the 28th of March, before travelling to Vientiane for the remainder of the mission. At the project

site, the POE conducted interviews with individual resettlers, villagers from other affected

areas, and representatives from the resettlement village institutions. The POE also met

individually with representatives of the GOL at District, Provincial and National levels. This

included the District Governor of Nakai, the Provincial Governor of Khammouane, the Minister

of Energy and Mines, and the Deputy Prime Minister in charge of NT2 Project. POE’s findings

during the mission were shared during the final debriefing, held at the DEB Offices in Vientiane

on the 7th of April 2017.

A draft report was shared with the JWG on 27th of April 2017. The report specifically focuses on

the actions outlined in the CAP. The JWG provided feedback on the draft report on the 28th of

May 2017. The POE submitted the final report on 23rd June 2017.

2nd mission of 2017 (27th mission) from 20 November to 4 December.

This 27th mission of the Panel of Experts opened with a debriefing mission conducted by

the Joint Working Group at the Nakai District Government Offices. The meeting was chaired

by the Director General of the Department of Energy Business from the Ministry of Energy

and Mines, Representatives from all members of the JWG were in attendance, including the

DEB, the IFIs, RMU, the District Government and NTPC. The presentations on the progress

made under the CAP were led by the Nakai District Government, followed by a Question

and Answer session with the POE. The POE visited the project site from the 21 to the 23 of

December. On 24, a working session was organized with few governmental and NTPC

representative to go through key questions/concerns of the POE. The POE travelled to

Vientiane on the 25 for the remainder of the mission.

On 1 December, the final debriefing of the POE mission was held in the morning at the

Department of Energy Business in Vientiane. POE did not recommend the closure of the

RIP. The POE suggested that, if the GoL would like to take the initiative to close the RIP, a

set of conditions would have to be fulfilled (to be presented in an Interim report, ahead of

the Draft report).

On 4 December, the POE’s Interim Report #27, provided 2 sets of Conditions before

closure (if the GoL want to close the RIP): (i) 18 actions to be implemented before RIP

Closure and (ii) 28 commitments to be made before RIP Closure for actions to be

implemented after RIP Closure.

22 December, the JWG finalized the draft response to the POE’s Interim Report. The

response focuses on the recommendations made by the POE on the potential terms for a

conditional closure of the RIP.

The answer from the POE is expected in their Draft report which should be released one

month after the end of their 27th mission (early January 2018).



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The Independent Monitoring Agency

Progress on IMA CA Compliance in late 2016

IMA came for their 8th Mission in March 2016. This mission was special as it did a clause by

clause compliance assessment of the concession agreement, along with field verification. All

the clauses thus from chapter 3 until chapter 161, of Schedule 4, part 1 were converted into a

CA Compliance matrix and assessed. Preliminary draft of the compliance matrix and the draft

report for comments were received on 15th November 2016.

The JWG met on 23rd, 24th and 25th November 2016 to discuss as how to address the gaps

identified in the compliance assessment and provide inputs to the IMA on clauses deemed

assessed incorrectly. The comments were finalized and sent to IMA on 30th December 2016.

Based on the comments and feedback provided by the JWG, the IMA team updated the

compliance matrix and submitted the final report and compliance matrix to DEB, GoL on 16th

February 2017.

The clauses were categorized under the following categories of compliance status:

Time Non-Compliant (NC-Time) (41)

Not applicable (20)

Compliant (400)

In progress (218)

Non-Compliant (185)

Cannot Document Compliance (204)

JWG meeting on 4 May 2017

The JWG met on 4th May 2017, to discuss among others items IFIs Social Safeguards priorities

linked to the non-compliances of IMA matrix. A summary of all 1,068 clauses, classified in 6

categories was presented: Not applicable (20), Non-compliant because of time (NC-Time – 41),

Compliant (400), Non-compliant (185), Cannot Document Compliance (204) and In Progress

(218). NTPC and GoL requested IFIs to review all clauses, to confirm the IMA assessment

status and to define the IFIs priorities of the last 3 categories in order for NTPC and GoL to

focus on the high and medium priorities. This was required to chart the way forward and identify

corrective actions required to bring the project into compliance.

Preparation of JWG meeting of 31 May 2017

In May 2017, IFIs led by ADB had an overall review of the matrix to (i) review all the clauses

and (ii) confirm the IMA assessment status and (iii) define the IFIs priorities on the Non-

compliant, Cannot document compliance and In Progress categories. This was to ensure focus

by NTPC and GoL on the high and medium priorities. Further it was also identified if the

interventions required to bring/maintain these clauses in compliance were already in the CAP

or would require additional action.

In parallel, NTPC and GoL had a number of working sessions on the 43 issues related to GoL

(community) assets and undertook field checks in the resettlement hamlets. A MoM was signed

on the issues and the way forward. In preparation of the JWG meeting of 31st May 2017, ADB

1 Except chapter 13 on project lands



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and NTPC discussed ADB review. NTPC provided additional field check and document search

results as well as the agreement reached with GoL.

JWG meeting of 31 May 2017

The objectives of this JWG meeting were

For the IFIs: To present their position regarding the CA compliance evaluation by IMA,

discuss it with the other JWG members, confirm their acceptance of the IMA

assessment regarding the Not Applicable, Non-Compliance due to Time and

Compliance categories and define their priorities for the Cannot Document Compliance,

Non-Compliance and In progress categories.

For the JWG: To discuss the IFIs position and following general agreement to agree on

the remedial actions to be taken.

Methodology

The IFIs presented their review of the different categories successively. The categories where a

change was required or some clauses needed to be highlighted with a High or Medium Priority

were flagged by the IFIs and discussed by all members before a final decision was made. The

GoL-NTPC MoM on 43 GoL Assets No 247 dated 23 May 2017 was taken into account as well

as results from the GoL-NTPC field check and investigation executed in May 2017. At the end

of the discussion, final statistics of status were presented in summary and details and the

evolution was summarized in a Compliance Status Summary chart.

Following is the result of the JWG review of the categories of issues as presented by the IFIs.

The Not applicable (20) and NC-Time (41) categories were confirmed as such by IFIs

and then the JWG.

A few clauses in other categories were changed from one category to another. At the

end 400 compliant clauses were confirmed as Compliant with no further action required.

Similarly 222 clauses were confirmed as In Progress including 15 and 2 with High and

Medium Priority respectively; all require regular execution until the end of the RIP.

The IFIs and JWG confirmed a number of 203 CDC clauses of which 2 were marked as

high and 1 marked as medium and a number of Non-Compliant clauses of 182 of which

9 marked as high and 15 marked as medium. Remaining CDC and NC clauses were

either marked as Low, with no more action required, or already included in the CAP (37

CDC & 63 NCs). In summary, a total of 27 CDC and NC issues remained which

required specific actions.

Way forward

Identification of remedial actions – Addendum

The most important output of the meeting of 31st May 2017 was the identification of 14

remedial actions to be implemented which were seen as a priority from social safeguard

perspective. A number of issues are similar (such as drainage of various community buildings)

or represent different facets of a clause (size and number of classrooms). Regrouping leads to

this reduced number of 14 consolidated issues needing action and categorized as follows:

GoL responsibility (3): Grievance, Outsiders in the Resettlement Area and SERF AIP

circulation.



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NTPC responsibility (action) often in collaboration with GoL (7): Good quality water

availability, Drainage around community buildings, Additional classrooms in 3 villages,

Toilets for 1 market, Nakai Tai Village hall roof extension, Ice plant/cold storage, Waste

management in resettlement villages

NTPC responsibility - document search (3): Disturbance allowance, Jobs availability to

resettlers during operating phase, Assistance to resettlers on ploughing and terracing.

NTPC responsibility – legal discussion with IFIs (1): transparency and disclosure of

reports

Finalization of JWG decisions on 31 May 2017

The JWG MoM has been finalized2.

The JWG has prepared a CAP errata and an Addendum to the CAP. The Addendum

includes the 14 actions as per the JWG MoM, converted into CAP format with

established KPI, target, accountability and timeline for implementation.

The 14 actions were later disaggregated into a list of 17 corrective actions which need

to be implemented. These 17 actions have been added as an Addendum to the CAP.

For implementation and monitoring purpose they have been further broken down into 15

Pre-RIP actions and 2 Post-RIP actions, with the assumption at that time that RIP would

be closed on 31 December 2017.

List of the remedial actions

Following are the 15 (Pre-RIP) and 2 (Post-RIP) actions which have been identified to be

implemented:

Code Pre/Post RIP

Context Action

AD.1 Pre-RIP

Influx of outsiders in resettlement area

Re-circulate the land decree in the Resettlement Area and re-affirm the obligation to respect it

AD.2 Pre-RIP

Grievance Redress Mechanism

Prepare and implement a plan for reshuffling the Grievance Procedure and having it functional with resettlers properly informed

AD.3 Pre-RIP

Disclosure and transparency

Make available to the public the E&S reports after receipt of the GoL consent for such disclosure.

AD.4 Pre-RIP

Jobs availability to resettlers during operating phase (100 jobs)

Search and provide data on resettlers employed with the company and its sub-contractors during operating phase.

AD.5 Pre-RIP

Water quality and borehole maintenance

Continue to monitor water quality on the same regular basis, with the same existing documentation & reporting. Boreholes to receive an appropriate maintenance

2 Note: Signed by the JWG in August 2017 – Incoming Document DCC: Log No. 28123 - Filing Code: C06-03



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Code Pre/Post RIP

Context Action

AD.6 Pre-RIP

Water supply Adequacy on Nakai Plateau (1 BH per 5 Houses)

Feasibility study of small water supply systems for 13 hamlets under PPP model

AD.7 Pre-RIP

Drainage related issues

Re-create drains around the community buildings to ensure no water stagnation, with villagers’ contribution for labor and other inputs and support provided by district and NTPC.

AD.8 Pre-RIP

Sufficient number of classes to accommodate kids of resettlers households- Contract and agreement

Reach an agreement and plan between NTPC, District and MoES on the type and construction of additional class room at Nakai Tai, Sop On and Done (expected: Block of 3+1 rooms for each hamlet), with requisite equipment’s support and its teachers’ staffing and NTPC awards the contract for the same

AD.16 Post-RIP

Sufficient number of classes to accommodate kids of resettlers households- Staffing, Construction & Furnishing

Construction of additional class rooms at Nakai Tai, Sop On and Done (expected: Block of 3+1 rooms for each hamlet), with requisite equipment’s support and teachers’ staffing.

AD.9 Pre-RIP

Sewage facility (toilets) around market

Build toilets at NBK village provided that: (i) Village authorities confirm their wish to organize and be in charge of the maintenance; (ii) Villagers commit to contribute to some aspects of the construction.

AD.10 Pre-RIP

Village Hall (Nakai Tai)

Build extension of the roof of the Nakai Tai village hall

AD.11 Pre-RIP

Ice Plants

Build cold storages (preferred to ice plants) as requested by fisheries group if the request is in line with the 3 principles defined between District authorities and NTPC, to foster the ownership of infrastructure from resettlers.

AD.12 Pre-RIP

Disturbance allowance

Look for evidence establishing that disturbance allowance was paid to all the resettlers. If no such evidence, payment of disturbance allowance to households not paid.

AD.13 Pre-RIP

Waste management plans and service for resettlement villages- Preparation and construction

Implement waste management plan as agreed between NTPC, District and SERF-Preparation and construction of Land fill

AD.17 Post-RIP

Waste management plans and service for resettlement villages- Implementation

Implement waste management plan as agreed between NTPC, District and SERF-Implementation of waste collection system for new landfill



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Code Pre/Post RIP

Context Action

AD.14 Pre-RIP

Assistance to resettlers on ploughing and terracing

Look into documents to support the arguments that ploughing/terracing was piloted with technical reports which say it wasn’t productive to do terracing and explain the background. In case such document could not be found: In the Agriculture section of the CAP, there are many development options, including in the medium term with the 5 year project AFD/NTPC (beyond CA) to provide a support to voluntary farmers to develop the potential of their plot. This could be considered as a corrective action to this NC on agriculture.

AD.15 Pre-RIP

SERF usage clause Circulate SERF AIP with IFIs.

Please refer to Annex 4, for details of KPI and targets for these actions.

Overall Progress on the Remedial actions

A specific dashboard has also been prepared and appended to the existing dashboard of CAP

actions to follow up on the progress of these 17 actions.

In accordance with timeline set by JWG, NTPC team started to work on these issues in mid-

June In addition GoL and NTPC also continued to implement their respective clauses In

Progress but with a focus on the Medium and High priorities defined by IFIs.

As of end of December 2017, the progress on these 17 actions was as follows

The next sections outline the progress for each action in 2017.

Action AD.1 Influx of outsiders in resettlement area

Action Completed – Completion Report under finalization

As per clause No.7.5.1.of the concession agreement Schedule 4, Part 1 of the Concession

agreement, in accordance with the Nam Theun 2 Land Decree, the GOL recognizes that the

land in the Resettlement Area is primarily for resettlement purposes. The implication of the

same is that non-resettlers aren’t allowed to own or manage land in the Nakai resettlement area.

In 2012, Nakai District Governor issued a regulation on the Collective Land Titles. Soon after,

the Household Booklets on Collective Land Titles were also developed in accordance to the

content of regulations. In the beginning of 2016, CLT Booklets for 14 hamlets were updated by

adding more illustrations and new eligible inclusion, the subsequent growth households. After



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the update of the CLT booklets, the technical team of the district from DAFO and DoNRE

conducted village meetings to disseminate the contents of the booklets to the villagers.

The regulation or the booklets clearly mentions the accessibility right on each type of land

under CLT in the resettlement area. At the same time, they also clearly state that outsiders

aren’t entitled to any type of land rights in the resettlement area. The booklets were key IEC

Material for raising awareness of the villagers through the dissemination sessions.

However, over the past few years Nakai has seen an influx of number of outsiders into the

resettlement area. These not only include the GoL officials and their dependents, but also

traders besides relatives of the resettlers. Some of them also have been able to get land use

rights, if not land ownership rights. This has been seen a concern by external monitors

including the POE and has been highlighted as a non-compliance in the findings of the IMA

mission.

The district agencies with strong support from RO team organized campaigns and

dissemination sessions across the resettlement villages to recirculate the principles of land

decree, clarified through the CLT and land regulations. In order to remind the villagers of their

own rights on land and to curtail the influx of outsiders in the resettlement villages, the Nakai

District Governor also issued an announcement letter particularly on the Decree No.193 of the

Prime Minister. Campaigns were done and information was disseminated through village

information board, village meeting hall and via village speaker in each hamlet during October

2017.

Action AD.2 Grievance Redress Mechanism


Grievance is a prime concern in terms of social safeguards and the ADBs accountability

mechanism. The IMA and the early 2017 IFI mission also highlighted that not all households

are fully aware that they are able to submit complaints/grievances regarding project related

issues and that the grievance system is not effective and resettlers are not well aware about

their rights to grievance for entitlements. Access to grievance process is however a key

parameter for the accountability of the project.

Therefore the JWG decided that action be taken to remedy the above shortcomings and have

the Grievance Redress Mechanism again fully functional implying the following outputs:

To have an updated realistic Grievance Manual approved by the District Governor.

To have village and district level Grievance Redress Mechanism dedicated persons

re-trained on CA GRM obligations and updated Grievance Procedure Manual

To have village level GRM dedicated persons (VGU) re-trained on CA GRM

obligations and updated Grievance Procedure Manual

To have functional GRM procedures in place at village level

To have GRM District Justice Office properly organized, responsible and functional

for processing efficiently grievances, including managing ad hoc database

To have resettlers re-informed about the GRM purpose and practical procedures.

A GRM corrective Action Plan including a timetable was developed in July 2017 jointly by RMU,

Nakai District and NTPC and endorsed by ADB.

It consisted in:



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1. Assess the current situation at village, district and NTPC level

2. Review the Grievance Manual

3. Training of District people

4. Training of Village people (by district team)

5. Re-circulation of all GRM related information as per CA spirit to 16 hamlets

resettlers (by district team)

6. Administrative Reorganization

The revised Grievance Manual was approved by Nakai Governor and NTPC CEO on 10

August 2017 and used as reference for the retraining of district staff and VGU and village

dissemination.

District Grievance committee training was organized for 15 district and RMU staff on 21-22

August and was conducted by the Provincial Justice Office with RO support.

Retraining of VGU (for 74 people) was organized in 3 groups (northern, central and southern

villages) on 24, 28 and 29 August. Training was performed by district staff with RO support.

The grievance processing in District Justice Office was reorganized with NTPC support and

necessary IT hardware and software and stationary were provided.

NTPC RO re-developed a specific database for organizing and processing the grievances,

installed it on the District Justice Office computer and trained the staff on 6th of September.

Further assistance was provided later on as necessary.

RO staff supported the District Justice Office staff in preparing the IEC material and organizing

the village dissemination. The village dissemination took place from 1 to 22 September with RO

staff as observers.

No.

Date of

disseminati

on

Village/

Hamlet

Total

(G1+G2+

Non G2)

Sum attend G1 G2 (Subsequent

Growth HHs) Non G2

All attend Men Female Men Female Men Female Men Femal

e

1 01/09/17 KK 73 35 7 28 7 17 0 7 0 4

2 05/09/17 BM 104 56 28 28 20 23 7 4 1 1

3 06/09/17 NKN 141 94 44 50 31 30 11 13 2 7

4 07/09/17 PPP 142 36 15 21 10 21 3 0 2 0

5 08/09/17 NKT 279 192 53 139 42 99 9 36 2 4

6 11/09/17 SO 196 79 21 58 21 58 0 0 0 0

7 11/09/17 PSV 62 36 13 23 13 14 0 9 0 0

8 12/09/17 SM 102 50 14 36 8 24 3 11 3 1

9 13/09/17 ODS 602 81 20 61 16 51 3 7 1 3

10 14/09/17 NBK 78 51 16 35 13 28 3 7 0 0

11 15/09/17 TL 135 18 12 6 12 6 0 0 0 0

12 18/09/17 Done 234 83 18 65 14 47 3 12 1 6

13 19/09/17 SP 74 38 18 20 16 18 2 2 0 0

14 20/09/17 SH 58 38 22 16 18 10 4 6 0 0

15 21/09/17 NN 84 34 16 18 12 13 2 2 2 3

16 22/09/17 NB 59 35 12 23 11 18 1 3 0 2

2,423 956 329 627 264 477 51 119 14 31



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Action AD.3 Disclosure and transparency

Action Completion status – 83%

Public disclosure of all the E&S Reports since the inception of the project (financial close) has

been identified as one of the remedial actions. As a part of Project Agreement with ADB,

NTPC is obligated to release semi-annual E&S progress reports since Financial Close until

date. NTPC except for two reports in 2005 & 2006 did not release such reports for public

disclosure. Hence, this was seen a non-compliance.

Since, Jul’05 the following reports have been produced:

E&S produced two semi-annual progress reports Jul’05- Dec’05 & Nov’05- Apr’06. May’06 until Jun’10, 62 monthly progress reports were produced. These were called as

the MPRs.

Jun’10 until Mar’13, Quarterly progress reports were produced. These were the QPRs. There was an annual report produced for the period Apr’13 until Dec’13. From Jan 2014, Bi-Annual and annual progress reports (APRs) have been produced

until date.

The concession agreement mandates that an approval of the Government of Lao PDR is

required for such documents disclosure (Clause 36.5, Volume-1 Operative provisions). Hence,

GoL authorization was requested and taken for all the E&S reports marked for public

disclosure.

Efforts have started to prepare the reports for public disclosure, reviewing them for information

that may not be considered necessary for public disclosure. Additionally, personal and financial

details such as name of individuals, consultant companies, contract amount and financial data,

which are already not available on public domain were removed from the reports. A few reports

have already been finalized and will be released soon on the NTPC website and later ADB

website.

AD.4 Jobs availability to resettlers during operating phase (100 jobs)


Clause No. 12.3.3 of the concession agreement Schedule 4, part 1, obligates the company to

provide approximately 100 jobs to resettlers during the operating phase of the project. The

company during the operating phase has taken necessary endeavors’ to give priority to

resettlers for direct employment available with the company or through its contractors. It should

be noted that while necessary endeavors’ were made to provide employment to resettlers,

actual number of jobs enlisting depend on the interests, capabilities and skills of the resettlers.

The various type of jobs offered included staff positions with the various departments of the

company, through its contractors such as ADEN, CES, KSSS or casual daily labors hired for

various activities as and when required. All these kind of employment opportunities have been

listed and considered in this report.

The collation of data from all possible sources of employment conclude that an equivalent of

approximately 121 jobs were made available to resettlers during operation phase which is more

than 100 jobs stipulated by the concession agreement.



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It is understood that the company made all possible endeavors to promote employment among

resettlers. Beside employment listed in this report, the company through its resettlement

program generated various job opportunities to implement the resettlement program. These

include additional government staff hired to work for the resettlement program including that at

health centers, schools, government departments and other local resettlers working the

resettlement office as long term consultants. The company has also hired interns from

resettlement program to train and prepare them for future career opportunities. However, these

kind of employment opportunities have not been captured in assessment.

AD. 5 & AD. 6 Water quality, availability and borehole maintenance

Action Completion status

AD.5 – 94%

AD.6 – 79%

The CA mandates that the company shall ensure that clean domestic (“good quality”) water is available to the resettlers all-round the year. To ensure this there should be 1 borehole installed

for every 5 households on the Nakai plateau and easily accessible to them as well. While, the

installation of boreholes ensures that water is available to resettlers (except a few instances of

some boreholes for which water level goes down during dry season), the quality of water needs

to be regularly monitored to ensure it is safe for human consumption (water is however not

supposed to be drinkable and needs to be boiled in any case).

The required number of boreholes as stipulated by the CA were handed over to NAMSAAT with

ample spare parts and training to maintain the boreholes. The Environment team of the

company since 2006 has been continuously monitoring the water quality of the boreholes on

Nakai plateau on a sample basis. The sampling methodology has ensured that all the

boreholes on Nakai plateau are covered for water quality monitoring on a rotational basis. The

water quality analysis and results from the monitoring of boreholes including any red flags and

corresponding corrective actions required are shared with NAMSAAT for their further remedial

action. This monitoring started in 2006 and will continue until the end of the Concession Period.

Over the time some few boreholes have become defective and few have broken down. Hence,

SERF in the last two years of 2016 & 2017 undertook an overall maintenance exercise to repair

and clean all the boreholes on Nakai plateau. SERF contracted private contractors to repair

and maintain the boreholes. The repairs were completed by the end of 2017, however pending

formal closure, awaiting the completion report from the contractor and SERF authorities. It is

understood that some boreholes are beyond repair or do not provide enough water in dry

season.

Since the number of boreholes installed on Nakai plateau is already dense (1 borehole for 5

households) and its increase is limited by the physical conditions, drilling of additional

boreholes isn’t seen as a viable option to support long term domestic water requirements of the

population. Hence the complementary remedial action decided by the JWG is that NTPC

organizes a feasibility study to assess the potential of home water supply and distribution

system. A specialized French NGO was selected. The feasibility study was based on a

comprehensive survey on socio-economic, technical and financial aspects in the target

communities of NTPC. The NGO team visited the plateau in the month of July and collected

various socio-economic, technical and meteorological data. This included field survey,



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households and community interview and discussion with NTPC and district technical teams.

Villagers. Willingness to pay was also assessed.

The NGO team, based on their study, will propose various possible options for installation of a

water distribution system for different villages or groups of villages of Nakai plateau. The results

from the study will be presented to GoL and NTPC in January. They will be further used to

consider installation of such system through PPP or other available funds such as

NT2DF/SERF.

AD.7 Drainage related issues


IMA has noted a CA non-compliance regarding drainage systems at most community buildings

in the 16 hamlets. A GOL review of community buildings non-compliances confirmed this and

requested remediation.

A Nakai District / RMU / NTPC meeting reviewed all community buildings non-compliances and

reached an agreement on the measures to be taken to fix them. In advance of the JWG

meeting of 31/05/17 it was decided to survey the drainage issues in all hamlets.

A meeting involving RMU, Nakai district and RO discussed the objective and set up the plan of

the survey. It established a team from DO, RMU and RO to expedite the survey and provide a

first report to be presented to the JWG. The result from the survey about drainage issue was

that some community buildings have issue with drainage system and the same need to be

fixed. The original principle for intervention was that there would be participation from the

villagers for the labor and NTPC would support all material as necessary such as soil and tools

for repairs.

The 31/05 JWG meeting confirmed the requirement of the remedial action and asked for a

prompt work execution before the rainy season but the early onset of the rains obliged to

postpone the drainage improvement after the rainy season.

However, in September there were informal reports from various hamlets that the drainage

issues were more important than initially observed in May. It was therefore decided to conduct

a re-survey by district departments (PWT, DO, Health office) with technical support by RO. It

was found that almost all community buildings had increased but variable level issues with

drainage. Because of the updated – increased - volume of works and the very limited time

available for execution it has been decided to outsource the entire work to a contractor. The

contracting process progressed during end of 2017 and the work is expected to complete by

end of February 2018.

AD.8 & AD. 16 Sufficient number of classes to accommodate kids of resettlers

households


AD.8 – 77%

AD.16 – 0%

One of the findings of the IMA compliance assessment was that classroom sizes of primary

schools constructed by the company didn’t adhere to the CA guidelines. However, later investigation and discussion with the district authorities and RMU pointed out that the



Page 16 of 417

deviations were a part of adaptive management and adherence to applicable national

standards at that time and that the deviation has had so far no negative effect on the wellbeing

of the pupils and the efficiency of the teaching in most schools.

However, owing the increasing population and increasing pressure on existing primary schools

at Nakai tai, Sop On and Done, it was discussed and agreed that additional blocks of

classroom, toilet facilities and teacher’s house will be constructed in the three villages for accommodating in good conditions the increasing number of pupils.

Hence an agreement has been reached between the NTPC and the GoL on (1) the type and

construction of additional classrooms (expected: Block of 3+1 rooms for each hamlet) and

teachers’ houses at Nakai Tai, Sop On and Ban Done, and (2) an additional staffing of the

schools by the Ministry of Education and Sports where priority is given to qualified applicants

from the resettlers’ population.

A MOU has been drafted and formalized between NTPC and GOL covering the above points

and serves as an agreement of each party’s responsibilities and commitment towards creating additional facilities to accommodate the increasing number of students going to primary schools

in Ban Nakai Tai, Ban Done, Ban Sop On and warrant additional manpower to support the

operation of additional facilities.

NTPC has committed to construct one (1) additional classroom block, toilet and teacher’s house each in Ban Nakai Tai, Ban Done, and Ban Sop On, with additional furnishing as

required, while, the GOL has committed to provide necessary staffing. All the provisions need

to be fulfilled by end of June 2018, so that the facilities can be used for the school year 2017-

2018.

The contracting process was almost completed by the end of 2017 and the construction is

expected to start in late January with the target to complete by end of May 2018.

AD.9 Sewage facility (toilets) around market


The CA calls for adequate sewage facilities around the markets. Based on the request of

district authorities and later a joint discussion with district authorities and RMU3, it was

observed that Nongbouakham market is the only market that is currently operational, while no

other market was being used. It was decided by the JWG that NTPC and GoL will discuss with

village authorities and community of Nongbouakham about their interest for these toilets and

their commitments to maintain and operate them. In case the toilets are constructed then who

will be responsible for the maintenance of the toilets and what about the modalities for the

same. If there is an assurance for regular maintenance then toilets will be constructed by

NTPC, with some labor inputs from villagers, as a remedial action to be funded by NTPC for

material and technical support and labor from villagers as per their capacity.

However, owing to technical constraints and delay in implementation, NTPC has decided to

outsource the entire work to a contractor. The contracting process progressed well in the last

3 Meeting on clauses pertaining to Infrastructure handed over to GoL (43 issues) dated 23rd May’17



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month of 2017 and the construction is expected to start in early February and be completed by

the end of same month.

AD.10 Extension of Nakai Tai village meeting hall


While the CA stipulates the size of the meeting halls in each village to be proportionate with the

number of households, a deviation was adopted by NTPC, while constructing the meeting halls.

Two standard sizes were used for all villages. All the villages except Nakai Tai, have the

constructed size of meeting hall that is more than the CA indicative size.

However, based on the request of district authorities and later a joint discussion with district

authorities and RMU4 it has been decided that the roof of the Nakai Tai meeting hall will be

extended, to be able to accommodate all the villagers in case of a full meeting. This was further

endorsed in the meeting of JWG as a remedial action to be funded by NTPC for material and

technical support and labor from villagers as per their capacity. However, owing to technical

constraints and delay in implementation, NTPC has decided to outsource the entire work to a

contractor. The contracting process progressed well in the last month of 2017 and the

construction is expected to start in early February and be completed by the end of same month.

AD. 11 Ice Plants


Only 5 ice plants, each shared by either 2 or 3 villages, were provided by NTPC which was a

deviation from the resettlers’ entitlements of concession agreement. This provision was based on the agreement made in consultation meetings held between 23 February and 04 March

2009, attended by PMS, village authorities, RMU, DAFO, village fishery group, NTPC fisheries

team. Memorandum of Consultation on the Implementation of the Ice Plant, dated 08 March

2009, signed by the Secretary of the RMS, documents the agreement.

Request of construction of cold storages (preferred now to ice plants) from fisheries group will

be considered by NTPC in agreement with the District, provided there is sufficient evidence to

establish that there is a genuine need and well laid plan and ownership and contribution from

resettlers for operating them and based on the three principles agreed between NTPC and

district on 6 April 2017 (MoM No 160/DG.NK). The construction, if required, will be completed

before June 2018. Percentage of completion is low because it is still being discussed within the

fisheries groups.

AD.12 Disturbance allowance


As per the concession agreement all the 6,289 resettlers resettled in 16 hamlets were entitled

to a disturbance allowance of USD 15 per individual.

Meeting on clauses pertaining to Infrastructure handed over to GoL (43 issues) dated 23rd May’17



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The relocation of villagers was done based on pre-resettlement consultations and other

considerations such as pre & post resettlement size of village, ethnic concerns but at the same

time attempting to minimize the relocation distance between the old and new village site. While

some villages have moved in a consolidated manner, some of them have been

bifurcated/consolidated and later merged with other villages. The payment of disturbance

allowance may not have strictly followed the new village name/composition. In few cases the

payment were made as per the old composition and for some cases following the new village

structure. Hence, it became important to consider the inter hamlets movements while

attempting to understand the payment receipt of disturbance allowance across different

villages.

The objective of this action was to look for convincing evidence which can help to establish the

fact that disturbance allowance was paid to resettlers as per the concession agreement. The

approach was to coordinate with the finance department of NTPC, and establishing linkages

based on journal/ledger/requisition number to physically retrieve the hard copies of payment

made to villagers. The details obtained were later cross checked with resettlers’ database

available with the company.

The overall findings from this action conclude that disturbance allowance has been paid to all

resettlers households and there is no default in the payment of allowance either between

different villages or within villages.

AD.13 & AD.17 Waste management plans and service for resettlement villages-

Preparation construction and Implementation


AD.13 – 43%

As discussed last year between NTPC and GoL, a new solid waste landfill will be constructed

on Nakai plateau as a joint project with support from NTPC and SERF. The plan goes beyond

the scale of work suggested in the CA as it calls for solving all aspects of waste management:

(i) open a new landfill according to Lao standard, (ii) properly close the current nonstandard

landfill, (iii) set-up of a solid waste management system, (iv) environmental

awareness raising in the communities. This plan has been endorsed by the provincial

governor.

While NTPC already donated a truck to Nakai district last year for waste collection, the

contracting process to construct the landfill was initiated by NTPC and was not completed by

end of 2017. The contracting process is expected to complete early 2018. It is expected that

the construction and operationalization of land fill shall happen by the end of quarter three

2018.

AD. 14 Assistance to resettlers on ploughing and terracing


This clause was considered not compliant due to lack of support provided for terracing. At the

time of discussion with JWG, it remained unclear as whether any support was provided by the

company for terracing and ploughing support. No proper documentation was available to

establish the compliance. It was pointed by the district and RMU that the field experiences of



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ploughing and terracing led to decreased yield of paddy and hence the support was

discontinued as there was no demand from resettlers.

The RO team looked into all the possible documentation including monthly progress reports,

reports from consultants and review report of the Nongboua pilot village. It was concluded that

the terracing support was provided for pilot village of Nongboua. However, it wasn’t taken up by other villages, as villagers didn’t show any interest or requested for the same. Any future requirements/need may be considered in the MTDP under the NP-LAF project.

AD. 15 SERF usage clause


The IFIs while referring to the IMA Assessment, pointed that the diversion of SERF funds for

assets which are not within GoL resettlement assets is a non-compliance. Hence a request was

made to share the AIP of SERF for 2016-17 & 2017-18 to better understand the future

utilization of SERF fund.

The AIP of SERF for the year of 2016-17 and 2017-18 has already been shared with the IFIs

and hence this action is complete now.

2 CAP implementation – progress until December 2017

The CAP – reminder

The Comprehensive Action Plan is a multi-stakeholder plan across all aspects of the Nakai

Resettlement Program. The 24th Report of the POE recommended the extension of the RIP for

2 years in 2015. Therefore, in November 2015, the GoL (inclusive of the national, provincial

and district governments), NTPC and project IFIs (ADB, AfD, EIB and World Bank) agreed to

form a Joint Working Group (JWG) to:

List the specific pending issues and actions to meet the resettlement objectives and

provisions; and

Identify initiatives to support sustainability of livelihoods on the Nakai Plateau in the

longer term.

Collectively, these tasks constitute the Comprehensive Action Plan (CAP) for the RIP

closure and beyond. The CAP contains seven component action plans; four livelihoods

(Forestry, Fisheries, Agriculture and Livestock and Off Farm), supplemented by three cross-

cutting plans (Poor and Vulnerable, Ethnic Groups and Gender). It addresses plans for the RIP

(the List of Actions) and for the longer term after handover (the Medium Term Development

Plan).

The CAP finalization followed a long process of multi-stakeholder consultation, as reminded in

Annex 1 – Comprehensive Action Plan (CAP) chronology, page 178. The final version of the

CAP was established on the 25 January 2017.



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Overall Progress and challenges

Systems for Internal Monitoring and Co-operation

RO Team Leaders Weekly Meeting - the purpose of this meeting is to summarize of the

progress of the implementation of the CAP and additional action plans. Team leaders are

reporting on the progress, difficulties, and challenges for actions faced by their team in the past

week. They also present a weekly plan for following week, then find solutions for challenges

together, and propose possible assistance if the team need either from other teams, NTPC

management or GOL. At the end, all issues are recorded and consolidated in Weekly memo to

report to RO management level.

RO Management Weekly Meeting - after receiving information from the teams, all main

achievements, difficulties and challenges are discussed in this meeting with E&S management

to find out discuss any solutions or decisions that are needed at the management level. All

solutions and suggestions in this meeting are reported back to teams and implemented in

coming week.

RO and District Office Team Leaders Monthly Meeting - A monthly dashboard has been

established by NTPC, compiling the weekly progress reported by the teams. In this meeting, an

overall progress of CAP from the dashboard is shared to all implementation stakeholders,

including RO Management and Team Leaders, District Office Team Leaders, RMU’s technical team and DWG technical team by District Working Group. All district counterparts prepare

presentations in close collaboration with RO staffs for each Action Plans. They present an

overall progress in Action Plan level and the main highlights of the month such as

achievements, difficulties, challenges. They also present a plan for following month. This

meeting not only serves to share the progress to all participants but is also ensures that all

counterparts are closely involved in the working progress and receive any relevant information.

Moreover, to the meetings provide a chance to all participants to be able share an idea,

feedback and suggestion. All issues which are raised in the meeting are recorded and

summarized for RO, RMU and District Office Management Monthly Meeting.

RO, RMU and District Management Monthly Meeting - Monthly management meetings

between RO, RMU and District Office management are used to discuss the main challenges for

all Action Plans and other activities, and at the same time to agree on progress in dashboard.

Furthermore, during the meetings the management teams discuss about the main issues which

slow implementation, and work together to find possible solutions. Additionally, Management

also have meetings as needed as issues arise.

Dashboard Progress Report

On the advice of the Joint Working Group during meetings on 4/10 and 7/11/2017, 2 Actions

have been removed from the LoA, and 9 Actions have been deferred to 2018. The two deleted

actions covered the pilot of adjusted support to Vulnerable households. Support will instead

continue to be provided in its current form, therefore there is no need for a pilot.

More details are provided in Annex 2 – Adaptive management on LoA implementation (JWG

4/10 and 7/11/2017).



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The nine deferred actions will be complete by Q2 2018. As a result, there are now 116

LoA actions, 107 of which had to be completed by December 2017.

Overall progress of Action Plans in December 2017



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Detailed progress of Action Completion

Progress across List of Actions (LoA) for RIP closure

Progress across Medium-Term Development Plan (MTDP)



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Timeline for LoA implementation

Progress of challenging LoA actions in December 2017

19 actions have been identified as challenging on the basis of operational complexities.

Challenging LoA actions: 11 actions (defined at the beginning of the implementation phase –

mid 2016).

*The “strategy” is only one aspect of the Forestry Action Plan. General progress for this AP is 86% in December 2017.



Page 24 of 417

Other challenging LoA actions: 8 other actions (defined at the end of August 2017).

Master Table of CAP actions – Progress until December 2017

The detailed Master Table of the CAP, disaggregated to the Action level is in Annex 3 – List of

Action (LoA) completion status in December 2017– page 187.

Progress is presented for each Action as of 31st December 2017. It is important to underline

that this is a quantitative estimate which should be considered in conjunction with the

qualitative details provided in chapters 2.3 to 2.9 hereafter.



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Action Plan for Fisheries

FI.1.1.1 Conduct fish biological and ecological study to find out the

important spawning areas in the reservoir and its tributaries to determine

which areas are truly needed for fish spawning and which could be opened

to resettlers fishing (LOA − NTPC) Action and reporting completed

Fish population in the Nam Theun 2 Reservoir and tributaries has been monitored since 2008.

Numerous data were collected through a panel of monitoring leading to a better understanding

of the fish population and their ecology.

Results underline the importance of reservoir upstream rivers and transition areas (the area

between river and reservoir) for the fish biodiversity. These areas are also qualified as

important site for fish spawning, which mainly occurs during the wet season for almost all

species. These areas are all included in the Nakai NPA.

The reservoir littoral includes numerous swamps where fish are spawning. It appears that areas

north of the Thalang Bridge (e.g. Nam Yalong – Nam Malou area, Dam site) are important sites

for spawning and then may play a role to maintain the reservoir fish stock.

The study confirmed the importance of protecting the areas in the Nakai NPA as well as the

northern part of the reservoir (from Nam Yalong-Nam Malou to Dam Site).

FI.1.2.1 Set-up the fish protected areas for the important identified fish

spawning and diversity sites (LOA/MTDP– GOL)

Action completed – Completion report under finalization

The KPI of this action include the “fish protected areas defined” as a LOA. District Advisory Committee on fisheries was established at the beginning 2017 (agreement No.

524). Presentation on fish spawning areas and diversity to agree on important areas were presented to all stakeholders (MoM with WMPA NTPR/19421/2017-K07-09, NTPR/27794/2017-K07-09 and MoM NTPR/19854/2017-K07-09). All results of research and

proposal for the important sites were discussed with the District Fisheries committees.

Identification of the important zones was approved for the tributaries upstream of the Reservoir

(Nam Theun, Nam On and Nam Xot).



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Demarcation of the protected area was realized on the 26th September 2017. It included the

set-up of signs and the implementation of water check-points on the main tributaries to ensure

an effective protection of the natural resources that includes fish.

Finally, a new boundary was defined for the area North of Thalang Bridge. This new boundary

was implemented to allow fishers from northern villages to access to the resource with a

compromise that lead to protect Nam Yalong-Nam Malou and Nakai reservoir north areas as it

appeared to be important for the fish resource (spawning sites). Implementation (sign set-up

and information dissemination) was realized on the 27th September 2017.

FI.1.3.1 Re-establish the existing checkpoints in the SCZ and enable a

regular operation (LOA – GOL)

Action and reporting Completed

The resource management included the enhancement of the fish resource protection and the

control of the fisheries activities by re-establishing the existing checkpoints (e.g. Nam On, Nam

Theun, Nam Xot) in the SCZ and enable a regular operation.

Fisheries main stakeholder agreed on the necessity on permanent check-point in some areas

and mobile checkpoints. It was then agreed that permanent checkpoints will be more efficient in

the Nam On, Nam Theun and Nam Xot River. The ToR of the checkpoints were defined to

ensure the fisheries protection resource. Mobile checkpoints operated in the areas of Houay

Sanape, Houay Sa ngong, Nam Malou-Yalong to dam site area.

The water permanent checkpoints were re-established on the 27th September 2017 after the

budget was approved. First results show a clear decline of illegal fishing in the SCZ with a

decline after few days of fishermen entering the SCZ area.

FI.1.3.2 Define new checkpoints for sensitive areas (such as new old

Sophia village next to Dam site) and known illegal fish marketing sites

(LOA/MTDP – GOL)

Action completed – Completion Report under finalization

Recent studies underlined that the most important illegal trading site occurs near the NTPC

Nakai Dam. Discussion among stakeholders on the management option of the checkpoints

were conducted during a meeting between Khamkeut District, Nakai District and all key

stakeholders including WMPA (NTPR/27795/2017-K07-09). Early July 2017, meeting with

Khamkeut District, Nakai District, WMPA and NTPC led to define a road checkpoint near the

Dam Site after a site visit. The checkpoint was agreed by both districts. Furthermore, the ToR

of the check-point will ensure that only NTPC cars, sub-contractors car, GOL staff could cross

the checkpoint. The road checkpoint was implemented and started operation on the 27th of

September 2017. First results of illegal trading activities showed a clear decrease of illegal fish

trading activities near the dam site (See Annex 4).

FI.1.3.3 Improve the existing co-patrolling between WMPA and VFG by

developing a working mechanism and update the regulation to be more

effective (LOA − GOL) Action and reporting completed



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Co-patrolling activities started in 2015. Patrolling team includes firstly 2 teams such as regular

patrolling team with staff from WMPA, DAFO, RFA, DoNRE and an emergency patrolling team

with WMPA, DAFO, RFA, RMS, Police and Military. The co-patrolling were done on the water

and terrestrial systems.

Improvement of the existing co-patrolling between the WMPA and RFA/VFG by developing a

working mechanism and update the regulation to be more effective was defined as a

challenging action in the fisheries pillar.

The improvement of the co-patrolling led to include the community involvement. This led to

revise the regulation and the reporting system of patrolling missions. The improvement of co-

patrolling team involves 3 teams that are the Permanent water checkpoint team (Nam On, Nam

Theun and Nam Xot) with WMPA, DAFO, RFA/VFG, Police, and Military; a Mobile checkpoint

team (patrol at Houay Sanap, Houay Sngong, Nam Malou-Yalong to dam site) with WMPA,

RFA, DAFO, RMS, Police and Military; and an Emergency team (water and terrestrial patrolling

base to emergency report) with WMPA, DAFO, RFA, Police and Military.

The co-patrolling improvement also led to have a coordinator team with representative from

WMPA, DAFO, RFA, RMS, Police and Military. This team will coordinate between co-patrolling

team and district advisory committee.

Finally, the target and KPI of this action was to ensure a co-patrolling with 10 day/month. The

target and KPI were reached. Furthermore, the number of human observation and equipement

confiscated decreased in 2017 when compared to 2016.

The co-patrolling will further continue under the regular task of the WMPA in the coming years

with the respect of the revised regulation that included coordination and enhancement of

information sharing among the main stakeholders.

FI.1.4.1 Monitor the evolution of fish catch on Nakai Plateau (LOA – NTPC)

Action and reporting completed

This action completion report is a description of the evolution of the fisheries status in Nakai

reservoir by the end of 2015 and 2016.

A Fish Catch Monitoring survey has been implemented since the end of 2008 in view to monitor

the fisheries evolution on the Nakai Plateau. Furthermore, the better knowledge of the fisheries

represents a valuable asset for the fisheries resource and its management. In this context, the

fish catch evolution was considered as a key element in the Fisheries Action Plan.

A fish catch location mapping was realized in 2016 (covering 2015). The main findings are that

outsider fishing seems to be reduced, while households tend to fish more outside their own

village areas than before. The main shifts are an increase in the importance of near-shore

fishing and at the same time a decline for fishing North of Thalang Bridge and in the Nam

Yalong-Malou area.

The fisheries action plan required an in-deep analysis of the available data for 2015 and 2016,

with the available data of 2015 considered as a baseline. Fish catches for 2014-2016 are

significantly higher than for 2012-2013 with the daily household catches experiencing an

increasing trend and are now at levels comparable to that reported for 2009.

Estimated average household income, in line with increased fish catches during 2016, has

seen a significant increase after the low levels of 2012. Average monthly household income

from fisheries has been stable at 300,000 LAK/month since 2014.

The analysis of the most recent data for 2012-2016 indicates the influence of overfishing and

exploitation of protected areas on the composition of the fish catches. The fish catches are



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dominated by catches of fast growing, opportunistic species with a low value (Tilapia and

Hampala barb) with main species relative importance stable for 2015 and 2016. Only a small

amount of the catch is sold at the fish landing. However, the amount of fish that is traded is sold

in 2016 at the official fish landing sites has increased from previous years and now constitutes

18% of the total reported amount sold, with an amount of almost 196 Metric Tons traded at fish

landing sites.

Overall, species catch contribution stays stable when compared to the baseline period and

there is no indication of over-fishing for any main species found in the catches.

The fish productivity has increased from 22 kg/ha/year in 2015 to 27 kg/ha/year in 2016. Based

on the current analysis, this could be linked to (i) the exploitation of protected areas and

catches of only a few main species or (ii) a high catch during the dry season 2016 where the

water level was really low and may lead to the re-establishment of fish population.

The fish catch monitoring highlights the importance for establishing fish protected areas inside

the WMPA area and better collaboration between stakeholders. Only effective habitat and

resource protection may be able to ensure that fisheries will remain of importance as a

livelihood as well as for food security.

Finally, the fish catch monitoring will continue as per CA obligation until end of the RIP even the

action for the Fisheries Action Plan is completed.

FI.1.4.2 Support the ongoing fish stock assessment research program by

completing the Fish Stock Assessment Research Data Collection (LOA − NTPC)


To complete and strengthen the knowledge on the fish stock in the reservoir, a research

program (LaoPaDam) was developed in collaboration with INRA (Institut National de la

Recherche Agronomique), EDF – CIH and NTPC. Data collection started in November 2015

(hydro-acoustic survey, otolith and gillnets survey intensification) and in January 2016 for the

survey of landed fish and fishing effort.

Intensification of effort (3 consecutive nights vs 1 night in the quarterly and monthly monitoring)

in the reservoir stations confirms that the fish population are concentrated in the first meters of

the water column (higher catch with surface gillnets compared to deep nets). The effort

intensification also showed that data collected are reliable and reproducible with the surface

gillnets method. The reservoir areas with a higher production (e.g. Nam Yalong-Nam Malou

area) are confirmed by the survey.

Results of the deep nets showed that only few individuals colonized the pelagic and deep

zones. In addition, the fish densities estimated by vertical hydro-acoustic for the deep zone of

the Reservoir were similar between the two surveys 2015 and 2016. Fish stock estimated for

these deep zones were very low and homogeneous along the hydrological gradient (from the

south to the north). The hydro-acoustics survey confirmed that the fish stock is mainly found in

the first meters of the water column.

Finally, data collected in 3 villages from different reservoir zone showed a difference in fisheries

with higher fisheries activities in Nongbouakham. Fish landing data also underlined a difference

in the stock of species with larger individuals found in the south (Ban Done) that may suggest

less fishing pressure in this area.



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FI.2.1.1 Formal evaluation of the existing Fisheries Co-management

(including institutional analysis) with proposal of a better adaptation to the

present situation (LOA − NTPC) Action and reporting completed

A fisheries co-management programme was implemented since late 2010 to support the

development of sustainable fisheries management in Nakai reservoir, with a focus on

strengthening institutions and improving participation of communities. However, a strong

emphasis on improvement of fisheries management started recently with the aim to create a

solid foundation in close collaboration with both communities and other stakeholders (local

government and WMPA) for a better fisheries management.

The Fisheries co-management evaluation was defined as one key action in the fisheries Action

Plan to identify the strength and weakness of all stakeholders in fisheries management to

further enhance the fisheries management in Nakai.

The fisheries co-management evaluation consisted in a first mission (August 2016) by external

experts that provided an evaluation report with 22 main recommendations.

A second workshop was organized in Feb-Mar 2017 to collect the feedback of all stakeholders

on the 22 main recommendations.

The action completion report refers to the tasks requested in the fisheries action plan.

FI.2.2.2 Training of specific fields are provided to new participants of VFG

and RFA (LOA – GOL)


The Fisheries Co-Management System in Nakai ensures the participation and ownership of the

resettlers in the management of reservoir fisheries. There is a Village Fisheries Group in each

hamlet, which is responsible for facilitating trade, collecting fish catch tax, and regulation

enforcement. Their role in regulation enforcement includes patrolling the Village Fisheries

Protected Zones, and co-patrolling with the Watershed Management Protection Agency in the

Special Conservation Zones (protected areas of the reservoir). The VFG are represented at the

District level by the Reservoir Fisheries Association, which is headed by an elected VFG

member, and also includes two staff. The RFA is additionally responsible for supporting boat

registration and fish licensing processes, with the District Agriculture and Forestry Office, and

others related District Office. The RFA falls under the management of DAFO. The capacity of

the VFGs and the RFA is important to ensure effective management of the reservoir fisheries.

The Reservoir Fisheries Association (RFA) and Village Fisheries Groups (VFG) are regularly

supported and monitored by the District of Agriculture and Forestry Office, and the

Resettlement Office. Strengthening trainings for both the RFA and the VFGs were provided as

part of the CAP, including the training on field skills, regulations and accounting for VFG

members. This and was held from the 7-9 December 2016, and targeted the VFGs of all 16

hamlets. The trainings were conducted by zone: northern, central and southern, in the hamlets

of Nongbouakham, Nakai Neua and Sop On respectively. The training was chaired by the

Deputy Head of DAFO and a total of 49 people participated from 16 hamlets, 21 of whom were

women. The participants included 4 technical staff, who attended as representatives from

DAFO, RFA and RO/NTPC.

A second training, which covered basic computer skills and use for new members of RFA was

held on 29 June-4 July 2017. The training was conducted by RO and DAFO staff. A total of 16



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people participated (6 women). The participants included new committee members of RFA,

members of the VFGs who were interested this training, and technical staff from DAFO.

The training courses aim to strengthen the VFGs members in all 16 hamlets and the RFA

members, particularly in skills related to fisheries management and accounting management.

The participants in these training were representatives from the groups who work on

accounting and finance in the RFA and VFG as well as those who are responsible on fish

trading and patrolling for each hamlets. During the first training in 2016, the training

participants, especially the new member of RFA and the VFGs learned about the roles and

responsibilities of RFA and the VFG in the Fisheries co-management system. They also

received refresher training about the fisheries regulation (Fish trading regulation) in NT2

reservoir, and the general system of accounting and finance for tax and fee collection, as well

as technical training for Village Fisheries Protected Zone (VFPZs) patrolling and co-patrolling.

During the second training in 2017, the new RFA committee members and some VFGs learned

basic computer skills that are relevant to their administrative needs (Microsoft Word and

Microsoft Excel basic skills). The contents of the training course were designed by DAFO and

RO according to suggestion from District Advisory Committee for fisheries during the meeting

on 24 November 2016 and 8 June 2017.

Over the two training courses, 51% of the participants were women.

FI.2.3.1 Conduct boat registration (LOA − GOL) Action and reporting completed

The closure of the Nakai dam in 2008 has created a reservoir of approximately 489 km2 (at Full

Supply Level) which could be reduced to approximately 85 km2 at maximum drawdown.

Fisheries activity is known to be a main income resource for a large number of the households

that are living in the 16 hamlets. Because of the importance of this resource, a fisheries co-

management was implemented and fisheries regulations were developed to ensure the

sustainability of the resource.

Resettled households were given the exclusive right to fish since the impoundment and for a

period of 20 years after COD. Boat registration and issuing of fishing licenses is a way to

facilitate monitoring access, assisting in preventing outsider fishing and protect the rights of the

eligible households (resettlers).

Boat registration is valid for 2 consecutive years and doesn’t distinguish between commercial and individual boats, while individual fishing licenses are valid for a 1 year period. Boat

registration and fisheries licensing were integrated into the Fisheries Pillar referencing a 2015

baseline.

From the boat inventory data for 2015, the total estimated number of boats in the resettlement

villages was 1,267, with 610 boats currently registered in 2015 and 2016 (283 boats in 2015

and boats 327 in 2016).

In 2015, 112 people registered for a fishing license, while 296 people registered in 2016. This

available data constitutes a clear improvement of the number of fishing licenses issued

between the baseline (2015) and 2016. While the number of registered boat also show an

increase from baseline levels.

FI.3.2.1 Support development of fish processing (LOA − GOL) Action and reporting completed



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Fish processing is an activity commonly performed by households on the Nakai Plateau. Fish

catch monitoring data showed that between 5% to 10% of the total reported fish catch is

processed by the households. Fish processing groups in resettlement area were establishing in

the beginning of 2015 to improve income generation from fisheries. The project was led by

District of Agriculture and Livestock (DAFO) and Reservoir Fisheries Association (RFA), with

support from NTPC-RO. During its early stage, the fish processing groups were established in

6 hamlets in the northern at Thalang, Nongbouakham, Sophia, SopMa, NamNian and

Oudomsouk. These fish processing group gathered a total of 19 households (100%

women).The action “support the development of fish processing” aimed (i) to develop the

income generation activity in the central and southern part of Nakai plateau, and (ii) to improve

the facilities to be hygiene standard based on recommendation of the Ministry of Health.

A total of 20 HHs are involved in fish processing activities. To date, a total of 9 fish processing

groups are established. The Northern groups are: Thalang, Nongbouakham, Sophia, NamNian,

the central groups are Oudomsouk1, Oudomsouk2 (newly group) and the newly southern

groups are Phonsavang, SopOn and Khone Kaen. The total number of households trained to

develop fish processing activity reached 58 HHs (54 women) including 35 HHs members of fish

processing groups (participants were mainly women 31 HHs). All ethnic groups had the

possibility to participate to the training. Main ethnic groups were present during the training

(e.g. Lao Loum, Makong, Bor and others). To date, and after training session, a total of 24 HHs

are regularly involved in fish processing activity (100% women). In addition, these new groups

followed new procedures based on the recommendation on health hygiene production by the

Department of Food and Drug (Ministry of Health).

FI.3.2.2 Identification of new product and develop appropriate training

(LOA – NTPC)


Fish processing groups were created in 2015. At its early stage, a total of 11 products were

identified but only few of them were regularly performed and sold.

The market survey outputs (April 2017) underlined that Nakai fish processing groups already

produce the most valuable fish processing products that are the dried fish and the fermented

fish. However, advices to improve the market development were taken into account such as

improving label.

Since 2016, new products were developed by the fish processing groups compared to the

baseline of 2015. These new products are (i) the fish powder (Pa Foi) and (ii) the Cooked Pa

Daek. Training on these new products, in addition of the other common products (e.g. Sour

Fish, Dried Fish …) were conducted in 2016 and 2017. The KPI of 20 HH trained was reached with a total of 33 HH trained for the fish powder and 25 HH trained for the Cooked Pa Daek.

Participants were mainly women (97% of participants) from 8 villages (North, central and

Southern part of the Reservoir) and includes representatives of 7 ethnic groups.

FI.3.3.1 Provide the necessary facilities /equipment for fish processing

(LOA − GOL) Action and reporting completed



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Fish Processing Groups have been established in the beginning of 2015; they support to make

income generation of the villagers in resettlement area with support from DAFO, RFA and

NTPC-RO, and to make smoothly operation. DAFO, RFA and NTPC-RO have collected the

information of the necessary equipment for improve hygiene facilities and fish processing.

The necessary equipment has been provided to fish processing groups since 2015 for Northern

groups that include Thalang, Nongbouakham, SopHia and NamNian. In 2016, activities have

continued to provide for middle and southern groups that include Oudomsouk (2 groups),

Phonsavang, SopOn and Khone Kaen. Necessary equipment for fish processing group was

completed to be provided in July 2017.

This aimed to improve hygiene of facilities, for easy to process with using the appropriate

equipment and fish processing in the principle of hygiene, quality of production and standards

of packaging for product quality.

Total of 36 households are 33 women and include different ethnic groups (Lao Loum, Makong,

Bor, Ahoe…).

Other actions

Fisheries Management plan 2016-2020

The 5 years fisheries management was developed and approved during the meeting with all

stakeholders (MoM number 27619 –K07-09).

Fisheries monitoring on the Nakai Resettlement area

As part of the CA, the fisheries monitoring continues until the end of the RIP.

The fisheries monitoring in NT2 Reservoir is based on a daily catch logbook of a 3 – 5 days

recall survey from 98 sample households (HH) in 16 resettler villages along the Reservoir. The

monitoring results showed that (Figure 1 and Figure 2):

- The values observed in 2017 are slightly lower than observed in 2016 in terms of total

estimated catch. Hovewer, total estimated catch remained high during the dry season.

- Seasonality of the fisheries are more pronounced after 2012 with a peak in the middle of

the dry season and during the wet season (July-August). The low catch periods coincide

with other activities of HH such as preparing fields or harvesting.

- The fish catch increase observed since the end of 2014 was suspected to the increase of

fishing in areas such as transition area, North of Thalang Bridge and WMPA (rivers and

transition areas). However, the fish location mapping 2016 underlined that:

o The main shift is an increase in the importance of near-shore fishing. More

fishing is concentrated on areas near villages, despite reporting the lowest daily

catches for near-shore and mid-reservoir areas. The Northern cluster clearly

benefits more from the fisheries than the Southern cluster, due to proximity of

various highly productive areas

o A decline for fishing North of Thalang Bridge and in the Nam Yalong-Malou area

is observed whereas the importance of the far-shore and WMPA areas remains

at the same levels as during 2012.

- Median of daily catch per HH remain at a same level in 2017 compared to 2016. - Increase of the daily HH catch from 2-3 kg/HH/day for 2012-2013 to 5-6 kg/HH/day is

maintained in 2017.



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Figure 1 – Total estimated catch per month (ton)

Figure 2 – Household median Daily Fish catch (kg/day)

The fish sold on Nakai Plateau increased rapidly after the impoundment until mid of 2009 and

around 80% of the catch was sold in a month. Then, a gradual declining of the catch sold until

2012 to about 65% of catch sold in a month with the lowest catch sold by the end of the year

(about 50%) compared to the other year. However, the quantity of fish sold started to increase

from the early of 2013 to reach 80% to 85% of the total catch in a month from 2016 and 2017.

This highlights that fisheries became an important income resource for households on Nakai

Plateau. Seasonality has been pronounced a few years after the impoundment which is linked

to other households’ activities such as preparing rice field or harvesting (Figure 3).



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Figure 3 – Percentage of monthly fish sold reported

FI.1.2.2 Develop the regulation and implementing mechanism for monitoring (MTDP -

GOL)

Action engaged – progress at 30%.

The regulation of fisheries management in NT2 reservoir (No 97/ຈມ.ນກ) is completed by the

working group which includes the main stakeholders. This regulation was approved by district

governor. Furthermore, the expanding North Thalang Bridge areas for legal fishing was

approved by WMPA board, the key stakeholders agreed to develop the regulation for ensure to

control this area by base on the fisheries regulation No. 97/ຈມ.ນກ. This regulation is expected

to be approved by district governor on the 1st quarter of 2018.

FI.1.4.3 Support and strengthen the village fish patrolling teams for regular

implementation (MTDP - GOL)


The 15 VFPZs in 16 hamlets have been already re-set up. Boundary for each VFPZs were

established and the regulation was disseminated on fixed sign board in all 16 hamlets. The

VFG realize a patrol in the VFPZ on monthly basis. The evaluation meetings of results/activities

were conducted in 16 hamlets, in order to get the feedback from VFG to RFA and DAFO of

formulating improvements to all aspects of patrolling and effectiveness of VFPZs. After

evaluation meeting, the village patrolling teams have conducted co-patrolling in VFPZs northern

part.

FI1.4.4 On the basis of the Fish Stock Assessment, achieve consensus decision

about restocking the reservoir (MTDP – GOL)


The first task was to provide a comprehensive report to fisheries stakeholders for further

decision. This task was completed and report provided to stakeholders.



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This technical note gathered results of a panel of monitoring and studies to give elements of

discussion to fisheries stakeholders for reaching a consensus on the reservoir re-stocking.

A first assessment of fish stocking in NT2 Reservoir was realized in 2010. This first assessment

identified stocking options for the NT2 Reservoir including the cost-benefits in a context of a

newly impounded reservoir. However, it also underlined the importance to better understand

the NT2 Reservoir ecology and the fish species.

A panel of monitoring (2009-2016) underlined a meso-oligotrophic lake (low productivity) with

low phytoplankton and zooplankton production. Fish population and fisheries are stable since

2010-2011 and composed by few species that are mainly detritivores and insect feeders. The

population occupied mainly the first meter of the water column and are concentrated near

shore. Introduction of pelagic and planktivorous species failed as the ecological niche may not

be supported by the reservoir environment.

The knowledge of the reservoir environment confirms that the NT2 reservoir is defined by a

natural low productivity. Furthermore, knowledge of the fisheries underlined stable fish

population in term of species and biomass. Then, a stocking could be unsuccessful due to the

large size of the Reservoir and the food availability. It is then strongly recommended to avoid

expense for an uncertain outcome. Current knowledge of the reservoir fisheries, defined as

stable, underlines that the stock can be sustainably maintained if an effective resource

management exist by actively protect the important zones for the fisheries.

FI.2.1.2 Revision of the existing co-management system (MTDP- GOL)


The fisheries co-management evaluation includes 22 recommendations for existing co-

management system. Feedback from main stakeholders was done in February 2017 on the

output of the fish co-management evaluation and how to integrate this recommendation, if

feasible, in the current co-management system. Discussions were done with e.g. district

governor, Head of each offices, WMPA, RMS, RFA, VFG, Traders.

After discussion with all stakeholders, the district advisory committee for fisheries were

established and approved by district governor, and then the agreement on co-patrolling

between WMPA and VFG (no. 339/ຈມ.ນກ.17) were improved (see more detail in chapter

2.3.5).

FI.2.2.1 Monthly monitoring of RFA and VFG operations (MTDP - GOL)


This action to ensure the DAFO, RFA and VFG are regularly supported and monitored. The

monitoring consists to ensure monthly meeting with DAFO, RFA and VFG. These meetings

follow the schedule. During meeting was sharing issue, feedback from VFG’s monthly reports to RFA, and DAFO, and also discuss way to improve forward.

FI.3.1.1 Discuss ways to improve the marketing system with all stakeholders and

implement them (MTDP - GOL)


Discussion with the community (VFG, RFA and VDC) started during quarterly meeting of VFG

and RFA. Ideas for improvement were proposed for further consideration by the District.

Furthermore, a new marketing system was proposed to the annual RFA meeting by the head of



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the VFG and member of the RFA committee. The RFA’s chairman was proposed to the district advisory committee for further consideration, Furthermore, the new marketing system still need

to clarify proposal, including list of actions, management, ownerships, agreed with traders,

etc…, and then the district advisory committee will consider for approval this new marketing

system.

FI3.4.1 Survey to collect information of the water level and dissolved oxygen of

existing Gully dams (MTDP – NTPC)


The aim of 22 gully dams’ construction on Nakai Plateau was for both irrigation and water

supply for resettled villagers. Aquaculture development was raised since 2013 by fisheries

stakeholders in the fisheries management plan. However, a first feasibility study (cost, market

and environment) was needed to answer to this request. In this context, a first assessment on

aquaculture development on the Nakai Plateau conducted by an independent expert identified

the gully dams (equivalent to dyke pond) as the best option for aquaculture development if

water quality could support this activity.

This action completion report (MTDP) presents the results from one year water quality

monitoring in gully dams (e.g. dissolved oxygen, percentage of oxygen saturation, conductivity

and water temperature). The objective was to assess if the water quality was suitable for future

aquaculture development by local communities.

The available data indicated that most gully dams are shallow (≤ 2 meters depth) and they are flooded between September to November - December. Water temperature showed the highest

values during the warm-dry to mid of warm-wet season with low DO during the warm-dry

season. Water is characterized by low conductivity.

Results underlined that not all gully dams are suitable for aquaculture development due to low

oxygen concentration and low water level during few months. These limiting factors reduce the

suitable species that could be grown in the Gully Dams which could survive oxygen stress.

Based on the results of fish population and fish catch monitoring, most Nakai reservoir species

are not resistant to oxygen stress. Furthermore, introducing Mekong indigenous species in gully

dams could represent an ecological risk during the wet season when the Gully Dams are

connected to the Reservoir (Concession Agreement clearly indicates that introducing species

for aquaculture should be controlled).

In conclusion, the study underlined that some Gully Dams are suitable for aquaculture. Other

Gully dams can present limiting factor as the water level (shallow gully dams ≤ 2 meters depth) and during warm-dry season due to the low level of DO. Suitability of species needs to be

carefully considered.

FI.4.1.1 Develop the awareness material in the form of posters, leaflets, radio scripts

for broadcast, events… (MTDP- NTPC)


Radio script on the regulation and a poster on new regulation for each village was realized. Other materials are under development with consultation with the main fisheries stakeholders.

FI.4.2.1 Organize awareness campaign for dissemination of the fisheries related

information in wider range of the people (MTDP – GOL)




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New Fisheries regulation dissemination in the 16 hamlets is completed. Awareness on fisheries

resource and regulation was conducted during the Buddhism Ceremony in July 2017. The new

regulation dissemination also was conducted by radio broadcast at Nakai Radio station and

village speaker in 16 hamlets.



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Action Plan for Agriculture, Livestock including Land Management

AL.1.1.1 Nabong FA / IRAM /CCL Mission to Nakai for feasibility study


In March 2017, the RMU contracted the Faculty of Agriculture (NUOL) to formulate a rural

development 5 year program aiming to (i) support the development of agriculture and livestock

activities through technical and institutional assistance and (ii) build the capacity of the District

Authorities in charge of managing this sector. The formulation (feasibility study) was based on

the findings of the diagnostic study which was conducted by the NUOL in 2015.

The mission lasted three weeks, and the mission team visited 8 villages over 8 days (Bouama,

Phonsavang, Phonphanpek, Sop On, Khone Kaen, Nakai Tai, Thalang and Sop Phene). In

each village the day was divided between meetings with VDC members and women focus

groups. The mission also conducted 16 individual interviews to collect point views that would

not have emerged in the focus groups. The discussions with the villagers focused on:

- Their feasibility and willingness to participate in the different proposed activities

- The organizational framework planned (technical and institutional).

- Figures and data to be useful for budget estimation

The mission worked closely with the RMU throughout the process, and also met with

institutions including MEM, MAF, IFIs (ADB, WB), the District and Provincial Authorities, and

NTPC.

The mission outlined the 5 year project based on 5 main components: land resources

management, agriculture and livestock, fishery management, and a cross-cutting component to

contribute to the success of the technical components. For each, the formulation presented the

key issues and challenges, the proposed approach or methodology of the project to combat

these, the main activities, the objective and the expected results or indicators. For the project

as a whole, the formulation also presented global and specific objectives and targets, a

justification for the project, the overall approach, and the project rational. The global objective of

the project as a whole is “to contribute to a sustainable food security, [and] to prepare the shift

from short-term extraction of natural resources towards sustainable productions”.



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The official report was finalized in May 2017 and was titled “Agriculture and Livestock livelihood

pillars – 5 years Programme Formulation”

AL.1.2.1 Preparation of AFD/NTPC-funded project implementation (LOA − GOL)


As part of the Comprehensive Action Plan, the Government of Lao PDR, with support from

NTPC, has sought to implement a project for Agriculture, Livestock and Fisheries in the Nakai

Resettlement Area after the closure of the Resettlement Implementation Period.

The GOL, through RMU, therefore contracted the National University of Laos to conduct a

diagnostic (2015) and a project formulation (2016) using a grant from the Agence Française de

Développement. Based on the 2016 project formulation, the GOL has planned to implement a 5

Year project in the Nakai area: the “Nakai Plateau Livestock, Agriculture and Fisheries Project

(NP-LAF)”. The NP-LAF will be jointly funded by the AFD and the NTPC. AFD and NTPC will

together provide an aggregate grant of USD 3 million (USD1.5 million each) for the 5 year

project.

The project will be implemented by the Nakai District Agriculture and Forestry Office with

support from an independent organization for Technical Assistance.

NTPC funding will only cover costs related to Technical Assistance, therefore there is no

financial agreement between the GOL and NTPC. A Resolution of the NTPC Board to provide

funding for the NP-LAF was signed on the 14th of October 2016.

The AFD will provide funding to support the GOL, through the Nakai District Agriculture and

Forestry Office, to implement the NP-LAF. The financial agreement between the AFD and the

GOL was signed on the 23rd of August 2017.

The AFD-GOL financial agreement was prepared and negotiated by the GOL (Ministry of

Planning and Investment) and can be considered the GOL’s means of verification for this action.

AL.1.2.2 Conduct study tours to projects funded by AFD/NTPC (LOA − NTPC)


This Action was completed in 2016. A study tour to the Poverty Eradication Project in

Mountainous Area of Nga, La and Namor district, Oudomxay province (Funded by AFD and

implemented by CCL – Committee de Cooperation du Laos) was organized from 5th to 10th July

2016. The tour was planned as part of the AP 2016 of Resettlement Implementation Period and

the proposal of RMU. The purpose was to prepare the hand-over of the agriculture and

livestock development program from RO to District, and to share the experiences with other

project and see how the program had been organized.

3 main partners were involved in the study tour which included the provincial team and RMU,

NTPC’s Resettlement Office, and the Nakai district authority and technical staff. A total of 13

persons, including 3 women, went on the study tour, and the activity was completed over 6

days which included the traveling to Namor and La district of Oudomxay province.

As part of the study tour, the team met with the deputy of the Provincial Agriculture and

Forestry Department for Oudomxay province and the CCL project steering committee to

discuss high level management. The study tour also met with the CCL project coordinator and



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staff, with 2 target district coordinators, and with the village authorities in both districts to

discuss on the ground implementation. Finally, the team was able to visit in the field to see

activity implementation such as: paddy rice growing (Single seeding plantation), small scale

irrigation, vegetable and chili growing, cardamom plantation, and small livestock raising etc.

The team received a lot of support from the concerned partners and was able to assess the

project as the goals of the action, despite the challenges of a short visit conducted during the

rainy season. All the expected topics were shared and exchanged with partners including:

Project management and implementation system, community participation, small irrigation

management, agriculture and livestock activity implementation, village fish conservation and

management area, production group establishment and marketing, village revolving fund.

As the lesson learnt the team found that the key achievement of the project is government

participation, especially from provincial and district levels. Government staff must lead the

project implementation, both at the field activity level and at the district and provincial

management level, with a unified project administration to facilitate the process. These have

been indicated to be key for sustainable activity development. At the same time both partners

RMU/RO and CCL have agreed to support each other in the future in term of technical support

through field visit and the experience exchange by subjects or issues.

AL.1.2.3 Organize workshop on the management of AFD/NTPC funded

project (LOA − GOL) Action and reporting completed

The strategy for the agriculture/livestock pillar integrates (i) LoA project managed actions to be

completed by the close of the RIP addressing immediate needs and to bring good conditions

for the start of the “Nakai Plateau Livestock Agriculture and Fisheries project” (NP-LAF funded

by AFD and NTPC); and (ii) MTDP actions which will be covered by the NP-LAF project,

scheduled to begin late 2017 for a period of 5 years.

The NP-LAF 5-year Project, aims to support DAFO authorities and farmers towards a more

diversified and integrated agriculture & livestock strategy, consistent with the Government’s “Self-help, Self-sufficiency and Self-strengthening” and the “Three Build” policies (Sam Sang Policy).

Stakeholder’s first round table took place at the Ministry of Agriculture and Forest on 10 October 2017 on the NP-LAF project. The round table was chaired by the Director General of

the Dept. of Planning and Cooperation, MAF. It enabled a clarification of the understanding of

the roles and responsibilities of each stakeholder as well as an agreement on the way forward.

Next key milestone will now be the organization of the 1st steering committee meeting of the

project, to be held on 10 November in Thakhek.

AL.1.2.4 Implementation of the project (LOA − GOL) Action and reporting completed

The NP-LAF 5-year Project aims to support DAFO authorities and farmers towards a more

diversified and integrated agriculture & livestock strategy, consistent with the Government’s “Self-help, Self-sufficiency and Self-strengthening” and the “Three Build” policies (Sam Sang

Policy).



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The first steering committee of the project was organized on the 10th of November 2017. This

first meeting is a key milestone of the implementation. Furthermore, Technical Team is under

recruitment and implementation of the project follows the project document.

AL.1.2.5 Disseminate information on the preliminary strategy of the

AFD/NTPC/GOL project so resettlers are aware of on-going support (LOA − NTPC)

Action initiated − progress 25% – Completion delayed to Q1 2018

This action started by the process of the Village Development Plan. Dissemination on the

project was conducted for 4 hamlets that are Ban Thalang, Sop Phene, Nongbouakham and

Phonsavang. The 12 remaining hamlet are planned to be completed for February 2018 with

NP-LAF project representative.

AL.2.1.1 Identify pending land cases for subsequent growth (SG)

households and known critical issues (LOA − GOL) Action and reporting completed

A total of 147 land issues/conflicts were identified in 14 hamlets of Nakai Resettlement Area of

Nam Theun 2 Project. Those conflicts were classified into 5 main types such as conflicts of first

generation (original resettlers), conflicts of sub-sequent growth households, issues of third

generations, encroachment of the outsiders, and inter/intra village boundary issues. Those

conflicts were obtained from the requests of villagers during the village dissemination sessions

in September and October 2016, as well as from village authorities, field data collection, and

the results of previous land allocation for the subsequent growth households.

After consolidation of the above mentioned land conflicts, a consultation meeting was

organized between district advisory committee, RMU and RO in order to find out appropriate

directions in solving the conflicts. The meeting had requested the District Governor to appoint a

special team name Land Conflict Resolution Team to work specifically on land conflict solving

and to use the agreement as references for implementation at hamlet levels. The team was

then officially established by the Decision of the District Governor no.041/GN.NK, dated

1/12/2017. The team consists of related offices including Lao Front for Construction, Nakai

Cabinet Office, Security Office, District Agriculture and Forestry Office, District of Natural

Resources and Environment Office, Justice Office and Nakai Resettlement Office. This

particular committee implicates 9 advisory members, 12 technical staffs, and the village

authorities.

To prepare the readiness for field activities, the appointed land conflict resolution team

members organized another meeting together in order to discuss about action plan, process,

procedures and strategies for land conflict solving. Beside that they also divided responsibilities

for each task in accordance to role, right, and responsibilities of each section.

Additionally, team also organizes dissemination on land legal including regulations, laws, and

documents regarding land allocation, management and use to all sections of the district. The

purpose is to increase and to review knowledge and understanding of the district staffs on that

land legal and use that knowledge for further dissemination and implementation at hamlet level

of Nakai Resettlement Area.



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AL.2.1.2 Solve the cases identified for SG by implementing strategy &

procedure at hamlet level (LOA − GOL) Action and reporting completed

The objective of this action was to resolve “cases identified for subsequent growth” by applying regulations and following processes at the hamlet level. The KPI and target were to resolve

25% of the cases.

Land cases identified for the subsequent growth were collected from the requests of the

villagers as well as the village authorities during the village meeting on the dissemination of

land legal and related documents by district technical staff (please refer to the Action AL.2.1.1).

Critical land cases included conflicts of the original households, land encroachment by

outsiders and issues of third generations. 91 cases were identified as critical land issues.

Before conducting land conflict resolution at the hamlet level, the district authorities particularly

Nakai District Governor appointed a special team to work specifically on land conflict

resolutions in 14 Hamlets (Oudomsouk and Phonphanpek are covered separately under District

Urban Planning policies). The team consists of an advisory committee, technical staff and the

village authorities.

To prepare the implementation of conflict resolution process, the Technical Team organized

village dissemination on related rules, regulation and other land laws in all 14 hamlets (Action

Completion Report for AL.2.1.1). The purpose was to review the villagers’ common understanding on rights, management, use and allocation processes for each land type which

is indicate in the Community Land Titling regulations. There were 623 participants, of whom

326 or 53% are women. All ethnic groups were represented during the disseminations

(Makong, Ahoe, Bor, Lao Loum, and Tai Kadai and others). Besides that, representatives of the

Vulnerable, Poor and High Risk households also participated to this event.

As soon as the land legal disseminations were completed, the land conflict resolution team

together with the village authorities conducted conflict solving at the hamlet level based on

designed process, procedures, and strategies. Resolution processes were conducted from

November 2016 to April 2017.

The process for resolving the cases depended on the conflict type. The methodology and steps

were different between cases depending on the characteristics of the case. However, there

were some common elements for all cases. For instance, a meeting was held for each case

between the VLMC (Village Land Management Committee), the District technical team and the

households involved. Each party had the chance to explain the case from their perspective to

the VLMC and District technical team including how they used or proposed to use the land.

If the case involved a conflict over land between two or more parties, the VLMC and District

technical team would guide the parties to come to a collectively agreed resolution based on the

land laws and regulations. If the parties agreed, they created a Memorandum of Understanding

signed by all parties. If an agreement couldn’t be reached, the technical team conducted a field survey of the land area of the case and compared it to the District’s existing data (village GIS maps). This information was then presented to the parties, and the team facilitated further

discussions.

If the case involved the use of Community Land by a resettler or non-resettler without a Land

Use Certificate, the technical team conducted a meeting with the household and the VLMC.

The team explained the laws, regulations, and processes for using Community Land to the

household.

Every single land case, including both the solved and unsolved ones, were recorded in a

Memorandum of Understanding (MOU) which was signed by the technical team members, the



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parties of the conflict, and certified by village authorities. These certified MOU aimed to be used

as evidence and reference for the implementation of any related works in the future (e.g. the

next step in the resolution process if the case was not solved).

By April 2017, a first round of resolution meetings has been conducted for all “cases identified for subsequent growth”. A total of 87 cases were resolved, with 4 cases unsolved. Therefore, a

total of 95 % of the “cases identified for subsequent growth” were resolved (KPI and target was 25%). The cases solved and unsolved are as following:

Housing Land

Solved: 53 cases (all general cases)

Unsolved: 1 case (all general cases)

Agricultural Land

Solved: 34 (all general cases)

Unsolved: 3 (all general cases)

The main reasons for cases remaining unsolved were often related to a refusal by one or more

of the parties.

The technical team then created a list of unsolved cases from these unsolved “critical cases” (Action Completion Report for AL.2.1.3) as well as the unsolved cases from the “G2 cases”. A final list of “additional pending cases” was created, with a total of 26 cases (including other critical conflicts). A second round of resolution meetings was conducted for these cases (please

refer to the Action Completion Report for AL.2.1.4).

The District technical team also followed up with Village Authorities to ensure that the

agreement reached in the resolution was being applied in reality and that the eligible household

had access to their land. This was conducted from November 2016 to May 2017. No issues

were identified for the resolved cases.

The KPI and target for this action – 25% of cases solved- were achieved. Even the action is

considered as completed, the report will be updated again in April 2018 because (1) Issue land

titles to Subsequent Growth Households for housing land and (2) Hand over land titles to

Subsequent Growth Households for housing land. This is expected to be completed by April

2018.

AL.2.1.3 Solve the critical cases by implementing strategy & procedure at

hamlet level (LOA − GOL) Action and reporting completed

Critical land cases mean other land issues beside subsequent growth households. These

particular cases were collected from the requests of the villagers as well as the village

authorities during the village meetings. During the meetings, district technical staff also

disseminated documents on land laws and other related documents. Critical land cases

including the conflicts of original households, land encroachment by outsiders, inter and intra

village boundary conflicts and the issues of third generations. 65 cases were identified as

critical land issues.

Before conducting land conflict resolution at the hamlet level, the district authorities, particularly

the Nakai District Governor, appointed a special team to work specifically on land conflict

resolutions in 14 Hamlets on the 2nd of January 2017. The team consists of an advisory

committee, technical staff and the village authorities.

The team thereafter carried out technical planning on the process, procedures, and strategies

which should be used for the resolution of all land conflicts at hamlet level. These were based



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on role and responsibility of each section at district level including the Lao Front for

Construction, Nakai Cabinet Office, Security Office, District Agriculture and Forestry Office,

District of Natural Resources and Environment Office, Justice Office and Nakai Resettlement

Office.

To prepare for the implementation of the conflict resolution process, the Technical Team

organized village dissemination on related rules, regulations and other land laws in the villages.

This was conducted in September and October 2016. A second round of disseminations was

conducted in March and April 2017 after the revision of the CLT booklet. The aim was to review

resettlers’ common understanding on rights, management, use and the allocation process of each type of land which covered in the Community Land Titling regulations. The meetings were

conducted in 14 hamlets of Nakai Resettlement Area (refer to Action AL.2.2.1). There were

various ethnic groups represented at the meetings, such as Makong, Ahoe, Bor, Lao Loum,

and Tai Kadai and others. Besides that, representatives of the poor and high risk households

also participated in these events.

As soon as land legal disseminations were completed, the land conflict resolution team

together with the village authorities conducted conflict resolution at the hamlet level based on

the designed process, procedures, and strategies. Resolutions were conducted at the hamlet

level from the 8th of December 2016 until the 15th of June 2017. By that date, 13 cases of

housing land were resolved, 4 were still pending, while 38 cases of agriculture land were

resolved, and 10 were still pending.

Every single land case, including the resolved and the unsolved ones, were recorded in the

form of a memorandum of understanding and signed by technical team members, land owners,

and certified by village authorities to be used as evidences and references for the

implementation of any related works in the future.

AL.2.1.4 Solve the additional pending cases (LOA − GOL)


Land conflict resolution at hamlet levels during 2017 resulted to have additional pending cases.

It includes unsolved land issues such as illegal land encroachment within community land, the

occupation of subsequent growth housing land and hamlet/village boundaries encroachments.

There are 26 additional pending cases in total.

Procedures, processes and strategies for solving the additional pending cases are exactly the

same as other land conflicts. These were defined in reference to the Decision of the Nakai

District Governor no.041/GN.NK, dated 1/12/2017, which appointed a land conflict resolution

team. The team consists to have an advisory committee, a technical team, and the village

authorities. The team is fully responsible for land conflict resolution in the 14 hamlets in Nakai

Resettlement Area of the Nam Theun 2 Project.

The appointed team role was to develop the procedures, process, and strategies for conflict

resolutions based on the role and responsibilities of each Office or Institution. Office and

institutions that were concerned were the Lao Front for Construction, Nakai Cabinet Office,

Security Office, District Agriculture and Forestry Office, District of Natural Resources and

Environment Office, Public Works and Transport Office, Justice Office, and Nakai Resettlement

Office.

A first round of resolutions was conducted from December 2016 until June 2017 (including

subsequent growth cases, and other critical cases). At the end of this phase, there were 26

cases still unsolved or “pending”. A second round of resolutions was conducted from May 2017



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until July 2017. After 2 months of this second round of conflict resolutions, which were

implemented by the technical team and the village authorities, the results were: Solved : 12 conflicts

- Housing Land: 8 conflicts

- Agriculture Land: 4 conflicts (Boundary 1 conflicts( Unsolved : 14 conflicts

- Housing Land: 7 conflicts

- Agriculture Land: 7 conflicts (Boundary 5 conflicts( The KPI and target was to resolve 25% of the pending cases. A total of 46% of the pending

cases were resolved. Therefore the KPI and target were met.

For every single land case, including both the solved and unsolved cases, a memorandum of

understanding was created which was signed by the District team, involved parties, and the

village authorities, and which recorded the proceedings of the case. The MoU can be used as

evidence and reference for the implementation of related activities and further resolution

processes.

Besides that, the technical team also wrote a report on the results of additional land conflict

resolution that included all related documents particularly the MoU and submitted the report to

the Head of Advisory Committee in order to find out the solutions in further steps.

AL.2.1.5 Escalate unresolved land issues to justice office for resolution

(LOA − GOL) Action completed – completion report under finalization

Other remaining land conflicts were obtained from the results of land conflict processes at the

hamlet level, pending land cases including: illegal land conservation (housing extension area

for subsequent growth households) and boundary conflicts. There are 14 cases in total.

Conflict solving procedure for this is exactly the same as other cases by referring to the

agreement of Nakai District Governor no.041/G.NK dated on 1/2/2017 on appointing land

conflict resolution team that include advisory committee, technical teams, and village authorities

to be used as working mechanism for conflict solving in 14 Hamlets of the Nakai Resettlement

Area, Nam Theun 2 Project.

After completion of land conflict together with the village authorities in 3 times: the first time

from November to April 2017, the second time from May to July 2017, and the third time from

September to November 2017, the conflicts still pending in 14 cases which consist of 3 main

type: 6 cases on boundary issues, 4 cases on illegal land conservation, and another 4 cases on

illegal land conservation in housing area of the subsequent growth households.

After completed first 2 times, in order to respond to the advices from the advisory committee,

the consultation meeting was organized on 4/9/2017. The meeting agrees to have the third

steps.

After discussion with the related conflict parties and the village authorities, the conflict parties

did not follow the conflict procedures, the technical team therefore wrote MoU of each individual

conflict. Each MoU was signed by the concerned technical team members, the party, and

village authorities to be used as evidence and reference in implementing activity in the future.

Moreover, the technical team also wrote summary report for those pending cases with all

relevant documents and submitted to the district advisory committee for further steps or hand

over to the Justice Office.



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AL.2.2.1 Promote awareness on rules and regulations of Community Land

Title in each hamlet (LOA − GOL) Action and reporting completed

In 2013, after the completion of the Participatory Land Use Planning in the Nakai Resettlement

Area of Nam Theun 2 project, the District Government, together with concerned sections from

the Provincial Government, issued collective land titles to the 14 Nakai resettlement villages

(excluding peri-urban hamlets Oudomsouk and Phonphanpek). The Nakai District Governor

also issued regulations on the allocation, management and use of land under collective land

titles. After that, district technical teams together with/with the assistance of NTPC technical

staff developed Collective Land Tilting (CLT) booklets based on the key contents of the

approved regulations. The team also conducted dissemination sessions in the hamlets and

distributed the booklet to each individual household.

In 2015, the Provincial Governor of Khammouane endorsed the list of 413 subsequent growth

households. In order to include those families in the eligible list, which is enclosed in the

booklet, the booklets were updated in 2017. To increase the understanding of the villagers on

the content of the booklet, more illustrations and explanations were added into the updated

booklets for the 14 hamlets.

After updating the booklet, a team from District Office of Natural Resources and Environment

(DoNRE) and District Agriculture and Forestry Office (DAFO) with technical and financial

support from NTPC organized dissemination sessions at the hamlet level from the 15/03/2017

to 26/04/2017. A total of 837 participants attended, of whom 602 were women which is 72%.

The high attendance by women indicates that women have access to information about land

management. This will help to empower women to participate in land management and conflict

resolution processes. All ethnic groups attended the session (see attendance analysis in the

report) and there was 14 high risk household, 9 poor households and 3 vulnerable persons.

Beside the original resettlers, 197 subsequent growth households also participated in the

meeting which covers 53% of all second generations in 14 hamlets.

During the dissemination sessions, the DoNRE and DAFO staff explained in detail the contents

of CLT booklet; furthermore the team distributed the booklet to all participants. The IEC

(Information, Education and Communication) materials for presenting included posters, and

illustrations, the team also used different presentation techniques such as discussion sessions

where attendees were encouraged to answer concept-checking questions for prizes, as well as

role plays on the content of the booklets. The role plays were acted by the Happy Nakai group.

The use of this combination of approaches increased the understanding of the villagers. The

illustrations are recognized as good tools for targeting individuals especially those who are

illiterate, and also help to make the presentations more engaging. The different presentation

techniques ensure that attendees of all education and language or ethnic group backgrounds,

were able to access and understand the information in a culturally appropriate way. Moreover,

before dissemination the village authorities also announced via village speakers that there

would be a distribution of local handmade soaps and recycled bags at the meetings as part of

an environmental awareness campaign. This had the added benefit of increasing participation

from the villagers.

After the disseminations were completed, the team developed a memorandum of

understanding for each hamlet which was then certified by the Village Headman to be used as

reference in implementing related activities in the future.

The KPI and target for this action – to conduct 1 dissemination session per hamlet- were

achieved. Therefore, the action can be considered as complete. However this report will be



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updated again in May 2018 because two tasks under the action still need to be continued.

These are (1) prepare boundary marking posts for additional marking along village/hamlet

boundaries, additional agricultural land, and forestry land; (2) mark additional posts along the

boundary lines. This is expected to be completed by May 2018.

AL.2.2.2 Recruit and train district staff to work full time on land issues with

RO (LOA − NTPC) Action and reporting completed

Based on the different roles and responsibilities of NTPC and District, NTPC itself does not

have the authority to work directly on land issues. Therefore, NTPC provides technical and

financial support to make the process move forwards.

District staffs work on land allocation, land management, and conflict resolutions at all levels

(providing support at the village level and working directly on any issues escalated to the

District level). Land is a fundamental factor for livelihood improvement for the resettlers, and it

is therefore considered as one of the very critical issues in the CAP.

However, to achieve the set targets on land activities there needs to be very good coordination

between both NTPC and the District. The normal arrangement of working with the District

through an assigned counterpart sometimes cannot meet the additional needs of the land

management program. Therefore, a fulltime consultant from a relevant District Office was

needed to work directly with RO staff.

A staff from DoNRE who had been involved with the project previously was selected to be a full

time consultant from October 2016 until December 2017.

Through being a full time consultant, he could have better opportunities to learn by working on

daily activities, planning with RO staff. He also brought additional knowledge to the team, in

particular an experienced understanding of the reality of coordinating tasks with other district

counterparts as well as the conditions at the village levels.

Besides the daily activities the consultant is also trained on other technical skills like GPS and

GIS application.

As a fulltime consultant, the district staff member working at RO on land management is better

able to continue implementing the resolution processes and will also take the lead in his

position in the District after the closure of RIP. An Action Completion Report for this Action is

under finalization.

AL.2.2.3 Provide refresher and on-the-job training to district staff (LOA − NTPC)


Capacity building for the district staffs for the land (use, allocation, conflict E) is a key element

for the RIP closure to ensure that relevant activities from the project will continue.

For land use planning, land allocation, and land conflict resolution, technical knowledge was

recognized to be needed. For instance, the application of GPS as key survey tool and GIS as

map producing appeared to be useful tools for land management.

In 2014, introduction training on GPS and GIS tools was organized by NTPC GIS Specialist for

DAFO representatives and DoNRE. In August 2017, another training was conducted to refresh

and increase understanding and technical/analytical skills on the use of GPS and GIS. This

training also aimed to teach the tools to newly recruited staff in the institutions.



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Participants’ selection focused on staffs involved in the field activities for land use planning but also for other related works such as forestry, livestock, fishery, agriculture, irrigation etc.

A Training Need Assessment forms notice was distributed to the 2 Offices (DonRE and DAFO)

within 15 working days. A total of 39 staff indicated to be interested by this coming training with

25 staffs from DAFO and 14 staff from DoNRE.

In 2017, trainings were conducted by a representative of the Ministry of Agriculture and

Forestry at RO Office. It was organized on-site in 6 rounds/training session (5 days per month).

Beside provision on related principles, districts staff received examples of real practices by

sharing session with the trainer on knowledge, experience and skill. This experience sharing

among district staffs aimed to ensure that the staffs could understand the method and the

practical application of the method especially for staff who had been involved in additional

agricultural land allocation and land conflict resolutions.

As a part of on-the-job training, a district staff was also involved in all activities related to land

management, land allocation, and land conflict resolutions. He worked as a full-time consultant

at RO from October 2016 to December 2017.

AL.2.2.4 Training of Land Management Committees (LMC) at hamlet level


Strengthening or capacity building for Land Management Committee through 3 ways such as

(1) training, (2) on-the-job training, and (3) an exchange workshop on management, use,

allocation and land conflict resolutions in the Nakai Resettlement Area of the Nam Theun 2

Project.

The Village Land Management Committees are responsible for working with the District

Government and Land Conflict Resolution Team in all related activities on land allocation, land

management, and land conflict resolution in their respective hamlets. The current LMCs were

established in 2015 following the decision by the District to update the committees to be at the

hamlet level rather than the village level. Initial trainings were conducted for the committee

members in 2015. These trainings are not under the CAP and are not covered in this report.

Refresher trainings were conducted in 2017 in 2 days for 2 different groups: the first group of

the LMC from Northern Villages on May 4th 2017, and the second group of the LMC from

Southern Villages on May 5th 2017. There were a total of 25 participants out of 48 total

committee members. Three of the training participants are women.

The IEC documents for the training included all related legal documents, a presentation,

posters, and maps concerning land allocation, management, use and land conflict resolutions.

Additionally, there is also a reporting template and working system which were part of the

training. The trainers are from 2 main offices of the District Government: the District of Natural

Resources and Environment (DoNRE) and District of Agriculture and Forestry (DAFO). These 2

institutions conducted the trainings according to their roles within District land management

policy (DoNRE covering housing land and DAFO covering agriculture and forest land).NTPC

provided technical and financial support.

Besides land law and land management theory, the trainers also set up a working system for

the LMC to support their implementation of their own work. This work is outlined according to

their roles, rights, and responsibilities indicated in the agreement of the Nakai Governor No.186

dated on May 25 2016 on Appointment and Roles LMC in Nakai Resettlement Area. The



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mentioned agreement is reference for them in implementing and involving in land related

activities within their own hamlet as well as for the district staff on coordination works.

The District Land Management Team provided on-the-job guidance and training to the LMCs by

working closely with them on the Land Resolution process in each hamlet. This began in

December 2016 and is ongoing as of September 2017 (14 cases are still pending out of an

original 147). The District staff from DAFO and DoNRE will also provide support and on-the-job

training during the allocation of land (agricultural and housing) which is planned for the end of

2017. On-the-job training forms an important part of the capacity building program, because it

helps to build skills and confidence of the LMCs over time. Practical guidance during

implementation is also more accessible for members of all education levels and language

backgrounds (for example, members of ethnic groups whose first language may not be Lao).

In addition to the training, the district also organized an exchange workshop amongst LMC

members from each hamlet of the Resettlement Area for knowledge exchange and experience

sharing. The workshop was held on August 26th 2016 with 36 participants, 2 were women. The

workshop covered the implementation land management activities in 2015 and early 2016, and

the participants discussed any issues together to come up with solutions for a more effective

approach in the future.

AL.2.2.5 Review and refine processes for land allocation and land disputes

resolution based on lessons learned (LOA − NTPC) Action deferred to 2018 − progress 0%

This activity can be done only after the land allocation (AL 2.1.2 and AL2.2.6) and land disputes

are completed (AL 2.1.5). This action was deferred to 2018 after the agreement during the

JWG Adaptive Management.

AL.2.2.6 Allocate Land Use Certificate (LUC) for Additional Agricultural

Land to remaining eligible SG, where possible. By decision of the local

govt. PPP and ODS are part of the sub-urban area, 49 SG in these 2

villages won't have access to additional Agr. land. (LOA − GOL) Action completed – completion report under finalization

Since the agricultural land of the subsequent growth (SG) households are located within the

additional agricultural land in each hamlet and this land was issued as community land title

officially, therefore the entitlement documents for the SG were identified as land use certificate

in order to avoid double titles in the same type of land. Issuing land use certificate for the SG aims to increase legal aspects for land management, to

have proper use of land, and to be references for their land rights for agricultural purposes.

Land use certificate is expiring after 5 years, after that it is required to have inspection

regarding the using area.

Land use certificate is considered as certified document for monitoring annual tax collection.

Every single one who uses the land has to pay tax to the government. Moreover, land use

certificate cannot be mortgaged or fund transferred since it is not in line with the law. Land use

certificate is under monitoring by provincial level only.

Issuing land use certificate started from middle of November 2017 until January 2018, 276

agricultural plots of SG were done in 14 hamlets and the set KIP of this activity was achieved.



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The handing over of land use certificates would be done as soon as the official announcement

of the RIP closure in order to avoid land selling and to ensure land accessibilities in terms of

livelihood improvement of the villagers in the Nakai resettlement area.

AL.3.1.1 Gully dam survey to assess their capacity for irrigation and

maintenance need (LOA − NTPC) Action and reporting completed

The Infrastructure Team of RO and 3 staffs from DAFO-Irrigation unit were tasked by RO

Management to conduct a survey of all 22 gully dams to assess its status and functionality of

their capacity for irrigation and maintenance need. The survey commenced in May 2016 and

ended in June 2016.

In accordance with the CA, construction of 22 gully dams commenced in May 2011 and 17

Gully Dams (GD) were completed in 2012 and the remaining 4 GDs completed in June 2014

and 1 GD completed in June 2015. The locations of gully dams were selected in function of

resettlers choice and physical and geological parameters (see map attached).

After the wet season in 2015, all 22 Gully Dams were filled and were successfully used to feed

small scale irrigation systems for agriculture land, water source for large livestock, aquaculture

and garden areas surrounding of the gully dam during the dry season.

Gully dams are used if they are in strategic locations close to the villages. The distance

between residential areas and gully dams is important to control and protect to avoid the effect

on gully dam related activities.

The gully dams have withstood the flood season, but during the 3 years of the used and some

of gully dams are currently in bad condition. Big maintenance and improvements are therefore

necessary.

After field survey for 22 gully dams in Nakai resettlement area, Infrastructure Team and DAFO-

irrigation unit have to collection data with report preparation and estimate cost of maintenance

need then propose to The SERF committee to consider; in 2016 SERF has approved budget

for 13 Gully dam maintenance need: 339,667,840 kip or (42458, 48 USD) into the Annual

Implementation Plan (AIP) of SERF 2017. This Action was completed in 2016, and the Action

Completion Report was finalized in early 2017.

AL.3.1.2 Repair relevant gully dams according to effective use by resettlers

and needs for maintenance. (LOA − GOL) Action and reporting completed

Nakai Resettlement Area has 22 gully stop dams to support livestock activity and water to small

irrigation schemes. 22 gully dams are located in 11 hamlets (SP, SM, NN, NKT, NKN, PPP,

BM, PSV, SO, DO and KK); the 22 gully dams were constructed in 2 periods:

From 2011-2012 are construction completed of 18 gully dam

From 2014-2015 are construction completed of 4 gully dam

Refer to the 22 gully dams survey in 2016 we found that most of the damage of gully dams are

from natural events (Heavy rain and high wave from reservoir) and operation of villagers; the

first estimate cost for repair was proposed to SERF to consider for repair in 2017.



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The flooding of gully dam from 2016, during 1 year until May 2017, PAFO-irrigation department,

DAFO-irrigation unit, RO-irrigation team and representative of WUGs of each hamlet have re-

surveyed the status of gully dams and estimate cost for repairing. The result of survey of 22

gully dams show that 18 gully dams are needed to get repair and the estimate cost is 415,

911,120 kip.

Before implementing repair of 18 gully dams, irrigation team has coordinated and discussed

with Village authority, WUG’ committee and all members who have the benefit from gully dam

or farmer who have 0.66 or 0.22 ha surrounding of the gully dams, to discuss and find a

solution to avoid the impact to the fix asset and production of agriculture of farmers. For the

land impacted by gully dam repair, the irrigation team has conducted survey with village

authority and owner of land to measure and estimate cost as compensation process; the

compensations have been done and villager have agreed and are happy with amount of

compensation.

After estimate of the cost of repair the technical irrigation team has submitted budget to SERF

to consider and approve. Refer to direction of Nakai District governor (on behalf of chairmen of

SERF committee) have suggestion to committee to organize the bidding or discuss with

contractor who have constructed these gully dams before and have to following of the

requirement of SERF such as excavator, truck… to make sure that the conducted repair will be

completed on time or before wet season.

During the conduct of the repair, the participation of farmers or WUG is necessary for following

and joint inspection with irrigation team (for study case and experience to them) to have more

ownership on operation and maintenance.

The inspection time to time of SERF and technical support from RO is very necessary, because

we have used the new technique and design for gully dam repair to ensure that we can using

the gully dam can be used in effective and sustainable way (Irrigation and technical team has

designed for using big stone to repair and protect to main structure of the gully dams).

All 18 gully dams repair are completed on time. For the final inspection of completion work,

SERF and contractor have the guarantee 1 year to re-check and support the repair again if it is

found that some place need to get improved in April 2018.

AL.3.1.3 Comprehensive survey on irrigation: history and actual status of

the irrigation schemes and their utilization. Where possible, formulation of

recommendations (LOA − NTPC) Action Completed – Completion report under finalization

The comprehensive survey on irrigation has been conducted with the support of an intern from

September 2016 to March 2016. A draft complete report has been delivered and major findings

presented to the PoE, District authorities in March 2017. A major conclusion and

recommendation is that the first step and pre-condition to any repair or construction of new

scheme is the actual utilization of the land for agriculture production, the request of the WUG

(against individual request) and the commitment of the WUG to maintain the system in line with

O&M regulations that specify responsibilities including the commitment of the WUG.

The next step is the production of a shortened operational version of the report highlighting the

main findings and recommendations for a way forward and the further development of Nakai

irrigation systems.



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AL.3.1.4 Strengthening the Operation and Maintenance (O&M) system of

the operating schemes (LOA − NTPC) Action and reporting completed

A total of 228 irrigation schemes were established in the Nakai Resettlement Area. To ensure

their protection and the responsible use of the irrigation systems for agriculture activities, the

establishment of Water User Groups (WUGs) in charge of the proper Operation and

Maintenance (O&M) appeared as a necessity. So far, a total of 176 WUGs in 15 hamlets were

established. Consultations have been conducted to gather the viewpoints of the different

stakeholders (e.g. DAFO, RMU and NTPC) but especially the local villagers who are the

beneficiaries of the irrigation systems.

One of the main objectives of the Agriculture and Livestock pillar is the improvement of

irrigation systems to ensure the provision of sufficient water to crops at critical period of the

year. To reach this objective, the capacity building of WUGs appears as a key element. For

that, 5 activities were implemented as follows:

(i) Selection and training of 30 volunteer water dealers to support irrigation

schemes repairs;

(ii) Revised O&M manual for irrigation systems of Nakai Resettlement area;

(iii) Development of new WUGs regulations (reviewed and updated by 15 villages

heads and representatives of WUGs, SERF, district office, DAFO; and approved

by NK district governor); and

(iv) WUGs training on O&M including calculation of O&M costs and dissemination of

the new O&M manual and regulations to WUGs in 15 hamlets.

The KPI of this action is the “Assessment of the functioning Operation and Maintenance system” with the following target: “O&M manual approved by WUGs is available and the principles are being implemented”. In November 2017, the action KPI and target were both achieved with the revision and approval

of the O&M manual including the results of the O&M system assessment.

AL.3.1.5 Ensure sufficient water for vegetable crops (Identification of the

plots with vegetable crop production / Water need assessment / Where

possible, implementation of remedial measures of to fill the gaps) (LOA − GOL)


Ensure sufficient water for vegetable crops for resettlers in the resettlement area is part of the

List of Action (LOA) for Resettlement Implemented Period (RIP) closure. To meet the

objectives and target, DAFO and NTPC teams, together with the adviser jointly set the

implementation procedures following 3 steps as following:

(i) Identify the list of vegetable growers. The team has realized two surveys. The first

survey is the village extension workers survey on water utilization for agriculture

activities (for vegetable grower). The second survey, conducted by agriculture and

irrigation team, held a consultative meeting with a vegetable grower who needed to

repair the irrigation system. Then, a survey together with farmers was conducted to



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collect information of the actual irrigation system and to assess the initial budget for

improving and repairing irrigation scheme.

(ii) After the initial budget estimation, the team has organized a group discussion with water

users group (WUG) and farmers who requested for repair irrigation scheme by using

three principles (land used for cropping, repairs relevant & necessary, economically

viable) to increase the ownership of farmers. After evaluation on each condition to

selected irrigation scheme to repair, the team has submitted budget cost to SERF for

further consideration and approval of the budget for repair.

(iii) Conduct irrigation repair, based on the selection of irrigation schemes for repair, the

team coordinated with farmers who requested for repair as well as WGUs and volunteer

of irrigation technical support to make plan and to prepare the equipment needed. After

completion of repairs, team and farmers who have the benefits should make record in

the completion repair form.

Irrigation repair to ensure sufficient water for vegetable crops was completed according to the

objectives and targets. The use of the “three principles” will be modeled and made villagers more involved and more effective in managing and using their irrigation schemes.

AL.4.1.1 Provide barbed wire (BW) for 0.66, 0.22 and “additional lands” (only for pasture development) plot fencing: - Revision of BW support

policy - Inventory of candidates for BW - Provide BW (LOA − NTPC) Action and reporting completed

The RO (Resettlement Office) is promoting the use of 0.66 ha and 0.22 ha plots which were

allocated to resettler households since 2008. Many agriculture and livestock activities have

been promoted to maximize the utilization of these plots such upland rice, cash crops, agro-

forestry plantation, wet and dry vegetable and pasture development and during last year

through the program support for fencing. The total area under wet season agriculture cultivation

in 2015 was 831 ha in all types of legal land including additional agriculture land, 0.66 and 0.22

ha plots. This is an increase from 2014, when the total area under wet season agriculture

cultivation was 555 ha.

Based on the external mission recommendation and consultation with concerned parties, RO

and Nakai district authority began a fencing program to support to resettlers by providing

barbed wire for fencing their plots in 2014, starting with plots able to use the village gully dams

for irrigation. In 2015 this was extended to all resettler 0.66 or 0.22ha plots, and 1,001 plots of

962 farmers were fenced. The aim of the program was to stimulate use of the 0.66 and 0.22 ha

plots. This successful program was incorporated into the LOA 2016 (List of Action). A further

120 plot of 0.22, 0.66 and additional land have to be fenced, therefore about 1,700 rolls of

barbed wires was procured for this process.

The process of the barbed wire distribution started in the end of April 2016 with consultations

with related parties, specifically district line agencies and authorities. It was followed by a policy

dissemination campaign as well as consultation meetings with various communities and

production groups in all 16 hamlets. The distribution process was completed by September

2016.

After the community and production groups consultation meetings there were 128 interested

resettler households who wanted to develop their 0.66, 0.22 and additional plots using barbed

wire. They wrote and submitted their proposal to district and RO team with the help of the

Village Extension Workers. Most of them already prepared the land and local fencing materials,



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so the team started distribution of barbed wires to those households as soon as possible. This

started at the end of June and continued until the end of August 2016. A total of 126 hh from 11

hamlets received barbed wire, with total of 1,438 rolls distributed. Some of the households were

organized as working groups together before getting the support, which means that the total

number of plots fenced is less than the number of households (some neighboring 0.66 ha plots

were grouped and fenced together). Therefore 107 plots of 0.22, 0.66 and additional agriculture

land were fenced. Since 2015 more than 12,500 rolls of barbed wire were distributed to 1,045

household to fence their allocated lands.

This action was completed in 2016, and the action completion report was finalized in early

2017.

AL.4.1.2 Continue support and training as needed for existing agricultural

production groups (LOA − NTPC)


This action aimed to continue support and training as needed for existing agriculture production

groups to strength their capacity and develop sustainability. The KPI and target are that one

workshop or planning meeting was organized per group production. This action was

implemented to strengthen existing agriculture production groups including 16 agroforestry

groups, 1 organic vegetable group and 11 vegetables growing in wet season. Additional, paddy

rice farming was monitored to strengthen individual paddy rice farmers. Each of the 16

agroforestry groups participated to a workshop to strengthen their capacity. The group

committee had a refreshing training on its responsibility, group objective, regulation and

seeding fund management.

The groups were monitored and evaluated. This underlined that 8 groups were more active in

group management than others. These groups were from Thalang, Nongbouakham, Nakai Tai,

Oudomsouk, Phonphanpek, Bouama, Done and Khone Kaen.

One organic vegetable production group was trained on principle of organic production. The

course covered procedure and technical issues on organic vegetable growing. A total of 11

vegetable production groups were trained on vegetable growing in rainy season especially on

how to make a greenhouse shedding to grow vegetable. A total of 62 individual paddy rice

farmers, who participated to the soil fertility improvement, were monitored to ensure a good

management or maintenance of their paddy rice. The KPI and target of this action were

reached with a high participation of women. They were represented at 94% in organic

vegetable production training, 81% in on the job training on vegetable growing in rainy season

and 50% share in the agro-forestry group committees.

AL.4.2.1 Support soil fertility improvement by converting allocated plots

into « agro-forestry” practice (LOA − NTPC) Action and reporting Completed

This action aims to promote the improvement of farming systems through diversification and

reinforcing linkages between agriculture and livestock. This action aimed to increase agriculture

productivity through soil fertility improvement. In the context of this action, support to soil fertility

improvement was expected to result from the conversion of allocated agricultural plots from

conventional cropping practices to “agro-forestry” practices. The KPI and target of the action



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consist in the establishment of agro-forestry practices and the application of soil fertility

improvement techniques in a total of one hundred (100) 0.22 and 0.66 ha plots.

To achieve this action, 4 tasks were successively implemented: consultation with interested

farmers, training on plantation establishment and maintenance, seedlings support, and

monitoring of implementation. This action did not focus on increasing the number of agro-

forestry plots but rather emphasized on sustainability of agricultural production systems.

In September 2017, target and KPI were reached as a total of 313 individual agricultural plots

were converted to agro-forestry, respectively 263 and 50 plots of 0.66 ha and 0.22 ha,

representing an area of 185 ha. A total of 290 households were involved. Gender marker was

also reached because women and men shared their decision making to develop their agro-

forestry activity (high percentage of women during agro-forestry development consultation). All

ethnic groups received an equal opportunity to benefit from NTPC support for agro-forestry

practices as the consultation was opened for all ethnic groups.

Based on the new adaptive management requirement, the implementation of this action needs

to meet three principles (i) be relevant and necessary (ii) be economically viable and (iii) require

the contribution of the communities. Therefore, the seedlings distribution was replaced by

training on how to propagate seedlings. In fact, numbers of fruit tree seedlings i.e. mango, litchi,

longan, jujube, pineapple, banana, rattan, bamboo and other tree seedlings had been provided

from 2012 to 2016. During LoA implementation, a total of 3,445 fruit tree seedlings purchased

in 2015 were distributed to 84 households for plantation in their 64 plots.

To support sustainability, 281 households attended training on fruit tree plantation and agro-

forestry maintenance techniques. Among the trainees, 199 were women, which represent 71%

of the participants. 170 households were trained on fruit tree seedlings propagation out of

which 62% women. A monitoring of each plot was conducted by DAFO and NTPC-RO. This

monitoring aimed to provide on the job training on maintenance, cash crop inter-cropping,

fertilizing and marketing. Early 2017, a classification of agro-forestry plots was done (A, B, C,

and D with the highest sustainability score being A) based on (i) the actual number of

agriculture & livestock activities in the plot, (ii) the number of fruit trees, (iii) the quality of

maintenance and fertilization, and (iv) the income generated. Among the 313 plots converted,

24 are grade A (8%), 39 grade B (12%), 77 grade C (25%) and 173 grade D (55%).

This action could be considered as a success as it allowed improving sustainability in agro-

forestry (e.g. regular income generation). Currently, at least 24 grade A plots are fully

sustainable and 115 grade B and C plots are progressing towards sustainability as a result of

income generation. These results and the involvement of farmers are definitely encouraging to

continue on this practice to provide regular income generation.

AL.4.2.2 Improve soil fertility in plots where agroforestry is conducted

(LOA − NTPC) Action and reporting completed

One of the main objectives of the Agriculture and Livestock Pillar is to improve the farming

systems through diversification and integration by reinforcing linkages between agriculture and

livestock. Furthermore, soil fertility improvement is considered as a key step to increase

agriculture productivity. In this context, the action aimed to improve soil fertility in plots where

agroforestry is conducted. The KPI and target are that soil improvement techniques are

implemented on a total of 50 new 0.22 and 0.66 ha plots where agroforestry is conducted. This



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action includes 4 tasks that are (a) to identify interested farmers; (b) to conduct training on soil

improvement and earthworm raising, (c) to provide materials and earthworm variety; and (d) to

conduct soil fertility analysis.

Soil fertility improvement techniques have been conducted right since the beginning of the

resettlement period when the agriculture land allocation took place. Soil fertility techniques

aimed to add different types of fertilizers and to grow legume as forage.

174 participants (129 households) were trained on soil fertility improvement. This training

focused on compost production and vermin-culture techniques. A total of 55 households

received financial and technical support to produce 800-1,900 Kg of compost utilized to fertilize

the 57 plots where agro-forestry is conducted. NTPC provided 490 kg of molasses, 230 litters

of EM, 6,920 kg of guano, 1,700 Kg of rice bran; 525 Kg of organic fertilizers and 950 kg of lime

for soil fertility improvement in the agro-forestry plots. Furthermore, it has to be noted that in

addition of the production and the use of compost, the combination of different crops on a same

plot contributed as well to the improvement of the soil fertility.

Analysis showed improvement in the soils characteristics. For instance, pH increased from 4.4

to 5.4; organic matter from 2.08 to 2.35%; total nitrogen from 0.03 to 0.06%; available

phosphorus from 9.59 to 16.51 mg/kg and available potassium from 35.07 to 174.85 mg/kg.

However, conclusion cannot be drawn for a single comparison covering a short period of time

of soil improvement practice. It is then recommended to perform further analysis in the coming

years.

KPI and target of this action were reached as a total of 57 plots received soil fertility

improvement techniques.

AL.4.2.3 Pursue soil fertility improvement on Paddy rice plots: - Inventory

of candidates - Provide SF (LOA − NTPC) Action and reporting completed

The main objective of this action is to promote farming systems improvement through

diversification and strengthening linkages between agriculture and animal husbandry.

Increasing agriculture productivity through soil fertility improvement is a key component of the

action.

This action aimed to pursue soil fertility improvement in paddy rice plots. The KPI and target

are that the number of 0.22 and 0.66 plots where paddy rice is conducted receiving soil

improvement techniques reaches 50 plots. To achieve the target, 6 tasks were implemented as

follows: (a) identification of interested farmers and appropriate areas; (b) farmers’ training on soil improvement technique; (c) support owners of the pilot plots by providing lime and material

for compost production as well as green manure; (d) support dry season cropping in paddy field

plantation; e) experience exchange and field visits; and f) sharing knowledge through the

writing and distribution of the annual activity report for 2016.

The action started in 2016 by providing 100 kg of lime, 25 kg of 15-15-15 compound fertilizer,

and 20 kg of urea to 26 demonstration households. This quantity was provided for each

demonstration plot. All households performed a test on a 1,600-square meter plot. The test

plots were planted with different rice varieties including Thadokkham 1, Thadokkham 8,

Thasano 7, Thasano 8 and Vientiane 450 year. The result showed that the average rice yield is

higher for Thadokkham 8, Thasano 7, and Vientiane 450 varieties. Among the 26 HH, 23

performed the test according to guidelines in 2016 utilizing lime and fertilizers as prescribed.

The average yield for the 23HH was 2.5 ton/ha and the value returned (with deduction of



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fertilizer cost) before deduction of labor cost 4,216,019 LAK per ha while the average yield for

paddy without soil improvement fertility is 1.1 ton/ha with a value returned as 2,288,000 LAK

per ha.

In 2017, Nakai District and RO staff conducted training on soil fertility improvement in paddy

field. The training covered topics such as the utilization of organic fertilizers for paddy rice

farming, composting and green manure production. 115 paddy rice farmers attended the

training among which 65% of women. Among the 115 participants, only 76 willing to implement

this activity (target = 50 farmers). Following this training, NTPC provided the necessary

materials including sawdust delivered by truck. Soil fertility improvement techniques were

applied in 76 paddy fields out of which 62 plots received application of compost and green

manure and 14 plots received application of green manure only. In addition, NTPC provided

composting substrates for the 62 households who had chosen to experiment this technique.

The materials included 100 Kg of guano, 40 Kg of rice bran, 10 Kg of lime, 8 Kg of molasses, 4-

5 litters of EM (effective micro-organisms) and 3-5 Kg of mung bean seeds for dry season

cropping (per all 78 households).

KPI and target of this action where reached with a good participation of women. Furthermore,

2016 experimentations results are encouraging showing an increasing yield. The expected

outcome is that the new participant farmers will benefit from this action by increasing rice

productivity and then they would duplicate this task by themselves in following years.

AL.4.2.4 Document lessons learned regarding soil fertility improvement


One of the main objectives of the Agriculture and Livestock Pillar is to improve the farming

systems through diversification and integration by reinforcing linkages between agriculture and

livestock.

Soil fertility improvement was integrated in 3 actions that were (i) AL.4.2.1 “Support soil fertility improvement by converting allocated plots into “agro-forestry’ practice”, (ii) AL.4.2.2 “Improve soil fertility in plots where agroforestry is conducted” , and (iii) AL.4.2.3 “Pursue soil fertility improvement on paddy rice plots: Inventory of candidates and Provide SF” . Soil sampling and analysis was conducted by the Department of Agriculture Land Management

and Development of the Ministry of Agriculture and Forestry. Soil fertility indicators with and

without the soil fertility improvement practice in paddy (31 samples) and agroforestry plots (11

samples) were analyzed including % of Organic Matter, soil pH, soil structure, % of total

Nitrogen (N), % of available N, % of available Phosphate (P), and % of available Potassium (K).

Preliminary results indicate a noticeable soil improvement for the paddy and agroforestry plots

where improvement measures were taken. However, conclusions cannot be drawn for a single

comparison covering a short period of time of soil improvement practice. The experience would

gain in relevance by selecting plots in different biophysical zones, meaning with different

conditions of soils, slope, irrigation conditions, etc. and conducting a comparative analysis.

In addition to soil analysis, the increase in yields is another direct indicator of soil fertility

improvement. Despite encouraging results, the piloted soil improvement practices are not being

widely adopted by farmers. The reasons might lie in other factors such as the level of initial

investment (all production costs were covered by NTPC support during the experiments), the

availability in labor force (to make and transport compost for example) or the non-availability of

products on the Nakai market (e.g. guano utilized of the production of compost). A close



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financial follow-up of the experiments and of the pilot households would be necessary to draw

conclusions and assess the economic viability of the proposed measures in Nakai and which

conditions (investment, labor, bio-physical, etc.) are requested.

AL.4.3.1 Provide plastic sheet to candidates (on a cost-sharing basis) (LOA

− NTPC) Action and reporting completed

During last years, many resettlers have been involved in wet and dry vegetable production. The

process and techniques used by the resettlers are improving and vegetable production is

beginning to be a commercially viable livelihood option. The vegetable production at Nakai

involves the use of allocated lands such as the 0.66, 0.22 ha plot and housing land where water

is available and sufficient. During the wet season many kinds of vegetable do not grow well

under heavy rain, therefore to guarantee production plastic houses must to be installed.

The plastic sheet program was first initiated in response to lessons learned from a production

group exchange trip. RO and Nakai DAFO organized an exchange experience for Nakai’s organic vegetable production group to visit the organic vegetable production model group of

Danxang village, Xaythany district, Vientiane. They found that one way used in Danxang to

increase both the area of wet season vegetable production and the variation of vegetable crops

is by using plastic houses. The vegetable plastic houses of Danxang organic vegetable

production group are properly constructed and followed a set standard. They can be used for

many years and this fact attracted the interest of the visiting group. They decided they would

like to try at their plots so the technical team coordinated with the Clean Agriculture

Development Center of the Ministry of Agriculture and Forestry to find proper plastic sheets for

the wet season vegetable production on the Nakai plateau.

DAFO and NTPC therefore organized consultation workshops in April 2016 for all vegetable

production groups in each hamlet. DAFO and NTPC collectively designed the policy for

distribution, which included the condition that resettlers should contribute part of the cost of the

plastic sheet to a revolving fund for future investment in agriculture. This was designed to

increase resettler ownership. During the consultation sessions the technical team introduced

the support policy to the resettlers and explained the process for getting plastic sheet support.

They also compiled a list of interested households for wet season crop production and the

construction of plastic housing. The information gathering was done through the group

consultation and also with field monitoring to follow up the expressions of interest. By the end

of the information gathering process 59 household from 10 hamlets had applied for wet season

vegetable housing.

By mid of June 2016 the plastic sheet procurement was completed and 20 rolls of plastic sheet

(size: 8m X 100 m) for vegetable house was available. A total of 53 household from 10 hamlets

of Thalang, Nongbouakham, Sop Hai, NamNian, Nakai Neua, Oudomsouk, Phonphanpek,

Bouama, Phonsavang, Sop On received the plastic sheet support in amount of 12,230 square

meters. This was about 90% of total interested household. This action was completed in 2016,

and the action completion report was finalized in early 2017.

AL.4.4.1 Strengthening capacity and equipped Village Veterinarian (VV)




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The main objective of the Agriculture and Livestock Action Plan is to improve farming systems

(diversified and integrated by reinforcing linkage between agriculture-livestock). The sub-

objective is to improve livestock health. To reach these objectives it is important that the village

veterinarians have sufficient knowledge and skills. Therefore the capacity building of village

veterinarians was carried out to ensure this livestock health improvement can happen in the

field.

The aim of this action is to build the capacity of villagers/resettlers to be able to provide

vaccination services in their community. The KPI is that one refreshment workshop/training is

completed. The expected output of this activity is to increase vaccination rate of each type of

livestock in the Nakai resettlement area, to be in line with the national target. The outcome is to

build a sustainable village veterinarian network that can provide a regular service for animal

health care, in particular vaccination for livestock. Another objective is to promote household

poultry raising and encourage a shift from subsistent traditional practices to a technically

improved approach that increases productivity and allows income generation from native

poultry raising for village women.

This activity had been implemented between March and November 2016 by two district women

LWU and DAFO with support from the Resettlement Office. The training was conducted for one

day with theory in the morning and practice in the afternoon. Two main tasks were completed

including the training and equipment with basic veterinary tools for 22 Village Veterinarians

(men), with this task marked as G1, and the training and equipment with basic veterinary tools

of 19 women as Assistant Village Veterinarians, with this task marked as G3. All participants

learnt about basic knowledge of livestock diseases, the use and storage of animal vaccines and

the use and maintenance of veterinary tools. Additionally women also learnt the main

techniques of improved local chicken raising for income generation. The practice concerned

vaccination of various types of livestock (only poultry for women). Basic veterinary tools were

provided for all trainees.

AL.4.4.2 Conduct vaccination campaign (LOA − NTPC) Action and reporting completed

The main objective of this action is to promote the improvement of farming systems which are

diversified and integrated by reinforcing linkages between agriculture and livestock. The sub-

objective is to improve livestock health and the action is conducting vaccination campaign. The

KPI and target of this action are to complete one workshop about vaccination per hamlet. This

action includes 4 tasks that are (a) district notification, (b) radio broadcasting, (c) vaccination

workshop, (d) leading on-field vaccination, and (e) collect animal statistics.

Vaccination campaigns have been implemented since the beginning of the resettlement period.

The process started from capacity building of village veterinarians and DAFO livestock staff.

The capacity building was conducted through village veterinarian training and following

refreshing workshop. Vaccination workshops are an efficient way to raise awareness on animal

vaccination among villagers and finally make animal vaccination happen in the field. During this

vaccination campaign, 16 vaccination workshops (1 in each hamlet) were organized and

implemented by the Livestock and Fishery Unit of DAFO. KPI and target for this action are

considered achieved at 100%.

The vaccination rate, especially of large livestock, showed an increase compared to the last

semester of 2016. Respectively 68% and 55% of cattle and buffaloes were vaccinated against

hemorrhagic septicemia, the most lethal disease. The vaccination rate of small animal also



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increased, vaccination of pigs and poultry against common lethal diseases such as swine fever

for pigs, New Castle Disease and cholera for chicken and duck plague for ducks reaching

respectively 28% and 59 %. A total of 20% of the goat flock was vaccinated for foot and mouth

disease.

Village extension workers are in charge of monitoring the trends in animals’ number. The cattle and buffalo herd continued to increase. The total number of large livestock in June 2017 was

estimated to 5,422 heads which is 8% higher than the number as of December 2016. There are

715 households keeping large livestock which is 8% higher when compared to the last half

2016. Number of small animal also showed an increase of 11% with a significant increase of

goat. The increase is 40%%, 16% and 10% respectively for the total goats, pigs and poultry.

Households who own small animal showed an increase of 21%.

AL.4.5.1 Ruminants: establish grazing pasture, forage plots, fodder garden

for large and small ruminants (LOA − NTPC) Action and reporting completed

The main objective of this action is to promote the diversification and integration of farming

systems by reinforcing linkages between agriculture and livestock. The sub-objective of this

activity is to promote raising livestock animals. Animal feed is a main issue for livestock in this

area, therefore this activity is aimed to establish grazing pasture, forage plots, and fodder

gardens for large and small ruminants. The target is 10 ha of pasture developed in additional

agriculture land.

Forage establishment in 2016 started in January and continued until August. In this time the

RO and DAFO livestock team completed different tasks including a) consultation with large

livestock groups; b) follow up and quick participatory planning; c) survey potential fallow land;

d) provide inputs (seeds; barbed wire and nails); and d) on the job training (day to day coaching

in the field). The activity has started from a village consultation in each hamlet in order to

disseminate information about the activity and seek interested households to prepare their land

in January and February 2016. The expected outcome of this activity is to increase the quantity

and quality of animal feed which improves both animal health and the animal carrying capacity

in the resettlement area.

The team, which was made up of RO and DAFO livestock staff organized the village meeting,

followed up with interested households, conducted participatory planning with the interested

farmers including site surveys of the proposed plots, and provided support and on the job

trained farmers to establish different types of pasture. The main two types of pasture

established were group pasture and individual forage plots. Communal pasture development

did not generate interest by villagers because there is no available communal land to use for

the pasture. Also, the village authority cannot gather large fallow land to use for communal

pasture purpose. This is because the land is occupied by custom from individual households

who were the original clearers in the past. All villagers recognize that the land belongs to the

one who cleared and slashed and burned the forest first in the past. Other villagers respect this

customary right, so nobody will use this land without prior permission from the original

household.

Group pastures were established in additional agriculture land with group members from 2-4

households. A total of 12 groups made of 32 HHs were formed: 9 groups are in Done village, 1

in Thalang and another 2 groups are in Bouama. The rest is made of 49 individual forage plots.



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Those are made up of 24 plots located in additional agriculture land, 20 plots are in 0.66ha and

0.22ha allocated blocks, and 4 plots are in back yard land and 1 in DDZ.

The Resettlement Office provided a total of 1,325 kg of forage seeds and established all types

of pasture in total area of about 33 ha. Of those, 24.8 ha are located in additional agriculture

land, which is 14.8 ha above the KPI, 7.4 ha in 0.66 and 0.22 plot and 0.57 ha in back yard.

463 rolls of barbed wire as well as 188 kg of nail and about 3.5 tons of fertilizers were provided

to fence 17.1 ha of forage plots in additional agricultural land. Fencing materials were not

provided for the remaining 7.4 ha of pasture on additional agricultural land because the

households using the land did not want to comply with district regulation that allocates a

maximum of 0.5 ha of additional agriculture land per household (i.e. these households used

additional agricultural land in excess of 0.5 ha). Barbed wire for pasture development on 0.66

ha and 0.22 ha plots was provided through the agricultural team.

This action is marked as G2 because women participate in all processes of the pasture

development from the making decision to establish their household’s forage plot until the forage is well established.

Note that the distribution on 0.66ha and 0.22ha plots for both agricultural and livestock

purposes were carried out as a separate but linked project.

AL.4.5.2 Chicken: provide support to local chicken raising (LOA − NTPC) Action and reporting completed

The main objective of this action is to promote the improvement of farming systems which are

diversified and integrated by reinforcing linkages between agriculture and livestock. The sub-

objective of this action is to promote the raising of livestock animals and the action is providing

support to local chicken raising. The KPI of this action is the number of households who either

(a) earn more than 600,000 per year from raising local chickens, or (b) have more than 70

chickens. The target is to achieve this with 10 households.

The action implementation was started in March and completed in November. It involved 4

main tasks. The first was a follow up with interested target households and quick participatory

planning, focusing on women. Women are the main actors to improve the subsistence to an

intensity of the local chicken raising. The second task was chicken pen improvement. This task

is needed to build new pens for newly hatched chicks and improve the existing pens to a

hygienic appearance. The third task was to provide material input to the households in the

program. The materials are important to improve their traditional practices to new methodology,

especially feeding the newly hatched chicks, daily management to raise the animals to be

healthy before letting them roam more freely under a half feeding, half scavenging system. The

fourth task was on the job training. This is coaching and skill building for women to use the

correct methods especially vaccination and feeding as well as general animal husbandry.

These tasks were completed, and the following up and monitoring trends as well as collecting

monthly data has been ongoing since then (and will continue until the end of the RIP). Currently

the households have been trying and supporting to work in a sustainable group.

As the result of this action 20 households were each provided some important materials

including a bag (30 kg) of feed, 3 water buckets, 3 feeder trays, 3 packs of rope and 4 pack of

rope net for a total cost of 446,000 Kip to launch an improved local chicken raising. The output

of this action has got those 20 households to an average accumulated net income from July to

December 2016 at 1,546,000 Kip which is about 5 times the KPI. They also have an average

number of chicken in the range of 57-87 birds per household in each month that achieves the



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KPI. At this moment 18 households or 90% of them have the accumulative net income over the

target. This action has a great outcome by attracting others a hundred households to

participate this program. At this reporting month (December 2016) this expansion program was

completed 16 group formation to take an initiative to working in a sustainable manner with

technical support from a RO-district women team.

This action is categorized to G2 gender marker since village women have made their decision

making to participate to the action and also they have done all processes of the chicken raising

such as feeding or daily animal husbandry by themselves. Some heavy jobs were done by men

but the women are the main actors to manage jobs. This action is also open to all ethnics to

participate since there is one Ahoe had benefit from this action and this household has also

earned a great net income of 1,387,000 during this 6 month period.

This action was completed in 2016. The two District staff (one from LWU and one from DAFO)

continued to provide ongoing monitoring and technical advice for the involved households and

to supervise vaccinations in 2017.

AL.4.5.3 Organize pilot large livestock auctions (LOA − NTPC) Action and reporting completed

Since resettlement, the number of households owning large livestock has shown an increase of

60 %. The number of livestock increased from 1948 heads in 2009 to 5013 in 2016. This

number has overpassed the estimated carrying capacity of 3000 heads as estimated in the

consultant report in 2010. As an attempt to reduce the large livestock number, organizing an

auction of large livestock was recommended and integrated in the Agriculture and Livelihood

Pillar. Auctions were mentioned as one way to allow large livestock trading system.

In July and August 2017, the DAFO conducted consultation meetings in all 16 hamlets to

explore whether villagers would be interested in selling their livestock, especially through

auctions. In most hamlets the villagers expressed very little interest in auctions. They explained

that would not be able to bring their animals to a single location as required for an auction.

On the 28th of August 2017, the District Governor issued agreement no. 372 to assign an

advisory committee, secretariat and field implementation committee for this activity.

Since during the consultation villagers had expressed clearly their lack of interest in auctions,

the committees decided to organize a trade fair instead. In a trade fair, livestock traders are

invited to visit the villages to meet the farmers and see the animals for sale.

A pilot trade fair was organized on the 12 September 2017. This trade fair was announced by

advertisement (e.g. publication of animals to be sold, information of the traders in advance). A

total of eight traders visited all hamlets. The traders came to a central meeting at Oudomsouk,

where they met with the heads of village from all 16 hamlets and the Village Veterinarian

Volunteers from all 5 central hamlets. Traders directly visited five hamlets in the central zone

where 33 large livestock farmers had gathered 67 heads of cattle and buffaloes for sale. The

pilot trade fair for large livestock had very limited success with only three heads of cattle sold

out of 59.

The main reason why there have been so few animals sold is the gap between prices expected

by the villagers and the price traders were ready to pay. Most livestock owners and traders

could not reach an agreement. The KPI and target of this action was to organize two auctions

before the end of the Resettlement Implementation Period. Given the limited success of the

pilot trade fair, this approach does not seem appropriate.



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Therefore, based on the lessons learned from this pilot trial and on a further diagnostic of the

livestock and trading systems the approach will be reviewed and new proposals developed for

encouraging large livestock trade in Nakai in 2018.

AL.4.5.4 Compile Lessons learned and assess usefulness of large

livestock auctions (LOA − NTPC) Action and reporting completed

Developing a trading framework in Nakai was integrated in the Agriculture and Livelihood Pillar.

Given its reported success in some Northern provinces of Lao PDR, auction was considered as

a process that could help improve the development of Nakai large livestock trading system and

the decision was made to conduct a few auctions on a pilot basis. Action AL.4.5.4 draws the

lessons learnt from action AL.4.5.3 “Organize Large Livestock Auctions”. Given the difficulty to guide and gather free-range animals in one single place, District

authorities discussed and agreed to adapt the auction principles to the local context and to

organize, rather than an auction, an animal trade fair. However, in spite of the efforts made in

tailoring the event to the local specificities, the large livestock trade fair had no more than very

limited and partial success with only 3 cattle sold out of 59.

In order to learn lessons from the experience, the 30 village participants (out of which 60%

were women), the District Authorities and the traders have been interviewed.

The assessment confirmed the uselessness of the auction process on the Nakai Plateau to

help improve large livestock trading in the current situation; and this for the following reasons:

(i) villagers do not necessarily need or wish to sell their animals on a regular basis. Animal

represent saving capital, which is sold when a need or an opportunity arises; (ii) the extensive

livestock raising system is based on a zero cost principle (no inputs apart from the purchase of

the first animals), which implies that the risk of losses due to diseases or unexpected

circumstances has limited consequences on the investment; and (iii) the animals in Nakai are

comparatively skinny and therefore the price expected by the owners is too high compared to

price traders are ready to offer.



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Action Plan for Forestry

FO.1.1.1 Prepare economic and feasibility overview of possible forest

management options (LOA − NTPC) Action Completed – Completion report under finalization

Comprehensive Terms of Reference (ToR) have been drafted identifying the technical

consultancies necessary for the development of strategic options for community forest

management. In the meantime, the action plan for forestry has been further discussed with the

JWG, the District and RMU for clarification and reaching a common understanding (see FO

1.2.3). The action plan was clarified and the sequence and responsibilities of different actions

was agreed upon (MoM June 13th and 17th). As a result, the recruitment of consultants to

contribute to the formulation of a strategy for Nakai plateau community forest resources and the

updating of the Forest Management Plan has started.

Support to community forest products value chain organization

From the 16th to 24th of July 2017, an NTFP consultant with experience from Northern Lao)

conducted a mission to Nakai. The objective of the mission was to share the experience

acquired in the bamboo (collected from natural forest) value chain development, in Houaphan

Province and to provide recommendations on how and under which conditions these would

apply in the context of Nakai community forestry. The consultant conducted focus group

meetings with villagers (including Village Authorities) in 5 hamlets: Nam Nian, Sop Hia, Done,

Nakai Neua, and Khone Kaen. A report was finalized in August 2017. The results of the mission

will contribute to the formulation of a strategy for Nakai plateau community forest resources.

Based on field mission carried out in Nakai, and on the experience acquired in Huaphan, the

Consultant put forward a number of recommendations, some are not new but corroborate (or

complement) directions adopted in the Forestry Action Plan:

1. Building a shared conviction that Non Timber Forest Products (NTFP) are an opportunity for

farmers and stakeholders should be the first step, through a participatory diagnosis and the

formulation of a roadmap for NTFP utilization and management in Nakai Community Forest.

2. Formalizing this roadmap in an official “Nakai Plateau NTFP sector development strategy” would definitively help to reach and validate a consensus among all stakeholders regarding



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shared objectives (rules and regulation on sustainable use of forest and NTFP, sustainable

value chains, enabling environment), to promote collaboration among relevant government

departments (agriculture, environment, commerce, planning), and to create institutional

arrangements for facilitating a collective learning process (provincial and district bamboo task

force, value chain workshops).

3. The diagnosis of current situation (covering: up-dated assessment of present forest

resources; existing or past experimentations; existing or past forest management practices,

rules and regulations; existing, past or potential NTFPs value chains, with revenues, quantities,

prices, producers group organization...) should be done with the full involvement of all

stakeholders involved (villagers, public, private), particularly the villagers of the 14 villages who

are the “owners” of the forest use and management rights (villagers are the pillars of the NTFP value chains);

4. Research combining academic and empiric local knowledge may be required. Once the

wishes and the feasible options for sustainable use of community forestry resources will have

been identified and validated by stakeholders, it is recommended to involve the Forest

Scientific Research Centre (FSRC / NAFRI) in the co-design (with villagers) and

experimentation (with villagers) of techniques for sustainable management of NTFPs (in natural

forest), or even production of NTFPs (forest enrichment, plantation);

5. NTFP Management Plans should be formulated and implemented at village (hamlet) level,

prepared by the villagers for building ownership (based on empiric and academic knowledge,

and with guidance of government technical agencies) and approved by the District governor,

the District Agriculture and Forestry Office (DAFO) and the District Office of Natural Resource

and Environment (DONRE)

6. Starting from the initial diagnosis, the development of sustainable NTFP value chains should

be seen and supported as a multi-stakeholders learning process, involving continuous

experimentations, monitoring, multi-sectorial discussions with multiple actors/stakeholders in

order to encourage a critical analysis of decisions and results. This approach has significantly

contributed to the successful development of tailored working tools on forest management and

bamboo-based value chain development in Houaphan Province.

7. The assistance of an independent facilitator of this learning process is recommended for

balancing relationships between stakeholders in the different stages (structuring the process,

preparing and accompanying the experimentations, monitoring the value chains and

synthetizing the information on results and context, preparing the multi-stakeholders value

chain meetings…). Key conditions for the adoption of such working method based on collective learning of learners are: listening, willingness to learn, analysis, and recognition and promotion

of empirical knowledge.

Financial Analysis of existing and possible forest-based livelihood options

NTPC has hired two consultants to carry out a study on the existing and possible forest-based

livelihood options.

Their report was submitted to NTPC on 20th November 2017, that (i) analyzed the financial

viability of possible forest-based livelihoods that could be adopted by Nakai resettlement

villages, and (ii) assessed the financial situation of the VFDC sawmill, which is nominally owned

by the Nakai resettlement villages.

The consultants considered eight possible forestry models:

Bamboo in a village forest,



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Rattan in a village forest,

Yang bong plantation on village forest land,

Yang bong and banana in a plantation on village forest land,

Teak in a plantation on village forest land,

Teak with rice understory on village plantation land,

Village forests to maximize carbon sequestration

Logging of Pinus merkusii by villagers.

For each of eight possible forest-based livelihoods models, the financial analysis consists of

three elements:

Brief description of the livelihood, with particular attention to financial aspects;

Financial investment analysis that indicates the profitability of each livelihood over a 20

year period by calculating the financial net present value (FNPV) and financial internal

rate of return (FIRR);

Description and analysis of the value chain associated with a livelihood.

These models were formulated to serve as examples and need to be adapted with actual local

data (prices, species matching site conditions of Nakai plateau, etc.) for more relevant results

after further discussions with hamlet dwellers and local technicians.

The financial analysis of the VFDC sawmill seeks to understand whether the VFDC sawmill had

the financial capacity to pay dividends to shareholders (the Nakai resettlement villages) in the

past, whether the VFDC sawmill might have the financial capacity to pay dividends in the

future, and the value of the shareholding in the VFDC sawmill. To answer these questions the

consultants undertook a financial accounting analyses of the VFDC sawmill and a

representative sawmill In Lao. This involved preparing three key financial statements: income

statement; balance sheet; and sources and uses of cash. They used financial ratio analysis to

look at key financial aspects of each sawmill, and to develop a picture of the financial health

and performance of the sawmills.

Anyway, the consultants could not complete a direct financial analysis of the VFDC sawmill,

because they were unable to obtain financial data from VFDC. Financial analysis of their

representative sawmill shows that this sawmill is not financially viable for any typical year.

Thus, this business will operate only for as long as its shareholders are willing to provide

capital. Sensible shareholders will never provide capital for this representative sawmill – there

is no chance the shareholders will get their investment back, much less a return on their

investment.

To the extent that the VFDC sawmill has a similar business model to that of the representative

sawmill, the consultants believe it is unlikely that the VFDC sawmill could be financially viable in

any given year. It would be very unlikely that the VFDC sawmill would have the financial

capacity to pay shareholder dividends in the past or in the future. The value of the

shareholder’s equity in VFDC would very likely be very low, or possibly negative. A large part of the reason for the lack of financial viability is the extremely high taxes that the sawmill must

in principle pay to the government. These taxes appear designed to prevent any sawmill in Lao

from becoming financially viable.

Sawmills that export finished wood products also face other barriers. A key barrier is that

exported wood products must appear on the approved list of products that the Lao government

permits to be exported. The Ministry of Industry and Commerce publishes this list (Decision No.



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1833, Date: 03 Oct. 2016). This list is highly prescriptive, detailing even the dimensions of

certain timber products. Sawmills that export wood products have little flexibility to produce new

or innovative products that could be demanded by their customers.

Institution analysis

This analysis aimed to acquire a better understanding of the institutional arrangements of

community forest management on the Nakai plateau in order to identify the limiting factors and

ways forward. The analysis has started in July 2017 and covered three main aspects:

A review of stakeholders roles, positions and interests as they relate to community

forest management on the Nakai plateau with special focus on VFDC’s operations (see FO.2.1.1 LOA – GOL)

Document regulatory requirements that apply to the NT2 forestry operation and identify

barriers, propose solutions (see FO.2.3.1 LOA − GOL) Propose ways forward for the organization of stakeholders for the management of

proposed options.

The analysis showed that since the Village Forestry Association (VFA) has been transformed in

a Village Forest Development Company for better forest business operation (between 2010 and

2014), its governance system has undergone major transformations. PAFO and DAFO who

used to be advisors of the VFA board are now chair and vice-chair of the VFDC board and thus

playing a decision-making role. The involvement of villagers in decision-making, recruitment of

the manager and staff, planning and field operation has been drastically reduced if still existing.

Without board meetings, records and follow-up, the management performance is poor and

lacks of transparency.

The report is completed. Key results of the analysis have been presented to the stakeholders

(District government and heads of villages). The consultation process continues in parallel to

the development of the hamlet Forest Management Plans and of the Nakai Community Forest

Strategy. The future forms of organization will depend on activities hamlet dwellers will have

selected.

Participatory Assessment of Community Forest Resources (PACFR)

NTPC has developed a Memorandum of Understanding with the Village Forests and Non-

Timber Forest Products Management Division of the Department of Forestry (DoF), Ministry of

Agriculture and Forestry (MAF), to undertake the participatory assessment of community forest

resources on the Nakai Plateau and update the existing forest management plan (see FO.

3.1.1). The objective is together with DAFO and PAFO, and with the active involvement of

hamlet dwellers, to update the status of hamlet forestry resources. This exercise comes after

an initial consultation conducted in each hamlet to re-introduce the dialog on community

forestry management.

As of December 2017, the DoF/PAFO/DAFO Team completed, with the participation of

villagers, the assessment of the forest resources in 7 hamlets: Khone Kaen, Done, Sop On,

Phonsavang, Nakai Neua, Nakai Tai and Nongbouakham. For other villages, the reports on

assessment of the community forest resources are going on.

With the completion of reports for the two pilot hamlets, Khone Kaen and Nongbouakham, this

task is finalized for 2017. The process will continue in 2018. All hamlets PACFR and FMP will

be completed by end of March.



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The initial consultation and the PACFR are the first step toward the development of the hamlet

Forest Management Plan (FMP). The reports constitute the first section of the FMP which sets-

up the historical, socio-economic and natural conditions.

The RO team along with the consultant did a review of the forestry action plan on 28th July. The

review aimed at finalizing the tasks for different actions under the forestry action plan and

assigning them weight to monitor the progress. The update of tasks not only clarifies the

various steps leading to the closure of actions but will also help the project management team

to accurately report the progress of Forestry action plan on dashboard. However, as a result of

this exercise and re-shuffling of tasks the progress under Forestry AP may have changed

across different actions against progress reported until week ending 22nd July. The progress

already reported under FO.1.1.4 was identified to be more relevant to FO.1.1.1 and is being

reported here.

FO.1.1.2 Present possible options to the government for their review and

discussion and agreement (LOA − NTPC) Action completed – Report under process

The presentation of possible options to the government and other stakeholders was not

organized as a stand-alone event which would have taken place after the wrap-up of all studies

and activities but rather conducted through a series of events and consultation meetings along

the progress of various studies. In this way, decision-makers were progressively informed on

the intermediary results and ad-hoc decisions could be made that contributed to guide the

surveys and to build the community strategy step-by-step. At key moments of the project,

specific meetings were held with the Government in order to share information, validate

decisions, or seek for advices.

Date Persons/Institution Subject

30/5/17 DoF- Village Forest & NTFP Division Involvement of DoF in revision Nakai FMP

1&2/06/17 NT2 Stakeholders Forestry AP development flow chart

8/6/17 World Bank Vientiane Forestry AP clarification

8/6/17 DoF- Village Forest & NTFP Division Involvement of DoF in revision Nakai FMP

13/6/17 DAFO/RMU/NTPC/PAFO Discussion Forestry AP

15/6/17 DAFO/RMU/NTPC/PAFO Agreement on flowchart Forestry AP

9/8/17 DoF- Village Forest & NTFP Division Discussion methodology for FMP revision

10/8/17 GFA- Certification Discussion potential FSC pre-assessment

23/8/17 RMU/District/NTPC Launching the Forestry AP assistance

24/8/17 VFDC History/Organization/HR/Activities

24/8/17 DAFO Forestry activities review

28/8/17 PAFO/RMU/DAFO Share ToR and seek for comments

28/8/17 16 hamlet authorities Past & future of Community forestry: their opinion

5/9/17 District/WB/AFD/NTCP Intermediary progress report

3/10/17 District/NTPC/RMU Validation preliminary results consultation

9/10/17 DoF- Village Forest & NTFP Division Discussion on progress & methodology

13/10/17 DoF DG Discussion progress & DoF involvement

30/10/17 LTA/District/RMU/NTPC Intermediary progress report



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FO.1.1.3 Present possible options to 16 hamlets for their review,

discussion and agreement in culturally appropriate ways (LOA − NTPC) Action completed – Report under process

The various options for community forest management should rely on the well-informed wishes

and suggestions of the re-settlers who are the owners of (i) the Community Land Titles (CLT),

(ii) the forest concession rights and (iii) the sawmill. Therefore, the consultation with hamlet

dwellers was the starting point of the process of revision of the forest management plan.

The first contact with villagers aimed to 1) inform them that the FMP was being revised and

what this implied; 2) understand the way forest resources are utilized and managed at village

level; and 3) ask for their wishes about the future of the forest. The approach entailed an

iterative process of consultations, discussions and decision-making among all

stakeholders including villagers and different levels of government.

A starting point and crucial part of this process was the initial community consultation. This

consultation was seeking the involvement of hamlet dwellers and other stakeholders in the

process of updating the FMP. Facilitators from the Faculty of Agriculture, National University of

Laos, have been commissioned to design and guide the process. They worked with the RO and

built-up a team of District facilitators selected from the District Governor Office, the Tourism

Office and the Planning Office. The role of the District team of facilitators does not stop after

the initial consultation. Their responsibility is to support the whole process of revision of the

FMP and follow-up during implementation. The team is working in close cooperation with other

contributors, especially the DoF/PAFO/DAFO teams.

The initial participation was conducted in all 14 hamlets except Oudomsouk and Phonphanpek,

the two urban hamlets, from early September to early November 2017. Out of a total of 1,679

households, 548 households were represented standing for one third of the total households.

The attendance varied from 11% in Nongboua to 68% in Done. In four hamlets, NamNian,

NakaiTai, Nongboua and SopOn, the percentage of attendance was less than 33%. One

reason might be that the consultation started before the paddy harvest season when men

should go fishing to bring back cash to buy food and continued during harvest when the

household labor force is fully occupied. On average, women accounted for 60% of the total

participants in the first consultation meeting. All ethnic groups living in the hamlets were

represented in proportions similar to those of the whole hamlet population. Almost 20% of the

participants were of subsequent growth households, reflecting the proportion of “G2” in the total

population.



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To ensure that the whole population is informed and offered a possibility to express its wishes

and opinion, several mechanisms have been put in place.

After the first consultation meeting, individual households interviews have been

conducted

For each hamlet, a poster was developed summarizing the wishes of the population for

the future of the community forest and posted in the hamlet meeting hall

On the poster, the names and phone numbers of the national and district facilitators are

mentioned for the people to call for suggestions, grievance, wishes, etc.

A short radio program was recorded by the district facilitators and brought to the village

leaders for broadcasting.

The results of the initial consultation are for each hamlet:

- A preliminary zoning and mapping of the hamlet forestry resources by the hamlet

dwellers

- The description of the utilization of forest resources in each zone and by different

groups of people (women, men, age-groups, ethnic groups, etc.)

- Problem analysis

- Wishes for the future

As a conclusion to the first consultation, an agreement is made with the hamlet dwellers for the

next steps: PACFR and FMP.

The wishes expressed during the consultation with villagers are the following:

• Set-up a viable village-level CF protection system (patrolling, regulations, etc.)

• Stop logging by outsiders

• Achieve self-sufficiency especially of vulnerable persons: timber, fuel wood & NTFPs

• Improve NTFPs processing & commercialization

• Conduct tree plantations

• Monitor past plantations

• Put an equitable eco-tourism system in place

• Open additional cropping/agro-forestry land in CF

• Open grazing areas in CF

The action is completed and reports available for each hamlet, except the two urban areas.

FO.1.1.4 Develop a Strategy for Forest Management (LOA − NTPC) Action completed – Report under process

The foundations of a strategy for forest management have ben set-up based on the results of

the various studies and surveys, on the consultations with hamlet dwellers, different levels of

government, and other stakeholders. This strategy takes into account the present regulatory

framework for the forestry sector in Lao PDR.

A consensus has been reached on the overall management goals of the Nakai Forestry

Resources:

Preserve the community forest (quality, quantity, bio-diversity)

Develop Forest Management Plans at hamlet level to enhance hamlet communities

governance and responsibility



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This implies a two-layer management system with hamlet level FMPs and an overarching

strategy for the Nakai community forest.

The hamlet-level FMPs will focus on the objectives 2, 3 & 4 of 2005 FMP:

Develop a range of uses

Ensure self-sufficiency of resettler families in timber, fuel wood and NTFPs

Protect watersheds, biodiversity and sites of scenic historic and cultural significance

The overarching strategy for the Nakai community forest will foster synergies and play a

coordinating role in the initiation and operation of programs or activities of interest for several

hamlets such as grazing and cropping including agroforestry in CFs, developing ecotourism in

hamlet forest, or the organization of the NTFPs value-chain, etc.

Activities earmarked at the time being are:

Enrichment plantation in lower-density forest (various species)

Bamboo, rattan and other NTFPs: enrichment planting & value-chain organization

Protected forest area in places of specific significance

Eco-tourism

Village organization for forest protection (patrolling, hamlet regulations, etc.)

Utilization of CF for grazing, cropping, agro-forestry

The process of PACFR and development of FMPs is going on. Following an adaptive

management approach, the strategy will be further tailored to the 16 hamlet FMPs through a

consensus among all hamlets and the government.

FO.1.1.5 Strategy for Forest Management decided by Govt and villagers

(LOA − GOL) Action completion deferred to 2018 − progress 0%

Pending additional discussions and completion of adaptive actions (continuation and

finalization of the PACFR and FMP by the end of March 2018). This action was deferred for the

first quarter 2018

FO.1.1.6 Make a recommendation to the GOL to enforce a stop on logging

until the approval of the forestry management plan (LOA − GOL) Action and reporting completed - reference to the Completion Report of the District

Cabinet #306/CNK, dated on 12th July 2017

On 13th May 2016, the Prime Minister issued the Order # 15/PM on Enhancing the Strictness

in managing and inspecting the exploration of timbers, transportation and business related to

timber and to inspect all the existing wood processing factories throughout the Country. Based

on this, the district established a Committee to disseminate this information to all villages and to

coordinate with every concerned district authorities in order to follow up the implementation of

the above mentioned PM Order.



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FO.1.2.3 Agree on responsibilities and ways of working (LOA − GOL) Action and reporting Completed

On June 1st and 2nd 2017, the JWG representatives discussed further the forestry action plan

in Vientiane. A flowchart was developed to clarify the content of the actions, their sequence and

the related responsibilities of different stakeholders.

Thereafter a first discussion with RMU and the district was organized on the 13th June 2017,

under the chairmanship of the Vice Governor of Nakai district. The agenda of the meeting

besides discussing other issues related to forestry was to present and discuss a flowchart

establishing accountability and way forward to implement the forestry action plan. The flowchart

was based on the discussions that had taken place in Vientiane with the JWG. The participants

were invited to provide comments according to their understanding and ideas. Based on the

output of the discussion on that day, the flowchart was revised and presented again to the RMU

and the district during a subsequent discussion organized on the 15th June 2017. The flowchart

agreeing on the responsibilities and ways of working was finalized and endorsed by RMU and

NTPC on this day. The discussion and opinions have also been summarized in the MoM made

on that day. The MoM has been registered with NTPC DCC. The Completion report is under

drafting by the District Government.

FO.2.1.1 Undertake financial Review and Audit of VFDC (LOA − GOL) Action completed – completion report under finalization

Audit committee for the Community Forest Development Company in Nakai Plateau started the

inspection from Aug 16, 2017 through to Aug 31, 2017. The committee included members from

Provincial State Audit, Provincial Finance Department, Provincial Agriculture and Forestry

Department, and Provincial Industry and Commerce Department. Based on the actual audit

through information, documents, and evidence collection which covers the period from FY

2014-2016 and the first 6 months of 2017 of the company by referring to relevant laws and

Decrees; the result of the audit could be summarized as follow:

Result of the audit:

Structure and personnel

In the past, the structure followed regulation of Community Forest Association of NT2

RMU number 242/PG.KM, dated Nov 25, 2003, which included: Chair and Vice Chair of

the association through election:

- Manager (responsible for overall and specific for forestry, wood processing, and

marketing)

- Deputy Manager (responsible for administration and Finance)

- 2 finance/accounting staff (responsible for sale and finance)

- 2 Assistants (responsible for Admin. Tasks)

- 2 forestry staff (responsible for forestry and wood processing)

- External audit committee: (including persons not included in the association and was

appointed by the District Governor in order to take charge of forestry management and

timber businesses in each year)

In 2013-2014, the Community Forest Development Company which included

government and villagers in its structure, with Director of PAFO as an independent



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Director and Head of DAFO as a Vice Director (Representatives of the government) and

based on period of change by referring to the Agreement of Khammouane Provincial

Governor number 845/PG.KM, dated April 20, 2017.

It also included an Acting Director and a Vice Acting director. It’s divided into 3 Units such as Management, Exploration, and Production. Management members include 5

village representatives; 3 village representatives in shareholder, 35 representatives of

shareholder from 16 villages; and 6,289 shareholders. There were also interior

organizations which all had detailed responsibilities, with a total of 51 staff including 30

women.

The company had a total of 1,310 families (6,286 shareholders) and all were villagers

who have been affected by the resettlement of NT2 project.

At the end of 2015-2016 FY and the first half of 2017, number of admin staff has

declined. At present, there are only 5 staff remaining in the company who receive

salary. These include 1 acting Director, 1 marketing staff, 1 treasurer, 1 driver, 1 safety

guard, and some few daily workers.

Guidance-direction and work plan:

A. Good points:

Guidance-Direction of the company can be summarized as follow:

The company has directly received guidance from the above level, as well as the

guidance of the company Director and Deputy Director (government representatives)

regarding management, admin., and work plan so that it’s compliant with the law. Besides, the company has effectively involved villagers in its forestry business such as

forest restauration, tree nursery-planting, forest fire protection, forest conservation,

Forest exploration, timber processing, timber sale, non-timber forest product, and

others. These are in the region authorized to villages for job creation and for making

profit out of forest.

Management and regulation are based on the rule and regulation of the company as a

basis.

There are also bank accounts in USD and Thai Baht from other countries (Japan and

Thailand) in order to receive money for timber selling and other wood products, and

transfer documents are kept in good condition.

B. Weak points:

The company Director has not provided enough meetings and consultations with

management team, shareholders, guiding committee from the province and district; and

management lacks consistency.

Auditing of the finance management has not been provided by the state audit.

Enterprise accounting system has not been used (only basic accounting has been used

and there is no certification from authorized accounting unit)

There is no professional accountant who can manage finance of the company.

There is no bank account book, no account summary for income and expenditure, no

monthly and yearly balance.

FO.2.2.1 Prepare Mapping Stratification and Change Detection (LOA − GOL)

Action completed – Completion Report under finalization



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The revision of the Forest Management Plan required an up-to-date picture of the forest and

vegetation cover. Thus, an assessment of the land-cover in the community forest area of the

Nakai Plateau - 25,431 ha covered with a mixture of forests, agricultural land and human

settlements - was commissioned which would also serve for the preparation of a potential forest

management inventory in case the need would arise for the implementation of the revised FMP.

This land cover map is based on the interpretation of recent, freely available satellite imagery. It

was agreed that the stratification into various land cover classes would follow at least Level 2 of

the Lao National Classification System (See Table below), as a minimum, and to assess during

the workflow if level 3 could eventually be mapped with an acceptable level of accuracy.

The survey identified six main types of land cover classes at level 2 - evergreen forest, mixed

deciduous forest, mixed coniferous and broadleaved forest, coniferous forest, bamboo, and

regenerating vegetation- subdivided into ten classes at level 3.

The report includes the updated land-cover map and a description for each hamlet.

Community Forest area land cover breakdown

Land cover types

Level 1

Level 2

Level 3

Area

ha

%

Current Forest Evergreen Forest Evergreen Forest Dense 5,636 22.2%

Evergreen Forest Degraded 1,408 5.5%

Mixed Deciduous Forest Mixed Deciduous Forest 5,324 20.9%

Mixed Coniferous and

Broadleaved Forest

MCB Closed 1,477 5.8%

MCB Open 773 3.0%

Coniferous Forest Coniferous Forest 46 0.2%

Potential Forest

Bamboo Bamboo 82 0.3%

Regenerating Vegetation Old Fallow 3,210 12.6%

Young Fallow 821 3.2%

Other Vegetated Areas Scrub Scrub 186 0.7%

Cropland Upland Crop Upland Crop 2,233 8.8%

Settlements Urban Urban 176 0.7%

Other Lands Barren Land Barren Land 1,347 5.3%

Water Water Water 2,708 10.7%

Total 25,431 100.0%

FO.2.2.2 Prepare Inventory Design (LOA − GOL) Action completion deferred to 2018 − progress 0%



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FO.2.3.1 Document regulatory requirements that apply to the NT2 forestry

operation and identify barriers, propose solutions (LOA − GOL) Action Completed – Completion Report under finalization

Regulatory requirements have been documented during the institutional analysis.

FO.3.1.1 Update Forest Management Plan (LOA − NTPC) Action Completed – Completion Report under finalization

The Village Forest Division, Department of Forestry (DoF), Ministry of Agriculture (MoA) is

piloting the revision of the FMP.

The approach to the development of FMPs has been designed to fit the specific conditions of

the Nakai Plateau Community forest and to fulfil the Lao Government regulations. The decision

has been taken to develop hamlet-level FMPs.

The FMP has been developed for two pilot hamlets, Nongbouakham and Khone Kaen, as per

target. Reports are available.



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Action Plan for Off-farm

OF.1.1.1 Conduct research to identify products and services that hold

significant potential benefits for resettlers, according to the specificity of

each group (Ethnic Groups, Gender, Poor and Vulnerable) (LOA − NTPC)


The Action completion report combines results from all 10 actions under the Main Objective 1:

Identifying off-farm livelihood opportunities.

In December 2016, the NTPC contracted a Lao based consultancy firm to carry out research to

identify opportunities for employment and small scale enterprise development. These

opportunities needed to be activities that can increase income and diversity of income-

generating activities for Nakai plateau resettlers on a sustainable basis.

Between January-March 2017 the consulting firm, in collaboration with District staff and

representatives from Happy Nakai youth group, carried out three separate consultation

processes in resettler villages as well as numerous interviews with representatives from the

Nakai District office, the Khammouane Provincial office, the NTPC, international development

organizations and private companies.

The results of these consultations are presented in the consulting firm’s Market Research

Reports A and B, which describe the prospects for developing various types of small ventures

(incl. tourism products and services) on the Nakai plateau as well as employment opportunities

for resettlers.

From an initial list of 35 identified enterprise opportunities, 12 priority enterprise opportunities

were identified in collaboration with resettlers. Each of these enterprise opportunities are

described in terms of their market potential (size and access to markets), their value chains and

their possible linkages to other livelihood pillars as well as their potential profitability (cost-

benefit analysis) and investment requirements.

The list of the 12 priority enterprise opportunities are: Bamboo handicraft, bed & breakfast and

homestays, Fish BBQs, sightseeing and camping trips, earthworm drying, fish drying,

fermented fish, semi-processed crickets, roasted almonds, vermicompost, weaving center and

wooden toys. In addition, the study suggest that the off-farm program facilitates the

establishment of enterprises that offers ‘business development support services’, such as trading, marketing, branding & packaging, storage, accounting etc.



Page 77 of 417

The Nakai plateau suffers from a lack of tourism products and services to its main attractions;

the protected area and the reservoir. There is also a low variety of accommodation and

restaurants to serve this growing tourism market. Yet, in 2016 an estimated 5000 foreign

travelers passed through the Nakai plateau. To successfully develop tourism products and

services, the study recommends collaboration with established tourism product providers.

Moreover, a list of 20 potential tourism products/services were discussed in collaboration with

villagers and scored according to; attraction value, marketability, impact (on employment,

poverty and conservation) and logistics (access and investment requirements).

According to the latest QSEM, only 2-5 % of resettlers are engaged in formal employment.

However, the possibilities for employment exist in particular outside of the Nakai plateau. The

study suggests that the off-farm program facilitates direct employment by resettlers in a number

of identified companies; the mobilization of employment recruitment agencies based in

Thakhek and Savannakhet; as well as training of resettlers to accommodate for the

qualifications requested by local companies and government organizations. However, it is

advised that the facilitation of formal employment outside of the Nakai plateau should be

balanced with the need for talented resettlers to engage themselves in the development of the

Nakai community.

OF.1.1.2 Conduct value-chain and cost-benefit analysis for identified

products and services (LOA − NTPC) Action and reporting completed

See 2.6.1

OF.1.1.3 Identify priority business opportunities with respect to the goals

and aspirations of the resettlers. (LOA − NTPC)


See 2.6.1

OF.1.2.1 Conduct research to identify tourism products and services that

hold significant potential benefits for target hamlets (LOA − NTPC) Action and reporting completed

See 2.6.1

OF.1.2.2 Conduct cost-benefit analysis for identified tourism products and

services for target hamlets (LOA − NTPC) Action and reporting completed

See 2.6.1

OF.1.2.3 Identify priority tourism goods and services with respect to the

goals and aspirations of the resettlers. (LOA − NTPC) Action and reporting completed



Page 78 of 417

See 2.6.1

OF.1.3.1 Conduct market research to identify potential employment

opportunities for resettlers on and off the plateau (LOA − NTPC) Action and reporting completed

See 2.6.1

OF.1.3.2 Evaluate the costs, benefits and suitability of potential

employment opportunities for target groups (LOA − NTPC) Action and reporting completed

See 2.6.1

OF.1.3.3 Identify priority employment opportunities with respect to the

goals and aspirations of the resettlers. (LOA − NTPC) Action and reporting completed

See 2.6.1

OF.1.3.4 Disseminate information about the research, needs assessment

and planning stages based on the questions raised in the Village

Consultations (LOA − GOL) Action and reporting completed

In 2016 and early 2017, a research was led by a consultancy firm on business opportunities for

resettled communities on Nakai plateau. During the research a set of interviews and

consultations were led to identify relevant business, training and employment opportunities.

The consultations raised several questions and expectations within the communities.

For this purpose, and as part of action OF1.3.4 and OF2.2.4 of the Off Farm pillar,

dissemination sessions were organized in each hamlet to present the main outputs and findings

of the research. These disseminations sessions were held in addition to the information and

explanations already provided by the Consultant team during the consultations. District staffs

from Office of Commerce and Industry and Office of Information and Tourism and the Off Farm

team worked together to develop appropriate and easily understandable communication

materials.

Disseminations sessions were held from October 17 to October 20 within the 16 hamlets by two

teams composed of District staffs from Information and Tourism Office, and Lao Youth Union.

The teams were supported by two RO staffs. 630 participants, including 459 Females, joined

the dissemination sessions. The dissemination was the opportunity to present in detail each

business idea proposed by the Consultant and to raise interest among villagers. In this sense,

interested villagers can start their businesses in a more sustainable way, and get new sources

of income.

The KPI and target for these were 10 dissemination sessions (one per village). Target was met

as 16 dissemination sessions were organized



Page 79 of 417

OF.2.1.1 Conduct research into socio-economic capitals at the household

and hamlet level and define target groups (LOA − NTPC) Action and reporting completed

In December 2016, the NTPC contracted a Lao based consultancy firm to carry out research to

identify opportunities for employment and small scale enterprise development and to determine

the means for addressing these opportunities based on villagers current strengths, assets, and

wishes. These opportunities needed to be able to increase the income and diversity of income-

generating activities for Nakai plateau resettlers on a sustainable basis.

Between January-March 2017 the Consultant, in collaboration with District staff and

representatives from Happy Nakai youth group, carried out four separate consultation

processes in resettler villages as well as numerous interviews with representatives from the

Nakai District office, the Khammouane Provincial office, the NTPC, international development

organizations and private companies. The results of these consultations are presented in

Consultant’s Market Research Report B, which describes required capacity building and capital for several socio economic groups to address the business and employment opportunities (incl.

tourism products and services) on the Nakai plateau.

The Consultant identified 9 socio target groups: Youth, NEET, Self Employed, Adult women,

Adult Men, Disadvantaged, Village Authorities, Scholars, Job Seekers, and proposed specific

training plans and methods for each of them. The report also defines the role of the Resource

Centre to be played to boost capacity building and to enhance employment and business

opportunities.

The report part B, first draft, was issued in April 2017. However, RO team and Consultant team

considered that the socio economic survey on the target groups could be deepened by

collecting some new data. Consequently, in June, RO staffs and Happy Nakai volunteers

helped the Consultant collate and collect new data which are currently under treatment by RO

staff. The data will be sent to the Consultant for a new release of the report in August.

OF.2.1.2 Identify needs of each target group and village institution

members to determine the design and/or selection training and capacity

building (LOA − NTPC) Action and reporting completed

See 2.6.11 above.

OF.2.2.1 Outline business development plan with key steps for addressing

identified business opportunities in consultation with resettlers target

groups. (LOA − NTPC)


See 2.6.11 above.

OF.2.2.2 Outline a roadmap and key steps for developing proposed

tourism products and/or services in consultation with resettlers. (LOA − NTPC)




Page 80 of 417

See 2.6.11 above.

OF.2.2.3 Develop a training strategy for employment and non-employment

livelihood opportunities in consultation with resettler target groups (LOA − NTPC)


See 2.6.11 above.

OF.2.2.4 Disseminate information about the implementation stages based

on the questions raised in the Village Consultations (LOA − GOL) Action and reporting completed

See 2.6.10 above.

OF.3.1.1 Prepare for gradual hand-over to the District Offices by engaging

them in the design, implementation and evaluation of all programs. (LOA

− GOL) Action and reporting completed

In order to ensure the sustainable operation of Off Farm programs by District offices after RIP

closure, District staffs and RO team have worked together in planning, implementing and

reporting on all Off Farm activities during the last two years. Involved District Offices in Off

Farm pillar were: Information, Culture and Tourism Office, Industry and Commerce Office,

Education and Sport Office, Youth Union Office, Lao Women Union Office, Labour and Social

Welfare Office, Agriculture and Forestry Office.

Through their continuous involvement within activities, District staffs received an “on the job training” and could acquire an extensive knowledge on all Off Farm Programs as well as a number of skills in activity planning, project management and monitoring, ensuring sustainable

hand over. This on the job training was completed with specific trainings, such as the Training

of Trainer on Financial Literacy and SME business planning conducted by the Lao Micro

Finance Association in from 21 to 23 June 2018.

A number of study tours and participation to events outside of Nakai were also organized in

order to increase ownership of District and RO staffs within the planning of activities, such as a

the participation to Mega Education and Job Fair in Vientiane, to two Start Up week end in

Vientiane as well as a visit of a successful Saving and Credit Union in Champasak Province.

Finally, in order to facilitate implication of both parties within activities, three District staffs, from

Youth Union Office, Education and Sport Office and Labour and Social Welfare Office joined

the Off Farm team on a full time basis. Their performances were regularly assessed and their

skills have shown continuous improvement over the last months.

The involvement of District Offices into Off Farm Programs has been made according to KPI

and Target. It will ensure a more efficient and sustainable hand over of activities to District

Authorities.



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OF.3.1.2 Establish partnerships with the private and public sector, as well

as international organizations for involvement in training and mentoring.


Throughout the implementation of the Off-farm program, several partnerships have been

formed with private, public as well as non-profit and international organizations. Development of

partnerships is a key element to bring innovative ideas and approaches for the development of

Off Farm activities on Nakai Plateau. It is also a major component of sustainability of business

development promoted by the Off Farm Pillar.

The partnerships that have been established are diverse and have served many purposes. This

includes: to strengthen access to markets, to promote joint ventures and to share knowledge,

methods and ideas for business and socio economic development.

The Start-up weekends and the Education & Job Fair organized by District Authorities and the

Off-farm team in 2017 have played a major role in strengthening these partnerships. A total of

37 partnership organizations (17 private, 18 non-profit, and 2 international) participated in these

events and many of these are recurring partners as 10 of the organization joined all three

events. These events were also the opportunity for partners to interact among themselves and

to discuss about opportunities for Nakai.

The partnerships will be further developed during the implementation of the Mid-Term

Development Plan (MTDP). For this purpose, District Authority and NTPC have agreed on a

format of Memorandum of Understanding (MoU) on ‘Partnerships for Promoting Sustainable

Economic Development on the Nakai Plateau’ to be signed between Partners, Nakai District and NTPC in order to officialise partnerships. This MoU gives space for innovative approaches

in partnerships benefiting communities while ensuring the respect of a number of principles to

protect communities and environment.

OF.3.1.3 Provide support and capacity building relevant to Off-Farm to

institutions at the Hamlet level, particularly but not limited to the VDCs and

VDFs. (LOA − GOL)


The Off Farm pillar ambitions to create a supportive environment for business creation and

development in resettlers hamlets. A key element for this is the presence of supportive

institutions at the Village level. Indeed, to ensure progressive development of business in rural

context, the village level is the first step.

For this purpose, District Authorities, with the support of RO team, have worked extensively to

provide capacity building to village institutions relevant to Off Farm activities. Capacity building

efforts mostly focused on Village Development Fund committees who play a fundamental role

in supporting business development.

The capacity building was organized in two ways. First, District and RO staffs provided

continuous support to Committees through regular visits. These visits focused on fund



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management and accounting in a learning by doing approach. Second, a set of specific

trainings was organized over the two years based on the needs identified by the committees

themselves, District and RO staffs, or during formal assessment by external consultants.

These trainings include the training on Financial Literacy and SME organized by Lao

Microfinance Institution (MFA) on June 2017, or trainings on VDF management and accounting

organized by supervisor from DAFO and Off Farm Team, was organized over the two years

based on the needs identified by the committees themselves, District and RO staffs, or during

formal assessment by external consultants.

This capacity building is part of a broader effort to ensure sustainability of VDF operations and

of business development opportunities after RIP closure.

See VDF results for the year 2017 in the table below

VDF results - 2017

Hamlets highlighted in yellow did not have dividend distributions for the year 2017 as dividends

for year 2016 were distributed late in 2017 due to late loans repayment.

PAR30 (Loan late over 30 days / Outstanding loans) in Ban Sop Phene and Ban Thalang

reaches 100%. These numbers are misleading as the two hamlets are waiting for the

repayment of the loans to start new loans, therefore only late loans are considered in the

PAR30 computation.

Other hamlets without dividends are awaiting for dividends distributions.

Number Amount Number Amount Total Dividend Average/HHs

Ban Bouama 25 75,900,000 0 - 0% -

Ban Done 59 213,950,000 22 57,600,000 0% - -

Ban Konekean 23 73,300,000 0 - 0% 13,807,000 206,075

Ban Nongboua 8 6,100,000 1 500,000 0% -

Ban Nongbouakham 101 358,120,000 0 - 0% 28,300,000 410,145

Ban Nakai Neua 107 533,600,000 1 10,000,000 0% 61,422,000 499,366

Ban Oudomsouk 60 183,500,000 17 31,750,000 0% - -

Ban Phonphanpek 63 175,660,000 2 1,200,000 0% 16,748,000 194,744

Ban Phonsavang 30 75,450,000 3 3,100,000 0% - -

Ban Nakai Tai 112 317,100,000 52 91,614,000 16% -

Ban Namnian 48 153,170,000 0 - 0% 24,456,000 354,435

Ban Sop Hia 37 98,400,000 0 - 0% 13,356,000 247,333

Ban Sop Ma 55 108,100,000 28 59,100,000 0% - -

Ban Sop On 82 138,000,000 29 38,200,000 0% -

Ban Sop Phean 48 111,000,000 4 4,700,000 100% - -

Ban Thalang 63 244,500,000 1 1,500,000 100% 32,932,000 302,128

Total Amount 921 2,865,850,000 160 299,264,000 191,021,000 2,214,226

Total loans Outstanding loansPAR30Hamlet

Dividends



Page 83 of 417

OF.3.2.1 Develop social-enterprise business model handbook in

consultation with District authorities (LOA − NTPC) Action and reporting completed

In the past years, an increasing amount of small enterprises have emerged on the Nakai

plateau. A central part of the Off Farm Pillar commitment to support local businesses on Nakai

plateau has also been to create a balanced and sustainable development for all people of

Nakai plateau.

For this purpose, the District Industry and Commerce Office, the District Information, Culture

and Tourism Office and the Off Farm Team have worked together to define and promote

responsible models, adapted to Nakai context.

Based on the compilation of documents and experiences on Social Business, Fair Trade and

Corporate Social Responsibility (CSR), a Handbook was discussed and developed for Nakai

Plateau business community.

The social enterprise handbook (guiding principles for responsible business development) has

been produced in December 2017 and provides guidance for local entrepreneurs and ‘outside’ investors willing to develop their business in a way that provides maximum social and economic

benefit.

The handbook outlines a number of guiding principles for doing responsible business on Nakai

plateau. However, these are guiding principles and not a regulatory framework as such.

To adapt the communication of these principles to the context of the Nakai plateau, the

handbook has been developed in the format of posters (drawings and simple wording). The

Handbook will be promoted by District Offices and will be a key element of the Resource

Centre.

OF.3.2.2 Establish Resource Centre to accommodate start-up venture

program and function as communal hub for Off-Farm programs. (LOA − NTPC)

Action engaged − progress 39% (according to KPI and Target)

A major component of the Off Farm Pillar is the establishment of the Resource Centre in order

to facilitate business development in Nakai. The Resource Centre will act as a hub for business

development, facilitating access to market, providing vocational and business trainings,

accessible to all villagers of Nakai.

In 2017, District Authorities and Off Farm team have worked together towards the

establishment of such a structure to finally reach a first agreement in December 2017 settling a

number of pre conditions to the establishment.

First, two sites have been identified as suitable for the Resource Centre: the two former

agriculture extension facilities of Nongbouakham and Phonsavang. The opening of the two

sites will make the Resource Centres easily accessible for both North and South Village

clusters. The lands will be owned by Nakai Villagers.

Moreover, a Steering Committee and a working group, both representing major District Offices

and NTPC management, have been set up to lead the establishment and to agree on a

sustainable legal structure and a safe management and supervision system. Further

discussions on the legal structure will continue in the first half of 2018 for an official

establishment by June 2018.



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Despite the delay in the formal establishment of the Resource Centres, the two areas were

cleaned in July and August 2017 in order to host a number of activities under the Off Farm

Pillar. The second Start Up Week End as well as several camps for preparing the new batch of

Long Term Scholarship grantees were held in Nongbouakham Resource Centre. The Youth

Leadership Program is also conducted there. Phonsavang Resource Centre hosted several

camps from Happy Nakai group and is currently used for the development of several organic

farming activities.

On the first semester of 2018, District Authorities and the Off Farm team will focus their efforts

in finalizing the legal structure and the operation of the Resource Centre in order to ensure

sustainability and ownership by villagers.

OF.3.2.3 Establish start-up venture program to address business and

tourism opportunities identified in the research and planning process


In 2017, the commitment to develop local enterprises on the Nakai plateau was continued

through a number of activities under the Off Farm Pillar. A central point for the development of

business is the organization of two start-up weekends.

These events were carried out on 10-11 June, 2017 at the Wooden Guest House and on 4-5

November, 2017 at Nongbouakham Resource Centre. The start-up weekends was organized

by a team of 6 business development specialists from a Start Up incubator based in Vientiane.

The start-up weekends were interactive events, where Nakai villagers could propose their

business ideas and meet with experienced business mentors to develop their business plan. A

total of 103 young Nakai villagers participated in the start-up weekends, of which 80% were

women.

In addition, 29 mentors from 15 different companies and iNGOs, including Bizgital, Book

Delivery, I Job, Newrest, RDK consulting, and 108-1009 group, joined the start-up weekends as

well as 9 staff from the Nakai District and 18 people from NTPC. (See data in Annex 4).

The two start-up weekends resulted in the development of 14 different business ideas. As of

December 2017 five types of small enterprises (weaving groups, organic chicken raising,

organic vegetable farming, fish processing and Soap making) have already materialized.

Moreover, nine participants representing the most promising business ideas went to Vientiane

to participate in a 5-days business incubation workshop in November 2017.

OF.3.3.5 Establish monitoring system to provide on-going mentoring and

support of training participants (LOA − NTPC) Action and reporting completed

The Off Farm pillar promotes higher education and professional training for better economic

opportunities through to main programs: Vocational Trainings and Long Term Scholarship.



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The objective of this action is to ensure the support of the students and their success, by

preparing them extensively before departure and by following them continuously during their

study.

For this purpose, a monitoring system has been developed. The monitoring system ensures

that District Youth Union Office, District Education and Sport Office and the Off Farm team

remain in close contact with the educational institutions and the students. Regular contacts are

scheduled, by phone or in person, and a close follow up of the academic results of each

student is done. The system allows tracking and supporting students who face difficulties

during their studies.

Moreover, before study, throughout application processes, students are informed about

academic requirements, accommodation, and student allowances. Moreover, student

preparation workshops are organized prior departure. During these events, students are invited

to discuss about the life ahead with other students already enrolled as well as with staffs from

District Offices and Off Team. It is also the opportunity for them to establish contact with the

other students enrolling within the same educational institution.

OF.3.4.1 Implement monitoring of (1) new established businesses (2)

income for new and previously existing businesses (3) range of sectors

covered by resettler businesses (LOA − GOL) Action completion deferred to 2018 − progress 0% (according to KPI and Target)

This action is still under planning and was deferred during the JWG adaptive management and

expected to be completed within the first semester 2018.

The team was however able to receive some valuable inputs from other organizations (MFA

and Social Protection and Sustainable Livelihood project in Sepon) on monitoring systems of

small businesses, which can be used by villagers.

In the coming months, District Industry and Commerce Office and the Off Farm team will

develop a simple monitoring system to be conducted by participants of the Youth Leadership

Program.

OF.3.4.2 Implement monitoring of (1) number of resettlers employed

following capacity building programs (2) income of off-farm employed

resettlers (3) range of sectors in which resettlers are employed (LOA − GOL)

Action completion deferred to 2018 − progress 20% (according to KPI and Target)

Over the last 6 months, District Youth Union Office, District Education and Sport Office and the

Off Farm team have conducted regular monitoring to follow resettlers that joined one of the

three capacity building program under Off Farm pillar: Long Term Scholarship, off-site

vocational training and on-site training.

Partial results are presented in Annex 4. In the coming months, District and Off Farm team will

continue monitoring activities and consolidate results, while progressively integrating the youth

in conducting monitoring activities.



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OF.3.4.3 Explore ways for resettlers to be involved in the monitoring

process. Participants to be selected particularly from Youth Leadership

Program (LOA − GOL) Action and reporting completed

Capacity building of the youth on the Nakai plateau has been a major element of the off-farm

program during CAP implementation in 2016/2017. This includes, but is not limited to, the

engagement of the youth in various monitoring and research activities.

For this purpose, in 2017, 32 young resettlers, of which 78% were women, have been involved

in a number of monitoring activities: the Quarterly Socio-economic Monitoring (QSEM), the

Living Standard Measurement Survey (LSMS), the EDC Market Research and the Water

Monitoring (GRET).

All activities included 1-2 days training of young resettlers in interview and facilitation

techniques prior to the actual implementation of activities in communities. Moreover, several of

the participants were trained on computer software data entry skills.

Finally, training on monitoring is a major component of the Youth Leadership Program, during

which participants are trained to innovative monitoring techniques. The Off Farm team

especially took the approach of the SPSL project presented to the District staffs and RO team

during their field visit of the SPSL project in Savannakhet Province and Champasak Province in

2017. This approach places the community members as the central part for monitoring

development projects, allowing empowerment of community members and better ownership.

Other actions

OF.3.1.4: Continue and expand the establishment of self-governing VDF Network

Support Organization and linking to external support and audit (MTDP initiated

during LOA)


Based on the recommendations of Consultant in 2015, the team is trying to organize a

sustainable/villagers managed supervision structure for the VDF. The main recommendation for

that was the creation of a Network Support Organization (NSO), similar to the ones created by

GIZ as part of the project Access to Finance for the Poor (AFP).

In February, the RO team met with AFP team in Vientiane to learn more about the structure

and costs of such organization. Discussions with AFP pointed out a number of constraints in

the setting up of an NSO due to the specificities of Nakai Context:

- The setting up and daily operations of an NSO are costly due to the need for, at least,

three full time trained staffs (Bank of Lao new requirements). To cover such costs, a

large number of Village banks members are required. Sixteen Village banks are not

enough and the VDFs are not generating enough profits to ensure the sustainability of

an NSO in Nakai.

- Setting up an NSO is a long process and requires supervision and financial support

over several years to achieve full autonomy, as it was the case for AFP project (average

of 5 years to achieve autonomy).



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Based on this discussion, and following the advice of AFP team, RO team met with Lao Micro

Finance Association (MFA) in March to discuss partnership opportunities for supporting the

VDFs. MFA visited Nakai in April for a first field assessment. The MFA proposed two options for

supervision of the VDFs, the creation of an NSO as proposed by the consultant or the creation

of a Saving and Credit Union (SCU) at the District level. An SCU, according to Bank of Lao

rules and regulations, requires the same staff structure as an NSO. Consequently, for both

options, post RIP support from NTPC and District will be required. Models are described in

detail within Annex 4.

The choice between these two options is being discussed with District authorities and VDF

committees. A visit (RO management and District staffs) to a village bank that has successfully

evolved into an SCU in Champasak province was also done on July 17th. MFA is also expected

to come back to Nakai in the first semester of 2018 to further discuss with Committees and

shareholders through consultation process.

OF.3.1.5: Design and implement a Youth Leadership Program to engage youth as

active members of the community, in particular but not limited to the Off-Farm

Development Programs (MTDP initiated during LOA).

Action completed – Report under finalization

Over the last years, young resettlers have played a central role in fostering development goals

in Nakai plateau. In acknowledgement of this, the CAP included the development of a Youth

Leadership Program to ensure that the youth continue to play a central role in the sustainable

development of Nakai communities.

The main objective of the Youth Leadership Program is to enhance the capacities of young

resettlers. For that purpose, District Youth Union Office and Education and Sport Office,

together with the Off Farm team have developed a comprehensive curriculum to increase skills

of the young resettlers while giving them the opportunity to develop their own project for

community development. The program is based on three main pillars: business, environment

and social engagement. Each pillar is divided into courses such as management and

leadership, business planning, accounting as well as English and environmental science during

which youth are also invited to put in practice what they learn.

In August 2017 consultations were held in each of the 16 hamlets to recruit motivated and

qualified candidates for the Youth Leadership Program. A total of 73 young resettlers signed up

for the program of which 23 were selected to participate. The Youth Leadership Program is

held at Nongbouakham Resource Centre on a full time basis. The format of the program oblige

the youth in planning and organizing life in the centre, making them responsible into a small

community.

The Youth Leadership Program began on 6. November 2017 and will last for a period of 6

months until the end on April 2018. The team in charge of the program is currently trying to

make the program financially sustainable through the development of income generating

activities.

OF.3.1.6: Continue and expand handicraft production groups through Happy Nakai

(MTDP initiated during LOA).




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The Happy Nakai youth group was established in 2015 and has since been involved in a

number of different entrepreneurial activities, such as production and sales of weaving

products, wood toys, chicken raising, wild mushrooms, ginger farming, sewing of recycle bags

as well as services events organization, food catering and data collection activities.

The production, marketing and sales of handicraft products has been a key element of the work

of Happy Nakai since its establishment. For this purpose, District Authorities and the Off Farm

team have worked extensively with Happy Nakai volunteers and handicraft production groups

of Nakai to increase sales and to develop new products. Since its creation, Happy Nakai has

shown continuous increase in its business operations as the group sold handicraft products

worth 130.475.000 LAK in 2016, and 265.400.000 LAK for the year 2017.

While Happy Nakai directly produces some of the handicraft products, Happy Nakai also

collaborates and promotes the two weaving groups of Ban Sophia and Ban NamNian. Happy

Nakai especially supports the weaving groups in accessing new markets to sell their products.

In the first semester, District Authorities and Off Farm team will focus on the formalization of

Happy Nakai legal structure, on the training of volunteers in management tasks, and on the set

up of clear procedures and accounting system in order to ensure the sustainability of Happy

Nakai operations.

OF.3.3.1: Organize and implement annual Education and Job Fair with identified

partners (MTDP initiated during LOA).


In order to increase Off Farm employment opportunities for Nakai communities and create new

linkages between the different stakeholders involved in Nakai, the District Information, Culture

and Tourism Office and the Off Farm Team organized the first Nakai Education and Job Fair in

partnership with a specialized HR company, on November 18 and 19, 2018.

Over the last 6 months of 2017, District Authorities, the Off Farm Team and the consulting

company worked together to identify sponsors and partners from public, private and non-profit

sectors for the event. They also developed communication materials in order to reach as many

people as possible. Indeed, the scope of the event was broader than Nakai District, also

targeting nearby Districts, making it a provincial event. Finally logistics of the event was

organized by Nakai District, with the support of NTPC teams and Happy Nakai volunteers.

The event was successfully conducted at the Nakai District Hall. 43 exhibitors joined the event

and 1,302 persons registered during the two days. During the event, several discussions over

employment and business opportunities in Nakai and in Lao PDR were organized, involving

experienced professionals from private and public sectors. Dance, music and sport shows were

also presented.

Apart from its primary purpose of promoting employment and education opportunities, the event

was also the opportunity for the different stakeholders to discuss and strengthen cooperation.

Production groups (fish processing, weaving, organic vegetable) from Nakai could also open

booths in order to present and sell their products.



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Finally, in order to ensure the sustainability of the event, the District Information, Culture and

Tourism Office and the Off Farm team are finalizing an SOP to guide the organization of next

editions.

OF.3.3.2: Develop and implement on-site training programs tailored to the specific

needs of various disadvantaged socio-economic groups (MTDP initiated during

LOA).


The CAP was designed to provide specific training opportunities to all resettlers including

households categorized as poor, vulnerable and high-risk. In order to diversify the sources of

incomes of these households, specific sets of training have been developed and conducted

over the last year, by the District Labour and Social Welfare Office and the Off Farm Team.

Based on the needs for training identified on the field in collaboration with Technical and

Monitoring teams, as well as on the opportunities, several trainings were provided to

disadvantaged groups: Soap making, meat processing, cooking and financial literacy/business

planning. A total of 103 resettlers joined the different training (with a majority of women).

Detailed results are presented in Annex 4.

Most of the training have been organized with pairing system, associating a disadvantaged

household with a better off household. This method allows increased cooperation between the

resettlers, creating specific support from the community for disadvantaged households,

In the coming months, the District Labour and Social Welfare Office and the Off Farm Team will

continue identifying relevant training needs for disadvantaged groups.

OF.3.3.3: Continue and expand off-site vocational training program (MTDP initiated

during LOA).


The Vocational Training program aims at providing employment opportunities to resettlers

through the development of professional skills.

The KPI and target for this action is a total of 30 students enrolled in off-site vocational training

by Q4 2017.Between 2009-2015, a total of 276 resettlers have received vocational training of

which 74% were women. The aim of the vocational training (VT) program has been to increase

resettler’s possibilities for employment on and off the plateau, but also to enhance technical

knowledge, within various fields, that can support people in developing their own businesses.

In 2016-2017 the off-site vocational training program was continued with the enrolment of 40

additional off-site VT students. In total, 14 students went to Sekong Technical Vocational

College; 6 students went to Vientiane Professional Development Collage; 1 student went to

Saysombath Technical Collage in Savannakhet and 19 students to the Technical School in

Pakse.

Students attended 3-4 month courses within the fields of cooking & hospitality, car repair &

mechanics, industry weaving & tailoring, electrician, tailoring, carpentry and agriculture. In



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2016-2017, women continued to dominate off-site VT enrolment as they made up 78% of all

students.

OF.3.3.4: Continue and expand scholarship program for higher education (MTDP

initiated during LOA).


The Long Term Scholarship (LTS) program is part of a long term commitment by the NTPC and

the Nakai District, to improve the opportunities for skilled employment among young resettlers

on the Nakai plateau. The Long Term Scholarship Program supports students of Nakai to

access higher education, providing support in the application, preparation of exam and financial

assistance during studies.

A new round of Scholarship was organized in 2017, with consultations in all hamlets in July. For

the first time, District Education and Sport Office and Off Farm team organized several study

camps before the exams in order to maximize the chance of passing. Another innovation of the

2017 batch is a better coordination with other scholarship institutions and the inclusion of the

household economic conditions as criteria to compute financial assistance amount. This

allowed an increasing number of grantees for the year 2017.

For the year 2016 and 2017 a total number of 85 Nakai villagers participated in entrance exams

at five different higher educational institutions in Laos (Savannakhet University, National

University of Laos, Khammouane Technical Vocational College, Lao-German Technical

College and Pakpasak College). In total, 62 villagers passed the entrance exams and

continued for the interviews with the NTPC/Nakai District student selection panel. Eventually,

42 young resettlers were awarded LTS grants, of which 45% were women. The total number of

Nakai villagers being awarded LTS grants was for the year 2016 and 2017 combined, 40%

higher that the target specified in the CAP.

In October 2017 the Nakai District and the NTPC shareholders decided to continue the LTS

program after RIP closure, by establishing a Long Term Scholarship Committee.



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Action Plan for Gender equality and women’s advancement

GE.1.1.1 Design methodology and guidance materials, and conduct

working meeting with management and staff to mainstream gender across

action plans using Gender Markers (LOA − NTPC) Action and reporting completed

In order to ensure increased gender equality as well as opportunities for women and girls in the

operation, clause 9.1.5, paragraph 1&2, bullets 1-4 of the CA requests to use gender based

targets (GBT) for the activities as well as a gender sensitive human resource up, monitoring

arrangements as well as to ensure sufficient voice of women in institutional settings (including

the company, villagers, and the GOL).

Building on the results so far from the Gender Resettlement Strategy, the RO team has decided

to apply systematic gender mainstreaming across all sectors of the Comprehensive Action Plan

(CAP). All tasks under this AP are completed.

All actions in the CAP available up to date have been assigned with a gender marker

(G1/G2/G3) and remarks justifying the ranking (note: the KPI was 100% of the activities was

assigned a gender marker). It is important to note that these are markers (a working tool), not

indicators. For this reason, the gender indicators of the gender action plan – not the markers -

shall be seen as the backbone of the gender work.

The CAP lists 167 actions with 122 actions in the LoA and 45 actions in the MTDP (it was

decided by JWG to reduce from 167 to 161 in August and November 2017).

Out of these 167 actions,

- 33 have been assigned a gender marker 1,

- 116 have been assigned a gender marker 2,

- 3 have been assigned a gender marker 3.

15 activities have not been assigned with a gender marker as rendered not relevant.

GE.1.1.2 Operationalize and monitor gender equality programming across

Action Plans. (LOA − NTPC) Action and reporting completed



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The application of gender markers was a useful tool during the design stage. Yet, while focus

was given on the marker (either G1, 2 or 3) at the beginning, less attention was paid on the

realization of the markers. This is related to the fact that the GM description did not include a

target value. An agreement on specific gender objectives and gender outcome indicators per

sector would have been more useful than the introduction of a “general marker” per each

activity.

In order to fill this gap, the RO/GOL developed a set of gender outcome indicator per sector.

This includes gender disaggregated outcomes on health, nutrition, education, asset sharing,

participation in livelihood activities, income generation, and representation on village and

District institutions. The aim was to reach outcomes are above rural average (with road), the

trends of which were outlined in report GE. 1.1.2. Key findings from the status update report

(version 1) include:

Maternal and child health as well as the nutrition status of children under five years of

age in the resettlement area is above rural average; many indicators exceed GOL’s 2025 targets demonstrating women empowerment (e.g. high rates of family planning

among all ethnic groups);

Gender parity in primary education enrollment rates has increased, drop-outs have

decreased over time; more girls pass exam than boys;

Majority of house, land and boat titles issued in both husbands’ and wives’ names; Economic opportunities are equal for women and men - women are particularly active in

certain fields, e.g. fish processing, handicraft (Happy Nakai), small businesses and

small animal raising;

Compared to the past, women have a stronger voice and roles in District and village

government demonstrated by the positions they hold, yet challenges remain.

The company and the GOL maintained its commitment to ensure that 60 percent of the

assigned G2/3 markers were maintained which was the KPI. This first version of the GE 1.1.2

report shows that in 80 percent of action completion report reviewed the coding of G2&G3 of

maintained. This analysis included a review of 30 reports of which it was found that in 24 cases

the coding maintained.

GE.2.1.1 Design and implementation of a multi-staged capacity building

program to support District GMT to build skills and become operational.


The capacity building of District GOL staff included trainings for a multi-sectoral Gender

Mainstreaming Team (GMT) as well as specific support for the local line agency, the Lao

Women’s Union (see next section). In order to align the CAP implementation with the GOL’s National Gender and Women Advancement Plan 2016-2020 and to coordinate with Central GOL in view of sustainability of

post-RIP, NTPC partnered with the National Committee for Advancement of Women (NCAW)

on capacity building. Given that the trainers were co- authors of the sam sang guidelines of the

Central Government, NCAW was extremely well positioned to orientate the GMT around sam

sang principles for gender. Under this Action, four tasks were completed:



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- Need assessment for capacity building;

- Convening of orientation workshop;

- Design of the capacity building program;

- Facilitation of 3 capacity building workshops (see below table for details).

General District Training Information and Participants

Training session Date Location of training

Total participants Female

First training by NCAW October 24-28, 2016 Nakai 68 39 Second training by NCAW December 7-9, 2016 Nakai 47 30 Third training by CLWP May 4-5, 2017 Nakai 27 15

With the improved skill-set of the District’s GMT, the local District GOL is having basic skills to maintain and to push for gender aspects in Nakai’s future village development, both for the

closure of the RIP as well as for the period after RIP closure. In particular, the acquired skills

are expected to be applied in the VDP review process to support women’s aspirations as well as to campaign for further leadership positions in the District Government.

GE.2.2.1 Skills intensification training for LWU and WAC in line with needs

identified in performance reviews -Link to Provincial Strategic Plan on

Advancement of Women, Mother and Child 2016-2020 – workplan 2 -Link to

National Gender Implementation Plan 2016-2020 (LOA − NTPC) Action and reporting completed

GE. 2.1.1 was implemented in view of the sustainability of post-RIP measures and the aim to

build on experiences of other organization and pooling resources. For this action, NTPC

partnered with the Central Government again. This partnership with the National Committee for

Advancement of Women (NCAW) included INGOs “Peace through Partnership” (Cord), the “Learning for Development Association” (LDA), “Women mobilizing for Development” (MHP), and the “Participatory Development Training Center” (PADETC). Four workshops were conducted, exceeding the initial KPI of two workshops.

District LWU and WAC Training Information and Participants

Training session Date Location of training

Total participants Female

First training by NCAW, Cord, LDA, MHP and PADETC

July 26-30, 2016 Thalad, Vientiane province

4 4

Second training by NCAW, Cord, LDA, MHP and PADETC

August 22-26, 2016

Vientiane 4 4

Third training by NCAW, Cord, LDA, MHP and PADETC

September 26-30, 2016

Ban Keun, Vientiane province

4 4

Fourth training by CLWP May 4-5, 2017 Nakai 15 15

With the improved skill-set from the training, the local District GOL has basic skills to maintain

and push for gender aspects in Nakai’s future village development, both for the closure of the

RIP as well as for the period after RIP closure.



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Performance review by NCAW was organized in September 2017, the recommendations of

which include organizing refresher trainings, stronger support from district authorities and larger

budget allocation for gender at District level

GE.3.1.2 Seasonal women’s evening literacy/numeracy classes for vulnerable villages (pilot in Phonsavang, Nongboua, NamNian, Bouama,

Sop Phene) (LOA − NTPC) Action and reporting completed

Work was organized into two phases. The first phase included the hamlets Nongboua,

NamNian, Phonsavang and Sop Phene (62 villagers enrolled). The scale-up phase (second

phase) included hamlets Khone Kaen, Nakai Neua, Nakai Tai, Sop Hia, SopMa and Sop On

(137 villagers enrolled). Attendance was mixed during agricultural seasons, on average about

45%

The women classes were grouped into three education levels using the curriculum from the

Ministry of Education and Sport. The exam results suggest that 69% of eligible students (94 out

of 137 students) passed score 5-7 (medium), while 30% passed score 8-10 (excellent). Only

1% of the students could not pass the exam. The KPI was that 60% of the enrolled women

pass the exam. Most villagers enrolled were from the Makong ethnic group (41%), 37% from

the Bo ethnic group, 12% were from a mix of other ethnic groups such as Meuy, Maen, Brao,

about 9% were ethnic Lao (as defined in Ethnic AP), and less than 1% from the Ahoe group.

An evaluation did show that highest attendance rates were in Nakai Neua (66%), in Nongboua

(55%) and in Sop Hia (54%).

The women’s evening literacy/numeracy classes will help to increase women’s agency and voice in the future (e.g. to have a leadership position in a village organization). Classes are

continued in the school year 2017-18 for which 133 women enrolled from 13 hamlets (including

three additional hamlets such as Thalang, Bouama and Done)

GE.3.2.1 Conduct awareness raising campaign designed especially for

children/youth to encourage progressive gender thinking and

understanding of gender equality (LOA − NTPC) Action and reporting completed

In cooperation with National Committee for Advancement of Women (NCAW), IEC tools on

gender equality were designed and integrated into the DOES’s primary school curriculum. A gender focus was also placed on the school environment and administration of schools. NCAW

rolled out a campaign in 20 schools between April and May 2017 for 1,490 students (including

722 girls). While the KPI is to organize one gender awareness event per year, one more event

was conducted in September 2017 for 1,837 students (including 903 girls). Also in September

an evaluation of the impact of campaign was conducted looking into leadership as well as into

gender sensitivity in teaching and learning processes. The KPI was exceeded which stated to

conduct only one event per village per year.

De-emphasizing gender stereotypes and given children the freedom to challenge and cross

gender boundaries at early age is crucial. Young children can easily be trained and are open

minded, so that with guided support they can cultivate gender equality in their future lives.

Otherwise people’s perception and attitude may be fixed permanently and are difficult to

change afterwards.



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GE.3.3.1 Consolidate program for domestic violence against women with

case studies (including capacity building at village level, awareness

raising, and reporting)-Link to Provincial Strategic Plan on Advancement

of Women, Mother and Child 2016-2020 – work plan3 (LOA − GOL) Action and reporting completed

In cooperation with the GOL’s Ministry of Justice and the Association for Development of Women and Legal Education (ADWLE) a total of 53 village grievance committees (10 women)

were trained in November 2016 to bring about basic skills of conflict solution at village level.

GOL guidelines and forms were introduced in each village.

Another training was organized in September 2017 for all hamlets. The village grievance

committees up to date have the following composition: Makong 36%, Lao 26%, Bor 25%, Tai-

Kadai and others 13%.

At the same time, the District’s LWU and WAC staff were trained in the documentation of case studies after which District teams collected data and analyzed it with the purpose to

disseminate “positive examples” to all hamlets under a “positive deviance approach”. Up to date, during various sessions about 578 villagers were reached (444 women). A second round

of sessions was conducted in October 2017 for about 530 villagers (377 women).

To deepen the practice and also to build up a minimum quality of the village work, further hand-

holding is needed by the Ministry of Justice. Overall, the village grievance committees still need

more experience to apply their acquired skills. Continuous monitoring and on the job training

by district justice office is crucial to strengthen their capacity and skills in conflict solution in the

long term.

16 case studies on domestic violence were recorded up to the time of the preparation of report.

To ensure the effectiveness and sustainability of the introduced measures, the activity shall

continuously be implemented by involvement of all concerned district offices and the

communities. In doing so, the District has to work towards an increased share of women in the

village grievance committees as well as towards improving the quality of the documented case

studies.

GE.3.3.2 Review of effectiveness of measures in declared cases of

domestic violence (LOA − GOL) Action and reporting completed

The KPI for GE 3.3.2 was “grievance committee and other actors operational and 75% of cases settled in line with women’s legal rights”. As mentioned above in chapter 3.6.7, 16 case studies on domestic violence were recorded up to the time of the preparation of report. It is assumed

that fair conflict resolution skills will be build up over time and that the target of 75% settled

cases was overambitious due to the short period of time for the village grievance committee to

apply their acquired skills. For this reason, that target was changed to “at least 10 case studies documented by village grievance committee and at least 50% approved by DOJ as fair

resolution”. This target was achieved. For those cases in which unfair settlement was attested,

the DOJ together with LWU is currently conducting household consultations for appeal and

further legal actions.



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Out of the 16 case studies recorded nine cases (56%) were successfully solved, while 1 case

(6%) was only partly solved and 6 cases (38%) not fairly solved and was agreed to be reviewed

again.

The trainer from the Ministry of Justice conducted a focus group discussion with village

grievance committees and villagers mid-September 2017 at each village in the resettlement

area. 151 villagers joined (57 women) of which 23.8% were from the Makong, 25.1% from the

Bor, 34.4% from the Lao, 5.9% from the Ahoe and 8.6% from other ethnic groups.



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Action Plan for Poor and Vulnerable

PV.1.1.1 Confirm source of financial support for social safety net till the

end of the CA. (LOA − NTPC) Action and reporting completed

The Social Safety Net (SSN) Policy was first developed by NTPC in 2009 for identifying and

supporting the Vulnerable and later revised in 2017 together with the Nakai District to identify

vulnerable households.

NTPC has agreed to implement, until 2035, a Social Safety Net mechanism (SSN) to provide

free nutrition support and free health care for vulnerable households. A final contract between

GoL and NTPC aimed to ensure the fund for the SSN.

The SSN will be funded under the Nam Theun 2 Development Fund that will support the

Community Development on the Nakai Plateau once RIP will be closed.

PV.1.1.2 Confirm that Community Based Health Insurance (CBHI) system is

fully functioning in Nakai District. (LOA − GOL) Action completion deferred to 2018 − progress 30%

Under the RIP, vulnerable households currently receive full health cover from NTPC and will

continue to get so until the end of the Concession Period. Poor households continue to receive

free medical services as per CA and High Risk households currently receive health cover for

treatment from NTPC and health cover for preventative care (vaccinations, maternal health)

through GOL policy. After the end of the RIP, Poor and High Risk households will transition to

receiving health cover through GOL systems only.

In preparing the Post-RIP SSN it was envisioned that the SSN could make use of the CBHI

(Community Based Health Insurance), hence this action for confirming that CBHI was

functioning prior to using it in the SSN system. However the Community Based Health

Insurance was implemented in parts of Khammouane but never in Nakai. Furthermore, as of

early 2017, the Government of Laos has decided to replace CBHI with a new system, the

National Health Insurance.

The government is currently rolling out that National Health Insurance scheme. Staff from the

Ministry of Health organized training for the Provincial Health Office about the National Health



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Insurance in August 2017. Subject to this training, the National Health Insurance was launched

in Khammouane Province, including Nakai District, on 1st of October 2017.

The issue is thus now to confirm that the new NHI scheme is fully functioning in Nakai before

possibly using it for the SSN. The district and NTPC will work together during Q1 2018 for

confirming NHI status and, if the result is positive, for organizing its use by the SSN system.

This Action was therefore delayed subject to the GOL’s timeline for implementing the new policy in Nakai.

PV.1.1.3 Use other sources of support to assist vulnerable households.

(LOA − GOL) Action completed – Completion report under finalization

Education and health support is provided to vulnerable households by the District Health Office

and the District of Education and Sport with technical and financial support from NTPC’s CLWP.

RO team with district counterparts from Lao Women Union, District Health Office and District

Office for Education and Sport have implemented actions to increase gender equality and to

improve health and education services in the resettlement area of Nam Theun 2 Project.

Special activities for poor and vulnerable households were identified under the Community

Living Well Program (CLWP), which have been implemented since the beginning of 2015. It

consists of special support for health services and education targeting children and adults.

Methodology and mechanism were designed jointly by all stakeholders (GoL, NTPC and

community).

Poor and vulnerable were identified through an agreed upon selection process; the final list was

used by medical staff at each health facility when eligible households accessed the health

facilities e.g. Nongbouakham, Sop On and District hospital. Monthly systematic monitoring or

home visit have been organized by health center staff. In case of emergency, his/her relative or

the village authority contacted the HC staff for providing services at home or they were referred

to a better health facility, e.g. district hospital or provincial hospital. All cost were covered by

NTPC.

Each school year, children from poor and vulnerable households have received educative

materials e.g. school uniforms, shoes, bag, pen, pencil, ruler. The objective is to reduce their

parents’ expenditure and motivate them in attending school.

The action completion report has already been drafted and is under final review before

issuance by NTPC DCC.

PV.1.1.4 Confirm source of financial support for special program and cash

payments for Poor/High Risk until end of RIP (LOA − NTPC) Action and reporting Completed



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Identification of the sources of support for households under the poverty line until the end of the

RIP was considered as a key step to ensure the resource management objective of the Poor

and Vulnerable Pillar.

The KPI of this action is “the source of financial support up to closure of RIP is clearly identified and documented” with the target of 100% of funds required.

All actions in direction to the “support for households under the poverty line until the end of the RIP for Poor and until the end of the CA for vulnerable” are by definition LoA actions (to be implemented before RIP closure).

The E&S Unit budget 2017 has been built on all expected activities detailed in the AIP 2017

which covers all LoA actions.

The E&S Unit budget 2017 has been approved by the shareholders in October 2016.

PV.2.1.1 Update criteria used to identify vulnerable households (LOA − NTPC)

Action completed − Completion report under finalization

The Concession Agreement stipulates that during the RIP, NTPC will provide to food support

for vulnerable households until they attain and sustain the household income target. It also

stipulates that the parties (NTPC and GoL) should apply special measures as required towards

vulnerable persons to take care of their needs and foster self-reliance and to improve their

socio-economic status.

Since 2008, NTPC has provided rice and protein supplements to all vulnerable households on

a monthly basis through the Resettlement Office (RO). 36 vulnerable households were initially

identified. The village headman identified households deemed vulnerable, and the list of

vulnerable households thus developed was endorsed by the RMU with DWG. Most vulnerable

households were elderly couples, widows, or resettlers with physical or mental disabilities who

lived alone without support from other family members. The number of vulnerable households

has declined to 15 due to the death of vulnerable household members or out-migration.

However, once the RIP is closed it will be important to continue support for vulnerable

households. Hence, NTPC along with GoL, LTA and IFIs started to work on a Social Safety net

in 2013 which intends to establish a support mechanism for the Vulnerable Households. The

mechanism is designed to help them cope up with their vulnerability. The concept and the

manual of the SSN has been extensively reviewed by the various stakeholders. It was agreed

that both the criteria and the list of Vulnerable needed to be updated. It was also agreed that

the Vulnerable should be identified in a participatory process in line with the methodology used

for the Poor and High Risk as a first filter.

The current version of the SSN enables provision of food and healthcare support for the

Vulnerable households until the end of the CA. A first version of “The Social Safety Net Manual”, written in English and translated into Lao, was approved by the Provincial Governor of

Khammouane on 11th February 2016. This included criteria for updating the list of Vulnerable.

This version was further reviewed within the JWG during 2016. On the 4th April 2017, a meeting

was convened between the District, RMU and NTPC to discuss the latest development of the

SSN Manual and a way forward. During the meeting, the following updated criteria for

Vulnerable persons were agreed upon (ALL 3 criteria need to be satisfied):

1. The person belonging to the original list of 1,310 resettler households or to the list of

413 Subsequent Growth Households and who is living in the resettlement area



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2. The person is from the group of households identified as High Risk

3. Any old person/old couple/disabled (mentally or physically)/paralyzed or an orphan who

is/are living alone AND (doesn’t have main labour (18-59 yrs) OR cannot live without a

carer) AND doesn’t have a close relative living in the resettlement area who is taking care of her/him/them.

The MOM was agreed upon and signed by both the Vice Governor of Nakai District, and the

Director of E&S Unit NTPC. The updated criteria were later included in the revised version of

the SSN Manual approved on 9/11/2017 by the Nakai District Governor and NTPC CEO. As the

updated SSN manual organized SSN before and after RIP closure, the action is reported

together with the action PV.3.1.5. related to the handover design (see that action further in the

text). The action completion report is being drafted.

PV.2.1.2 Update and confirm list of vulnerable households (LOA − NTPC)


This action requires to have a Vulnerable list update completed before RIP closure. The

Vulnerable must be identified from the High Risk households list that had therefore to be

updated as a first step. Under this action, there were 6 (six) main tasks completed:

Participatory wealth ranking at the hamlet level

Interview Households identified in bottom groups

High Risk Assessment of the households

Finalization of High Risk households at hamlet level

Apply filter for Vulnerable

Conduct a meeting with the SSN Committee to confirm both lists

To complete this action, the District Social Welfare Office, and the Rural Development Unit from

the District Agriculture and Forestry Office and NTPC’s Monitoring Team met to determine a field team. Two field teams were established. There were representatives from both offices in

both field teams. The two offices were involved because DSWO is responsible for the

Vulnerable program, and the RDU in DAFO is responsible for the High Risk list.

Participatory wealth ranking at the hamlet level: This task was to identify the lowest income

households by the representative of the hamlets; 215 HH of the two bottom groups of the

lowest income households were identified as targeted.

Interview identified Households: it was investigation of the 215 identified households to collect

the information of each target household in order to prior identification of high risk households.

Each household was interviewed, using the interview form and observed by the interviewer

from the team.

High Risk Assessment of the households: the assessment was done for all 215 households

based on the information collected and compared with the existing surveys data. If one’s is not available, the information collected will be the main source of information’s. High Risk guide lines were used to assist the assessment proceeds.

Finalization of High Risk households at hamlet level: the results of assessment were presented

to the same group of representatives of the hamlet who participated in Participatory wealth

ranking. The presentation was provided, the discussions opened and the agreement from the

participants was finalized. Total 81 households were identified as High Risk.



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Apply filter for Vulnerable: vulnerable criteria were applied to all 81 high risk households in

order to identify the vulnerable.

Conduct a meeting with the SSN Committee to confirm both lists: An initial list of 30 individuals

in 21 households and all the households that were not considered as vulnerable by the team

were presented to the appointed Social Safety Net Committee from the villages, District and

NTPC on the 13th of September 2017. A final list of 29 individuals in 24 households was

agreed upon.

The list of 29 individual vulnerable was submitted to the district. The list was approved by the

district on 27th November 2017. The KPI and target for this action have been met, which were

that the list of Vulnerable Households is completed and approved by the district. Additionally,

the list of 81 High Risk HHs that included vulnerable was approved by the district on 07

November 2017. This list will be the reference list of High Risk households for the post RIP

development projects.

PV.2.1.3 Update method (or criteria) used to identify High Risk households


In accordance with District policies, the CAP, and the recommendation of the POE, the District

and NTPC have agreed to create a classification for High Risk households. High Risk

Households are those households that may not have met all the criteria for ‘Poor’ households, but are close to the poverty line and are at risk of falling into more severe poverty. The High

Risk category was designed as a main category which would also include the Poor and

Vulnerable as subsets. Poor, Vulnerable and now High Risk households receive additional

livelihood improvement activities from the District with technical and financial support from

NTPC.

The method used to identify high risk is based on the one used to classify the Poor households

in 2014. However, the methodology is more detailed, using (1) socio-economic wealth ranking

with village authorities, village development committee, and village key informants5, (2)

household interviews in order to find out about general household information, socio-economic

data, education, health, need, potentials, and limitations, (3) comparison to Quarterly Socio

Economic Monitoring (QSEM). The method was designed by consultations with relevant

stakeholders from the districts from August to October 2016. The final method and criteria were

approved by Head of RDPEO Office under the No. 187/RDPEO.NK, on the 30th of September

2016.

PV.2.1.4 Update and confirm list of High Risk households (LOA − NTPC) Action and reporting completed

The High Risk list is a main category that includes High Risk households, as well as the Poor

and Vulnerable lists. Poor Households were identified in 2014 by the Rural Development and

Poverty Eradication Office (RDPEO). A final list of 28 households in 7 hamlets was approved

5 Key informants include Village Elders, Traders, Heads of Units, and others.



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and will not be updated. Vulnerable Households were identified by the Naiban in each hamlet in

2008 with a final list of 36 households (now at 15 in 2017 because several households have

passed away or moved out of the resettlement area). The list of Vulnerable will be updated in

2017.

The RDPEO identified the list of the High Risk households with support from NTPC from the

18th of July 2016 to the 30th of September 2016 (see Section 2.8.7 for the agreed methodology).

The list was officially approved by the Head of RDPEO under the No. 187/RDPEO.NK, dated

30/09/2016. A total of 25 households in 10 hamlets were approved as High Risk households.

For this assessment, only the original 1,310 resettler households were eligible.

PV.2.1.5 Pilot Social Safety Net (SSN) for Vulnerable (LOA − NTPC) Action Deleted

When establishing the CAP NTPC and the District discussed providing cash support to the

Vulnerable either through bank transfers or the Village Development Funds. It was considered

that the establishment of such a new system would require a pilot phase to test it on a small

scale before it could be fully adopted for all HHs.

However, both new options were deemed unsuitable. Bank transfers mean that the Vulnerable

person need to be able to come to Oudomsouk, which is often not possible due to age,

disability or lack of transport. Transferring money to the Vulnerable through the VDFs is also

not possible under current regulations. The VDF system is only set up for loans, and it does not

allow people to transfer or withdraw money. Therefore SSN is to continue with existing in-kind

support after RIP, removing the need of a pilot phase.

Therefore, this action was considered unnecessary and was removed from the CAP. See

Annex 2 – Adaptive management on LoA implementation (JWG 4/10 and 7/11/2017).

PV.2.1.6 Adapt SSN following lessons learned under pilot, including

grievance process. (LOA − NTPC)

Action Deleted

This action was also logically removed following the removal of Action PV.2.1.5 Pilot Social

Safety Net (SSN) for Vulnerable. See Annex 2 – Adaptive management on LoA implementation

(JWG 4/10 and 7/11/2017).

PV.2.1.7 Establish basis and procedures for cash payments for Poor/High

Risk (LOA − NTPC) Action Deleted

Due to an editing error, this action was still in the last version of the CAP (v.25 Jan 2017). On

10 August 2017, the JWG took the decision to definitely remove this Action from the CAP.

PV.2.1.8 Revise the Special Program for Poor/High Risk households (LOA

− GOL)




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The KPI and Target for this action are to update the Special Program Policy. The Special

Program was created in 2014 to improve the economic status of Poor Households (HH) in the

Nam Theun 2 resettlement area by supporting these households to implement livelihood

activities adapted to their situation. This was continued and expanded to the willing High Risk

and Vulnerable under the CAP as part of the Action to Support Poor/High Risk households

under the "Special Program". The program is implemented until the end of the RIP. However,

as part of the CAP Special Program, it was necessary to evaluate and improve the

implementation of the program. The evaluation focused on the Special Program of 2014 and

2015, including the successes and the lessons learned from the program, in order to further

improve it and make it more effective in the future.

There are 3 components in the “Special Program”: the original Livelihood program (Livestock activities) and the Education program and Health program that were added later. The main

program which was evaluated in this report is the Livelihood program, which was implemented

in 2 phases. These phases were 2014/2015, and 2016/2017 (under the CAP and using

improvements). Education and Health support continued to be provided as previously to Poor

households, and to the newly identified High Risk households.

The main lesson learned from 2014/2015 was that a household’s success in implementing an activity depended on their level of motivation and ownership. Therefore the key change to the

Special Program policy in 2016/2017 was to improve the way that the program targeted the

needs and wishes of the household. In 2014/2015, households chose from a list of set

livelihood activities determined by the District team, with support from NTPC-RO. In 2016/2017,

the improved policy allowed households to propose their livelihood activity by themselves, and

unlike before, the District team did not offer them any list of options. Most households still

chose to implement livestock raising activities. However, the new process, which encouraged

the households to suggest their own ideas, meant that they were more involved and motivated

in the Special Program. Similarly, the team focused on involving women in the household

interview and activity identification process. In many cases, the Poor and High Risk households

are female-headed households. Therefore it is important to make sure that the Special Program

does not create too much extra work for the women in the household. Moreover, the new policy

was distributed and acknowledged to each household; therefore the KPI and target have been

met.

PV.3.1.1 Support vulnerable households under the SSN (LOA − NTPC) Action and reporting Completed

This Action refers to the provision of support to the list of Vulnerable under the existing system.

All 14 Vulnerable households received food support on a monthly basis. The provision of

existing food support has continued throughout the RIP. Households receive rice and protein

(fresh meat, dried meat and eggs). Vulnerable households also receive support where

interested for livelihood development through the Special Program (see PV.3.1.4 Support

Poor/High Risk households under the “Special Program”).

Vulnerable also received free health care support. All the benefits and procedures to receive

support under SSN have been written clearly in SSN manual revised jointly by the RMU, the

Nakai District and NTPC and approved on 09 November 2017 by both District Governor and

NTPC CEO.



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NTPC is responsible of the whole chain of procurement and delivery. The support is delivered

at the home of Vulnerable by NTPC and District Labor and Social Welfare officers within the

first week of each month. Support is only in Nakai Resettlement area

NTPC has agreed to implement, until 2035, a Social Safety Net Policy (SSN) to cover basic

nutrition needs and health care for vulnerable households. The optional "kinship system" is also

part of the SNN.

Vulnerable list was updated in September 2017 and new vulnerable started receiving nutrition

and health care support from 1st November onward. The vulnerable of the previous list who

were not kept in the updated one continued to receive nutrition and health care until the 31 of

December 2017 as a transition period.

PV.3.1.2 Support vulnerable households under the kinship system (LOA − GOL)

Action completion deferred to 2018 – Progress 50%

Beside the supports provided by NTPC it is considered that it is desirable to anchor support to

the Vulnerable within the existing communities and familial traditional social networks by

mobilizing relatives, neighbors and village authorities in a structured agreement providing

increased assistance and safety to the Vulnerable.

The kinship is an optional assistance system complementary to the nutrition and health support

provided by NTPC. It applies only for Vulnerable households, not for Vulnerable individuals. As

such the SSN Committee through the District Labor and Social Welfare and NTPC staff make

endeavors setting up kinship contract for each Vulnerable household.

The support is provided according to the three following principles:

1. On a voluntary basis.

2. By mutual understanding and willingness of both parties without influence from outside.

3. With acknowledgement by village authorities.

The completion of this action was referring first to the kinship contracts made for the 2009

vulnerable list. Kinship contracts were finalized by the end of 2015 for 13 Vulnerable

households. Two households have no kinship contracts. One case passed away before

documenting record of the reason and a document was compiled to record the reason for this

for the other cases.

In September 2017 the list of vulnerable was updated with the inclusion of 18 new Vulnerable

HHs. The kinship option being still part of the updated SSN, new vulnerable in the updated list

of September 2017 will be supported on making kinship contract following the above mentioned

principles but this process (that has started) was not possible to be conducted in such a short

period before end 2017. Deadline for this action was thus deferred, with completion due by Q2

2018.

PV.3.1.3 Provide cash support to eligible Poor/High Risk households (LOA

− NTPC)

Action Removed

Due to an editing error, this action was still in the last version of the CAP (v.25 Jan 2017). On

10 August 2017, the JWG took the decision to definitely remove this Action from the CAP.



Page 105 of 417

PV.3.1.4 Support Poor/High Risk households under the "Special Program".


The Rural Development and Poverty Eradication Office (RDPEO) of Nakai district together with

other relevant sectors identified and selected a list of poor households in 2014, and a list of

high risk households in 2016 from all 16 resettlement hamlets. By doing so, 28 households in 7

hamlets were identified as poor families and 25 households in 10 hamlets were identified as

high risk families.

Currently, to be in accordance to the district policies on the development of Nakai Resettlement

Villages as well as the Comprehensive Action Plan, it was required to provide to these

households specific support of livelihood improvement activities both through technical support

and physical inputs. The program is implemented by the DAFO (RDPEO is now under DAFO)

and NTPC staff, and is called the Special Program. The objective is to support the poor and

high risk households to improve their livelihoods. The program was also extended to the

Vulnerable list according to their wish. The Special Program had been provided in previous

years to the Poor Households and the Vulnerable Households. The program was improved in

2016 to adjust the methodology, so that households suggested their own livelihood

development activity rather than choosing from a pre-set list.

Under CAP, during 2016-2017, Special program was implemented for 69 households in 12

hamlets of resettlement area. The target households were separated into 3 types as: (1) High

Risk household (HR HH) 25 HHs, (2) Poor households 28 HHs, and (3) Vulnerable household

16 HHs.

The main task of the special program is to encourage target households to engage in a

livelihood development activity of their choice and to specially support them during preparation

and implementation. The households largely suggested similar activities to previous years,

which were animal raising. There were 3 kinds of animal raising suggested and selected by the

households: Chicken raising, fish in plastic pond raising, and pig raising. The program provided

equipment, training and follow-up for each activity. The Special Program was implemented from

late December 2016 and continues until the end of the RIP.

The KPI and target were to have 100% of those identified as poor/high risk and interested in

participating, being supported until RIP closure. During implementation progress, team has

offered livelihood activities to all 69 target households, i.e. 100% of the target households.

There were 58 HHs who accepted, received and implemented the activities and 11 HHs who

eventually chose not to implement any activity because of individual reasons related to the

circumstances of each household. The reason for each household withdrawing from the

program is detailed in Section 5 of the completion report. Because the households themselves

withdrew their interest and chose not to participate, the Special Program has reached the KPI

and target.

PV.3.1.5 Design handover processes between the end of LoA and the post

RIP programs under MTDP (LOA − NTPC) Action completed − Completion report is being drafted combined with report of Action PV.2.1.1.



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This action is completed as the SSN Committee, tasked with the implementation of the support

to Vulnerable, has been already functioning and will just continue to do so before and after the

closure of the RIP, following its reshuffling by the Nakai Governor Decision 478 of 24 October

2017, As this action follows logically the action PV.2.1.1 it has been combined with it in a single

report that is being finalized and is to be issued in early 2018.

The final list of High Risk HHs approved by the Nakai Governor Decision on 7 November 2017

will also be handed over to NP-LAF and any other project coming in.



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Action Plan for Ethnic groups

EG.1.1.1 Conduct an assessment of the situation regarding the return of

the Ahoe to Old Sophia from legal, District Policy, National Policy, CA,

environmental and safeguard perspectives. [AND] EG.1.1.2 Share the

results of the assessment with the JWG for a collective statement in

response to POE report #24. (LOA − WB) Action completed – Action report being finalized by the WB

EG.1.2.1 Identify and implement necessary, additional measures to bring

the project into compliance. (LOA − NTPC)

Action completed – Action report being finalized

The Concession Agreement (CA) signed between the Government of Lao PDR (GOL) and

NTPC requires that special measures be taken so that ethnic group resettlers, and in particular

vulnerable ones, would be consulted about, participate in and provide feedback on the

mitigation measures in a free and informed manner. The CA also specifies that ethnic groups

should receive project benefits in a culturally appropriate manner. This is consistent with the

safeguard policies of the World Bank and the Asian Development Bank (“International Financial Institutions - IFIs”) that support the NT2 project.

As part of the Ethnic Groups Action plan in the Comprehensive Action Plan of the Joint Working

Group, it was deemed necessary to conduct a thorough and independent review of the

compliance status of the project with regards to Ethnic Groups related obligations and

provisions.

The KPI for this action is a field mission report from a safeguard specialist and report detailing

measures to ensure full compliance. The target is the report and recommendations.

A TOR was drafted in consultation with the Joint Working Group, in particular representatives

from the World Bank and the ADB to ensure compliance with IFI Safeguards. A specialist was

agreed upon, who conducted field work on the Plateau in November of 2016. The specialist

also conducted a desk review of project documents. The final report produced by the consultant

provides a comprehensive analysis of each obligation and provision in the Concession



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Agreement related to Ethnic Groups. The consultant also provided a list of recommendations

designed to help the project achieve full compliance.

On the 19th of May 2017, the District Government organized a meeting between the Nakai

District, RMU and NTPC, to discuss the status of lagging groups in the Resettlement Area

(including ethnic groups), using on a discussion paper prepared by NTPC based on the findings

of the consultants’ compliance review. A key agreement of the meeting was that:

There is a common understanding that lagging status and vulnerabilities are not directly or fully

linked to ethnicity. Participants will see this rather from a social group perspective. Special

consideration about high risk / vulnerable groups of all kinds will be discussed and integrated in

the Planning manual (PRF), based on GOL’s policies and CA requirements. (Minutes of Meeting, 19th May 2017)

Further, it was agreed that the [remaining] special measures to be implemented or further

improved are as follows:

1. In-field extension methods

2. Sensitivity training for District and RO staff

3. Adjustments to the Village Development Planning Process

These measures have been implemented, or are in the process of being implemented under

the CAP. The extension methods designed to support ethnic groups to access trainings are

outlined in the combined report of Actions EG.3.1.5 and EG.4.1.1 (see section 2.9.8).

Sensitivity training for various factors which affect a households ability to pursue livelihoods or

access trainings is being conducted for District and RO staff in December 2017/January 2018.

The Village Development Planning Process, which was implemented with support and training

from the Poverty Reduction Fund in Q3 and Q4 2017, was adjusted to improve its sensitivity to

ethnic groups. This included individual interviews with ethnic group representatives after the

initial VDP meeting, as well as analysis of the VDP meeting attendance to ensure all ethnic

groups in the village were represented in the discussions.

EG.1.2.2 Enhance report specifically on the Ahoe and present data break

down by ethnic group where possible (e.g. for the QSEM) as well as by

hamlet (where appropriate, e.g. in operational reporting) with a column

explaining what the main ethnic in that hamlet are. (LOA − NTPC) Action and reporting completed

The KPI and target of this Action were that 100% of relevant monitoring reports containing data

be disaggregated by ethnicity or by hamlet. Previous QSEM reports present data

disaggregated by hamlet, and both the QSEM 13 and the LSMS 8 have data disaggregated by

ethnic group. Therefore, the target for this action has been achieved. In addition, all relevant

Action Completion Reports have been adjusted to include information on ethnic group

participation. There are 5 main ethnic groups which have been identified in Nakai: Lao Loum,

Makong, Bor, Tai-Kadai and other, and Ahoe. In order to document that the ethnic groups in

Nakai have benefited from the resettlement program, it is necessary to provide accurate socio-

economic data disaggregated by ethnic group. This socio-economic data should cover a range

of indicators of well-being and security, including financial and livelihood data. This was also a

binding recommendation of the POE in their Report #24.



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Therefore, it was necessary to ensure that next issues of the Quarterly Socio-Economic Survey

(QSEM 13) and The Nakai Socio Economic Survey (LSMS 8) included data disaggregation and

analysis by ethnic group. QSEM and LSMS are statistical reports which cover socio-economic

outcomes of the resettlement hamlets. QSEM uses a smaller survey, conducted every 6

months in-house by NTPC. LSMS uses a far more comprehensive survey which is conducted

by Indochina Research. The QSEM 13 report, which was published in January 2017, focused

exclusively on ethnic groups (previous issues report data by hamlet). The LSMS 8, which was

published in September 2017, disaggregated the data by wealth group, generation (resettlers

and subsequent growth households) and ethnic group.

It was also important to expand the operations reporting on ethnic group participation. This can

help to indicate if ethnicity plays a role in the way in which the resettlers access the

resettlement programs. Action Completion Reports are created for each action in the

Comprehensive Action Plan once the related activity is complete. A cross-cutting issues section

was created in each Action Completion Report (where the action involved resettler

participation), which presented analysis of Ethnic Group participation as well as information on

Gender and Poor and Vulnerable. The analysis used information in the NTPC database (the

individual and household ID numbers and the ethnic group of household head), and the

participation records from activities. The analysis compared the participation rates of each

ethnic group in the activity to the ethnic group make-up of the resettlement population. Both

participation and population data were obtained from the database, making it census data

rather than statistical sampling data.

The analysis of ethnic group participation in the Action Completion Reports was only conducted

when meaningful and relevant. Therefore, the focus was on consultation and planning

activities. This is because it is important that all households, regardless of ethnic group, have

equal access to information. They may then have cultural or practical preferences for certain

programs, but they have the ability to make informed choices. Similarly, these events usually

have large enough numbers of participants for statistically meaningful comparisons. For

specialized activities with lower levels of participation, or activities that only target

predetermined groups, the ethnic groups of the participants was reported without comparison to

population data.

An Excel spreadsheet was created to support the authors of the various reports to present the

data related to ethnic groups. A number of different versions were created, which led to some

confusion. The lesson learned from this activity is that it is necessary to keep reporting systems

simple. Ethnicity is a complicated issue. However, in order to maintain a minimum level of

accuracy, the reporting system needs to be robust and user-friendly. An improved, robust and

Lao-language version is planned for part of the handover to the District Government.

EG.2.1.1 Promote meaningful participation of vulnerable groups and

smaller hamlets in VDCs and other important committees. (LOA − GOL) Action completed − Completion report is under DCC proceeds

A key concern for the Nam Theun 2 Resettlement Project, with regards to Ethnic Groups, is to

ensure that all ethnic groups are adequately represented in the hamlet and village

administrative structures. Under the Sam Sang policy of the Government of Lao PDR, which is

planned to be implemented in Nakai District, the Village Development Committees (VDC) will

be central to the planning and implementation of development activities in the District.



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Therefore ensuring that all ethnic groups can participate and have a voice in the VDCs, as well

as other support committees, will help to ensure longer term socio-economic equality. This

concern is in line with the IFI Safeguards Policies, which underline the importance of ensuring a

voice for ethnic groups (World Bank OD 4.20 Article 15(b); ADB Policy on Indigenous Peoples

pg. 20). The issue was also raised by the POE in their Report 25 (2016), particularly in light of

the need for equitable representation when two hamlets have been merged into a single

administrative village.

Therefore, it is an objective of the Ethnic Group Action Plan to promote meaningful participation

of vulnerable groups and smaller hamlets in VDCs and other important committees. The KPI for

this Action is that all ethnic groups and all hamlets in the village are represented in VDC; that

should also include at least 2 female VDC members. The target for this Action is that the VDC

is formed and functioning with fair representation of ethnic groups.

The methodology used to address these concerns was to first develop a comprehensive

understanding of the problem, and then to propose an appropriate solution. Therefore, the first

step was to use statistical analysis to compare the proportion of ethnic groups on the

committees in each hamlet to the total population of that hamlet. This helped to accurately

identify issues with representation in each hamlet (i.e., which ethnic groups were

underrepresented and by how much). It also showed if these issues were present across all

hamlets, or if the issues varied between hamlets.

Data was obtained from the District Government records of the village committees and the

NTPC database. Therefore the analysis is based on the committee members as they were

appointed and existed in 2016. In each village there are, in addition to the Village Authorities

(VA), 8 main “committees”, which are: the Village Development Committee (VDC), the Village

Development Fund Committee, the Village Fisheries Groups, the Village Land Management

Committee, the Village Education Development Committee, the Village Health Committee, the

Village Women’s Advancement Committee, and the Village Grievance Committee6. The VA

and VDC are established in each administrative village (total of 10) and the other committees

are established in each resettlement hamlet (total of 16). The head of village is elected in each

village, and approved by the District Government. The head of village then appoints the VDC

and the other Village Committees, subject to the approval of the District Governor.

Data on ethnic groups and the ethnic make-up of the population was obtained from the NTPC

database after the 2017 update. It is therefore census data as opposed to a statistical sample,

and results on ethnic groups at the population level will be different from the QSEM and LSMS.

Pre-project studies (Chamberlain, 1996) identified a total of 22 ethnic groups in the

resettlement area, which can be grouped into 5 main groups: Lao Loum, Makong, Bor, Ahoe

and ‘Tai-Kadai and other’ (which includes a number of different Tai-speaking groups).

According to the World Bank and ADB Safeguards, the Makong, Bor, and Ahoe are identified

as ‘indigenous peoples’. These groupings have also been used in the socio-economic

monitoring (LSMS and QSEM) and are therefore also used for the analysis in this report.

The analysis of the participation of ethnic groups in hamlet and village committees was

conducted in two phases.

6 Please note that the analysis in this report was conducted prior to the update of the Village Grievance Committees in October 2017.



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In the first phase, all positions in all of the above committees in all 16 hamlets were included.

When the data was aggregated to the Resettlement Area as a whole, Oudomsouk was

excluded as it is majority non-resettler and would bias the data. The analysis compared the

ethnic make-up of the committees to the ethnic make-up of the population (i.e. the percentage

of positions in the hamlet held by Makong people compared to the percentage of Makong

households in the same hamlet).

The results showed that at the resettlement area level, representation of each of the ethnic

groups is reasonably comparable to that group’s presence in the population. This indicates that

although there may be problems of representation at the hamlet level, these are not systematic

across all hamlets. The exception to this is the Ahoe, who represent 3% of the population but

less than 1% of committee positions. The results also indicated that on average women hold

26% of committee positions (excluding Oudomsouk).

The results by hamlet show that ethnic groups which are a minority in a particular hamlet have

lower rates of participation in the committees. This is partly due to the fact that the minority

group may only consist of less than five households. In this case, the individual situation and

choices of these households will strongly bias the data. It is therefore difficult to make any

concrete conclusions.

This question of representation for the Ahoe community is a known issue for the project. The

results of the Compliance Review for Ethnic Groups Obligations (2016) indicate that this may

be due to lower levels of education amongst community elders and leaders, as well as feelings

of reluctance and/or shyness to participate. The CAP includes measures to address these root

causes, including adult literacy programs and the appointment of experienced independent

facilitators from NTPC who work directly with the Ahoe community (particularly in negotiations

about the situation at Old Sop Hia).

The second phase of the analysis used the same comparison and data, but focused only on the

members of the VDC in each hamlet. This is because the VDCs are involved in the broadest

range of activities, and are the key point of contact for the District Government when working in

that hamlet. Similarly, the VDC are at the village level only, so there is also a potential issue

about the representation of smaller hamlets in villages where two hamlets have been merged.

Therefore, for this phase, the analysis also examined whether smaller hamlets were

represented in proportion to their size in the village.

The results indicated also that there does not appear to be a systemic problem for the

representation of ethnic groups across the resettlement area. The exception to this is the Ahoe,

who do not hold any VDC positions. However, it should be noted that the Ahoe only live in 5

hamlets, and in 4 of those hamlets there are fewer than 10 Ahoe households. Similarly, it

should be noted that there are positions in the Village Authorities which are held by members of

the Ahoe community, most notably a head of unit in NamNian village. The Ethnic Compliance

review indicated that the head of unit acted as a leader within the Ahoe community of

NamNian, and that the community was satisfied with his leadership.

In most villages, hamlets are represented in the VDC according to their population size.

However, in Sop Kham (Nong Boua Kham and Sop Hia) and Nong Houam (Sop Ma and Nam

Nian), the smaller hamlet is underrepresented.

The results for VDCs at the hamlet level were variable. Ethnic groups that are a minority in the

hamlet were not always underrepresented, even for non Lao-Tai groups (for example the

Makong in Sop Phene and Nongbouakham). On the other hand, in most hamlets the ethnic



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group which made up the majority of the hamlet was well-represented, regardless of which

ethnic group. However in certain villages (for example Phonsavang) the majority ethnic group

was underrepresented on the VDC. Therefore it seems that the question of ethnic group

representation in the VDCs is complex. It is best to allow space for the issue to be addressed

individually in each hamlet.

The analysis also identified areas for improvement in terms of the representation of smaller

hamlets and women on the VDCs. A total of 58 VDC positions are held by women, which

represents 18%. In Sop Phene, Sop Hia, Nongboua and Phonsavang, there are no VDC

members who are women. Similarly, in Nam Nian there is only 1 woman on the VDC.

The issues of gender and hamlet representation exist in most hamlets and need to be

addressed in a systematic way. The issue of ethnic group representation is more complex as it

varies considerably from hamlet to hamlet.

The solutions to the problems were also implemented in two stages. The first was the issuance

of the Decision 2529 of the Provincial Governor in 2016. This decision addressed the structure,

role and responsibilities of the VDC in the Nakai Resettlement Villages. The decision updated

the previous structures outlined in Decision 1034 in order to ensure the participation of women

in the VDC (in particular, one of the deputy head of village must now come from the Lao

Womens’ Union).

After the completion of the analysis in this report, an amendment was made to the Decision

2529 of the Provincial Decision. The Decision 1685 was issued in order to further encourage

the representation of all social groups in the appointment of the VDCs. The amendment

included an update to Article 14, about the appointment of the VDCs, as following:

Article 14 shall be modified as follows: VDC and members will be selected by the Headman:

In the process of selecting members of the VDC, the Headman shall ensure the fair

representation of each group such as women, households from smaller hamlet, group of

different socio-economic status and others;

Fair representation means the opportunity to serve in both leadership and support

positions in the VDC and other village organizations.

For the Advisory Committee, this will be assigned by the District Governor based on the

proposal from the Headman.

New elections for the Head of Village, and the appointment of the other village committees, are

not due to be held during the period of CAP implementation. Therefore, achieving the target of

2 women in each VDC will not be possible within the timeframe. However, it is guaranteed

within the policy of the District that this will be achieved during the next election. Similarly, the

KPI also states that ethnic groups and all hamlets in the village should be represented in VDC.

This is already achieved, except the case of the Ahoe. Similarly, the target of “fair representation” for ethnic groups and hamlets is now explicit in District policy and will be implemented during the next elections. The elections are expected to be held in 2018.

EG.3.1.1 Conduct an assessment into the feasibility and desirability of

setting up a WMPA office at the old Sop Hia site, including consultation

with the Ahoe themselves and the WMPA (LOA − GOL) Action and reporting completed



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In the context of the NT2 project, GOL and NTPC have implemented special measures and

(particularly during project planning) and extensive consultation efforts for the Vietic Ahoe

group (40 households). However, this highly vulnerable group still requires significant additional

support and sensitivity. While the majority of the Ahoe households have moved (voluntarily) to

the resettlement villages (mostly NamNian), around 14 households, after consultations, have

moved back near their initial village (“Old Sop Hia”), where they currently live permanently, while others visit frequently. Old Sop Hia lacks access to basic services viz. a viz. other

resettlement villages, as it was never identified to be a resettlement area. Although some of the

Ahoe households in the resettlers villages are reportedly doing well, anecdotal evidence

suggests some have had difficulties adapting their livelihoods and that this is one of the

reasons for their frequent visits to old Sop Hia, where they hunt and fish (possibly illegally).

Old Sop Hia is located within Nakai-Nam Theun National Protected Area, which is an officially

designated conservation area where restrictions apply to some of the livelihood activities

considered harmful to the conservation of natural resources and environment, including the use

of natural resources. External monitors recommended the establishment of a WMPA office at

the old Sop Hia site in order to control and check the illegal extraction of natural resources from

the protected area around old Sop Hia.

WMPA as a part of their mandate to protect and conserve Nam Theun 2 Watershed Area

prepares its five year plans to implement the NT2 WMPA objectives. The WMPA while drafting

their five year plan included Old Sop Hia (designated as the “embarkation site of Nakai Dam” in the official document) as a site to establish check-point post, and will be implemented in due

course of time. The establishment of check-point post is expected to contribute to control the

illegal extraction of natural resources.

However, in 2017, discussions among stakeholders (WMPA, DAFO, Khamkeut and Nakai

Districts, and NTPC) regarding illegal fishing and trading identified that one important illegal

trading site occurred near the NTPC Nakai Dam. The discussion led to an agreement to

establish a permanent fixed checkpoint on the road to Nakai Dam, 4 km from the junction with

the main road, at the entrance of the WMPA. The ToR of the check-point include that only

NTPC cars, NTPC sub-contractors car, GOL staff and authorized local villagers could cross the

checkpoint. This road checkpoint was established and is operated since the 27 September

2017. See the “Action FI.1.3.2. Define new checkpoints for sensitive areas (such as at new Old Sophia Village next to Dam Site) and known illegal fish marketing sites)” for more information.

EG.3.1.2 Hire a local facilitator with relevant experience, and knowledge of

not only Lao but also minority languages if possible. (LOA − GOL) Action completed − Completion report is under DCC proceeds

During their 24th Mission, the POE made recommendations that the Ahoe community should

be allowed to return to Old Sop Hia. During a joint discussion between the Nakai district, the

WMPA and RO at the beginning of 2016, both the district and WMPA raised concerns about

this recommendation because (i) Old Sop Hia is located in the NPA, (ii) this might also be

interpreted to apply to other villages (in particular Old Ka Oy, a majority Makong village in the

Southern Zone) and (iii) Nakai District cannot provide education and health services to Old Sop

Hia as it is located in a different District and Province (Khamkeut District, Bolikhamxay

province). Given the sensitivity relating to situation at Old Sop Hia, it is useful for these

negotiations to include a third party facilitator working on this issue.



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The District Government has made significant efforts to ensure continuity in the staff who works

with the Ahoe community. The Nakai District Office of the Lao Front for National Construction

(LFNC) has been responsible for leading the negotiations. They have chaired all of the

meetings with the Ahoe community from 2015 until 2017. They have built relationships with the

community leaders and are in contact with the Ahoe groups in both NamNian and Old Sop Hia.

These efforts have ensured that there is consistent institutional memory of the developments of

the Old Sop Hia situation. The District has also focused on a long-term approach to resolving

the issue. The LFNC have worked closely with community leaders to explain the reasons why it

is not legal to establish a village at the Old Sop Hia site, and to encourage the community to

move to an area of their choosing, either in Nakai District or in Khamkeut District, where public

services are available.

Moreover, the District has ensured that two specialized NTPC staff have been included in all of

the meetings during the negotiations since 2012. Their role is to serve as external observers

and independent interlocutors of the negotiations. This is part of the District’s efforts to ensure that the process is transparent.

The two staff have also established relationships with the Ahoe community leaders. As part of

the monitoring team, the two NTPC staff have been conducting consistent follow up visits to the

Ahoe community in Old Sop Hia since 2012. They have also attended other mission visits to

the Old Sop Hia site with external monitors (POE, IFIs, etc.). They have therefore had the time

and opportunity to establish a relationship and build trust with Ahoe community leaders. The

two staff have a long-term knowledge of the project’s context and experience working in co-

operation with the Nakai District Government.

The logical follow-up for this action is to ensure that there are technical staffs who can act as a

facilitator for extension activities after the RIP. There is evidence of a difference in average

incomes between the different ethnic groups. The aim of this role would be to support

disadvantaged ethnic group households to benefit equally from the programs compared to the

other groups. The ideal solution would be to have a technical staff working at DAFO who is

from the Makong ethnic group. Evidence from the LSMS 8 suggests that mean and median

incomes are lowest amongst the Makong ethnic group. It also found that the Makong

households on average focus on fishing, farming and agriculture for livelihoods. Therefore it

would be useful for the NP-LAF to have a technical staff member with strong facilitation and

ethnic sensitivity skills (preferably Makong) who can help the Makong households to access the

post-RIP programs in an equitable way. The District and NTPC will work together with the NP-

LAF project to explore this possibility as part of the MTDP.

The KPI and Target of this Action is to hire an appropriately qualified local facilitator. The KPI

and target were adjusted to suit the unique needs of the situation, which were to have

independent observers who understand the situation and have established working

relationships with both the District Government, in particular the LFNC, and the Ahoe

Community in Old Sop Hia. Therefore, an adjusted KPI and Target were proposed, which were

that an appropriately qualified facilitator was hired. All staff from the District Government and

NTPC who were involved in the negotiations were qualified through several years of experience

working on this issue with the community. They all had contracts throughout the CAP period.

Therefore, the adjusted KPI and target were met.



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EG.3.1.3 Survey the current livelihoods, expectations and problems within

ethnic group households (LOA − NTPC) Action and reporting completed

The KPI and target for this action is that a report by a staff member or consultant is completed

and provides comprehensive description of key issues [for the different ethnic groups],

(including those raised by POE), with practical recommendations. The results of this action are

based on three main reports: (i) the Compliance Review Specifically for Ethnic Groups Related

obligations, (ii) the LSMS 8 Report and (iii) the Village Consultations.

The first two are completed by different external consultants (a safeguards expert and a socio-

economic monitoring consultant). The Village Consultations were conducted by the District

Government with NTPC support. Together, the results of these quantitative, qualitative and

planning approaches help to identify the current livelihoods, expectations and problems within

ethnic group households. The Compliance Review and the LSMS 8 Report identify five main

ethnic groups: Makong, Bor, Ahoe, Tai-Kadai and other, and Lao Loum. The Makong, Bor and

Ahoe groups are identified as “indigenous peoples” according to IFI safeguards. The LSMS 8 is a quantitative survey of all hamlets. The report found that all ethnic groups incomes had

improved throughout resettlement. However, on average, the Makong, Bor and Ahoe incomes

remained lower than the Lao and Tai-Kadai. Further that the Makong had the lowest outcomes

and appear to have benefited less than the Bor and the Ahoe. The report found that the

Makong, Bor and Ahoe all relied on fishing and agriculture as their main sources of income,

with some input from livestock. All three had low incomes from employment and business.

Similarly, the results of the report suggest that:

• For the Makong, incomes from fishing are lower, and livestock incomes could be

potentially be increased.

• For the Bor, incomes from crops are comparably low, especially from cassava. • For the Ahoe, income sources vary and it is difficult to draw conclusions due to the small sample size.

The Village Consultations identified aspirations, expectations and suggestions for, among other

things, livestock, fishing and agriculture. These are summaries from all hamlets and are not

exclusive to a particular ethnic group although some hamlets have a huge majority of a specific

ethnic group (Makong or Bor). However, in this case they may be seen to reflect suggestions

from the resettlers about how to move forward on the concerns raised above. The CAP was

adjusted based on the outputs of the Village Consultations.

The Ethnic Compliance Review used a qualitative approach and included focus group and

individual interviews with members of the Makong, Ahoe and Bor community. The review

identified several main concerns and or problems raised by the villagers (as well as compliance

issues, not covered here). These can be loosely grouped as issues of (i) language and cultural

heritage (ii) representation (iii) compensation and resettlement (iv) livelihoods extension

methods and accessibility. Since the Ethnic Compliance Review and the IMA Report, the

project has started several measures which respond to these concerns, including, among

others, improvements to the Grievance Processes related to the Project, Land Conflict

Resolution, and policy changes for Village Development Committee Representation. Further

discussion and improvements are needed for issues related to accessibility (which are also

addressed by the ongoing ethnic sensitivity training), and language and cultural heritage.



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EG.3.1.5 Plan and implement training for committees, institutions,

livelihood pillars and receipt of scholarships as per their interests, need

and capacity (LOA − NTPC) Action and reporting completed

The action EG.3.1.5 has been reported in combination with EG.4.1.1:

• Plan and implement training for committees, institutions, livelihood pillars and receipt of

scholarships as per their interests, need and capacity

• Ethnic groups receive priority and additional support (where feasible and appropriate) to

help them to access livelihood activities and support such as training and scholarships.

The objective of the two actions is to provide additional assistance, or special measures, for

target ethnic groups to access the livelihood programs. The target ethnic groups are Ahoe,

Makong and Bor, as they were identified as ‘indigenous peoples’ by World Bank and ADB Safeguards7. These groups make up the majority of the resettler population. These special

measures can be considered as integrated into the livelihoods programs in the form of

extension methods. They are designed to improve the way that the programs (in particular the

trainings, disseminations and consultations) are delivered in a way that makes them accessible

for these ethnic groups. Because the extension methods are integrated into the programs, they

are available to, and benefit all participants. However, they particularly target the needs of the

Makong, Ahoe and Bor groups.

The needs which are related to trainings and livelihoods programs are identified in principle as:

• Additional support for comprehension due to different language backgrounds and/or

lower levels of education

• Continued use of traditional practices and knowledge

• Additional support to adapt to and adopt new skills due to minimal exposure to the wider

economy and new technologies prior to resettlement.

An agreed set of extension methods have been applied since the beginning of the RIP, and

refined since that time based on lessons learned within each individual pillar. These extension

methods have also been expanded to help target other factors that might affect a persons’ ability to access the programs, such as education, poverty, gender and available labor sources.

They are outlined below:

• Effective approaches to information dissemination and communication

• A participatory approach to the planning and implementation

• Incorporation of traditional practices and knowledge into the trainings

• Effective training (Learning by doing, concept checking questions, etc.)

• Use villagers as trainers and demonstrators

• Use of collective approaches, such as production groups

• Close follow up on activity implementation (on-going technical support)

7 It should be noted that the Action Name, KPI and Target are misleadingly formulated. Lao-Tai groups (Lao Loum and Tai-Kadai and other) are also ethnic groups. However, for the purposes of this report only, “ethnic groups” is used to refer to the Makong, Bor and Ahoe groups. This is to be consistent with the formulation of the Action Name.



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This report covers how these broad principles for extension methods have been applied in the

different programs of each of the individual pillars (Agriculture and Livestock, Fisheries,

Forestry and Off-Farm). The report also briefly outlines the trainings that have been conducted

for village institutions, with reference to the reports that cover these trainings in more detail.

Finally, the participation rates of each of the ethnic groups in these programs, compared to the

general population, are included in the annexes.

The extension methods have been implemented in different ways in the different trainings,

depending on the lessons learned from previous implementations and what is relevant to that

particular training or program. However, it can be seen that the programs have all been

designed and implemented to provide additional support which, while available to all

participants, particularly targets the needs of ethnic group and otherwise disadvantaged

households.

This is not an exhaustive list of the special measures of the program as a whole, as it focuses

specifically on livelihood trainings. Other special measures consistent with the requirements of

the World Bank and ADB Safeguards include land and resource use rights and management,

pre-resettlement consultations, and policy reforms to encourage diverse representation in

village institutions.

The KPI and Target for Action EG.3.1.5 is that trainings have been planned and 100% of them

have been implemented. All of the actions in the CAP that include trainings for the resettlers or

village institutions have been completed (see Section 7).

The KPI and target for Action EG.4.1.1 is that the percentage of ethnic group individuals

participating in livelihood trainings is at least the same as percentage of Lao-Tai households or

individuals participating. This report covers the key livelihood-related trainings provided under

the CAP. In all livelihood trainings covered in this report the percentage of Lao-Tai groups

participating was equivalent to or less than 50%. This means that for each of these trainings,

the percentage of ethnic group individuals (Makong, Bor and Ahoe) was equivalent to or more

than the percentage of Lao-Tai individuals participating. This includes the long-term

scholarships, where only 46% of the recipients were Lao-Tai.

Therefore the KPI and Target for both actions EG.3.1.5 and EG.4.1.1 can be considered to

have been met.

EG.3.1.6 Develop plans within broader livelihood development programs,

tailored to ethnic groups’ needs (LOA − GOL) Action Completed – Action completion report under finalization

Under the RIP, the NT2 project has planning elements to specifically address the needs of

ethnic groups. The CA, the SDP, the RAP and the CAP addressed issues concerning ethnic

groups in the resettlement areas. Moving forward after RIP closure, it will be important to

continue to consider this in planning and development.

On the 19th of May, the District, RMU and NTPC held a meeting8, chaired by the Nakai Vice

Governor, to develop a common understanding of the lagging socio-economic status of a

8 MoM 267 dated 19/05/2017



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number of hamlets and groups including ethnic groups. It was agreed that lagging status and

vulnerabilities are not directly or fully linked to ethnicity. Therefore it is more useful to view the

issue from a socio-economic group perspective. It was further agreed that special consideration

about high risk/vulnerable groups of all kinds will be integrated in the Planning Manual for

updating the VDPs, based on GoL’s policies and CA requirements.

Under the MTDP, development projects at the village level will be guided by the Village

Development Plans. The District Authority began working with the Poverty Reduction Fund in

May 2017 to review the Nakai District’s field manual on planning. The manual is based on the Participatory Planning Manual from the Ministry of Planning and Investment. The PPM focuses

on prioritizing plans suggested by and for the benefit of the poorest and other disadvantaged

households in the village. The Nakai manual will be in line with this orientation.

From the 29th to the 31st of May 2017, 14 District staff, including the Deputy Governor of Nakai

participated in a workshop in Vientiane with key representatives of the PRF. During the

workshop a first draft of the Nakai District’s field manual on planning was completed.

The PRF will support the District to pilot this tailored approach of planning process as follows:

Training of district staff and villagers (VDC) by PRF for 10 district staff and 1

villager/hamlet from 25 to 29 July 2017

VDP meetings in 4 pilot hamlets (Thalang, Sop Phene, Nongboua, Phonphanpek) from

31 July to 12 August, with participation of district staff and assistance by PRF team

Lessons learnt meeting on 14 August with assistance by PRF team

VDP meetings in 12 other hamlets from 17 August to 27 September 2017, with

participation of district staff,

VDP process was presented in September to the IFIs technical mission who discussed the

ethnic groups issue with the district authorities. It was agreed to add an interview of ethnic

groups representative regarding EG considerations of the VDP process. These interviews were

conducted in each hamlet during October 2017 and a brief summary included in the VDP

report. That summary shows no major ethnic group issue with the VDP process. The

completion report is being drafted.

EG.4.1.1 Ethnic groups receive priority and additional support (where

feasible and appropriate) to help them to access livelihood activities and

support such as training and scholarships. (LOA − NTPC) Action and reporting completed

The action EG.4.1.1 has been reported combined with EG.3.1.5:

• Plan and implement training for committees, institutions, livelihood pillars and receipt of

scholarships as per their interests, need and capacity

• Ethnic groups receive priority and additional support (where feasible and appropriate) to

help them to access livelihood activities and support such as training and scholarships.

Please refer to action EG.3.1.5 for details.



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EG.4.1.2 Ethnic groups are targeted, where interested, for inclusion in

adult literacy courses (proposed under the gender action plan, and

required as part of special measures under the CA) (LOA − GOL) Action and reporting completed

The report of this action has been covered by the report of the action GE.3.1.2 Seasonal

women’s evening literacy/numeracy classes for vulnerable villages (pilot in Phonsavang,

Nongboua, NamNian, Bouama, Sop Phene).

In the first phase, 62 women and in the second phase 137 women have completed classwork

(the majority from non-Lao groups including 41% Makong and 37% Bor). Out of 94 women who

sat for an exam, 98% passed. We assume that those women will have a greater chance to

improve the well-being of the family, economically but also socially. Further, it is expected that

with improved literacy and numeracy skills those women will find it easier to take up leadership

position in the village government in the future.

Please refer to the action GE.3.1.2 Seasonal women’s evening literacy/numeracy classes for vulnerable villages for more details.

EG.4.2.1 Provide refresher ethnic sensitivity training for all relevant RO

and GOL staff. (LOA − NTPC) Action engaged – Progress: 50% – Completion delayed to Q1 2018

The target of this action is to conduct refresh training on ethnic sensitivity for all related staff in

both RO and district which required >85% of target participation. “Sensitivity” was extended to all kinds of disadvantaged groups such as illiterate, poor (versus wealthy), small hamlets

merged with big ones, etc. Under the advice of RO Social Safeguards Senior Coordinator the

refreshment workshop was conducted more as an exchange of experiences rather than a

training. Workshop on refreshment on ethnic sensitivity was conducted for RO on 08/12/2017

and is scheduled on 11/01/2018 for district staff. The same approach is used in both cases.

Participants were divided into 4 groups and provided with different propositions for each group

to make a work plan with vulnerable sensitivity in the plan. Each group presented their plans

and the others provided comment on where sensitivity shall be seen and why. The participants

were also explained on what called special measures by using photo and raised the situation

that happened during the workshop.

Participation of all staff of RO who are working on 7 pillars was strongly required. Total of 27

out of 28 persons participated, e.g. 96% compared to the target of participant. The workshop

for district staff is expected to involve about 50 staff from 10 concerned departments in: Lao

Women Union, Social Welfare, Agriculture and Forestry, Lao Front National Construction,

Information Cultural and Tourist, District Justice Office, District Industrial and Commerce,

Education, District Health and Health Centres and Natural Resources and Environment office.

This action is thus expected to be completed by mid-January 2018 with report available by

early February 2018.



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3 Progress on “Integrating Actions” implementation - until end of December 2017

While the CAP is built on four individual livelihoods and three cross-cutting action plans, its

implementation is approached as an integrated set of actions. At the heart of this convergence

is to deepen the village and district engagement, through: (i) Strengthened district engagement;

(ii) Participatory village development planning; (iii) Financing mechanisms. Planning,

implementation and monitoring are coordinated across the various sectors.

Engagement of District Authorities

Increased engagement of the District Authorities in all aspects of the project has been the

guiding principle of the CAP implementation to enhance ownership. The engagement and co-

operation with the project was focused to increase the capacity of the District Authorities both at

the individual and the institutional levels. A number of initiatives have been initiated to increase

the District’s leadership and to capacitate them for the handover. These include continuous on-

the-job training, mentoring of individual counterparts in key positions, facilitation and planning

training, specific technical skills training. Focus was also placed on the transition from NTPC to

the District taking the lead in the communication with and organization of various project

monitoring missions.

The activities under each CAP pillar and cross-cutting issues were implemented by a team of

District staff with support from a dedicated team at NTPC’s RO. Counterparts therefore worked

together closely with the RO team and were able to provide the type of long-term support that

empowers the District staff with the skills and confidence necessary to take over the programs

after RIP closure. In the cases of Land Management, Poor and Vulnerable, and Off-Farm,

District staff have become core members of the RO team. Through hands-on experience those

staff members benefit from individual mentoring provided by the RO team leaders. In this way,

they played a crucial role in the handover process, helping to ensure consistency of

implementation by tapping into their institutional memory from both the District and NTPC side.

The other counterparts also benefit from on-the-job training from NTPC staff, who provide

different levels of support and assistance as necessary.

In line with the CAP implementation to close the RIP, the RO also initiated a complementary

series of specific trainings to support the District to build-up the skills and institutional

frameworks necessary to conduct high quality participatory planning and other consultations at

village level for the post-RIP period.

This started with the Village Consultations on the Comprehensive Action Plan in 2016. To

prepare for the Village Consultations, a facilitation skills workshop for District staff was held

from the 8th to the 10th of September 2016. The workshop also supported the District to plan

the practical and logistical elements of the consultations. The Village Consultations, led by the

District Government, with support from RMU and RO, were conducted in October 2016. The

outcomes were summarized into a report which was prepared by the District Government and

were a useful reference to review and update the CAP with regard to expressed needs by

villagers.



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Following this, and in preparation for the handover, the District Government sought the support

of the Poverty Reduction Fund (PRF)9 to review and update the existing Village Development

Plans 2016-2020 in the resettlement villages. This co-operation was led by the District

Authorities and facilitated where necessary with support from NTPC.

In March 2017, a team from the PRF was invited by the District authorities and to undertake a

scoping mission and to explore potentials for cooperation. The visit paved the way for a

partnership between the Nakai District and the PRF for the revision of Nakai District’s village

planning guidelines and to facilitate the update of the existing VDPs 2016-2020 in 4 pilot

hamlets, the process of which is described in more detail in the section 3.2 below.

A number of technical trainings specific to particular pillars or cross-cutting issues have also

been conducted as part of the CAP. Please refer to Sections 2.4.14 “AL.2.2.3 Provide refresher

and on-the-job training to district staff (LOA − NTPC)”; 2.6.19 “OF.3.1.3 Provide support and

capacity building relevant to Off-Farm to institutions at the Hamlet level, particularly but not

limited to the VDCs and VDFs. (LOA − GOL)”; and 2.7.4 “GE.2.2.1 Skills intensification training

for LWU and WAC in line with needs identified in performance reviews -Link to Provincial

Strategic Plan on Advancement of Women, Mother and Child 2016-2020 – workplan 2 -Link to

National Gender Implementation Plan 2016-2020 (LOA − NTPC)”.

Finally, as noted in Section 1 “Monitoring Missions”, the District staff have been empowered to take the lead in facilitating and co-ordinating with the various monitoring missions during 2017.

This included conducting the main debriefing session for the POE during their 26th and 27th

missions, as well as debriefings with the LTA for their 37th and 38th missions. This forms an

important part of the institutional capacity building as the District prepares not only to take on

the implementation on the ground, but the full co-ordination of the project at management

levels.

Participatory village development planning

After RIP closure and fulfilment of most the CA obligations there will be more operational space

and flexibility for community driven development as planned for in the CAP.

For this purpose, - as outlined in the above chapter - the District and RO are currently working

with the PRF to update the existing VDPs through a Community Driven Development approach.

The existing village development plans outline the development priorities for each village prior

to the CAP. In line with the Politburo’s Resolution on Sam Sang (CPP 03/2012), which the

Nakai District aims to roll out in Nakai as part of the MTDP, there is the need to align the village

9 The PRF is a multi-sector program under the Ministry of Agriculture and Forestry which aims to improve the access

to and the utilization of basic infrastructure and services for the projects targeted poor communities in a sustainable

manner through inclusive community and local development processes. The PRF is an autonomous entity overseen

by the board of Directors and chaired by the Deputy Prime Minister. The PRF’s community driven development approach (CDD) has demonstrated the value of community participation in and ownership of local development

efforts, including for women and ethnic groups. The PRF is one of the GOLs main vehicles to reduce rural poverty

through CDD activities, and to foster the adoption of a participatory planning, financing and implementation model for

local service delivery in rural parts of Lao PDR. The PRF is active in 44 Districts in 10 Provinces.



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development planning with the MPI’s participatory planning manual. Updated VDPs will form the planning basis for the “handing-over process”, and will allow to initiate new budgeting

processes with stronger focus to draw from the GOL’s own budget, attract external donors/projects (including the private sector), but also to identify village priorities for direct

funding under the NT2DF after RIP closure.

Nakai’s resettlement village planning process was organized into 4 steps:

Step 1 - Village orientation: Meeting to explain villagers the principles and steps of

planning, their rights and responsibilities. It was done in 16 hamlets (10 villages) in

August and September 2017

Step 2- Village Planning: Villagers draw up a map on village resources and conduct a

household poverty ranking to analyze the current situation of their hamlet. They then

identified development priorities in groups and discuss them collectively to come up with

a priority list. The groups, organized into women and men and into vulnerable/poor and

non-poor groups, are designed to capture villagers’ vision, needs and aspirations. After this step, a village level meeting was held with representatives from each hamlet in

order to merge the priority lists

In addition, eye opener session in Thailand for four pilot hamlets (Thalang, Sop Phene,

Nongbouakham and Phonsavang) was organized in October 2017, then the villagers

who took part in the study visit disseminated lesson learned to others for brainstorming

them to improve the VDP

Step 3 - Integration into District plans: Coordination with District and other

stakeholders and integrating the VDPs to the District’s 5-year socio economic

development plan in second quarter 2018 (Apr-May 2018)

Step 4 - Feedback to villagers: Villagers attending the District meeting feedback the

results of their endorsed VDP to their peer-villages to ensure transparency (May 2018).

From the 29th to the 31st of May 2017, 14 District staff, including the Deputy Governor of

Nakai, were orientated around MPI’s latest participatory village planning manual and the PRF village planning methodology by the head of the PRF’s Community Development Division. The aim of the workshop was to review and update the existing Nakai District’s field manual on village planning. During the workshop, changes to the local Nakai methodology were agreed to

align better with the MPI’s central level requirements. This approach of reviewing the existing

manual rather than replacing it was a way to ensure continuity and ownership by the District.

From the 25th to the 29th of July 2017, the Poverty Reduction Fund conducted a “Training of Trainers” for District Staff and key Village Development Committee members. The training

covered a review of the existing VDPs, an in-depth review of the updated planning manual,

discussions about the roles and responsibilities of different institutions and individuals in the

planning processes, and practical planning for the pilot stage in 2 villages. A total of 26

participants were trained, including 10 District staff, and 16 VDC members. It was agreed

between PRF and the District that the role of PRF facilitators should decrease over time. In this

way, PRF could ensure that the District facilitators can learn and practice fast (e.g. PRF could

conduct the VPD review in the first two hamlets of village 1, while in the 2 hamlets of village 2

PRF could only provide support while the GOL is in charge of full facilitation).

Next steps



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The PRF and the District updated of existing Village Development Plans in Ban Thalang and

Ban Sop Phene (village 1), and Ban Nongboua and Ban Phonphanpek (village 2) in early

August 2017. The District has scaled-up the VDP updates in the remaining villages, which has

completed by October 2017. Yet, a detailed review of the VDP results of the pilot phase was

undertaken in 4 pilot hamlets such as Thalang, Sop Phene, Nongbouakham and Phonsavang

in October 2017and it will be completed in Q1 2018 for other hamlets.

As mentioned above, the District, PRF and NTPC had held an evaluation meeting to review the

results of the pilot process. Based on the conclusion of this meeting, the District expanded the

VDP reviews and updates to a few additional villages towards the end of the year. NTPC

continued facilitating the process and supporting the District in implementing it. RO staff also

coordinated closely with PRF and District Authorities since the NT2DF ambition is to fund

needs identified during the planning process.

By the end of 2017 there are 2 revised VDPs (for 4 hamlets) for the 2016-2020 period which

built on needs and priorities identified by the communities and are in line with the Central

Governments planning processes and procedures. District authorities and communities will be

capacitated to apply the Government planning processes and procedures for yearly planning

reviews for the post RIP period. It is expected that final VDPs for all villages will be ready by

May 2018.

Financial mechanisms

Village Development Funds

See specific activities on VDF within the progress of Actions OF.3.1.3 and OF.3.1.4.

Social and Environment Remediation Fund (SERF)

The RO team continued providing technical support on a request basis to the SERF committee

in designing, preparing documents and monitoring of SERF activities in 2017. Besides, RO had

provided guidance to ensure that the use of SERF fund is compliant to SERF’s new manual. In the first half of 2017, SERF has implemented projects related to gully dam repairs, road

repairs and construction, borehole repairs, health centre repairs, school repairs, and fencing

construction for community buildings in the villages.

In October 2017, the SERF annual report for the period July 2016 to July 2017 was completed

and approved by RC. This annual report has been shared with all stakeholders.

The 10th of October 2017, SERF team organized dissemination about the AIP for July 2017 to

July 2018 for SERF committee members and village authority (village head) in 16 hamlets at

Nakai district meeting (chairman = RC). The AIP has approved by RC and shared with

stakeholders in November 2018.

A financial audit of the years 2010 until 2016 was conducted by the company KPMG in May

2017 and completed in early October 2017. The report has been shared with stakeholders in

November 2017.

Nam Theun 2 Development Fund (NT2DF)



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Background

The NT2DF is not a CA requirement. After the RIP closure, NTPC’s ongoing commitment to further the development of the 16 resettlement hamlets of the Nakai plateau – as a type of

benefit-sharing – will be carried forward through a long-term development fund, the so-called

“Nam Theun 2 Development Fund” (NT2DF). In 2015, NTPC’s Board of Directors approved the establishment of the NT2DF through an allocation of LAK 1,000/MWh of electricity generated

(currently estimated at a value of USD750,000 per year). It is planned that the fund will be

made available on an annual basis until the end of the concession period in 2035. The NT2DF

will become active after RIP closure.

In this way, NTPC will not be an implementing agency anymore, but step back and be a

coordinator and donor for certain aspects of the Nakai District’s development under the umbrella of NTPC’s Corporate Social Responsibility (CSR) programs.

Key design elements agreed

From September 28th to October 2nd, a workshop was held with all interested stakeholders

(DEB, RMU, Nakai District, World Bank, NTPC and NTPC shareholders) to discuss the main

features of the NT2DF.

Based on the results of this workshop, a concept note was approved by RMU, Nakai District

and NTPC (Nam Theun 2 Development Fund, Concept Note, from framework organized on the

1-2 October 2017).

It was decided that the overall design features will be based on NTPC’s CSR principles and

that the operational design will adopt selected modalities and principles borrowed from the

international community driven development approach (CDD). The latter features respond to

the District GOL’s request to support the implementation of the GOL’s Sam Sang policy. Key design features are presented in Annex 4 and explained below: Institutional structure: In line with 3Sang Directive, the NT2DF structure is organized in three levels.

- Decision level: the NT2DF Steering Committee is composed of representatives from

(i) NTPC shareholders, (ii) NTPC, (iii) provincial/district authorities and (iv) village

authorities is in charge of reviewing proposals, approving projects for funding, and

monitoring outcomes.

- Supervision/support level: the NT2DF support team, composed of District Staffs and

NTPC staffs, provides project management support, facilitates implementation,

reporting and monitoring and is in charge of fund management.

- Implementation level: Village Development Committees are in charge of

implementing projects.

The overall mechanism is assessed by an independent monitoring expert, providing feedbacks

on advice in the mechanisms and funding projects on a yearly basis. It is also expected to

provide determination for the Steering Committee is case no consensus is reached.

Funding windows: The NT2DF is structured into four kinds of projects.

- Funding window 1: Thematic Block grants: Funds are provided to continue activities

NTPC and GoL have initiated during the RIP: Long Term Scholarship, Social Safety

Net. Cost of the Independent Monitoring Expect is included into this window.



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- Funding window 2: Technical Support grants: Funds are provided to external

partners to bring in expertise for certain development outcomes. Calls for proposal

are developed based on MTDP actions, GoL’s strategies and community needs (VDPs).

- Funding window 3: Community project grants: Funds directly flow to support the

implementation of small projects to be implemented by the communities with the

NT2DF support team. Small projects must derive from the village development plans

(VDPs).

- Funding window 4: Emergency grants: In exceptional cases, NT2DF funding can be

made available to fund rehabilitation and other support after natural disasters.

During the first 5 years (pilot phase), USD170,000 will go to the Thematic Block grant window,

USD350,000 will fund the AFD co funded NPLAF project (funding window 2). The amount

remaining will be shared between windows 2, 3 and 4.

Next steps

An agreement on the NT2DF establishment, summarizing the NT2DF main principles and

eligibility criteria as well as clearly defining composition and roles and responsibilities of the

NT2DF Steering Committee will be signed between all parties. A draft is currently under

discussion between RMU, Nakai District and NTPC and the final agreement is expected to be

signed in February. Signature of the Agreement will lead to the creation of the NT2DF Steering

Committee.

In the coming months, Nakai District and NTPC will work together in finalizing the NT2DF

Operation Manual. The NT2DF Support Team will also be set up, composed of District staffs

and NTPC staffs. Finally trainings on procedures will be done for both the NT2DF support team

and the VDCs, expected to play a leading role in the implementation of activities.

4 Progress on Additional Activities implementation - until end of December 2017

Community Living Well Program

CL.1.1.1 Quarterly school meeting by village committee for education

development (VCED) (LOA − NTPC)

Action engaged − progress 75%

The last meetings were held during in August 2017 prior to the new school year.

CL.1.2.1 Junk food and obesity- Large School Campaigns (LOA − NTPC) Action engaged − progress 64%

The first campaign was conducted by the District Office for Education and Sport together with

teachers in 17 schools in the resettlement area between end of March to early May 2017. The



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objective was to make school children aware of junk food and alternative foods. The campaign

reached out to 1,184 school children (568 girls).

Next steps:

Task D: “Design standard operation procedure (for handing over)” will be designed in the first quarter of 2018 for the GOL to continue after RIP

CL.1.2.2 Road Safety-Large School Campaigns (LOA − NTPC) Action engaged − progress 75%

CLWP has conducted road safety campaigns since 2016. The last campaign was conducted by

District Office for Education and Sport in cooperation with the District Police Office in 21

schools in the resettlement areas in March 2017 with the objective to make school children

aware of causes of accidents and their prevention. This year, 2,007 school children joined the

campaign (942 girls). The DHO’s OPD registries record incidences of accidents for the GOL to

follow up.

Next step:

Task D: “Design standard operation procedure (for handing over)” will be designed in the first quarter of 2018 for the GOL to continue after RIP

CL.1.2.3 Anti-Drugs on October 12 (World Anti-Drug Day-Large School

Campaigns (LOA − NTPC)


The District Office for Education and Sport in cooperation with District Police Office organized

the 2017’s Anti-Drug Campaign in 21 schools in the resettlement areas in March 2017. The

objective is to raise awareness among school children about the dangers from drug abuse and

how to prevent it. In total, 2,007 school children (942 girls) joined the campaign.

Next step:

Task D: “Design standard operation procedure (for handing over)” will be designed in the first

quarter of 2018 for the GOL to continue after RIP

CL.1.2.4 Swimming training (LOA − NTPC) Action engaged − progress 42%

This action has been put on hold due to unavailability of the trainers.

Next step:

In cooperation with GoL/Comm unit, DOES and professional French trainers, the training of

trainers will be held in Nakai in March 2018.

CL.1.2.5 Dance training (LOA − NTPC) Action completed − completed

The Fang Lao Dance Company was hired to organize a Hip Hop dance training for secondary

school students from November 2016 till March 2017. In total, 109 students were enrolled (75

girls), being students at Ban Done, Nongbouakham and Oudomsouk secondary schools. A

dance contest was organized on 22nd March 2017 for the 35 best dancers from the three



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schools. The first prize was won by the team from Ban Done, the second prize by the team

from Oudomsouk and third prize by the team from Nongbouakham.

CL.1.2.6 Promotion of students in playing sport (LOA − NTPC) Action engaged − progress 85%

A football cup for boys from 16 primary schools and a volleyball cup for girls from 3 secondary

schools were organized from March-April 2017. The three best football teams were from

Thalang, Oudomsouk and NamNian. The best volleyball teams were from Oudomsouk, Ban

Done and Nongbouakham. Sport equipment were purchased for 21 schools (primary and

secondary schools) end of December 2017; the equipment will be handed over to each school

at the beginning of 2018.

CL.1.2.7 School garden as part of 10% of amendable school curriculum

(LOA − NTPC) Action engaged − progress 99%

In school year 2016-2017, CLWP provided vegetable seeds for each primary school in the

resettlement areas to promote vegetable consumption. Almost all schools set up the gardens

except 2 villages in which the garden’s fence was not ready. A cooking demonstration was organized in early May 2017 for 192 school children (91 girls) at the two model schools in Nakai

Neua and Nakai Tai. Children of those 2 schools learned about the nutritional importance of

vegetables.

CL.1.3.1 Setting up 2 model schools as per MOES guidelines (LOA − NTPC) Action engaged − progress 82%

NTPC supported the DOES in the establishment of two model schools, which is part of the

GOL’s own plan. Two model schools were established in Nakai Neua and Nakai Tai in 2016,

partly with GOL own funds. Monitoring by Nakai DoES of the two schools was done during the

2017.

CL.1.3.2 Quarterly District education meetings and annual satisfaction

meeting with villagers (LOA − NTPC) Action engaged − progress 88%

The first quarterly meeting between DoES and villagers was organized between March and

April 2017 with 369 villagers in the 16 hamlets. The second meeting was held in September

2017. Overall, the meetings show satisfaction by villagers with the schools and education

delivery. Issues which were brought up include low kindergarten school attendance, difficult

transport for secondary school students, maintenance of a clean school environment and

limited attendance for non-formal education.

CL.1.4.1 Special education program for poor, vulnerable and minority

ethnic households (LOA − NTPC) Action engaged − progress 97%



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For the school year 2016-2017, CLWP provided educative materials to 80 school children (38

girls) from poor, vulnerable and minority ethnic households. The first set of materials was

provided in the last quarter of 2016 for 55 children (27 girls), the second set of materials was

provided in the first quarter of 2017 for 25 other children (11 girls). An assessment of their

attendance and quality of learning was conducted in April-May 2017, showing that almost all of

these children attended school, only few drop-outs (1 in Nongboua and 2 in Thalang).

In October 2017, 37 children (17 girls) have received educative materials for the school year

2017-18

CL.2.1.1 Monthly maternal and child health services with campaigns (LOA

− NTPC)


In 2017, up to date 192 monthly mother and child clinics were conducted by the Health Center

staff in 16 hamlets including the provision of maternal and child health (MCH) services such as

antenatal care (ANC), post-natal care (PNC), birth assistance (safe delivery), vaccination,

family planning, growth monitoring of children under 5 years, worm treatment, micronutrient

supplementation and nutrition education. DHO produces monthly reports, the summary of

which is electronically uploaded into the MOH’s DHIS2 system to inform annual health statistics. The financial support of the clinics was shared between NTPC (Community Living

Well Program with 75%) and Lao- Luxembourg (25%). DHO is committed to continue the clinics

after RIP with GOL budget and to ensure at least quarterly service delivery.

Refresher training of 18 medical staff (12 female) was held in August 2017 organized by PHO

on growth monitoring, vaccination, family planning, antenatal care, post-natal care and

micronutrient.

Albendazole for mass worm treatment was distributed by late 2017 for adults and children aged

over 1 year old. In addition, vitamin B1 for prevention of beri-beri was distributed to post-

partum mothers

Key results include:

Monthly Maternal and Child Health Indicators (compare 2008 to 2017)

Indicator 2008 (project start) December 2017

ANC visit and services (≥ 4 times) 27% 86.4% Delivery at health facility 27% 75.4% Contraceptive Prevalence Rate 43% 75.7% Under 5 mortality rate 118/1,000 livebirth 48.2/1,000 livebirth Maternal Mortality Rate Only one mother died in 2010

Next steps:

Task A: “Monthly maternal and child health services” – until end of RIP

Task C: “Supervision by PHO” – every quarter by PHO until end of RIP

CL.2.2.1 Special health services for poor, vulnerable and minority ethnic

HHs (LOA − NTPC) Action engaged − progress 91%



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Since project start, HC staff have continuously provided free special health services for

vulnerable, poor and high risk households on a monthly basis. This included home-visits for

maternal and child health services, medical check-ups and treatment as needed. In 2017, eight

patients were referred to the district and provincial hospitals for special treatment.

Next steps:

Task B: “Implementation” – until the end of RIP

Task C: “Quarterly review with DHO/HCs” will be continuously organized quarterly

CL.2.2.2 Health insurance for vulnerable (LOA − NTPC) Action engaged − progress 16%

During various rounds of meetings between NTPC and PHO/DHO it was agreed that the best

solution for post-RIP health services for vulnerable group is coverage through the “National

Health Insurance” (NHI) mechanism (with certain fees covered by NTPC). Six staff from Khammouane PHO, Nakai DHO and NTPC/RO organized a study tour to Bolikhamxay where

the MOH has been implementing NHI since January 2017. The Ministry of Health has launched

the NHI scheme in Khammouane from 1st October 2017, against earlier plans for a launch in

the second quarter of 2017.

However, the NHI is in early stages of implementation, and it will need to be confirmed as fully

functioning in Nakai. Further, its efficacy in relation to the specific needs of the Social Safety

Net for the Vulnerable households still needs to be more fully assessed.

Next step:

Task B: “Implementation of health insurance” , it is expected by Mar-Apr 2018. Task C: “Review meeting on health insurance” – after start only

CL.2.3.1 Phase out of 3-weekly supplementary feeding for malnourished

children (LOA − NTPC)


In January 2017, NTPC in coordination with the District’s LWU has been phasing out the weekly supplementary feeding. Until the end of RIP, NTPC together with DHO will introduce the

MOH’s new infant and young child feeding counselling package and align with activities as in other parts of Lao PDR. Proper infant and young child feeding practices of new mothers will be

promoted through the monthly clinics as well as introduction of growth monitoring and

promotion. Trends in child nutrition are analyzed as part of the monthly DOH reports.

Porridge demonstration was monthly organized in 16 hamlets by HC staff since August 2017 by

using fish power and recipe developed by intern students from France.

Next step:

Task B: “Implementation and monitoring” – part of monthly growth monitoring

Task C: “Design standard operation procedures (for handing-over)” - designed in the last

quarter of 2017

CL.2.3.2 Quarterly District health& nutrition meetings and annual

satisfaction meeting with villagers (LOA − NTPC) Action engaged − progress 78%



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The quarterly meetings between DHO and villagers were organized in March 2017 with 517

villagers in the 16 hamlets. Second meeting was held in September 2017. In general, results

show villagers are satisfied with the provision of health services. Issues which surfaced and

DHO is following-up, included support for malnourished children, boreholes and toilet

construction for new generation.

CL.3.1.1 Mobilization of villagers in improving of household hygiene (LOA

− NTPC) Action engaged − progress 80%

In 2017, the household and public hygiene promotion is jointly conducted by the District Lao

Women Union (LWU), the District Office for Education and Sport (DoES) and the District Health

Office (DHO). The last quarterly hygiene award ceremony was held in Nakai Neua on 14th

December 2017. The three cleanest villages as per data collection are: Nakai Neua,

Phonphanpek and Nakai Tai.

Next step:

- Task D: “Design standard operation procedures (for handing-over)” will be designed in

the first quarter of 2018

CL.3.1.2 Demand mobilization and toilet construction (cost sharing) and

toilet maintenance for 2nd generation (LOA − NTPC) Action engaged − progress 92%

Toilet construction was already completed by 92% in 2016. However, the CLWP and DHO

teams continue with the assessment of 2G households, eligibility criteria and identify potential

support.

Next steps:

Task A: “Review of 2G household list” - ongoing for 56 households

Task B: “Implementation” – toilet construction with shared cost

Task C: “Monitoring the progress” - after construction started

CL.3.1.3 Private Sector/entrepreneurs support (LOA − NTPC)


NTPC/CLWP found that private companies from Thakhek and Gnommalat providing an array of

services for toilet construction and “waste disposal”. Contact numbers of private companies were seen on trees in all hamlets. The next step for DHO and CLWP is to ensure quality control

of the private companies (MOH standards) and design mechanism with villagers to keep

villages open defecation free (ODF) after RIP closure.

CL.3.2.1 Quarterly District WASH meetings and annual satisfaction

meeting with villagers (LOA − NTPC)


The first quarterly meeting was organized as part of CL.2.3.2 in March 2017 in the 16 hamlets.

The last meeting was held in September 2017.



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Monitoring

Monitoring in 2017 was essentially made of the round 8 of LSMS, implemented in February-

march and of the round 14 of the QSEM, implemented in August-September.

MO.1.1.2 Living Standards Measurement Survey (LOA − NTPC) Action and reporting completed

The LSMS is a major Socio-Economic survey that was undertaken approximately once every

nine months from 2006 till 2009. The tool was applied based on a stratified random sample of a

minimum of 25% of resettlers in each of the 17 original villages. After 2009, the LSMS survey

instrument was revised and three further surveys were conducted in 2011 and 2013 and 2017.

The LSMS survey provides a detailed quantitative assessment of social and economic

conditions of resettled households including income level, sources of income, household

consumption, food sufficiency, basic health and education conditions, as well as the status of

women and other vulnerable groups.

The final LSMS (LSMS8) was conducted in quarter one of 2017 with reporting completed in

August 2017. The target population for the LSMS8 survey has been expanded to include both

original resettlers and the “second generation” (Subsequent Growth Households”) of resettlers, which consists of households established post resettlement which include at least one resettler.

The larger number of households included in the survey has enabled data to be reported for

1. Original Wealth Classes identified for the original baseline survey of 2006

2. First Generation and Second-Generation (“Subsequent Growth”) Households.

3. Main Ethnic Groups

LSMS data collection since 2006

Round Year Data Collection Reports

1 2006 July – Sep

LSMS Report Rounds 1-5

2 2007 May – July

3 2008 Jan – Feb

4 2008 Sept – Oct

5 2009 May – Jun

6 2011 May – Jun LSMS Report Rounds 1-6

7 2013 Feb – March LSMS Report Rounds 1-7

8 2017 Jan – March Nakai Socio Economic Survey,

Round 8

The LSMS8 survey interviews were undertaken by an independent data collection company,

Indochina Research Limited (IRL) between February and March 2018. Data entry was

undertaken by IRL staff using a data interface developed by NTPC and data was entered into

the NTPC socio-economic data warehouse. Data entry occurred concurrently with data

collection, data review was undertaken by NTPC to ensure all fields were appropriately

completed and to identify and check outliers. Data entry and QC check were completed by the

end of March 2017.



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The survey together with the QSEM provides a key assessment of livelihood restoration and

living standards of the resettlers. Here are some key features extracted from the report.

Incomes Have Been Restored To Pre-Project Levels.

Median monthly incomes (221,000 LAK/person/month) are now more than double pre-project

incomes (~97,000 LAK/person/month)

The Household Income Target Has Been Achieved.

Poverty levels have been reduced from about half the population in 1996 to approximately 3%

and NTPC has developed ongoing support processes for households that are living close to or

below the poverty line (poor/high risk households).

Non-Economic Poverty Has Been Reduced.

Poverty is a multi-dimensional issue that encompasses more than just the economic indicators

used in the CA. Resettlers have benefitted from a wide range of improvements to their living

standards including housing, supply of electricity, safe drinking water and sanitation, improved

educational and health services. Overall, 99% of resettlers said their lives are as good or better

than before resettlement.

Livelihoods have been improved on a sustainable basis.

A socio-economic survey such as the Nakai LSMS is, by definition, an ex-post evaluation that

provides an assessment of conditions “after the fact” and does not attempt to predict future conditions (ex-ante). It can however provide important context for evaluations of sustainability

1. The next generation of resettlers (subsequent growth households) has achieved the

same levels of income and consumption as the previous generation (resettlers).

2. Resettlers have sustained incomes at the same level since 2011

The Village Income Target has been met.

The LSMS was not designed to assess the Village Income Target. The VIT was assessed by a

one-off survey in 2015/16, when all villages were assessed as being above the poverty line.

Economic conditions on the Nakai remain good: only 3% of households live below the poverty

line, median consumption is more than double the poverty line, and fish and meat consumption

are at the high end of nationally reported value.

Ethnicity.

All socio-economic and ethnic groups are better off than they were before the start of the

project but all ethnic groups may not have benefitted equally although the results are skewed

by other factors such as village location and communications.

Resettlers have shown sustained levels since 2011.

Resettlers have met the numerical targets laid down in the CA, have shown sustained levels of

income since 2011, have inter-generational equity in incomes and consumption, and have a

substantially improved quality of life.

Resettlers are more resilient against future shocks.

Prior to resettlement around 50% of households lived in poverty, only 21% of households had

any savings, mean value of saving was 50,000LAK per capita, and most of this was in the form

of livestock. Education levels were low, many of the villages had no road access, access to

modern medical treatment was difficult, and employment and business opportunities were

limited. Resettlers could fall back on forest resources in difficult times but were already

complaining of the degradation of these resources. Resettlers, almost by definition, were

vulnerable to falling into poverty of further into poverty.



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In 2017 almost all resettlers have cash savings, herd numbers are about half pre-project levels,

42% of households report off-farm income and households have access to modern medical

treatments. Households are better educated and have much improved access to markets and

off-plateau traders. The spread of income is more diverse, only 3% of households live in

poverty and median consumption is more than twice the poverty line. The GoL and NTPC have

also committed to introducing a social safety for poor and vulnerable households. Thus, a

strong argument can be made that resettlers are both much less likely to fall into poverty and

have a great ability to recover if they do fall into poverty.

MO.1.1.1 Quarterly Socio-Economic Monitoring (LOA − NTPC) Action and reporting completed - Nakai Socio-Economic Survey Round 14 - Quarter 3

2017(10Nov17)

The Quarterly Socio-Economic Monitoring replaces the initial monthly household survey, also

referred to as the “Family Books”. The main purposes of the QSEM are to:

Identify changes and trends in the living standards of resettler households

Monitor, analyze and compare Socio-Economic and wellbeing indicators between:

o Villages

o Ethnic Groups

Use monitoring information as a means of adaptive management for the Nakai

Development Program

Assess and understand reasons for vulnerability, review vulnerability criteria and identify

vulnerable households within the resettler populations.

Fourteen rounds of QSEM were implemented since 2011 (see table below).



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QSEM and LSMS rounds since 2011 Date LSMS Quantitative QSEM

2011 Q1 Round 1

Q2 LSMS 6

Q3 Round 2

Q4

2012 Q1 Round 3

Q2

Q3 Round 4

Q4 Round 5 – Census

2013 Q1 LSMS 7

Q2

Q3 Round 6

Q4

2014 Q1 Round 7

Q2 Round 8 (census)

Q3 Round 9 (and complete census)

Q4

2015 Q1

Q2

Q3 Round 11

Q4

2016 Q1 Round 12

Q2

Q3 Round 13

Q4

2017 Q1 LSMS 8

Q2

Q3 Round 14

Q4

The QSEM surveys have shown that socio-economic outcomes are controlled by village,

ethnicity, and location and to some extent educational capacity of household heads. They have

largely confirmed the LSMS results:

All villages have benefitted economically from resettlement though some villages clearly

lag behind and may need special assistance in the future. Special programs for these

villages will not capture all poor and vulnerable households but poor households in

these poor villages face an extra challenge in escaping poverty or improving incomes.

All ethnic groups have benefitted from resettlement but the Makong have not benefitted

as much as other groups. This is, in part, because they are located in the southern part

of the resettlement area and have a greater reliance on agriculture and livestock than

the central and northern villages. They also have comparatively poorer road access

and are not located on a through road (which brings benefits for trade and transport).

The southern villages (largely Makong) have a greater reliance on agriculture and

livestock than fishing. Future assistance in the south could therefore focus more on

agriculture than fishing.

Education levels are correlated with some but not all economic outcomes for residents

remaining on the plateau. Education is however known to correlate with other social

outcomes (eg nutritional outcomes) and capacity to deal with more advanced cash



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economies, for example, better educated household heads reported less difficulty in

repaying loans.

Entitlements for the Subsequent Growth Households

AL.2.1.1 Identify pending land cases for subsequent growth (SG)

households and known critical issues (LOA − GOL) Action and reporting completed

See 2.4.7

AL.2.1.2 Solve the cases identified for SG by implementing strategy &

procedure at hamlet level (LOA − GOL) Action and reporting completed

See 2.4.8

AL.2.2.6 Allocate Land Use Certificate (LUC) for Additional Agricultural

Land to remaining eligible SG, where possible. By decision of the local

govt. PPP and ODS are part of the sub-urban area, 49 SG in these 2

villages won't have access to additional Arg. land. (LOA − GOL) Action completed – report under finalization

See 2.4.17

5 Communication

Resettlement Office Newsletters

Since mid-2016, the monthly Resettlement Office Newsletter has been initiated to informed

NT2 stakeholders on the activities being conducted as part of the Comprehensive Action Plan

(CAP). This Newsletter is structured into 2 parts: (i) the Dashboard of the CAP, (ii) short Articles

providing qualitative updates on the progress made on the List of Actions and the Medium

Term Development Plan.

The whole set of articles of the 11 issues released in 2017 are gathered in Annex 6 –

Resettlement Office Newsletters issued in 2017

IAIA Special Symposium – Resettlement and Livelihood (Manila- Feb 2017)

On 17 February 2017, NTPC participated to a special symposium of the International

Association for Impact Assessment (the IAIA) in Manila, Philippines.

This 20 minutes talk conducted together with EDF-CIH, presented some lessons learned from

the resettlement program. It has been highlighted:



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The singular context of the Nakai Plateau resettlement: social sensitivity of Project

stakeholders, flagship investment, ambitious goals and extensive pre-resettlement

consultation;

The profusion and depth of social development activities, and a high level of close

external monitoring;

The challenge to successfully close the Resettlement Implementation Period which

satisfies the requirements of the numerous external stakeholders and builds the

resettled communities towards an independent and sustainable future.

The short article and the presentation are gathered in Annex 7 – Presentation on NT2

Resettlement at the IAIA Special Symposium, Manila, Feb 2017.



Page 137 of 417

PART 2: Environmental Programs



Page 138 of 417

1 Introduction – Key milestones There are key milestones of Environment Programs during January to December 2017,

referring to the key tasks of the AIP 2017, as follows:

Water quality monitoring

(i) Continue to monitor and understand the evolution of the whole NT2 hydro system

in relation to Project operations, as required by the Concession Agreement and

the 4th Service Agreement between NTPC and EDF for the period of May 2017 to

April 2023; and

(ii) Provide data for predictive models of the reservoir’s water quality and GHG emissions. This model, developed by EDF-CIH that will help in assessing

scenarios of water quality evolution in the medium-term period (30 years).

Greenhouse Gases are also taken into consideration in this model in order to

refine the estimation of the carbon footprint of the hydropower plant within its

entire concession period.

Environment compliance program

(i) To undertake periodic inspection of all activities by NTPC or its contractors to

ensure the compliance with CEMMP.

(ii) Complete the construction of the 7th NTPC waste cell before the wet season 2017

and ensure that the construction is fully complied with the landfill management

guideline standards.

(iii) Manage and arrange the facility for a closure of the 6th NTPC waste cell while

ensuring no environmental issues.

(iv) Organize and manage the waste disposal in appropriate methodologies for the

wastes stored in NTPC Landfill (hazardous wastes, laboratory wastes, recyclable

wastes, used fluorescence, electronic wastes…). (v) Regularly organize the landfill observation borewells water quality monitoring for

NTPC landfill by using the appropriate methodologies and suitable frequency to

ensure that potential of contamination leached from waste cells and/or its

leachate ponds are captured and corrective action to avoid further contamination

into the local groundwater system will be taken properly.

(vi) Keep study and take a proper action for wastewater treatment modification and

its maintenance to ensure that the effluent water discharged from NTPC facilities

are under the GoL effluent standard guidelines and no environmental impact to

the local discharged areas.

(vii) Re-handling over the upgraded landfill to GML district, providing a necessary

support, technical assistance and training to the involved party for landfill and

solid waste management in GML district.

(viii) Providing a necessary support, technical assistance and training to the involved

party for landfill and solid waste management in Nakai district.

Erosion Monitoring program

Complete the 23rd riverbank erosion survey by photographic method to identify

and document Xe Bangfai riverbank areas which may have been recently eroded

before the wet season of 2017.

Hydrobiology monitoring



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(i) As part of the Concession Agreement, the hydrobiology survey still continue for

Chlorophyll a (as production indicator in the Reservoir), aquatic invertebrates in

the rivers upstream and downstream of the reservoir and fish population

monitoring in the rivers and reservoir.

(ii) To fulfill the objectives of the fisheries action plan, surveys will continue in 2017

as following:

Fisheries monitoring on the Nakai Plateau;

Water quality of the gully dams to assess the suitability for further aquaculture

development.

(iii) Additional activities to support the end of research programs by providing

assistance of data analysis and interpretation (field mission completed in 2016 for

all programs).

Biodiversity program

(i) Education and outreach on HEC: provide the necessary support and follow up

the effectiveness of HEC mitigation and awareness activities by the HEC

outreach team from Nakai DoNRE.

(ii) HEC mission by WCS: with a collaboration with WCS, GPS collars installation for

the Group of Three will be conducted in dry season(early of 2017) and providing

the necessary support for its GPS collars to DoNRE staff under the supervising of

WCS team.

(iii) Chinese Swamp Cypress germination program: (i) Environment team plan to

continue the joining with the experts from IUCN Conifer Redlist Authority, NUOL

and San Francisco University to collect Swamp Cypress seed; organize

germination, and plant seedlings in the NPA.

(iv) Continue invasive species monitoring and control.

(v) Mineral lick replenishment: as advised by an Elephant Specialist (WCS), two

replenishments will be organized in 2017 (one before + one after or during the

wet season).

2 Organization and responsibilities Historical background

The Environment Management Office (EMO) was divided into two separate departments in

2010. The role of ensuring compliance with NTPC’s environmental commitments was transferred to the Health, Safety and Environment Department and was under NTPC’s Integrated Management System Division. In June 2015 this unit has been renamed Risk &

Strategy Unit, along with this organizational change, all tasks related to biodiversity

monitoring and management; water quality monitoring and analysis (chemistry,

hydrobiology); and erosion monitoring have been maintained within E&S Division’s Water Quality and Biodiversity Department. The 3rd Service Agreement between EDF and NTPC to

support the Laboratory started in May 2014 and ended in April 2017 and the 4th Agreement

was started in May 2017 and will last till April 2023.

Since January 2016, the Environment Compliance team under the Risk & Strategy Unit was

transferred to Water Quality and Biodiversity Department and the name of department has

been changed to Environment Department since August 2016 to present.



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Current Organization and responsibilities (2016 onwards) The Environment Department is organized as in Figure 4 and Figure 5.

Figure 4 – Environment Department Organization updated in December 2017

Figure 5 – Detailed Organization Chart of the Environment Department updated in

December 2017 The Environment Department is in charge of design, implementation and monitoring of

activities and achievement of objectives of Environmental (including all water quality

monitoring and biodiversity) contractual obligations of NTPC during the Operational Phase.

The Aquatic Environment Laboratory (AE Lab), within the Environment Department to

monitors water quality, hydrobiology and greenhouse gas emissions in the reservoir,

upstream and downstream areas under funding agreement between NTPC and EDF starting

from April 2011 for 3 years period and is extended to April 2017. Another 6 years (May 2017

to April 2023) of funding agreement is approved by EDF and Lenders’ advisor with a lightened scope of monitoring. The team also conducts the riverbank erosion monitoring



Page 141 of 417

along the Xe Bangfai. The Hydrobiology Team continues to perform Chlorophyll a

monitoring, fish population monitoring in the Nakai reservoir and in the Xe Bangfai River,

continue to support fisheries action plan and provide an assistance to the end of research

program.

The Environment Compliance Team monitors, inspects and manages all environmental

internal issues and supports the solid waste management in the 2 local districts (Gnommalat

and Nakai). Promoting the awareness program on environment care to NTPC staff and

families; NTPC contractors; and local communities in both districts. The mission ensures that

there is no negative impact by the project to the local environment in a short term and on a

long run. The corrective and preventive actions are taken for any environment incident and

follow up by the team.

The elephant program, the invasive species program and swamp cypress program are under

the Biodiversity activities of the Environment Department.

3 Main outputs of Environment programs until December 2017

The Aquatic Environment Laboratory (AE Lab)

After nine years of operation of NT2 Aquatic Environment Laboratory (AE Lab), the Service

Agreement between NTPC and EDF-CIH for water quality was ended in April 30, 2017. The

new contract was proposed to EDF and approved by Lenders’ advisors for a period of 6

years (May 2017 to April 2023). The main purpose of the extended contract is for continuing

to monitor Greenhouse Gas (GHG) emissions to understand its evaluation at least 15 years

after the impoundment. Since 2008, four contracts were signed with EDF-CIH.

The AEL was set up in order to develop two kinds of in-house capacities:

- Perform the analysis of most water quality parameters to be monitored by NTPC to fulfil

its obligations under the Concession Agreement (only oil and grease analysis is still

being sent for analysis to UAE, a Thai laboratory based in Bangkok).

- Support various research programs: Greenhouse Gas (GHG) emissions measurements

and related studies, Dynamic of Mercury content in fish flesh, Fish stock assessment in

the reservoir and Effects of a reservoir on fish composition using a tropic approach.

The main outputs 2017 for the AEL are the following:

- Maintained the quality of laboratory and staff performance by continuing to conduct the

internal QA/QC for laboratory by performing the tests of method blank analysis, blind

samples analysis, Quality Control standards by CRM and method comparison.

- The proficiency testing (PT) program for the external QA/QC could not be applied to

participate with the accredited provider in USA within the 4th Quarter of 2017 due to the

delay on delivery process. The participation is postponed to the 1st Quarter of 2018.

- Laboratory Database Improvement Project – After the initiating phase of

implementation at the end of 2016, the data migration process has been launched since

then and still on-going. Furthermore, a training course on basic manipulation of Water

Quality Module (WISKI – KiWQM and WiRED) was conducted at site in November 2016

and in May 2017 by KISTERS Team. 7 Chemistry staff and 2 staff from Technical

Branch attended these 2 workshops.



Page 142 of 417

- Supporting of the Scientific Researches:

Greenhouse Gas (GHG) Emission monitoring: the monitoring still continues in

routinely basis in reservoir, tributaries, downstream rivers and civil work area

to support a scientific article relating to the 3 GHGs (CH4, CO2 and N2O)

emissions in NT2 project.

Research programs relating to Fisheries Action Plan: (i) Development and

implementation of a methodology to evaluate fish stock in the reservoir;

Research on the dynamic of Hg in the Nam Theun 2 area as a non-impacted

area

Enviromics research program to measure the effects of a reservoir on fish

composition using a trophic approach and environmental DNA.

Water quality monitoring

Water quality monitoring was conducted in agreement with the original schedule according

to the Concession Agreement and the 3rd Service Agreement between NTPC and EDF-CIH

until April 2017. The 4th Service Agreement was approved and extends until April 2023. The

Sampling stations of the 3rd and 4th Service Agreement are presented in the Annex 8 and

Annex 9, respectively. Few missions during the year needed to be cancelled due to

accessibility issues to the sites, the stream bed dried out and safety concerns of poor

weather conditions.

Reservoir

- As 2017 is the wet year with rain storm, the reservoir’s water level reached its maximum capacity (538m ASL) in September and October. The spillway at Nakai Dam was

operated for 2 times: (i) during the 16th to 30th of September (average released flow 240

m3/s) and (ii) during 10th to 17th October (average released flow 280 m3/s) before a

slightly decreasing of reservoir water level afterward.

- Chlorophyll a concetrations showed the same partern since 2011. After a higher

production period in 2010 (trophic upsurge), concentration decreased to reach a stable

level in 2011. Concentrations showed an annual production peak observed at the end of

the warm dry (WD) season (Figure 6). A second peak, weaker, occurred at the end of

the wet season (October). In general, the low concentration of Chlorophyll a (with other

production parameters e.g. nutrients) underlined an oligo-mesotrophic level of NT2

Reservoir. A higher value observed in end of WD 2016 (June) compared to the peak in

2011, this could be linked to the lower water level and first rain in May 2016 that could

increase the nutrients. The observed value in 2017 still showed the annual peak as

same as the previous years but lower than 2016.



Page 143 of 417

Figure 6 – Monthly averages (of all stations) of [Chlo a] (µg.L-1) in NT2 reservoir from 2010 to

2017

- Destratification followed its annual cycle for the water column overturned in 2017. The

water column was fully mixed in all sampling stations in January then became less in

February. At the end of the year, the thermocline started to disappear in November due

to the drop of atmospheric temperature which demonstrated the beginning of overturned

period.

- Stratification occured in the whole reservoir (except Intake) during warm dry season

since March when the atmospheric temperature was high (same as previous year).

However, the stratification was disturbed by the wind condition and rainy runoff from

tributaries during wet season.

- Oxicline was developped in the whole reservoir in April to July at various layers (4 – 23

m) except at the Intake. Anoxia was also re-appeared at all stations since April to July

except at the Intake.

- High values of Dissolved Oxygen (>5 mg/L) at the surface were always observed in all

stations, except at Nakai Dam (RES01) and Nam Malou Area (RES03) in November,

where the dissolved oxygen slightly below the guideline (4.2 mg/L), this low value may

induced from the overturn period where water with low concentration of dissolved oxygen

moved up to the surface level.

- Summary of water quality monitoring results in 2017 are shown in the following

Figure 7, Figure 8, and Figure 9.



Page 144 of 417

Figure 7 – Water Quality results in the NT2 Reservoir from January to April 2017



Page 145 of 417

Figure 8 – Water Quality results in the NT2 Reservoir from May to June 2017



Page 146 of 417

Figure 9 – Water Quality results in the NT2 Reservoir from July to December 2017



Page 147 of 417

Rivers

Key WQ results related to Project releases during the January to December 2017:

- Dissolved Oxygen remained above the Guideline for Nam Theun, Nam Kathang and Xe

Bangfai Rivers throughout the whole year (Figure 10).

- Biologycal Oxygen Demand (BOD) slightly exceeded the guideline in Nam Theun

downstream of Nakai dam and THPC headpond (at Lak 20 Bridge) during January. The

exceedance at Nam Theun downstream of Nam Phao Confluence was also observed in

February.

- Chemical Oxygen Demand (COD) slightly exceeded the Guideline for few months in Xe

Bangfai downstream of the DSC confluence, in Nam Kathang downstream of the

Regulating dam and in Nam Theun downstream of Nakai dam10.

- Total Suspended Solids (TSS) exceeded the guideline in (i) Nam Kathang upstream and

downstream of Regulating dam in August; (ii) Nam Phao and Nam Theun downstream of

Nam Phao Confluence in March and August and (iii) Xe Bangfai river in September.

- Total Phosphorus (Ptot) exceeded the guideline in (i) August at Nam Kathang

downstream of Regulating Dam and Xe Bangfai upstream and downstream of DSC

confluence and in (ii) October to November at Nam Phao and Nam Theun downstream

of Nam Phao Confluence.

- A biological indicator (BMWPThai ~155 and ASPT~6.2) in 2017 confirmed a good water

quality at upstream tributaries, downstream of Nakai Dam and Downstream of

Powerhouse.

Note: This exceedance of Total Suspended Solids and Total Phosphorus was related to

high sediment laden consecutive to the increase of rainfall or any of activity (mining) in the

Nam Phao upstream and not related to the project release.

10 If the uncertainty of measurement is taken into account on the reported results, values may remain under the guideline or slightly exceed the guideline.



Page 148 of 417

Figure 10 – Dissolved Oxygen in the downstream rivers (2015-2017)



Page 149 of 417

Villagers’ borewells

Since 2006 to December 2017, 824 of 827 (99.6%) total in-use boreholes installed by NTPC

since construction period are monitored. Monitoring results of groundwater for Village Water

Supply in 2017 are available on quarterly basis.

Groundwater during Quarter 1, 2017

During Quarter 1_2017, total of 84 boreholes were sampled for water chemistry and Faecal Coliform Bacteria analysis.

- Downstream Program Groundwater: 60 boreholes. - Resettler’s Groundwater (RGW): 24 boreholes.

Remarks:

Parameter Number of Borehole Exceeded the Guidelines

Faecal Coliform 19 boreholes exceeded the guideline.

Comment: It is strongly recommended to keep boiling water for drinking purpose.

pH, Conductivity, Turbidity, Manganese and Total Iron

41 boreholes showed results exceeding guidelines at least one of these parameters.

Comment: Exceedance of these parameters may effect odour and/or taste of water.


During the second Quarter 2017, total of 87 boreholes were sampled for water chemistry

and Faecal Coliform Bacteria analysis as following:

- Downstream Program Groundwater: 75 boreholes.

- Resettler’s Groundwater (RGW): 12 boreholes.

Remarks:

Parameter Number Borehole Exceeded the Guidelines

Faecal Coliform 29 boreholes exceeded the guideline.


Total Hardness

3 boreholes exceeded the guideline in :

Xaibouly District: XBL06004

Nongbok District: NBK05915 and NBK07602

pH, Conductivity and Turbidity




During the third Quarter 2017, total of 84 boreholes were sampled for water chemistry and

Faecal Coliform Bacteria analysis.





Page 150 of 417

Remarks:


Faecal Coliform

49 boreholes exceeded the guideline.


pH, Conductivity, and Turbidity




During the fourth quarter 2017, 86 boreholes were sampled for water chemistry and Faecal

Coliform Bacteria analysis as following



Results are:


Faecal Coliform

20 boreholes exceeded the guideline

Comment: It is strongly recommended to keep boiling water for drinking

purpose.

pH, Conductivity and

Turbidity

73 boreholes showed results exceeding guidelines at least one of these

parameters.

Comment: Exceedance of these parameters may effect odour and/or taste

of water.

Nitrate-Nitrogen

2 boreholes exceeded the guideline in:

o Nongbok District: NBK05003 and NBK05912

Comment and Action: Restricted for infant aged below 6 months

o The formal letter confirming the Nitrate value exceedances the

guideline and its recommendation will be sent to Public Health

Office of Nongbok District for communicating to villagers.

Note: The results of Trace metals were pending due to the troubleshooting of the MP-AES

Analyzer. The equipment was out of service until end of October then all pending samples

are being analysed.

Facilities water

Potable water

The NTPC Potable water facilities monitoring results are summarized below:



Page 151 of 417

Parameter Guideline

values

Exceedance revealed (at least a month)

from January to December 2017

RNT RNT

Extension Powerhouse

Nakai

Dam

NTPC

office

drinking

water

pH 6.5 - 8.5 X X X X

Turbidity <5.0 NTU X X

Conductivity < 1000mg/L X

Total Hardness <300 mg/L X

Colour <5 TUC X X X X

Residual

Chlorine (Cl2)

0.5 - 2.0

mg/L X X

Note: The chlorine dosing unit in the RNT potable water system is stopped to operate since February 2017, Residual Chlorine measurement is also no longer perform since then.

Effluent discharge water

The NTPC wastewater treatment facilities monitoring results are summarized below:

Parameter Guideline

values

Exceedance revealed (at least a month)

from January to December 2017

RNT Powerhouse

Nakai

Residence

Complex

(NRC)

Wooden

Guesthous

e (WGH)

Nongboua

Biological Oxygen

Demand (BOD) <30mg/L X X X X X

Chemical Oxygen

Demand (COD) <120 mg/L X X X X X

Residual Chlorine <1mg/L

Total Suspended

Solids (TSS) <40mg/L X X X X

Thermotolerant

(Faecal) Coliform

<1000

CFU/100

mL

X X

Note: No effluent discharged at WGH during the sampling day in January to May and in

October to December.

BOD and COD values of effluents from NTPC wastewater treatment plants are shown in

Figure 11 and Figure 12.



Page 152 of 417

Figure 11 – BOD results from wastewater treatment works (during January to December 2017)

Figure 12 – COD results from wastewater treatment works (during January to December 2017)

Landfill observation borewells in NTPC Landfill

Since March 2015, 5 borewells of Landfill Groundwater (LGW05-LGW09) have been closely

monitored in monthly basis on the exceedances of pH, BOD, COD (by AEL) and Lead (by

UAE, Bangkok).

In July 2015, 3 borewells (W54, GML01106 and GML01108) were installed by NTPC and

are still in-use by villagers were added for monthly monitoring.

In September 2015, another 4 borewells (GW001, GW002, GW003 and GW004) were

installed and used by villagers were added for monthly monitoring.

In December 2016, 4 new observation borewells were installed at the landfill and all of them

were added for monthly monitoring since February 2017:

- LGW10: borewell near LGW09 to monitor the present of Lead contamination in a

borewell downstream the leachate ponds.



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- LGW11: borewell to monitor the contamination that may occurred by the landfill

leachate ponds.

- LGW12: borewell to monitor the contamination that may occurred by the future

constructed waste cells.

- LGW13: borewell located upstream of NTPC landfill and downstream of Gnommalath

district landfill.

The sampling locations of each borewells, including the new borewells (LGW10 to

LGW13) that are installed in November 2016, are shown in the below map (Figure 13).

Figure 13 – Borewells locations Landfill Groundwater Monitoring

Monitoring results up to December 2017 show (Figure 14):

- pH: almost of the measured values in the borewells did not meet the guideline (slightly

too low).

- BOD: no exceedance recorded during the year at LGW06, LGW07, LGW09, LGW10 and

GML01106. The rest of monitoring borewells showed the exceedance only in few

months.

- COD: most of sampling sites (both observation borewells and villager’s borewells) showed values exceeded the guideline in some months. The maximum value recorded

at GW004 in May (287mg/L).

Note: COD reporting result showed in the graph at 4 mg/L means COD value <4 mg/L

and may below the guideline of <1 mg/L (Limit of Detection for COD parameter is 4

mg/L).



Page 154 of 417

- Lead (Pb): testing results exceeded the guideline (0.05 mg/L) only in LGW13 in

February (0.071mg/L) and LGW09 in November (0.356mg/L).

Remark: no sampling at (i) LGW10 – LGW13 in November and December and (ii)

GW003 in November due the Bennet pump and villager’s pumps were broken.

Figure 14 – Water quality results in borewells (2014-2017). GOL standards of

groundwater for drinking purpose are in grey shade for the 4 parameters.

Note: GOL standards of groundwater for drinking purpose of the 4 parameters (pH,

BOD,COD and Pb) are in grey shade.

3

4

5

6

7

8

9

1 0

pH

G u id e lin e : 6 .5 -8 .5L G W 0 5

L G W 0 6

L G W 0 7

L G W 0 8

L G W 0 9

L G W 1 0

L G W 1 1

L G W 1 2

L G W 1 3

G 0 0 1

G 0 0 2

G 0 0 3

G 0 0 4

G M L 0 1 1 0 6

G M L 0 1 0 0 8

W 5 4

0

1

2

3

4

5

6

9

BO

D (

mg

/L)

G u id e l in e < 1 m g /L

0

1

5 0

1 0 0

1 5 0

2 0 0

2 5 0

3 0 0

3 5 0

4 0 0

CO

D (

mg

/L)

G u id e lin e : < 1 m g /L

Oc t-

2014

Nov-2

014

De c -2

014

Jan

-2015

Feb

-2015

Mar -2

015

Ap

r -2015

May-2

015

Ju

n-2

015

Ju

l-2015

Au

g-2

015

Sep

-2015

Oc t-

2015

Nov-2

015

De c -2

015

Jan

-2016

Feb

-2016

Mar -2

016

Ap

r -2016

May-2

016

Ju

n-2

016

Ju

l-2016

Au

g-2

016

Sep

-2016

Oc t-

2016

Nov-2

016

De c -2

016

Jan

-2017

Feb

-2017

Mar -2

017

Ap

r -2017

May-2

017

Ju

n-2

017

Ju

l-2017

Au

g-2

017

Sep

-2017

Oc t-

2017

Nov-2

017

De c -2

017

0 .0 0

0 .0 5

0 .1 0

0 .1 5

0 .2 0

0 .3

0 .6

Pb

(m

g/L

)

G u id e lin e : < 0 .0 5 m g /L



Page 155 of 417

Potable water at RNT:

In additional to routine monitoring of facilities water, since the Potable Water Treatment Plant

installed at RNT for years, there are 2 main issues of potable water produced by this

treatment plant occurred regularly:

(i) high total hardness content in the water and it causes the white sediments or scale

at the bottom of the boiling pot;

(ii) turbid water with brownish particulates and it causes the discolouring of washed

clothes or leaving the contamination in washed materials (e.g. food containers,

vegetables, toilet bowl, …)

A solution of high total hardness content in the water is proposed by installing a Softener

Unit in the treatment system for removing Calcium ion (Ca2+) and Magnesium ion

(Mg2+) in the water to maintain the value of Total Hardness below the Potable Water

Standard Guideline (<300 mg/L CaCO3). The Softener is already installed on 21 December

2016. Currently the system is closely monitoring for its water quality improvement and under

studying for a proper frequency of its routine maintenance. There are 2 issues concerning

the resin regeneration are: (i) its waste of a salt solution (10% Calcium Chloride, CaCl2) for

~1,000 L at each regeneration which is needed to be gradually loaded into Wastewater

Treatment System, not once in a time; and (ii) high frequency of the unit regeneration which

is needed a closely monitoring and tracking.

The issue of turbid water is appeared in random and frequency but has not been resolved

yet. According to this issue, the Aquatic Environmental Laboratory (AE Lab) has been

studying water quality for investigating the potential root causes. Information from the studies provided the evidences of groundwater quality variations in the RNT borewells for Dissolved

Iron (Fe2+) and Dissolved Manganese (Mn2+) contents. These 2 elements could be converted

to un-dissolved forms (so called ‘brownish particulates’ in the water) when these ions reacted with Sodium Hypochlorite (NaOCl, a disinfecting chemical) or exposed to oxygen in

ambient air.

According to the water quality situation mentioned above, two proposals of corrective actions

were proposed:

(i) Temporary stop dosing of Sodium Hypochlorite (NaOCl) for disinfection; and

(ii) Modify the dosing system of Sodium Hypochlorite (NaOCl) for the purpose of

disinfection and oxidizing of Dissolved Iron (Fe2+) and Dissolved Manganese (Mn2+)

to be particle forms before filtering by the sand filter unit.

Currently, the temporary stop dosing of Sodium Hypochlorite (NaOCl) for disinfection

process is ongoing to monitor the changes of water quality. The softener was installed by

Sure Chemical (Thailand) and the new operation system started in February 2017. During

this trial period in the first semester, chemistry team conducted the routine water quality

monitoring twice a week in order to closely follow the evolution on each parameter: pH,

Conductivity, Turbidity, Total Hardness, Colour, Total dissolved Iron and Faecal Coliform.

According to the analysis results after several consecutive months of monitoring, there was

no Faecal Coliform contamination observed. On the other hand, it seems that the capacity of

the softener is limited compared to the production rate so it takes much time to optimize the



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system and to define the frequency of softener regeneration. Since May, the value of Total

Hardness at the point before distribution started to decrease from ~400 mg/L to 300 mg/L

(the water quality standard guideline of potable water is <300 mg/L). However, from August

to November, there was a shortage of NaCl to regenerate the softener so the monitoring was

temporally stopped. In December, the monitoring re-started as the softener was back to

operation. The value of Total Hardness at the points just after the softener and at the

distribution points still higher than the guideline (> 400mg/L and >300mg/L respectively).

The monitoring is still on-going in order to define the optimized operation condition by

minimizing frequency of the softener unit’s regeneration to keep its Total Hardness value below the guideline.

Fish Population and Fish Catch survey

Nakai Reservoir

Fish Population and fish catch in the NT2 Reservoir

Fish catch monitoring in the reservoir is presented in the previous Part 1 (Resettlement

Programs) 2.3.14. The monthly reports on the fisheries monitoring in Nakai are provided to

the stakeholders in Nakai who are involved in the fisheries co-management.

Furthermore, fish population monitoring continues on quarterly basis in the Reservoir.

Water Quality Monitoring of Gully Dam

One full year of water quality monitoring of the 22 gully dams in Nakai (Figure 15) was

realized (Fisheries AP) in view to assess the suitability of the gully dams for further

aquaculture development and the monitoring was stopped in April 2017. The main result

(April 2016 – April 2017) shows:

- Almost all gully dams were flooded during the warm-wet season (when the NT2 reservoir

reaches the full supply level) except gully dam No.1 and No.2 at Sop Phan, No.5 at

NamNian and No.17 at Khone Kaen because these gully dams are not connected to the

reservoir and located in high elevation.

- Dissolved Oxygen was low in April 2016 for 50% of the Gully Dams with concentration

below 3 mg/L.

- Concentration start to re-increase in May 2016.

Some gully dams presented low Oxygen concentration in long period e.g. gully dam No.4 at

Sop Ma presented the Oxygen concentration lower 3 mg/L from April-June 2016. The low

Oxygen concentration in gully dams could be linked to the shallow and narrow of gully dam

and the water storage in gully dam for long time with a little inflow or without any inflow.



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Figure 15 Dissolves Oxygen (mg/L) at the surface water in the 22 Gully Dams (April

2016-April 2017)

Nam Theun Downstream of the Nakai Dam

Fish catch monitoring in the downstream river ended in April 2015 as mentioned in the CA.

The fish population continues to be monitored on quarterly basis with an experimental

fishing. Result of the monitoring shows (Figure 16):

- Fish population follows a seasonal dynamic with an increase in abundances and

taxonomic richness mainly at the end of the dry and warm season.

- Biological indices fluctuate in a same range since 2011 until 2017.

- Low catch in term of biomass in April 2015 and April 2016 with high abundance are

linked to a large catch of small individuals (average size of the catch <70mm).

- Since 2011, the biomass fluctuates around 2Kg per catch.

- Taxonomic richness remain stable since 2011 (around 10 species recorded per mission).

Figure 16 - Abundance, biomass and taxonomic richness at NTH6 during April 2008 to the end

of 2017



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Xe Bangfai River

Fish Population in the Xe Bangfai

The results of the fish population monitoring at Ban Mahaxai (XBF2, downstream of the

downstream channel confluence with the River) showed (Figure 17):

- A trend of an increase in abundance, biomass and taxonomic richness since the COD for

a same fishing effort and same station with a peak mainly observed during the wet

season.

- Biomass and taxonomic richness showed seasonal peak that are at the end of the dry

season and at the end of the rainy season.

- The parameters showed higher value in warm-wet season 2017 with 35 species found,

around 197 individual and 3 Kg per unit effort.

Figure 17 – Fish population parameters at Ban Mahaxai during March 2008 to the end

of 2017

Biodiversity Program

Elephant programs

HEC monitoring and mitigation

A total of 66 HEC incidents occurred in 2017 with a slightly decrease compare to 2016. 39

incidents are related to the Group of Three, 22 incidents related to Thongkong group, 4

incidents related to Dtong group, and 1 incident related to Thalang group (Figure 18).

- 33 incidents related to property only, 24 incidents related to crop and property and 9

incidents related to crop only (Figure 19). Main properties damaged are huts, fence,



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household equipment and 1 baffalo. Main crops damaged are banana, cassava, corn,

sugarcane and other food crop and fruit trees.

- Essentail equipment for problem animal control (PAC) was distributed to farmers to use

during the harvesting season to minimise the lost of property in the target areas.

- The HEC incidents location in 2017 is shown in Figure 20.

Figure 18 - HEC incidents by group via bi-annual since 2013

Figure 19 - HEC incident by types via bi-annual since 2013



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Figure 20 - HEC incidents location in 2016 and 2017

Solutions of the group of 3 individuals

In preparation for the Group of Three (G3) collar installation operation, a mission for pre-

darting operation by WCS consulting was conducted in January 2017 as follow:

- Field survey for darting area.

- Meeting with Vilabouly DAFO to discuss and planning how to figure out the recent

place of Group of Three.

- Meeting with Forestry Department to discuss about permission documents for WCS

consultant team and importing equipment for GPS collars installation

- Meeting with Livestock and Fishery Department to check the viability of dart gun and

equivalent equipment and drugs.

The agreement on GPS collars installation G3 has been authorized by Minister of Prime

Minister Cabinet Office. Document No. 50/ຫສນຍ.ກສສ, date: January 9, 2017.

To ensure the operation has a great success, the monitoring of the target elephants has

been conducted regularly including camera traps and field survey to find the locations of

this elephant group.

The mission of collar installation for G3 was planned in October 2017 but it was postponed

to January 2018 due to unexpected accident with the main Indonesian tracker and darter.



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Artificial Mineral Lick

Artificial Mineral Lick Replenishment

Artificial Mineral Licks (AML) replenishment had been regularly conducted. The AML

replenishment had completed for both dry and wet seasons (February and August) in 2017,

there are 2,287 kg of minerals (1,282 kgs of NaCl, 690 kgs of H2NaPO4, 225 kgs of CaCO3

and 90 kgs of KCl) had refilled to all 8 AML sites.

Mineral used for AMLs replenishment in 2017

Site/mineral

sodium

chloride

Monosodium

phosphate

calcium

carbonate

potassium

chloride Total/site NaCl (kg) H2NaPO4 (kg) CaCO3 (kg) KCl (kg)

PML1/5 79 35 12 6 132

PML1/9 89 23 12 13 137

PML1/19 116 60 25 10 211

PML2/7 317 191 58 18 584

PML2/16 241 99 37 16 393

PML3/18 152 88 33 9 282

PML3/19 141 104 36 10 291

PML3/23 147 90 12 8 257

Total 1,282 690 225 90 2,287

Figure 21 - Activities during AML replenishment 2017

Artificial Mineral Lick Monitoring

AMLs monitoring for 2017 was conducted regularly as plan set up for the previous year.

There were evidences of elephants’ visitation in 7 AMLs except PML1/19. While other wild ungulate and human act evidences found in all AMLs in 3 zones. Cattle found using 4 AMLs

as PML2/7, 2/16 in zone II and PML3/19 and 3/23 in zone III. In consequence, PML2/7 was

used as bird hunting site by local people.

Evidence of wildlife visitation and human act at AMLs

Sites EPE HAE CE OUE

PML 1/5 1 1 0 1 EPE: Elephant Evidence

PML 1/9 1 1 0 1 HAE: Human Activities Evidence

PML 1/19 0 1 0 1 CE: Cattle Evidence

PML 2/7 1 1 1 1 OUE: Other Wild Ungulate Evidence

PML 2/16 1 1 1 1 0: No evidence of animal visitation 1: Evidence of animal visitation PML 3/18 1 1 0 1

PML 3/19 1 1 1 1

PML 3/23 1 1 1 1



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Figure 22 – the AMLs monitoring and evidences of human activities found at the AMLs

Invasive species survey and destruction

The controlling of Mimosa pigra was conducted in 4 rounds in 2017. Through the survey and

destruction of control, there were 32,196,231 trees (44,338 adult trees and 32,151,893

seedlings) were found and destroyed. The survey and destruction area was still focused in

the resettlement villages and agriculture area. The highest density of Mimosa pigra observed

at the Old Borchor Village, between NamNian and Nakai Tai villages (Figure 23). There were

some areas found a very high growth rate of seedlings, approximate 3,880 seedlings per

square meter.

Figure 23 - Location of Mimosa pigra found and destroyed in 2017

Chinese swamp cypress conservation program

- In collaboration between University of San Francisco, National University of Laos

(NUOL), WMPA and Nakai DoNRE. The field survey for seedlings and cross section

for dendrochronology was conducted at Khoun Houay Heyow (Dteung Cluster) in

January 2017. Through the mission, there was no seedling of Glyptostrobus pensilis



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found, 10 cut trees were selected for cross section samples and 3 new individual

young trees found and documented in the area.

- In July 2017, a propagation test of Glyptostrobus pensilis by using its branches was

conducted at Khoun Houay Heyow to figure out if the species could be propagated

from branches or not. The experiment result will be checked in January 2018. In

consequence, a survey for breeding trees was conducted at Ban Phonsa-ard and

Dteung Cluster to see if there cone could be collected for the germination trail in

November 2017.

- In November 2017, the seeds of 7 individual trees from 3 different sites (Phonsa-ard,

Ban Dtueng and Khoun Houay Heyow) were collected and germinated in a nursery

built near WMPA office. A total of 1024 seedlings raised from the seeds germinated

in the nursery. 9 seedlings were found and collected from its natural habitat to the

nursery for the further taking care for the future planting but only 4 seedlings are

survived.

Figure 24 – Glyptostrobus pensilis nursery and seedlings

Environment Compliance Program

NTPC

Solid waste management

The NTPC solid waste facility in Gnommalat district is performed by a subcontractor under a

closely and strictly management by NTPC. The solids wastes are still well-separated at

source into the 4 separated bins (general waste, composite waste, recyclable waste and

hazardous waste). The solid wastes from all NTPC working/accommodation areas (RNT,

Powerhouse, NRC, WGH, Nongboua Boat House and Dam Site) are then transported to

landfill for the further process. The recyclable wastes are sold to the local traders, food

wastes are fed to the piglets and worms, the hazardous wastes are well stored in the close

building where the accessible is restricted, and the general wastes are dumped into the

waste cell. The contract was ended at the end of December 2017 and the service provider

will be replaced by a new company.

Currently, the NTPC Landfill is still share-used with the Gnommalat district, as end of

December 2017, about 90% of in-use waste cell (the 6th NTPC waste cell) is filled and

expected that the closure of this cell would be done within Q2 of 2018. To replace the

existing waste cell, the 7th waste cell construction was started in December. Environment



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Department together with TB-Engineer Department are in charge of follow up the work

progress and inspection the construction area. The construction work is expected to be done

within January 2018 with 1 year of guaranty period. Furthermore, the work related to the

closure of the 6th waste cell is also mentioned in the contract with the same contractor and

will be started once it is 100% filled.

Wastewater treatment management

Effluent discharged from all 5 wastewater treatment plants (2 Black wastewater treatments

at RNT and Powerhouse and 3 Grey wastewater treatment at NRC, WGH and Nongboua)

are routine monitored in monthly basis. The effluent guideline exceedances have been

observed occasionally for some parameters (BOD, COD, TSS, Residual Chlorine and

Faecal Coliform Bacteria).

The efficiency of wastewater treatment for both systems (activated sludge and artificial

wetland) has been investigated by the specialists from a Thai company in November 2016.

After considering the requirements and the feasibilities of the system upgrading proposed by

the experts, the modification would be implemented in 3 plants:

- RNT plant: (i) upgrading the capacity of the Equalization tank (from 20 m3 to 70 m3) to

increase the retaining capacity as well as the retention time of the wastewater in the

system even during the peak time; (ii) installing the Chlorine controller at the chlorination

unit in order to control the chlorine feeding pump upon a constrained value of free

chlorine concentration.

- Powerhouse plant: installing the Chlorine controller as same as at RNT to ensure the

efficiency of the chlorination process according to the real-time concentration measuring

by the controller.

- Wooden Guesthouse plant: a pre-treatment unit (anaerobic treatment tank) with cross

flow media (micro-organism media for the prior treatment), content a capacity volume of

20 m3 was recommended for this plant.

The plant modification tasks are under responsible of AB-Site Management; AE Lab will

support the analysis of water samples and will evaluate their efficiency after the modification.

However, due to the budget limitation of AB-Site Management for the year 2017, the system

modification project was postponed to be conducted in 2018.

Site inspections

The Environmental Compliance Team, as part of Environment Department still continues to

fulfil its role of undertaking the audits, inspections and monitoring of all facilities to ensure

compliance with NTPC environmental guidelines and Lao PDR regulations/laws.



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Environmental inspection number in 2017 (all NTPC sites)

NTPC sites Number of Inspection

January to December

Nakai Dam Site 10

Wooden Guesthouse 45

PWH & Switchyard 10

RNT Complex 18

NRC 47

Gnommalat Landfill 68

Surge Shaft/Access Adit 10

Intake and Headrace Channel and Tunnel 10

Nong Boua Boat area 47

Regulating Dam 10

Total 275

The number of environmental inspection for a specific purpose from January to December

2017 is 27 missions.

Environment incident management

There are 12 Environmental incidents were reported during January to December 2017 as

shown in Figure 25 by level classifying:

Level 1 – Minor Environmental Pollution

Level 2 – Significant Environmental Pollution

Level 3 – Serious Environmental Pollution

Level 4 – Major Environmental Pollution

Level 5 – Catastrophic Environmental Pollution

Figure 25 - Environment Incident Reports during January to December 2017



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Corrective and preventive actions for the reported environment incidents are clarified in the

table below:

No Incident Date

Level Description of Incident Corrective Action Plan Status ID Ref

.

1 17 Apr 17 I Oil leakage on the top of OPS tank, 70 litres of oil was collected at FU1 with running load.

New valve was replaced for this OPS tank.

Closed 751

2 25 Apr 17 I Truck accident on the road to Nakai, oil leakage on the ground

Environment staff involved for cleaning the area with proper spill kits and the contaminated waste was sent to landfill for further disposal.

Closed 796

3 22 May 17 I The wastewater from the RNT wastewater treatment system was continuously flew out from the overflow drainage pipe. 1 of 2 drainage pump was broken inducing the overload of water in the system then the excess water was automatically discharged by this drain pipe.

Site Management team was informed. The replacement of broken drainage pump is under process. Closed 805

4

22 May 17 I Oil Leakage during the yearly maintenance at Gate no.4, Nakai Dam. About 1L of oil was splashed out during the oil drainage from OPS tank.

QHSE representative at site took immediate actions by following the emergency spill response plan and recover the oil leak by using absorbance.

Closed 810

5 3 Aug 17 I Hydraulic oil sprayed on the backfill area of DSC emergency spill way

TB-QHSE responded to the incident by guiding the contractor to clean the area and move the contaminated soil to landfill.

CAP

follow up

990

6 15 Sep 17 I It's found the oil leaked on the floor of RNT Guest house parking.

Environment team responded by using oil dispersant to clean the area.

Close 105

5

7 21 Sep 17 I It's found the pipe was broken and the wastewater leakage on site are evident

CES performed the maintenance under surveillance of AB-Site management team.

Close 106

7

8 23 Oct 17 I It was found the failure of printer at RNT "AB zone" : too many papers were printed with single line error message

ICT team has tested the printer system and an issue was investigated to solve the root cause.

CAP

Required

109

6

9 12 Nov 17 I TB-Staff was found the oil leakage from the pressure gauge at Power House.

Closed the manual valve of pressure gauge to stop the leak and cleaned the oil leaked from oil separator system.

CAP

Required

111

2

10 11 Dec 17 I There was garbage thrown by local people inside the right way

This event is uncontrolled by NTPC.

CAP 113



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No Incident Date

Level Description of Incident Corrective Action Plan Status ID Ref

.

500kV TL at TW#031/1 (MHX district)

However, the information must be communicated to local authority for their further action.

required 4

11 19 Dec 17 I Small fish dead due to the leaked water from the repairing work at DSC (concrete filling to close the underground hole in DSC)

Environment team was requested to conduct the special mission of water quality testing and all results were communicated to concern parties.

CAP

required

113

9

12 19 Dec 17 I Wastewater overflow at F6/D1 The corrective action was taken by AB-Site management

Closed 114

3

Note: The numbers of incidents and its levels have been revised and would be different from the previous monthly reports.

Environment awareness programs

Awareness training

The environmental training was conducted for both NTPC staff and contractor from January -

December 2017.

- NTPC Staff

Environmental awareness orientations were conducted to 101 persons and refresh training

to 199 persons.

No. Description of group #Trained

Persons

Remarks

1 NTPC new staff 31

2 NTPC new interns 54

3 Trainee, consultant or volunteer 16

4 Spouses of NTPC staff 21 Refresh training

5 NTPC staff 178 Refresh training

- NTPC’s Contractor Environmental awareness orientations were conducted to 512 persons and refresh training

to 263 persons of 35 service provider.

One of NTPC’s environmental commitments is to reduce our footprint especially for waste generation. To achieve this target together, the Environment Department has launched 3

Awareness Program to promote waste reduction and raise environmental awareness to all

staff (Flash News no.09, Annex 10).

Environment awareness program - Polystyrene foam usage reduction

The project of Polystyrene foam usage reduction was implemented since 2013 by RSU

(formerly known as HSE team). The work was handed-over to Environment department



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since January 2016 together with the merging of Environment compliance to Chemistry

team. The action to support the reduce process is to provide the bento (food container) and

requesting the service contractor to distribute the food by using Bento instead of Polystyrene

foam box. From 2013 to 2016, 260 bento were distrubuted (90 bento for RO staff and 170

bento for rotate using in RNT restaurant).

In 2017, the monthly records was follow up until end of June at the arrival of the new service

contractor. With new contractor, the polystyrene foam boxes use was definitely stopped and

the service provider used biodegredable containers instead.

Beside, the information communicated internal journal (Flash News no.15, Annex 11)

entitled “Polystyrene Foam Use Reduction” was disseminated in April by Risk and Strategy Unit (RSU) in order to inform among staff for: (i) a potentiel risk of using the Polystyrene

Foam as food container; (ii) to update the progress of the campaign since launching the

program; and (iii) to raise staff’s awareness on replacing the use of Polystyrene Foam by using Bento.

Environment awareness program - Plastic bag usage reduction

Similar to the Polystyrene Foam reduction program, the results of consumption monitoring

was implemented in 2 campuses (RNT and RO) by RSU then handed over to Environment

Department since January 2016. In order to promote the plastic bag usage reduction, RSU

distributed the canvas bag to all staff in June 2014 and June 2015. Furthermore, the service

contractor definitely stopped providing plastic bag to their customers at RNT minimart since

the 1st canvas bag distribution and started using paper bag since October 2014 in order to

obligate them to use canvas bag or other stuff instead of plastic bag.

Since July 2017, due to the change of service provider, the consumption follow up work was

handed to the new one.

The results of consumption monitoring provided by the catering service providers:

- RNT: the consumption dramamtically increased since the change of service provider in

July 2017. The total consumption between 2016 and 2017 are 2,886 and 4,103 packs

respectively. Figure 26.

- RO: the decreasing is observed but shows slight difference between the year 2016 and

2017 (2,959 packs and 2,753 packs respectively; 6.9% of reduction), the peak of usage

is also observed in July at the starting of new service provider, Figure 27.



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Figure 26 – Monthly Plastic Bag consumption in RNT (2013-2017)

Figure 27 – Monthly Plastic Bag consumption in RO (2013-2017)

As well as Polystyrene Foam, the Flash News no.12 (Annex 12) regarding “Plastic Bag Use Reduction” was disseminated in March. The situation of plastic bag consumption since start of campaign was mentioned in the content. Furthermore, the recommendation on the

alternative ways to replace the use of plastic bag while shopping were presented.

Environment awareness program - Paper usage reduction

In 2017, the target of paper usage reduction is set at 25% compared to year 2016. The

program was launched since January 2017; and the monthly paper comsumption (for

different types: A4, A3, A0) at each office (VTE, RNT, RO and Powerhouse) was recorded.

In addition, the Flash News no.10 (Annex 13) was published in March to promote the “Paper Use Reduction program”. The main topics were focus on Environmental impact during the paper making process and the strategies of the reduction program: (i) re-use the one-sided



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paper; and (ii) recycle the two-sided paper. To support the program, the boxes to collect

these 2 types of paper were provided in main printing areas around the offices

According to the data recorded, only A4 type are regularly used and its data are suitable to

evaluate the percentage of reduction over one year (A3 and A0 are used occasionally). Total

consumption of A4 type in 2017 (267 boxes) decreased comparing to 2016 (422 boxes);

which represent about 37% of consumption reduction.

Figure 28: Yearly consumption of A4 (2016-2017)

Nakai District Solid waste management

In the CA Obligations, Volume 2A, Schedule 4 – Part1: NTPC committed to participate in

regular education programs regarding waste management plans and service in Nakai

Resettlement villages.

In 2017, NTPC has been working closely with Nakai DoNRE to start implementing different

activities to manage the solid waste in a good manner:

(i) Waste collection system: the project was re-started in January by the waste truck

handed over from NTPC to the Nakai District in 12 January 2017 and the waste

collection in the District area was restarted in February 2017. During the first month

of operation, NTPC and DoNRE staff closely monitored the daily collection data.

NTPC also provided training on waste segregation to waste collecting team formed

from local villagers and supported them necessary PPEs, including co-funding for the

operation cost (salary of a waste truck driver, workers, fuel, per diem of DoNRE staff

for routine work follow-up). The project was well implemented in Oudomsouk village

(center of Nakai district) but less participation when moving far away. The collecting

of service fee from the villagers is another issue facing to the program, most of them

always working in their fields when DoNRE staff went to collect the fee. An

alternative solution was suggested by NTPC to involve an outsource service for

managing the waste collection and disposal in Nakai Plateau.



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(ii) Environment awareness campaign: in regards for raising the awareness of local

people concerning the environment protection, 3 parties (NTPC, Happy Nakai and

Nakai DoNRE) organized together the environmental awareness activities in Nakai

lower and upper secondary schools, held on 23th and 24th March 2017. Around 300

students participated each day, and the target of this campaign is to spread the

information on the proper way of the waste disposal, the benefit of waste segregation

and the health effect of improper waste disposal, such as waste burning and waste

scattering.

(iii) The “Big Cleaning Day”, the event is under the theme “Go for Clean and Green Nakai”: the activity was held on 31st March 2017, around 300 people from local

communities including students from Nakai secondary school, local authorities,

Happy Nakai and NTPC volunteers participated to make the public area clean and

clearing the messy garbage then put them in Nakai Landfill.

(iv) The “World Environment Day” celebration: the event was successfully organized on 6th June 2017. The aim of the event is to promote environment awareness to local

communities. Many activities such as Mini-marathon, recycle waste invention contest

have been organized during the event day. Nakai DoNRE and NTPC-Environment

were a main co-organizer of the event by supporting from Happy Nakai; volunteers

from Social Environmental Education and Development (SEED) of Faculty of

Environmental Science, NUOL; and Project Anoulack. The participants during the

day (including athletes, organizers and observers) are around 1,000 people. The

event was interested by local people as there were about 1,000 participants

(athletes, organizers and observers are included) during the day.

(v) Nakai new Landfill construction project: A proposal of co-funding project between

NTPC and the Nakai District was approved by Khammouane provincial governor.

The estimated cost of the project is about 300,000 USD; the budget is including a

purchasing and construction work for:

(i) Construction of new landfill and its facilities and closure of the waste cell at

existing landfill;

(ii) Purchasing of waste truck that has been handed over to Nakai DoNRE and

waste bins; and

(iii) The cost for spending to launch the awareness program in the 16 Nakai

resettlement villages.

Due to the process of agreement document preparation, the construction project was

postponed to be conducted within 2018.

Gnommalat District Solid waste management

The upgrading of the existing Gnommalat district waste cell was accomplished at the

beginning of the year and three main activities have been executed as mentioned below:

i) Clearing the partially used landfill and lining with HDPE;

ii) Re-design a leachate pond by enlarging its volume capacity and extend the

leachate water retention time to ensure that the leachate from waste cell will be

properly treated before releasing to the natural environment; and

iii) Repairing/re-compacting the landslide at the backfilled platform area.

However, the landfill was not yet re-handed over to Gnommalat district, due to lacking of

experienced outsource for properly managing waste at the landfill and the some eroded



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slope at the leachate pond discharge after heavy rains. The repairing work was conducted

by the contractor and completed in December.

Regarding the outsource service for waste management at Gnommalat district, the company

was selected to take over the service related to the waste collection and district landfill

management. The contract between the company and Gnommalat DoNRE is being

prepared and is expected to be signed by both parties in early 2018.

Regarding the Environment awareness program at Gnommalat, the “World Environment Day” celebration was also held in Gnommalat district on 2nd June 2017. The day was

successfully organized as well as in Nakai district, same kinds of activity were conducted.

The event was interested by local people as there were about 1,000 participants (athletes,

organizers and observers are included) during the day.

Erosion Monitoring Program

In 2017, the mission was completed on 10 – 11 May (end of dry season) to evaluate the

erosion expansion by season and the report was issued. This mission was the twenty-third

organized since March 2010. A total of 674 sites (27 indicator sites and 647 non-indicators

sites) were monitored and no erosion expansion was observed compared to the previous

mission in December 2016.

No Cross Section Survey was implemented in 2017 and it is planned to conduct the next one

in 2018 after the last one in 2013.

Implementation of the Environmental Management System

NTPC has been certified the Environmental Management System (ISO 14001:2004) since

28 March 2014 by SGS (Thailand) as Certifying Body under UKAS and the 1st and the 2nd

Surveillance Visit performed in March 2015 and March to April 2016, respectively.

In 2017, NTPC continuously improved and maintained the Environmental Management

System. The latest audit on site was held in February 2017 for the certification renewal of a

new version on Environmental Management System (ISO 14001:2015). After investigating

during the audit, the ISO 14001 certificate has been upgraded to the version of 2015 and it is

valid for 3 years. The next ISO Surveillance Visit plans to be conducted in February 2018.

4 Visits and consultancies During the year 2017, the main activities of visits, audits and consultancies were as follows:

Environment Management system – participation to the external audit by SGS

(Thailand) in February for OHSAS18001:2007 and ISO 14001:2004 re-certification.

According to the audit results, there was no major/minor of non-conformity related to

Environemnt aspect; and ISO 14001:2004 was updated to ISO 14001:2015 version.

Lender Technical Advisor (LTA) visit - in February, the updated information

covering on all Environement activities have been presented. Furthermore, during



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this visit, the representative from Environment department participated in a meeting

with LTA and the Nakai district authorities to update the work progress on solid waste

management in Nakai Area, with a support of NTPC and to discuss on the district’s requirement on this issue.

Site visit by:

(i) Faculty of Environment, NUOL - in February, a study tour of teachers and

students from different departments of Faculty of Environment, National

University of Laos, the information on Environment department activities have

been presented as well as lab visit.

(ii) EDF DPIH Director and NTPC Board director – in October, general

information of AE Lab activities including the GHG studied results were

presented during the visit.

(iii) country representative of Institut de la Recheche du Developpement(IRD)

– in November, during the visit, the information about the Department

activities and the Scientific monitoring program and its results were presented.

EGCO Health,Safety and Environment working group - lab and site visit by

management team and HSE working group in March. A brief of Environement

department responsibilities were presented, focusing on the biodiversity

management in NT2 project.

University of Science and Technology of Hanoi (USTH) mission - participation of

Chemistry team in the field and laboratory work with students and teachers in April,

the staff participated on:

o Demonstrating water sampling and profile measurement on reservoir;

o Demonstrating laboratory analysis work; and

o Students practiced of GHG analysis by using Gas Chromatography for

dissolved and ebullition samples.

World Bank and ADB mission in September – (i) a meeting with WMPA to update

the current status and implementation plan and (ii) site survey for riverbank erosion

along Nam Kathang River at Gnommalat Neua Village and Xe Bangfai River at Pova

Village to investigate its erosion potential root cause.

Meeting - in January, video conference call with GHG specialist. The discussion was

focused on:

(i) A proposal of an alternative method for dissolved CO2 measurement for the

higher quality of data analysis, the new technique will measure CO2 on the

field and only CH4 and N2O will be analyzed in the lab;

(ii) A proposal of schedule of 2017 AE Lab’s Scientific Advisory Committee (SAC) meeting; and

(iii) A detailed schedule of site visit of Student from University of Science and

Technology, Hanoi USTH in March.



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5 Communication

Scientific papers

A total of 26 articles were submitted: 23 articles were published and accessible online and 1

article was approved and 2 under review.

Articles Under review Approved Published and

online

HYDROECOLOGIE APPLIQUEE – NAM THEUN 2 SPECIAL ISSUE

Descloux et al. Main features of the Nam Theun 2

hydroelectric project (Lao PDR) and the associated

environmental monitoring programme. Hydroeco. appl.,

2014

Chanudet et al. Evolution of the physico-chemical water

quality in the Nam Theun 2 Reservoir for the first 5 years

after impoundment. Hydroeco. appl., 2014

Chanudet et al. Hydrodynamic and water quality 3D

modelling of the Nam Theun 2 Reservoir (Lao PDR):

results of simulations of some scenarios. Hydroeco. appl.,

2014

Martinet et al. Phytoplankton community and trophic

status assessment of a newly impounded sub-tropical

reservoir: case study of the Nam Theun 2 Reservoir (Lao

PDR, Southeast Asia). Hydroeco. appl., 2014

Descloux et al. Efficiency of the Nam Theun 2 hydraulic

structures on water aeration and degassing. Hydroeco.

appl., 2014

Cottet et al. Fish Population dynamic in the newly

impounded Nam Theun 2 Reservoir (Lao PDR).

Hydroeco. appl., 2015

Pécastaings et al. Biofilm colonizing the Nam Theun 2

Power Plant Penstock (Lao PDR) - mechanism and

potential evolution. Hydroeco. appl., 2014

Visser et al. Developing approaches for establishing a

fisheries baseline: case-study for Xe Bangfai basin (Lao

PDR). Hydroeco. appl., 2014

Attwood & Cottet. Malacological and parasitological

surveys along the Xe Bangfai and its tributaries in

Khammouane Province, Lao PDR. Hydroeco. appl., 2015

Streicher U. The Wildlife Rescue Programme of the Nam

Theun 2 Hydropower Project (Lao PDR). Hydroeco. appl.,

2014

Som & Cottet. Turtle and tortoise rescue and monitoring

programme in the Nam Theun 2 Reservoir (Laos).


Kottelat. The fishes of the Nam Theun and Xe Bangfai

drainage, Laos. Hydroeco. appl., 2015

Clavier et al. Spatial and temporal variation of benthic

macroinvertebrates in the Nam Gnom Basin receiving

discharged waters from the Nam Theun 2 Reservoir

(Laos). Hydroeco. appl., 2015

Descloux & Cottet. 5 years of monitoring of zooplankton

community dynamics in a newly impounded sub-tropical



Page 175 of 417

reservoir in Southeast Asia (Nam Theun 2, Lao PDR).


D. Serça et al. Nam Theun 2 Reservoir four years after

commissioning: significance of drawdown methane

emissions and other pathways, Hydroécol. Appl., 19, 119-

146, 2016.

GREENHOUSE GAS

Deshmukh et al. Physical controls on CH4 emissions from

a newly flooded subtropical freshwater hydroelectric

reservoir: Nam Theun 2 Biogeosciences Discuss., 11,

3271-3317, doi:10.5194/bgd-11-3271-2014, 2014.

Deshmukh, C., Guérin, F., Labat, D., Pighini, S.,

Vongkhamsao, A., Guédant, P., Rode, W., Godon, A.,

Chanudet, V., Descloux, S., and Serça, D.: Low methane

(CH4) emissions downstream of a monomictic subtropical

hydroelectric reservoir (Nam Theun 2, Lao PDR),

Biogeosciences, 13, 1919-1932, 2016.

F. Guérin et al., Effect of sporadic destratification,

seasonal overturn and artificial mixing on CH4 emissions

at the surface of a subtropical hydroelectric reservoir

(Nam Theun 2 Reservoir, Lao PDR). Biogeosciences.

22 June 2016.

M. Adon, C. Galy-Lacaux, D. Serça, P. Guedant, A.

Vongkhamsao, W. Rode, Y. Meyerfeld, F. Guérin: First

assessment of nitrogen deposition budget following the

impoundment of a subtropical hydroelectric reservoir

(Nam Theun 2, Lao PDR). Atmospheric Chemistry and

Physics

C. Deshmukh et al., Carbon Dioxide emissions from the

bottom and shallow Nam Theun 2 Reservoir: drawdown

area as a neglected pathway to the atmosphere.

Biogeosciences

LIMNOLOGY

Martinet et al. Phytoplankton functional groups for

ecological assessment in young sub-tropical reservoirs:

case study of the Nam-Theun 2 Reservoir, Laos, South-

East Asia. Journal of Limnology,

doi:10.4081/jlimnol.2014.958, 2014.

Pedrono et al. Seasonal algal community succession in

epixylic biofilms in a tropical meso-oligotrophic shallow

reservoir, Nam Theun 2 (Lao PDR). Journal of

Limnologica.

FISH and FISHERIES

Cottet et al. Total iron concentrations in waters and fish

tissues in the Nam Theun 2 Reservoir area (Lao PDR).

Environmental and Monitoring Assessment.

Tessier et al. Fish assemblages in large tropical

reservoirs: overview of fish population monitoring

methods. Journal of Fisheries Sciences and Aquaculture.

A. Tessier, J. Guillard, V. Chanudet & M. Cottet: Length-

weight relationships of 8 Asian freshwater fish species

from Nam Theun 2 Reservoir (Lao PDR). Journal of

Applied Ichthyology.

M Cottet & T. Visser: Fish catch and fishing practices in

the Nam Theun 2 Reservoir and watershed (Lao PDR).

Lakes & Reservoirs: Research and Management.



Page 176 of 417

Main outputs of the Adaptive Management Committee 2017

Adaptive Management Committee (AMC) meeting for Nakai Dam and Regulating Dam was

organized in October 2017, 18 participants of representative from NTPC, Department of

Energy and Business, PoNRE, RMU and THPC attended the meeting. The updated

information up to October 2017 was shared including:

- Flood Management 2015-2017;

- Regulating Pond Releases to Nam Kathang & Downstream Channel;

- Water Quality Chemistry;

- Downstream Erosion Monitoring;

- Fisheries;and

- Grievance Mechanism and Current status of the erosion Grievance.

The main results of the meeting were summarized as below detail:

- The water level measurement stations at Mahaxai - According to the data comparison from 2015, 2016 and 2017 between the old station (at Ban Thapho) and new station (at Mahaxay bridge), the AMC members agreed with the proposal of NTPC to use the data of Hydrology station at Mahaxai Bridge as a reference to decide/declare of the warning state of Xe Bangfai water level. However, the old station will still be kept as an alternative data source.

- Water release to the DSC channel during the PWH shutdown - As results of Safety concern and Environment impact, the AMC members agreed to maintain the minimum water released of 20 m3/s to DSC during the Powerhouse Shutdown.

- Water quality monitoring – no major change during 2017 compared to the previous

year.

- Erosion survey – Continue the photographic survey in yearly basis, conduct the next

Cross-Sectional Survey in 2018 and every 5 years until the end of CA.

- Fisheries – Continue the fish population monitoring (experimental gillnets survey) until

the end of CA.

- The Minutes of Meeting (MoM) of AMC 2017 has been distributed to all participants and

the next AMC meeting was proposed to be held after the rainy season of 2018

(approx. in November) in order to have a complete set of annual data for discussion.

environment and social monitoring report · 2018-05-09 · environment and social monitoring report...

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